POL00325920
POL00325920
THIS DOCUMENT IS SUBJECT TO LEGAL PROFESSIONAL PRIVILEGE AND MUST NOT BE DISCLOSED TO ANY PERSON WITHOUT
‘THE EXPRESS AUTHORITY OF POST OFFICE LTD GENERAL COUNSEL OR CARTWRIGHT KING SOLICITORS.
POST OFFICE LTD
draft INSTRUCTIONS TO EXPERT WITNESS
Stated Aim
1. These instructions are issued in accordance with paragraph 3.2 of the ‘AGREEMENT
TO APPOINT AN EXPERT” dated 28" April 2014 (the Agreement). Definitions used
within the Agreement are adopted and used within these instructions (Instructions).
2. The purpose of this instruction is to obtain an expert report which facilitates the
criminal prosecution of those who steal from or defraud POL, SPMR’s or customers of
POL. Accordingly the aim of this instruction is for the Expert to produce an expert
report which confirms the reliability, integrity and robust nature of the Horizon system.
TO-APPOINT_AN-EXPERT: d. t-signed-by-the parti the 28" April2014
4. The following are deemed to be incorporated into these instructions:
Laced. is tad
i. The Agreement; paragrap ted bel
b. The PROTOCOL at Appendix I of these Instructions.
5. The Expert is instructed to provide a report which considers the extent to which the
Horizon system:
POL00325920
POL00325920
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‘THE EXPRESS AUTHORITY OF POST OFFICE LTD GENERAL COUNSEL OR CARTWRIGHT KING SOLICITORS.
a. Properly and accurately records and processes transactions, whether they be
conducted as a counter or back-office function and regardless of the operator
performing the task or whether the data is input manually, by automatic process
or is system-generated;
b. Provides a proper & verifiable audit trail;
c. Has in place and utilises adequate systems which enable appropriate transaction
auditing, testing and error reporting, including the early identification and
prompt rectification of defects, bugs efc.;
d. Has in place and utilises sufficient security systems and protocols so as to testify
to the reliability and robustness of the transaction processes, audit trail and data
vault;
e. Provides appropriate facilities and processes for software maintenance, repair
and upgrade, both of central servers and local terminals, including for version
control and testing. For the avoidance of doubt, these instructions exclude any
investigation of, or comment on, Horizon-associated hardware;
f. Provides robust systems for dispute reconciliation, including the reliable capture
and presentation of event logs, audit data and reconciliation processes efc.
6. The Expert will provide regular interim reports to the Instructing Solicitors detailing
any preliminary findings, areas of major concern and any cooperation issues. Such
reports are to be delivered on a monthly basis, the first to be delivered one month after
the date upon which the Expert commences work.
7. The Expert will take such steps, conduct such enquiries and request such material as he
considers necessary in accordance with the Protocol at Appendix 1 for the efficient
completion of the report.
POL00325920
POL00325920
THIS DOCUMENT IS SUBJECT TO LEGAL PROFESSIONAL PRIVILEGE AND MUST NOT BE DISCLOSED TO ANY PERSON WITHOUT
‘THE EXPRESS AUTHORITY OF POST OFFICE LTD GENERAL COUNSEL OR CARTWRIGHT KING SOLICITORS
8 I9. In accordance with clause 5.3 of the Agreement, POL shall pay the Expert the sum of
£116,250 plus VAT and reasonable expenses. This quote encompasses _all work
anticipated under these Instructions. [we did not see what the original quote related,
16
POL00325920
POL00325920
THIS DOCUMENT IS SUBJECT TO LEGAL PROFESSIONAL PRIVILEGE AND MUST NOT BE DISCLOSED TO ANY PERSON WITHOUT
‘THE EXPRESS AUTHORITY OF POST OFFICE LTD GENERAL COUNSEL OR CARTWRIGHT KING SOLICITORS.
APPENDIX 1.
PROTOCOL
FOR THE REQUEST AND PROVISION OF
MATERIAL
1. This Protocol forms part of the Instructions to Expert Witness document—and is
intended to establish and control the procedure by which POL provides data and other
material (hereafter “ilnformation”) required by the Expert in the execution of his-the_
ilnstructions.
Data Vault
2. Pest-Office-Ltd-POL shall establish an electronic ‘Data Vault’ through which all
ilnformation which is to be provided to the Expert shall be made available to the
Expert.
2.1. POL and the Expert shall make such arrangements between them as are necessary
to establish the Data Vault, and such arrangements shall include provision for
remote access to the Data Vault by the Expert. Arrangements will be made so as to
permit access by more than one person at any one time.
2.2. All such iInformation as is to be provided by POL to the Expert shall be provided
through the Data Vault unless where some other form of provision is agreed
between POL and the Expert.
2.3. Access to the Data Vault shall be controlled and restricted by the use of log-in and
password security.
2.4. Access to and use of the Data Vault and any ilnformation contained therein shall
be restricted to authorised persons only, such authorised persons being agreed
POL00325920
POL00325920
THIS DOCUMENT IS SUBJECT TO LEGAL PROFESSIONAL PRIVILEGE AND MUST NOT BE DISCLOSED TO ANY PERSON WITHOUT
‘THE EXPRESS AUTHORITY OF POST OFFICE LTD GENERAL COUNSEL OR CARTWRIGHT KING SOLICITORS.
between POL and the Expert in writing upon establishment of the Data Vault. A
17 person shall not be an authorised person unless that person has signed and
provided an undertaking in the form below:an-individual Confidentiality A. Yt
25.
18 "Lhave read the above terms and conditions of Non Disclosure Agreement
between IC Consultants Limited and the Post Office Limited and understand
that they apply to me in my undertaking of the Non Disclosure Agreement.
I therefore undertake to comply fully with all those obligations which relate
to IC Consultants and/or which involve me in my undertaking of the
discussions, and_shall_use_all_reasonable endeavours to enable _IC
Consultants to fulfil its obligations under this Agreement".
2.6. No log-in and password access to the Data Vault will be provided to any person
who has not signed a Confidentiality Agreement.
2.7. No authorised person shall reveal their log-in or password to any other person.
2.8. No authorised person shall permit any unauthorised person to access the Data
Vault or any information contained therein.
2.9. A secure electronic record shall be maintained of all persons who access the Data
Vault. The record shall identify the date, time and identity of such persons. The
record shall be maintained throughout the life of the Data Vault and shall be made
available to POL, the Expert and the Instructing Solicitors upon request.
19 I B hy: 7-8 10 and—H- of the “AGREEMENT TO APPOINT AN- EXPERT?
document are-expressly incorporated into this Protocol
Requests for data and other material
3. All requests for information shall be made by the Expert, in writing (to include but not
restricted to email) and with a brief explanation of why the information is relevant to
20 the Expert's task.
POL00325920
POL00325920
Page 5 Comments
Al This is incorporated above.
Andrew Pheasant, 30/09/2014 09:04 AM
POL00325920
POL00325920
THIS DOCUMENT IS SUBJECT TO LEGAL PROFESSIONAL PRIVILEGE AND MUST NOT BE DISCLOSED TO ANY PERSON WITHOUT
‘THE EXPRESS AUTHORITY OF POST OFFICE LTD GENERAL COUNSEL OR CARTWRIGHT KING SOLICITORS.
3.1. Upon receipt of a request for information POL shall:
3.1.1. Place the requested information into the Data Vault and inform the Expert
that the information is available; or
3.1.2. Inform the Expert that the information is not then available, provide a short
explanation as to why the information is not then available and identify a
timetable for the placing of the information into the Data Vault, or
3.1.3. Seek clarification from the Expert as to the nature, scope, extent and
purpose of the request for information, which the Expert shall provide. In this
21 respect POL shall use its best endeavours to identify what is inf fact required
and will assist the Expert in modifying any request for information so as to
ensure that the Expert has access to such information as is relevant to the task
at hand. It is here understood by POL that it shall apply itself to the spirit of
the task in identifying that which the Expert requires and accordingly no
request for information shall fail by reason of any strict interpretation of that
request. Thereafter the information will be collated and placed into the Data
Vault.
22 3.2. Where POL and the eExpert are unable to agree as to the nature, scope, extent or
purpose of the request for information, the Expert shall notify the Instructing
Solicitors in writing of the inability to agree. The Expert will provide with the
notification all relevant requests for information, any correspondence howsoever
entered into and any such further information as is requested by the Instructing
Solicitors. Upon receipt of such a notification the Instructing Solicitors will use
their best endeavours to resolve the request to the satisfaction of POL and the
Expert.
POL00325920
POL00325920
THIS DOCUMENT IS SUBJECT TO LEGAL PROFESSIONAL PRIVILEGE AND MUST NOT BE DISCLOSED TO ANY PERSON WITHOUT
‘THE EXPRESS AUTHORITY OF POST OFFICE LTD GENERAL COUNSEL OR CARTWRIGHT KING SOLICITORS.
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Andrew Pheasant,
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