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Postmaster support
policy
Version 4.0
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Post Office is determined to reset its relationship with
postmasters and has introduced policies that set out guidelines
on how Post Office should support postmasters, specifically for
use across twelve areas.
The policies stand on their own but should be reviewed in
conjunction with each other. Support teams should have an
awareness Of all twelve policies and how they link together.
The twelve Postmaster Support Policies are listed in section
3.2 of this policy and can be found on the hub, here.
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Contents page
1 Definitions ..
1.1 Definitions ..
2 Overview
2.1 — Introduction...
2.2 Purpose...
2.3. Core principles ..
2.4 Application...
2.5 The risk.
3 Risk appetite and minimum control standards....
3.1 Risk appetite...
3.2 Policy framework.....
3.3. Who must comply?..
3.4 Roles and responsibilities.
3.5 Policy required operational standards.
4 Procedures...
4.1 Contractual obligations ..
4.2 Reviewing postmaster accounts...
4.3. Requiring more information or raising a dispute .
4.4 Payment options..
4.5 Payment plans.
4.6 Postmaster circumstances...
4.7 Write offs...
4.8 Accounting provision.
4.9 Financial control framework (controls reporting risks and process)
4.10 Reporting...
5 Where to go for help...
5.1 Additional policie:
5.2 How to raise a concern...
5.3. Who to contact for more information...
6 Governance...
6.1 Governance responsibilities...
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7 Document control
7.1 Document control record...
7.2 Oversight committee...
7.3, Company details...
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1 Definitions
1.1 Definitions
1.
“Assign to Nominee” — This is the option on Horizon which moves a Discrepancy into the
nominated account for selected postmasters, Multiples or Strategic Partners, that do not have
the “Review or Dispute” option.
Discrepancy - Any difference between (i) the actual cash and stock position of a branch and
(ii) the cash and stock position shown on Horizon as derived from transactions input by
branch staff into the branch's terminals. A Discrepancy could be negative or positive.
Established Gain - An event that causes a positive Discrepancy (i.e. the situation where the
branch has more cash and/or stock than the derived figures for cash and/or stock on
Horizon), which has been investigated by Post Office’, or agreed by the postmaster, and
found to be a genuine gain to Post Office which was caused by the negligence, carelessness
or error of the postmaster and/or their assistants.
Established Loss - An event that causes a negative Discrepancy (i.e. the situation where the
branch has less cash and/or stock than the derived figures for cash and/or stock on Horizon),
which has been investigated by Post Office, or agreed by the postmaster, and found to be a
genuine loss to Post Office which was caused by the negligence, carelessness or error of the
postmaster and/or their assistants.
Multiple - A locally based single business venture that operates several locations within their
business venture. A multiple is likely to operate between 2 and 20 retail stores. Multiples
choose how to settle their accounts with some multiples choosing to settle at branch (who
have the "Review or Dispute" option) and other multiples settling to account (who have the
"Assign to Nominee" option) and making payment to POL via a monthly statement.
“Review or Dispute” — This is the option on Horizon which moves a Discrepancy into the
postmaster's centralised holding account at the end of the Trading Period, used by
postmasters, Multiples or Strategic Partners that do not have the “Assign to Nominee”
option.
Strategic Partner - A corporate business that operates Post Offices in several locations
within their retail estate. A corporate partner is likely to operate from more than 25 retail
stores, has centralised support functions/head office management and has strategic
alignment to future POL propositions/network growth. Strategic Partners choose how to
settle their accounts with some partners choosing to settle at branch (who have the "Review
or Dispute" option) and other partners settling to account (who have the "Assign to
Nominee" option) and making payment to POL via a monthly statement.
“In this policy, “Post Office” means Post Office Limited
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8. Trading Period — A four or five-week cyclical financial period culminating in the requirement
to reconcile the cash and stock position of a branch with the cash and stock position shown
on Horizon.
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2 Overview
2.1 Introduction
The Central Operations Director has overall accountability to the Board of Directors for the design
and implementation of controls to manage Discrepancies, recover losses and repay gains in the
network?. Risk in the network is an agenda item for the Risk and Compliance Committee and the Post
Office board is updated as required.
This policy is a non-contractual document provided for information. It does not form part of the
contract between any postmaster? and Post Office.
2.2 Purpose
This Policy has been established to set the minimum operating standards relating to the management
of postmaster account support throughout the Post Office network.
Post Office recognises that Discrepancies will occur from time to time in the nature of a retail
business, and this policy lays out the responsibilities of Post Office to notify postmasters of those
Disrepancies and investigate them in a fair, transparent and impartial manner in order to confirm
whether they are Established Losses or Gains. Post Office has a right to take necessary measures to
recover monies, where they have been confirmed as Established Losses properly attributable to the
postmaster under the terms of the agreement between the postmaster and Post Office. The
postmaster has a right to reclaim any Establised Gains. It is one of a set of policies which provide a
clear risk and governance framework and facilitate an effective system of internal controls for the
management of risk across Post Office. Compliance with these policies is essential to Post Office in
meeting its business objectives and to balance the needs of postmasters, customers, clients, and
other stakeholders including our shareholder.
As many postmasters are limited companies or partnerships (and as individual postmasters may
appoint managers to operate a branch on their behalf) any steps that need to be taken by a
postmaster under this policy can be taken by someone authorised to act on that postmaster's behalf
(such as a director, partner or manager).
2.3 Core principles
Under agreements between postmasters and Post Office, postmasters provide products and
services to customers on behalf of Post Office. The cash and stock used to effect those transactions
is owned and funded by Post Office, unless the branch is self-funded. There are occasions when
Discrepancies in cash or stock can arise.
? In this policy, “network” means branches not directly managed by Post Office
3 In this policy “postmaster” refers to a limited company, partnership, limited liability partnership, other entity or individual that
contracts with Post Office for the operation of a Post Office® branch.
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Post Office has an obligation to its customers and clients to ensure that all branches are providing a
quality of service and adhering to agreed standards. Post Office is committed to supporting its
postmasters in this process. Post Office will deal with the notification and investigation of
Discrepancies, including offering support to postmasters at the time of the Discrepancy, and later if
the branch selects the “Review or Dispute” option on Horizon. This policy sets out clear and
consistent guidelines to ensure that:
* When a postmaster selects the “Review or Dispute" icon to register a Discreapancy, and
does not contact the Branch Support Centre, Post Office proactively seeks open and
transparent dialogue with the postmaster.
* Support is offered to the postmaster, including offering an investigation by Post Office, to
help determine the cause of and reason for a Discrepancy.
e If the reason for the Discrepancy can’t be agreed, Post Office will offer guidance to the
postmaster on how to dispute this.
e Post Office will recover any Established Losses from the postmaster, former postmaster or
guarantor, with the postmaster's agreement, employing clear processes and in a fair manner,
as set out in the Postmaster Accounting Dispute Resolution policy’.
* Post Office will repay Established Gains to the postmaster, or former postmaster.
e Post Office will write-off Discrepancies, where it is appropriate to the situation.
The guidelines will ensure these practices are carried out in good faith and apply principles of
fairness, transparency, and professionalism (being the underpinning behaviours of Post Office).
2.4 Application
This Policy is applicable to for all Post Office employees’ interacting in any part of postmaster
account support and defines the minimum standards to control financial loss, postmaster impact,
regulatory breaches and reputational damage in line with the Post Office’s Risk Appetite.
2.5 The risk
Discrepancies in cash and stock in the network can cause difficulties for postmasters and customers.
Discrepancies may indicate a variety of issues that may need to be addressed. Some Discrepancies,
once investigated, or agreed by the postmaster, may become Established Losses or Gains.
Post Office can recover losses from a postmaster when such losses are caused through negligence,
carelessness or error and Post Office has carried out a reasonable and fair investigation, as set out in
the Postmaster Accounting Dispute Resolution policy, as to the cause and reason for the loss and
The Postmaster Accounting Dispute Resolution Policy can be found on the hub, here
5 In this Policy “employee” means permanent staff, temporary including agency staff, contractors, consultants and anyone else
working for or on behalf of Post Office and, for clarity, does not include postmasters or postmasters’ staff.
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whether it was properly attributed to the postmaster. Postmasters are also responsible for losses
caused by their assistants.
The risk is the Postmaster Accounts Support Team fail to adequately, and regularly, review
postmaster accounts.
Section 3.5 sets out the required operational standards that the Post Office has implemented to
control these risks.
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3 Risk appetite and minimum control standards
3.1 Risk appetite
Risk appetite is the extent to which the Post Office will accept that a risk might happen in pursuit of
day-to-day business transactions. It therefore defines the boundaries of activity and levels of
exposure that Post Office is willing and able to tolerate.
Post Office takes its legal and regulatory responsibilities seriously and consequently has:
e Averse risk appetite to risks around service and support provided to postmasters.
* Averse risk appetite to being non-compliant with our statutory and regulatory obligations.
e Averse risk appetite for financial crime to occur within any part of Post Office or the network.
* Averse risk appetite in relation to unethical behaviour by Post Office employees.
e Averse risk appetite to risks around disputes and litigation.
e Averse risk appetite towards risks around our core operational processes that impact
postmasters.
e Cautious risk appetite towards the risk of service interruptions that would considerably
reduce branch availability across the network resulting in the inability to serve customers.
Post Office acknowledges however that in certain scenarios even after extensive controls have been
implemented a risk may still sit outside the agreed Risk Appetite/Risk Tolerance. Risks outside of
Appetite/Tolerance may be presented to the relevant governance forums for escalation/agreement of
the risk position.
If a risk is identified which is outside of agreed policy a risk exception note will be required, details of
which can be found here.
3.2 Policy framework
This policy is part of a framework of postmaster support policies that has been established to set the
minimum operating policies relating to the management of contract risks throughout the business
and network in line with Post Office’s risk appetite. The framework includes the following policies:
* Postmaster Onboarding
e Postmaster Training
* Postmaster Complaint Handling
e Network Monitoring and Branch Assurance Support
* Network Cash and Stock Management
* Network Transaction Corrections
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* Postmaster Account Support (this policy)
* Postmaster Accounting Dispute Resolution
* Postmaster Contract Performance
e Postmaster Contract Suspension
« Postmaster Contract Termination
* Postmaster Contract Termination Decision Review
3.3 Who must comply?
Compliance with this Policy is mandatory for all Post Office employees interacting in any part of
postmaster account support.
Where non-compliance with this policy by Post Office employees is identified by Post Office, Post
Office will carry out an investigation. Where it is identified that an instance of non-compliance is
caused through wilful disregard or negligence, this will be investigated in accordance with the Group
Investigations Policy.
3.4 Roles and responsibilities
« Audit, Risk and Compliance Committee — is the Committee of the Post Office Limited Board
which reviews and approves Postmaster Support policies.
« Risk and Compliance Committee - is the standing committee of the Strategic Executive Group
who review and approve Postmaster Support policies for recommendation to the Audit, Risk
and Compliance Committee.
« Retail Engagement Director — is the policy owner, who must comply with the governance
responsibilities set out at section 6.1.
* Head of Network Support and Resolution - is accountable for the deployment of this policy.
This role is also responsible for regularly reviewing the effectiveness of this policy, the
standards and processes contained within and for drafting any amendments that may be
required.
« Postmaster Account Support Manager - is responsible for administering this policy and the
support of the team that manage postmaster accounts under this policy.
The Postmaster Account Support Manager will lead a team of Postmaster Account Support
Advisors in carrying out notification, support and recovery in accordance with the policy.
« Postmaster Account Support Advisors — should:
© be conversant with this policy and linked policies;
© asrelevant to loss recovery, take reasonable steps to ascertain and consider the
personal and financial situation of the postmaster;
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© proactively seek open and transparent dialogue with the postmaster when a
Discrepancy appears on an account;
© ensure that support is offered to the postmaster, including offering an investigation
by Post Office to help determine the cause of and reason for a Discrepancy,
© make postmasters aware of their right to dispute a Discrepancy;
o for Established Losses, where payment is agreed by the postmaster, offer a variety of
payment options, including the option to pay by installments and take into account
the postmaster’s personal and financial situation;
o keep records of all material discussions with a postmaster and other internal
departments;
o work with, and take guidance as appropriate from, Contract Advisors, especially
when a postmaster is part of a suspension and termination process relating to a
Discrepancy investigation;
© keep payment plans under review (including by contacting the postmaster) to ensure
that the plan remains workable and continues to meet Post Office needs;
© recommend the write-off of balances where it is appropriate to the situation;
Head of Network Monitoring and Reconciliation — is responsible for the monitoring of
potential Discrepancies, through the Network Monitoring team.
Current postmaster — refers to a limited company, partnership, limited liability partnership,
other entity or individual that contracts with Post Office for the operation of a Post Office®
branch.
Former postmaster — refers to a limited company, partnership, limited liability partnership,
other entity or individual that used to contract with Post Office for the operation of a Post
Office® branch.
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3.5 Policy required operational standards
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A required operational standard defines the level of control that must be in place to manage inherent risks so that they remain within the defined Risk
Appetite statements. This section of the policy also sets out the Business Area(s) responsible for managing that risk through their controls, and all employees
must ensure that they comply with the policy requirements. There must be mechanisms in place within each business unit to demonstrate compliance. The
policy required operational standard can cover a range of control types, i.e., directive, detective, corrective and preventive which are required to ensure risks
are managed to an acceptable level and within the defined Risk Appetite.
The table below sets out the relationships between identified risk and the required policy operational standard in consideration of the stated risk appetite.
The subsequent pages define the terms used in greater detail:
a letter.
Risk area Description of risk Required operational standard Business Control(s) Frequency
owners
Reviewing The Postmaster Preventive control Investigation Established losses I When
Discrepancies I Accounts Support The Postmaster Account Support Team should be and review are assigned to investigated
and notifying Team fail to notified of Established Losses so recovery processes I teams PAST to arrange Discrepancies
current and adequately, and can begin. payment. are established
former regularly, review as losses.
postmasters of I postmaster accounts
any losses or
gains.
Detective control Postmaster Notifying Every time
Post Office will proactively seek open and Account postmasters of a
transparent dialogue with the postmaster when a Support discrepancy
Discrepancy appears on an account. This will be by Team Manager
a telephone call where possible and followed up with Review postmaster I Weekly
discrepancies and
issue discrepancy
letter
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Risk area Description of risk Required operational standard Business Control(s) Frequency
owners
Detective control Postmaster Performance Every time
Post Office will speak to the postmaster, supported Account management
by call scripts, to ensure their understanding and Support
acceptance of the Discrepancy before allowing them I Team Manager
to pay or making a credit repayment.
Preventive control Postmaster Advising When contact is
Post Office will seek to understand a postmaster's Account postmasters of the I made, or
situation, where possible, when discussing a Support different repayment I received, to
payment or credit repayment. Team methods available I discuss
for anestablished I payments
Payments can be made through a variety of loss
methods to suit all parties, including the
possibility of more time to pay via payment
instalments, either by a deduction from
remuneration (current postmasters) or standing
order (former postmasters).
Preventive control Head of Approval of Whena
Any payment plans set up for more than 12 Network postmaster payment plan
months are authorised by the relevant role as set out I Support and payment plan of more than 12
in section 4.5. Resolution months is
requested.
Preventive control Postmaster Annual review of Annually from
Payment plans that run for more than 12 Months will I Account plans setup with a _I initial set up or
be reviewed at least every year. Support repayment period __I from the last
Manager of more than 12 payment plan
months
review date
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Risk area Description of risk Required operational standard Business Control(s) Frequency
owners
Preventive control Postmaster Weekly check for Weekly
A report is run each week to identify any new former I Account new former
postmasters. A review of former postmaster Support postmasters on
accounts is carried out, to check if any action needs Manager CFS
to be taken on existing or arising Discrepancies.
Maintain details of Each time a
all open cases in case is worked
relation to former
postmaster losses
Detective control Postmaster Review and action I Monthly
If the repayment of an Established Gain is agreed Account surplus postmaster
between the Postmaster Account Support Team and I Support balances
the postmaster, repayment will be made in the next _I Manager
available remuneration payment run.
Preventive control Head of Policy review As required
The Postmaster Account Support policy should be Network (reviewed at
reviewed and updated where necessary. RCC and Support and least
ARC must approve any material amendments made Resolution annually)
to the policy before the new versions are published
and circulated to the business.
Preventive control Head of Policy refresher Annually or, if
The Postmaster Account Support Team must receive I Network training sooner, after the
training on this policy with regular refresher training I Support and policy has had
thereafter. Resolution any material
amendments
approved,
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4 Procedures
4.1 Contractual obligations
Post Office can recover losses from a postmaster when they are caused through negligence,
carelessness, or error of the postmaster, if Post Office has carried out a reasonable and fair
investigation, as set out in the Postmaster Accounting Dispute Resolution policy®, as to the cause and
reason for the loss and whether it is properly attributable to the postmaster. Postmasters are also
responsible for losses caused by the negligence, carelessness, or error of assistants.
4.2 Reviewing postmaster accounts
Postmaster Accounts with “Review or Dispute” option
A record is created in Dynamics, for any Discrepancies moved to the centralised holding account,
using “Review or Dispute” at the point of balancing at the end of a Trading Period. A weekly report
will identify any postmasters that havent asked for support via the Branch Support Centre (BSC). The
postmaster will be notified and invited to discuss the detail of the Discrepancy. If the Discrepancy is
unknown, Post Office will provide help and support to the current postmaster to discover the reasons
for it.
If the postmaster wishes to dispute all, or part of the Discrepancy, support will be given to enable
them to do so.
If the Discrepancy is a gain, the postmaster will be asked if they would like the gain repaid, and,
provided that a related balancing debit does not exist at the time and Post Office is not aware that
one will be applied imminently, Post Office will repay promptly.
Postmaster Accounts with “Assign to Nominee” option
Any Discrepancies that are “assigned to nominee” should be reviewed using the relevant
postmaster's/Multiples'/Strategic Partner's own internal processes. Post Office will help with any
investigation.
If the postmaster/Multiple/Strategic Partner wishes to dispute all, or part of, the Discrepancy, support
will be given to enable them to do so.
Former Postmaster Accounts
A weekly report will show any Discrepancies that have either:
* Been selected for “Review or Dispute” prior to closure or transfer.
« Arisen at the closure or transfer branch assurance visit.
° The Postmaster Accounting Dispute resolution policy can be found on the hub, here.
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« Been added to the account in the form of a “TP6"— a credit or debit relating to a transaction
from the period when the former postmaster was in charge.
The postmaster will be notified and invited to discuss the detail of the Discrepancy. If the
Discrepancy is unknown, Post Office will provide help and support to the former postmaster to
discover the reasons for it.
If the former postmaster wishes to dispute all, or part of, the Discrepancy, support will be given to
enable them to do so.
If the amount is a TP6 debit, supporting information will be provided.
If the Discrepancy is a gain, the postmaster will be asked if they would like the gain repaid, and,
provided that a balancing debit does not exist at the time and Post Office is not aware that one will
be applied imminently, Post Office will repay promptly.
On some occasions the Discrepancy will be an amount relating to the suspension or termination of
the postmaster’s contract. If this is the case, guidance should be sought from the Contract Advisor
dealing with the case. An investigation will normally be carried out as part of this and if this
establishes a loss, then Postmaster Account Support will contact the postmaster.
4.3 Requiring more information or raising a dispute
Requiring more information about, or disputing, a Branch Discrepancy
Should a postmaster require support with a Discrepancy, they can call the Branch Support Centre for
assistance on}
If the Branch Support Centre are unable to resolve the Discrepancy, or if the postmaster wishes to
dispute a Discrepancy, the Branch Support Centre can escalate this for investigation.
If the Branch Discrepancy dispute is still not resolved to the satisfaction of the postmaster, the case
can be further escalated internally.
Please refer to the Postmaster Accounting Dispute Resolution Policy for more information on the
processes in place when a Branch Discrepancy is disputed.
Requiring more information about, or disputing, a Transaction Correction
Should a postmaster require more information about a Transaction Correction than is contained in
the narrative for that Transaction Correction, they can call the Branch Reconciliation Team for
support. The relevant phone number and the name of the relevant Support Advisor is set out on the
Transaction Correction notification.
If the postmaster wishes to dispute a Transaction Correction, they can raise a dispute with the
email address! GRO
If the Transaction Correction dispute is still not resolved to the satisfaction of the postmaster, the
case can be further escalated internally.
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Please refer to the Postmaster Accounting Dispute Resolution Policy for more information on the
processes in place when a Transaction Correction is disputed.
4.4 Payment options
Post Office provides a variety of ways that postmasters can pay for any Established Losses.
Any calls from a postmaster to make a payment will prompt a conversation to ensure that the
payment is being made in full knowledge of the reason for the Discrepancy. If this is not the case, the
postmaster will be encouraged to have Post Office carry out an investigation to help determine the
cause of and reason for the Discrepancy.
If, following an investigation, Post Office is satisfied that the postmaster is making a payment to
correct an Established Loss caused through their carelessness, negligence, or error (or that of a
member of the postmaster's staff), then payment will be taken.
Payments can be made by:
Debit or Credit card (Visa, MasterCard).
Bank transfer/faster payments.
More time to pay - payment plan by standing order.
More time to pay - payment plan by deductions from the postmaster’s remuneration/fees
(current postmasters only) - see below.
0000
4.5 Payment plans
Where Post Office gives the postmaster more time to pay, a payment plan can be set up for the
postmaster (current or former) to pay a regular amount on regular dates.
Alternatively, Post Office and a current postmaster can agree to have a regular amount deducted
from the postmaster’s remuneration/fees.
All payment plans should be set for no more than 12 months, where possible. In addition, any plans
where the agreement is made to deduct from remuneration should not exceed 25% of the
postmaster’s remuneration, unless the postmaster voluntarily offers to pay more, and the Postmaster
Account Support Manager is satisfied that this is appropriate in the circumstances.
Post Office recognises that in some cases the amount could not feasibly be paid over a 12-month
duration. If this is the case:
a) an initial lump sum could be requested to reduce the plan length and/or
b) Post Office could give the postmaster a longer period in which to pay
Any proposed payment plans of up to 24 months must be authorised by the Postmaster Account
Support Manager.
Any proposed payment plans over 24 months must be authorised by the Head of Network Support
and Resolution.
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Once a payment plan is set up, written communication will be sent to the postmaster detailing the
payment amounts, frequency, and duration.
Payment plans of more than 12 months will be reviewed annually by the Postmaster Account
Support Manager.
4.6 Postmaster circumstances
Post Office will consider any relevant circumstances of the postmaster, made known to them,
including those who find themselves in a vulnerable situation, due to:
a) Health
b) Financial capability
c) Financial resilience
d) Life events.
4.7 Write offs
Where appropriate, a recommendation by the Postmaster Account Support Manager to write off the
amount may be made. The reasons for the recommendation must be fully documented and may be
subject to audit.
Write-offs can be authorised for the following amounts by the following roles:
Up to £5,000 Postmaster Account Support Manager.
Up to £100,000 _I Head of Network Support and Resolution.
Over £100,000 Central Operations Director.
4.8 Accounting provision
Accounting provision is made by the Retail Finance team for any Discrepancies.
For current postmaster accounts Post Office will make provision for any balance aged over 60 days
that:
a) Is not ona repayment plan.
b) Does not have a promise to pay attached.
Net credits are removed from the amounts provided for.
For multiples/Strategic Partners, all balances are provisioned for after 60 days.
For former postmaster accounts the provision is calculated at 100% of the outstanding amount.
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4.9 Financial control framework (controls reporting risks and
process)
Self-assessment controls are in place around the risk descriptions, and these must be adhered to.
Attestations take place in ServiceNow (Post Office’s central risk and controls register).
4.10 Reporting
Regular and accurate reporting is required around Discrepancies, Established Losses and Gains,
including provision figures (see 4.8), investigations into Discrepancies, recoveries made and the age
of the Discrepancies and Established Losses, less unpaid credits, and Established Gains.
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5 Where to go for help
5.1 Additional policies
This Policy is one of a set of policies. The full set of policies can be found on the SharePoint Hub
under Postmaster Support Policies.
5.2 How to raise a concern
Any postmaster, any postmaster's staff or any Post Office employee who suspects that there is a
breach of this Policy should report this without any undue delay.
If a postmaster or any postmaster's staff are unable to raise the matter with the area manager of the
relevant branch or if a Post Office employee is unable to speak to her or his line manager, any person
can bring it to Post Office's attention independently and can use the Speak Up channels for this
purpose. Any person can raise concerns anonymously, although disclosing as much information as
possible helps ensure Post Office can conduct a thorough investigation.
For more details about how and where to raise concerns, please refer to the current Speak Up Policy
which can be found on The Hub under Post Office Key Policies, accessed here, or report online at:
or call the Speak Up Line on!
Please note that a postmaster may also contact the National Federation of Sub-Postmasters (NFSP)
Tor by emailing
rt, by contacting their helpline on{
5.3 Who to contact for more information
If you need further information about this policy or wish to report an issue in relation to this policy,
please contact the Retail Engagement Director, Tracy Marshall, by emailing
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6 Governance
6.1 Governance responsibilities
The Policy sponsor, the Group Chief Retail Officer of Post Office, takes responsibility for policies
covering their areas.
The Policy Owner is the Retail Engagement Director who is responsible for ensuring that the content
is up to date and is capable of being executed. As part of the review process, they need to ensure
that the minimum controls articulated in the policy are working or to identify any gaps and provide an
action plan for remediation
Additionally, the Retail Engagement Director and the Central Operations Director are responsible for
providing appropriate and timely reporting to the Risk and Compliance Committee and the Audit,
Risk and Compliance Committee as required.
The Audit, Risk and Compliance Committee are responsible for approving the Policy and overseeing
compliance.
The Board is responsible for setting Post Office’s risk appetite.
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7 Document control
7.1 Document control record
Summary
1
GE policy sponsor I Standard owner I Standard implementer Standard approver
I
Martin Roberts (Group Tracy Marshall (Retail Simon Worboys (Head of R&CC/ARC
Chief Retail Officer) Engagement Director) Network Support and
Resolution)
Version HPOCUME DL TS View Policy — effective date Policy location
period
Postmaster Support
4.0 Annual 07/2024 Policies on SharePoint
Hub
Revision history
Vers Changes I Updated by
0.1 Ist June 2020 Draft Version Jo Milton
0.2 15th September 2020 1.1 Updated definitions of Established Loss and Jo Milton
Gain
2.3 Added support information in para 2. Split
bullet points 1 into 3 to clarify support options.
5.2 Replaced “How to raise a concern” as advised
by Reena Chohan
03 23rd September 2020 Amended Loss Recovery Team/Manager to Jo Milton
Postmaster Account Support Team/Manager
throughout.
0.4 25th September 2020 Renamed policy to Postmaster Account Support —_Jo Milton
Policy
4.1 Updated the Dispute section to encompass
investigation
4.0 Write Offs — added in an additional level of
£15,000
0.5 10th October 2020 Revised section 4.8 Jo Milton
0.6 3rd November 2020 _Job roles updated throughout. Jo Milton
0.7 15th December 2020 _ Footnotes added. Jo Milton
1.0 26th January 2021 Final Version approved by ARC. Jo Milton
11 8th April 2021 Annual Review and internal legal review Jo Milton
Change to risks in 2.5 and 3.5
Revised Risk Appetite Statements 3.1
Addition of section 3.2
Updated Roles and Responsibilities in 3.4
Updated Write-off table in 4.9
Updated “How to raise a concern” in 5.2
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2.0
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2.2
3.0
3.1
3.2
3.3
Internal
26th April 2021
4th May 2021
13th May 2021
25th May 2021
17th February 2022
1st April 2022
4th July 2022
17th August 2022
26" September 2022
17® February 2023
I 8 December 2023
[17% April 2024
Policy sponsor updated
Text amendments and following internal and
external legal review
Removal of section 4.6 “Death of an individual
postmaster”
Final alignment with other support policies
Risk appetite amendment
Updated TC Disputes contact number in 4.3
Replacement of “settled centrally” language
Added linked policy statement to front page
Added reference to the Group Investigations Policy
to section 3.3 Who Must Comply?
Updated link to section 5.1
Added footnotes to link to other policies referred to
in this policy.
Annual Review
2.2 Addition of section stating that a postmaster
may authorise someone to act on their/its behalf
2.5, 3.5 and 4.2 Replaced “monitoring” with
“reviewing”
3.1 Updated risk appetite statements to include
Operational statements
3.4 Updated definition of current and former
postmaster
4.8 Removed Senior Network Monitoring and
Support Manager from write-off authorisation table
Amended version number following approval
2.1, 3.4, 5.3, 6.1, 7.1- updated owner and sponsor
Font updated to Nunito Sans
3.4 and 3.5 Amendment to treatment of
Established Losses for current postmasters
(previously incorrectly said sent to a Contract
Advisor - now discussed at Dispute Resolution
Committee).
4.4 Removed American Express as a payment.
option
Amended version number following approval
Minor clarifications and wording amendments
following legal review.
Updated owner and implementer
5.2 Added Speak Up contact details
I Updated owner
1.1 Clarified Established Loss/Gain definitions
3.1 Amended risk exception statement
3.2 Updated framework policy name ~ Contract
Termination Decisions Review
Annual Review
I 1.1, 4.2, 4.8 updated to include multiples/SPs (and
assign to nominee)
2.3 Revision of core principles relating to recovery
and write-off
2.5 Risks amended to reflect ServiceNow
3.4 Revision of PAST advisor responsibilities
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T - 13.5 Minimum Control Standards changed to Policy
I Required Operational Standards and updated to
I reflect ServiceNow
4.4 Removal of cheque as a payment method
4.6 Vulnerability examples set out
(4.7) Removal of Established Loss Recovery
I options section I
I 4.7 Updated Write-Off authority limits I
I I 5.2 Addition of NFSP contact details I
4.0 "1 July 2024 I Amended version number following approval “Jo Milton
7.2 Oversight committee
Oversight Committee: Risk and Compliance Committee and Audit, Risk and Compliance Committee
Committee Date approved
POL R&CC 13 JUN 2024
POL ARC O01 JUL 2024
Next review: 31 JUL 2025
7.3 Company details
Post Office Limited and Post Office Management Services Limited are registered in England and Wales. Registered numbers 2154540 and
08459718 respectively. Registered Office: Finsbury Dials, 20 Finsbury Street, London EC2Y 9AQ.
Post Office Management Services Limited is authorised and regulated by the Financial Conduct Authority (FCA), FRN 630318. Its Information
Commissioners Office registration number is ZA090585.
Post Office Limited is authorised and regulated by Her Majesty's Revenue and Customs (HMRC), REF 12137104. Its Information Commissioners
Office registration number is 24866081
VAT registration number GB 172 6705 02. Registered office: Finsbury Dials, 20 Finsbury Street, London, England EC2Y 9AQ
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