GLO Post-settlement - Historic Shortfalls Claims
Scheme
10 March 2020
Rodric Williams, Head of Disputes & Brand;
Ainslie Cranwell, HSF
Ben Foat
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Historic Shortfall Scheme: Eligibility and triage
Eligibility criteria for entry into the Scheme
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Historic Shortfall Scheme — Process Maps
Version 2 — 27 February 2020
Appendix 2
‘eis of Rete Application
_ pero) >I "Po has arranged
Ie POL Comms CRT (BAU) resource
Claim received by Post Office either in hard copy or by email
See slide 2 - Claims logged and Application Forms assessed to identify
cases that need to be escalated
Document: Escalation Criteria
Eligibility assessment and triage
See slide 3 — Information obtained from PO, claims assessed for
eligibility and triaged/categorised
Documents: Eligibility Criteria and template letters
side 3-Tobe
handled by CRT(BAU)
Documents: Teniplate
Jettos
Document collation/shortfall analysis
‘Soe 1/6 4 = Collation of relevant documents and analysis of shortfall
issues
Claim assessment and requests for further information
See slides 5 to 8 - Assessment of claim based on information provided,
‘opportunities for further input/information from PO and/or the Claimant
Document: Assessment Criteria, Claim Assessment Form and
template letters
See slides 9 and 10 — Decision-Making Panel process, communication
with the Claimant, and settlement offer/response
Document: Decision-Making Panel Terms of Reference and template
letters.
If ay ble) Di Resolution Pros
See slides 11 to 13 - Good Faith Meeting, Escalation Meeting, mediation
and possible further escalation
Document: Mediation Agreement and template letters
Claims Received Stage
Application Form and signed Terms of Reference
provided by Claimant
Document: Application Form and Terms of Reference
Pr Lead GATE ia
Email address to be monitored by POL to ensure
automatic forward to HSF has happened (as per box
below)
received in hard copy to Finsbury Dials
PO to email HSF London on a daily basis as to
whether any physical claims have been received.
The email should list the applicant and branch names
for record-keeping purposes.
q
}
Automatic forward to postoffice'
Process Lead: HSF Belfast
HSF will face practical difficulties in downloading
material from an external email address, An
automatic forward from the PO email address will
make this easier. There should also be an automatic
bec so that HSF can see any emails sent from the PO
email address,
HSF London to collect hardcopy applications on a
daily basis and carry out scanning
Process Lead: HSF trainee/paralegal and HSF
reprographics team
As part of this, HSF London t
applications to casereviewteam}_
(noting automatic forward to postotficg_ All
data provided to HSF must be separated by reference
to individual claimants - this has notable implications
for the time needed to scan material, upload it to
Relativity, etc.
v
HSF Belfast to carry out initial review of
Application Form
Process Lead: HSF Belfast Review ManageriFlow
Manager
+
HSF London to archive hardcopy applications
after scanning
Process Lead: HSF trainee/paralegal
Hard copy applications to be held at HSF London
until resolution, at which point the documents will be
returned to the Claimant
Does the Application Form raises issues that mean it
should be escalated? Yes
Document: Escalation Criteria +
¥
No
¥
Does the Application Form contain sufficient
information to allow the claim to enter the Scheme?
Has the Claimant signed both the application form
and the terms of reference?
PO to consider approach to individual
cases using guidance set out in Escalation
Criteria and update HSF Belfast
accordingly.
} }
Application Form to be returned to the
Claimant with quidance
Yes No
¥
Process Lead: HSF Belfast Review.
Manager Document: Template letter
HSF to log claim
Process Lead: HSF Belfast Review Manager/Flow Manager
and HSF ALT eDiscovery team lead
The claim will be logged using Relativity. Each Claimant will be
given an individual Claimant ID. The HSF ALT eDiscovery team
will create a saved search on Relativity with the Claimant ID to
process the documents provided by the Claimant and capture
key information regarding value of claim, etc. Documents will be
published into the Claimant's Relativity saved search applying
the individual Claimant 1D as a prefix to the document ID(s).
HSF ALT eDiscovery team to notify HSF Belfast Review
Manager once this has been complete.
Mi reporting opportunity.
Case proceeds to Eligibility
Assessment/Triage stage
Process Lead: HSF Belfast Review
Manager/Flow Manager
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Eligibility Assessment and Triage Stage
Having been logged on Relativity, case allocated to an HSF Belfast Assessment Key
Pod *- Optional HSF
Process Lead: HSF Belfast Review Manager/Flow Manager QCistrategy
The HSF Belfast Assessment team will be divided into a number of assessment pods, touch point — can:
comprising Case Assessors and a Pod Lead to oversee quality. The number of pods can be adapted
be scaled up or down depending on the flow of claims. We envisage starting with three depending on
pods, each comprising one Pod Lead and two Case Assessors. As cases come in, we the complexity of
can expand the number of Case Assessors in a pod (ideally to no more than five) and we the claim
can, if necessary, expand the number of pods. It is envisaged that each Case Assessor
will, at any one point, have around four cases allocated to them, which will be at different
stages of the process.
Relevant Pod Lead and ORT (3
BOG tke ee ec te eee ee
remuneration data, no criminal conviction, etc. To be completed through Relativity.
¥
Case Assessor to input data from Application Form onto Relativity
Process Lead: Relevant Pod Lead
Document: Application Form
Mi reporting opportunity
¥
Case Assessor to carry out I eligibility assessment"
Process Lead: Relevant Pod Lead and CRT/Scheme
Document: Terms of Reference and Eligibility Criteria
This will require input from PO regarding contractual issues, criminal convictions, etc, if it
hasn't been provided already. Assessment to be recorded on Relativity.
4
On an initial assessment, is the Claimant
eligible for the Scheme?
—>I No
triage/categorisation and make recommendation*
See slide 14 for details regarding categorisation
Process Lead: Relevant Pod Lead
This categorisation will be based on the initial information
It will be revisited at the assessment stage (see Mt
slide 5). Once complete, the preliminary triage will be nal
available.
ts Rel
Terms of, io
Document:
recorded on Relativity.
Eligible claims
Ineligible claims
¥
E +
Pe bt recov F eligible claim:
Process Lead PO Debt Recovery Tear
Claimant
a BAU
Claim to be referred back to Case Assessor to notify
Process Lead: Relevant Pod Lead
v2) Document: Letter confirming eligibility (Letter 3)
Document: Letter confirming insligibility )
HSF Belfast will require input from PO as to the relevant
BAU department. Case Assessor to liaise with HSF London.
and PO for sign-off of additional wording outside template.
‘Any changes to claim categorisation/eligibility to be reflected
on Relativity.
‘Any changes to claim categorisation/eligibility to be reflected
on Relativity. Case Assessor to consider direct request for
information to the Claimant (see slide 8). Guidance to be
sought from HSF London as part of this.
v
Case Assessor to initiate document collation/shortfall
analy rocess
Process Lead: Relevant Pod Lead
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Document Collation/Shortfall Analysis Stage
i
analysis by email to PO*
Lead: Relevant Pos
Mailbox details to be agreed.
Lead and CRT
Key
*- Optional HSF
QCistrategy touch
point — can be
adapted depending
on the complexity
of the claim
Parts of claim related to shortfalls
Parts of claim not related to shortfalls
Sources of documents and process for analysis to be
agreed with PO. This will reflect the value/nature of the
Pe !
categories of loss claimed for
pce i CRY (Scheme}
Document: As no) cla
Sources of documents and guidance to be agreed with
PO. This will refiect the value/nature of the claim. PO may
claim. require input from the Case Assessor and/or the Pod Lead
as to the types of documents that may be relevant.
Pt r Id and coul
Document: Do: 8 Fo be dratted)
Form(s) to be agreed with PO. This should set out documents found, documents
applicable but not found, and documents not applicable.
The process adopted may depend on the size of the material to be sent, and whether
it can be sent by email to postofficd or by file share. Ifnot, it may need to
be sent in hard copy to Finsbury Dials or HSF London. Please note that no material
should be sent to HSF Belfast as it does not have the means to store it securely.
Please note that data collected and provided by PO must be separated by reference
to individual claimants - this has notable implications for the time needed to upload
and allocate material on Relativity.
Case Assessor to arrange for documents to be uploaded to Relativity*
Process Lead: Relevant Pod Lead and HSF ALT eDiscovery team lead
Claim to proceed to Claims Assessment stage"
Process Lead: Relevant Pod Lead
Claims Assessment Stage (1)
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Document collation/shortfall analysis complete and
HSF Belfast mailbox to be set up
Key
*- Optional HSF
QC/strategy touch point —
can be adapted depending
‘on the complexity of the
claim
Pod Lead to re-evaluate categorisation and re-allocate to Case Assessor if
Process Lead: HSF Belfast Review Manager and Flow Manager
appropriate
See slide 14 for details regarding categorisation
}
Process Lead: Relevant Pod Lead
Document: Document checklist (to be drafted and
completed with input from PO)
J
Is there missing information/documentation that
either PO or the Claimant may hold (and which has
not already been confirmed as unavailable) that is
required for consideration of the claim?
Case Assessor to undertake review of claim
Process Lead: Relevant Pod Lead
Document: Assessment Criteria
¥
Are there any relevant internal PO processes or
procedures that require clarification?
Process Lead: Relevant Case Assi
Recommended that requests are made and
logged through Relativity
CRT Gehemna)
Yes ~ go to
slide 7
Pro
No Aace
Ideally within seven days depending on.
the nature of the request and workload.
is Lead: Relevant 6
or and CRI (Schome'
Is the Case Assessor satisfied the query been Yes
resolved?"
4
Case Assessor to complete
as nt and mal
recommendation
Process Lead: Relevant Pod Lead
Document: Assessment template
Claims Assessment Stage (2)
Case Assessor to amend
Pod Lead to review assessment and
‘oversight from HSF Belfast Review
Manager
4
assessment and/or recommendation No Is the Pod read satisfied with the
Process Lead: Relevant Pod Lead assessment and recommendation?
Yes
\r to seni ni
recommendation to POL SME for factual
Ne Case Assessor
and CRY (Scheme)
Recommended that this takes place through
Relativity
Pod Lead to consider
Is the Pod Lead Pod Lead to consider
satisfied that the feedback from SME"
SME feedback Process Lead: Is the SME satisfied that the relevant PO
should not affect the Relevant Pod Lead No process and procedures have been
assessment and
recommendation?
Pod Lead may ask to
discuss the matter
with the SME
properly understood?
I
Case Assessor to ensure
assessment and recommendation
fz mit Panel thre
meeting
See slide 9 for Decision-Making Panel
process
Process Lead: Relevant Pod Lead
Mi reporting opportunity
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Has PO confirmed it does not hold the relevant
Further information sought from PO
formation/documents?
No
I
Case Assessor to contact PO with request for particular
information/documents*
Praceds i ead: Relevs and &
Recommended that requests are made and logged through Relativity
2.ASS
¥
PO provides response
Document: nt checklist (to be draft
ftom PO),
Ideally within seven to fourteen days depending on the nature of the request
and workload. The process adopted may depend on the size of the material to
be sent, and whether it can be sent by email to postofficeI_
share.” If not, it may need to be sent in hard copy to Finsbury Dials or HSF
London. Please note that no material should be sent to HSF Belfast as it does
not have the means to store it securely. Please note that data collected and
provided by PO must be separated by reference to individual claimants - this
has notable implications for the time needed to upload and allocate material on
Relativity.
reviews
uploads it to Relativity”
Process Lead: Relevant Pod Lead
I
Is the Case Assessor satisfied the query been
resolved?’
J
Is it possible the Claimant may hold the
information/documents?
Yes
Yes ~ go
to slide 8
No Case Assessor to undertake review of claim
Resume at slide 5
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Further information sought from Claimant
Case Assessor to send further information request to Claimant*
Process Lead: Relevant Pod Lead
Document: Template letter (Letter 4)
There are two templates requesting further information. The first makes
straightforward requests for documents that cannot otherwise be found. The
second is more detailed, and requests information that is relevant to the legal
questions raised. The time taken to complete this step will depend on the
complexity of what is being requested and the guidance that accompanies
the request. Guidance should be sought from the Pod Lead and/or HSF
London
If no response is received within 28
days (or a different timeframe if agreed
with the Claimant)
Case Assessor to send chaser to
Claimant!
Process Lead: Relevant Pod Lead
Document:
The chaser letter should be sent the
working day after the previous deadline
‘expired. Only one chaser letter will be
sent at each stage.
Response received from Claimant
If no response is received within 10 The Claimant may respond requesting
days (or a different timeframe if agreed more time, in which case the timeframes to
with the Claimant) the left should be adjusted to reflect
whatever is agreed
r to undertake review of claim
Resume at slide 5
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Decision-making/Outcome Stage (1)
Regular meetings of Decision-Making Panel to be organised * 0 beet HSF
Process Lead: HSF London and PO Legal peveretesy tach soln =
Document: Decision-Making Panel Terms of Reference ie ae
; can be adapted depending
The frequency of meetings will depend on the number of cases in the
‘on the complexity of the
‘Scheme and where those cases are at in the Scheme process gee
HSF Bell re and maintain list of all cases ready to bi
considered by Panel
Process Lead: HSF Belfast Review Manager/Flow Manager
Consideration to be given to any cases that should be given priority.
MI reporting opportunity.
¥
to be considered at meeting
Process Lead: HSF London Associate and HSF Belfast Review
Manager/Flow Manager
The Pane! aims to consider three cases per meeting — the additional
cases are available if there is time remaining at the meeting, otherwise
they will be held over until the next meeting.
¥
Three days before relevant Panel meeting: Case Assessor to email
the Claims Assessment Pack to the Panel members*
Process Lead: Relevant Pod Lead
Document: The Claims Assessment Pack will consist of the claim
assessment form, recommendation and key documents.
Panel members to prepare for meeting
Process Lead: Panel members
All Panel members to have read each Claims Assessment Pack prior to
the meeting.
v
Panel meeting
Process Lead: Panel members, Case Assessor(s), HSF Belfast
Review Manager/Flow Manager
See Decision Making Panel terms of reference for process for each
meeting. HSF Belfast Review Manager/Flow Manager to record outcome
in relation to each claim.
MI reporting opportunity.
v ‘
i i ' Panel remit matter back to the Claims Assessment
Panel agree outcome in relation to the Claim ‘Stage
¥ +
Case Assessor and Pod Lead to identify relevant step
Case Assessor to record Panel decision on Relativity inthe Claims Assessment Stage that the matter
Process Lead: Relevant Pod Lead should be remitted to
: Process Lead: Relevant Pod Lead
See slide 5. To be reflected on Relativity.
Decision-making/Outcome Stage (2)
I
Case Assessor to draft outcome/settlement letter*
Process Lead: Relevant Pod Lead and HSF London Associate
Document:
i le
Draft letter to be reviewed and signed-off by HSF London or PO before it
is sent.
t
Ifno response is received within 28 days (or a different
timeframe if agreed with the Claimant)
J
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Case Assessor to send chaser to CI
Process Lead: Relevant Pod Lead
Document: Template letter (Letter 7)
‘The chaser letter should be sent the working day after the
previous deadline expired. Only one chaser letter will be
sent at each stage.
ant*
Response received imant
The Claimant may respond requesting more time, in
which case the timeframes to the left should be adjusted
to reflect whatever is agreed
t
Ifno response is received within 10 days (or a different
timeframe if agreed with the Claimant)
1
Case Assessor to send Claimant letter withdrawing
offer and closing matter*
Process Lead: Relevant Pod Lead
Document: Template letter (Letter 8)
Relativity to be updated accordingly. Please note the
claim may be re-opened and the offer renewed if the
Claimant makes contact after this time.
Ml reporting opportunity
t
The offer is accepted and the Claimant
returns the signed settlement agreement
q
ase Assessor nd
acknowledgement letter
Process Lead: Relevant Pod Lead
Document: Template letter (Letter 9)
Relativity to be updated accordingly. HSF
London trainee/paralegal to arrange retum
of documents.
MI reporting opportunity
The offer is refused
Case Assessor to update PO and PO to
take steps required under the settlement
Process Lead: Relevant Pad Lead and
PO Scheme Project M.
q
refusal and offering Good Faith Meeting”
Process Lead: Relevant Pod Lead
Document: Template letter {Letter 10)
The template letter asks the Claimant to set out their
reasons for refusing the offer (if they have not already).
While it would be helpful to have this information,
failure to provide it should not stop the matter
progressing to the dispute resolution process.
i
Mi reporting opportunity
rr ie
Process Lead: Relevant Pod Lead
10
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Dispute Resolution Process — Good Faith Meeting
Please note this stage is not currently included in the HSF Belfast costs estimate.
Key
*- Optional HSF QC/strategy
touch point — can be adapted
depending on the complexity
of the claim
Claimant does not respond to offer of Good
Faith Meeting within 28 days
¥
Case Assessor to send chaser to Claimant*
Process Lead: Relevant Pod Lead
Document: Template letter [to be drafted]
Claimant takes up offer of Good Faith Meeting
¥ ¥
Relevant Case Assessor or Pod Lead to contact Claimant to
arrange day and time for Good Faith Meeting”
Process Lead: Relevant Pod Lead
If no response is received within 10 days (or a
different timeframe if agreed with the Claimant)
t Recommended that this take place by email for record-keeping
purposes. Mailbox details to be confirmed. Whether this is carried
out by the Pad Lead or the Case Assessor will depend on the
number of cases reaching this stage.
a nd Claim: if ig
withdrawing any offer and closing matter*
Process Lead: Relevant Pod Lead
Document: Template letter [to be drafted] Y
Relativity to be updated accordingly. Please note
the claim may be re-opened if the Claimant makes
contact after this time.
‘MI reporting opportunity
Three days before Good Faith Meeting: Case Assessor or Pod
Lead to review the Claims Assessment Pack and Decision-
Making Panel Outcomes
Process Lead: Relevant Pod Lead
Document: The Claims Assessment Pack
¥
Case Assessor or Pod Lead to attend Good Faith Meeting
Process Lead: Relevant Pod Lead
Meetings to take place by telephone on a without prejudice and
confidential basis. Any agreement to be in-principle only and
subject to contract. Authority of attendee to be considered.
Agreement reached in principle
t Attendee to provide notes on Relativity following meeting
Claim Assessor to draft outcome/settlement letter*
Process Lead: Relevant Pod Lead and HSF London
Associate
Document: Letter template (Letter 11)
Draft letter to be reviewed and signed-off by HSF London or
PO before it is sent.
Ri received frot ant
The Claimant may respond requesting more time, in
which case the timeframes to the left should be adjusted
to reflect whatever is agreed
¢ 4 i
If no response is received within 28 days (or a different
timeframe if agreed with the Claimant)
The offer is accepted and the
Claimant returns the signed ‘The offer is refused or no
agreement is reached
¥
Case Assessor to send chaser to Claimant*
Process Lead: Relevant Pod Lead
Document: Template letter [to be drafted]
settlement agreement
¥
v
¥
If no response is received within 10 days (or a different
timeframe if agreed with the Claimant)
¥
Ca sessor to send ant letter withdrawing offer
and closing matter”
Process Lead: Relevant Pod Lead
Document: Template letter [to be drafted]
Relativity to be updated accordingly. Please note the claim
may be re-opened and the offer renewed if the Claimant
makes contact after this time.
MI reporting opportunity
Case Assessor to send
Process Lead: Relevant Pod
Lead
Document: Template letter
{Letter 11)
Relativity to be updated
accordingly. HSF London
trainee/paralegal to arrange retumn
of documents.
MI reporting opportunity
Case Assessor to send letter
Process Lead: Relevant Pod
Lead
Document: Template letter (Letter
12)
The template letter asks the
Claimant to set out their reasons for
refusing the offer (if they have not
already). While it would be helpful
to have this information, failure to
provide it should not stop the matter
progressing through the dispute
resolution process.
11
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Dispute Resolution Process — Escalation Meeting
Please note this stage is not currently included in the HSF Belfast costs estimate.
Key
*- Optional HSF QC/strategy
touch point — can be adapted
depending on the complexity
of the claim
Claimant does not respond to offer of
Escalation Meeting within 28 days
¥
Case Assessor to send chaser to Claimant*
Process Lead: Relevant Pod Lead
Document: Template letter [to be drafted]
Claimant takes up offer of Escalation Meeting
¥ ¥
levant Case ror id to cor Claimant.
PO to arrange day and time for Escalation Meeting?
Bre evant Poo Lead
If no response is received within 10 days (or a
different timeframe if agreed with the Claimant)
st
t Recommended that this take place by email for record-keeping
purposes. Mailbox details to be confirmed. Whether this is carried
‘out by the Pod Lead or the Case Assessor will depend on the
‘number of cases reaching this stage.
a nd Claim: if ig
withdrawing any offer and closing matter*
Process Lead: Relevant Pod Lead
Document: Template letter [to be drafted] Y
Relativity to be updated accordingly. Please note
the claim may be re-opened if the Claimant makes
contact after this time.
‘MI reporting opportunity mi
Proc
Escalation Me
Three days before. 2eting: PO representative to
review the Claims aspesement Pack, Declalon Making Panel
from
€
Faith
Neatae fe lake place on 4 wiheul prohurli-s ard confidential
basis. Any agreement to be in-principle only and subject to
contract. Authority of attendee to be considered. Attendee to
Agreement reached in principle
t update HSF Belfast and provide notes on Relativity following
meeting.
Claim Assessor to draft outcome/settlement letter*
Process Lead: Relevant Pod Lead and HSF London
Associate
Document: Letter template (Letter 11)
Draft letter to be reviewed and signed-off by HSF London or
PO before it is sent.
R received fro1
The Claimant may respond requesting more time, in
which case the timeframes to the left should be adjusted
to reflect whatever is agreed
ant
¥
If no response is received within 28 days (or a different
timeframe if agreed with the Claimant)
1
i
¥
Case Assessor to send chaser to Claimant*
Process Lead: Relevant Pod Lead
Document: Template letter [to be drafted]
The offer is accepted and the
Claimant returns the signed
settlement agreement
‘The offer is refused or no
agreement is reached
¥
v
¥
If no response is received within 10 days (or a different
timeframe if agreed with the Claimant)
¥
Ca sessor to send ant le’
Process Lead: Relevant Pod Lead
Document: Template letter [to be drafted]
Relativity to be updated accordingly. Please note the claim
may be re-opened and the offer renewed if the Claimant
makes contact after this time.
Mi reporting opportunity
r withdrawing offer
Case Assessor to send
Process Lead: Relevant Pod
Lead
Document: Template letter
{Letter 11)
Relativity to be updated
accordingly. HSF London
trainee/paralegal to arrange retumn
of documents.
MI reporting opportunity
Case Assessor to update PO
Case Assessor to send letter
Process Lead: Relevant Pod
Lead
Document: Template letter (Letter
13)
The template letter asks the
Claimant to set out their reasons for
refusing the offer (if they have not
already). While it would be helpful
to have this information, failure to
provide it should not stop the matter
progressing through the dispute
resolution process.
once meranninns
12
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Dispute Resolution Process — Mediation
Please note this stage is not currently included in the HSF Belfast costs estimate.
Claimant does not respond to offer of mediation
within 28 days
¥
Case Assessor to send chaser to Claimant*
Process Lead: Relevant Pod Lead ——
Document: Template letter [to be drafted]
¥
If no response is received within 10 days (or a
different timeframe if agreed with the Claimant)
+
a nd Claim: if ig
withdrawing any offer and closing matter*
Process Lead: Relevant Pod Lead
Document: Template letter [to be drafted]
Relativity to be updated accordingly. Please note
the claim may be re-opened if the Claimant makes
contact after this time.
Mi reporting opportunity
Key
*- Optional HSF QC/strategy
touch point — can be adapted
depending on the complexity
of the claim
Claimant takes up offer of mediation
v
Relevant Case Assessor to refer matter to Wandsworth
Process Lead: Relevant Pod Lead
Document: Terms of reference for mediation and template
mediation agreement (to be provided)
Recommended that this take place by email for record-keeping
purposes
Agreement reached and settlement agreement
signed at mediation
Mediations to take place on a without prejudice and confidential
basis. Authority of attendee to be considered, Attendee to update
HSF Belfast and provide notes on Relativity following meeting.
No agreement reached - claim above £10,000
No agreement reached - claim below £10,000
J
i
Case Assessor to send acknowledgement letter
Process Lead: Relevant Pod Lead
Document: Template letter (Letter 14.2)
Relativity to be updated accordingly. Any subsequent
arbitration to be considered individually by PO.
Mi reporting opportunity
Case Assessor to send acknowledgement letter
Process Lead: Relevant Pod Lead
Document: Template letter (Letter 14.1)
Relativity to be updated accordingly. Any subsequent
claim to be handled on a BAU basis.
Mi reporting opportunity
13
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Claim Categorisation — Categorises 1, 2 and 3
CATEGORY 1
In addition to characteristics identified by Post Office, claims falling into this category will:
‘Comprise of 4 claim for alleged repaid shortfalls only, with no more than § separate shortfalls identified as incurring that loss.
‘Require the review of less than 50 documents (including the claimant's claim and internal Post Office documents) iis assumed each document will have on average 3 ~
5 pages.
'=Not require any further information from either Post Office or the Claimant at any stage in the process after the Post Office investigation report and file build is
complete.
‘*Require no more than 1 Post Office panel for approval, which should take no longer than 1 hour to prepare, present and answer queries. Follow up work is not required.
‘*Require no more than 1 non-complex final outcome communication to the Claimant.
‘Proceed through each stage of the claims process only once.
‘Should the Claimant not accept the outcome of the assessment and proceed to a good faith meeting, mediation or litigation, any time incurred after the outcome is
communicated will be billed at an hourly rate.
Individual claim categorisation will depend on the circumstances of the case and is subject to change. Any claim which falls outside category 1, at any stage of the claims
process, will be assessed to determine if it shall move to category 2 or 3
CATEGORY 2
In addition to characteristics identified by Post Office, claims falling into this category will:
‘Comprise of up to 2 categories of loss. If one of the categories of loss is for alleged shortfalls, it will have no more than 10 separate alleged shortfalls identified,
‘*Require the review of less than 100 documents (including the claimant's claim and internal Post Office documents}. Its assumed each document will have on average 3
~5 pages.
‘Once the Post Office investigation report and file build are complete, require no more than: 01 further information request to the Post Office and the Claimant; and
01 follow up email to the Post Office and/or Claimant in relation to a response.
‘Require no more than 1 Post Office panel for approval, which should take no longer than 1.5 hours to prepare, present and answer queries.
‘Require no more than 1 non-complex final outcome communication to Claimant,
‘Proceed through each stage of the claims process only once.
‘*Should the Claimant not accept the outcome of the assessment and proceed to a good faith meeting, mediation or litigation, any time incurred after the outcome is
communicated will be billed at an hourly rate
Individual claim categorisation will depend on the circumstances of the case and is subject to change. Any claim which falls outside category 2 will move to category 3.
CATEGORY 3
In addition to characteristics identified by Post Office, the following cases will fall into category 3:
‘*Any claim which falls outside of the scope of category 1 and 2 (at any stage of the claims process) will be charged by hourly rate according to the fee earner grades
provided below.
+*Claims with complex facts and/or analysis.
'*Cases which require input from the Post Office legal or technical teams or which require accounting support.
‘The first 5 cases assessed by HSF.
Should a significant number of similar claims fall within this category, HSF will consider proposing an additional fixed fee for such claims.
If a claim falling within category 3 contains more than 2 categories of loss but can easily be assessed, in less time and at a lower cost than category 1 or 2 claims, they will
be billed according to the time spent and will therefore represent a saving to the Post Office.
14
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Appendix 3
% HERBERT
= SMITH
(S FREEHILLS
COST ESTIMATE FOR POST OFFICE
HISTORIC SHORTFALL SCHEME
27 FEBRUARY 2020
Alan Watts, Partner, GRO.
Kate Emanuel, Senior Associate; GRO.
Neil Cahill, Head of Disputes (UK & EMEA), ALTi(-”
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OUR PROPOSAL
PROJECT
You require:
* Acost effective, flexible model for managing historical shortfall claims received from Post Masters in relation to the alleged bugs in the
Horizon system.
* A review of a selection of Post Office held documentation and investigation reports, Post Master claims and supporting documentation
provided by Claimants (which will vary from to claim to claim).
* Analysis of the merits and deficiencies of each claim accompanied with proposed outcomes.
+» A team to work independently, reporting and escalating to you regularly.
* Flexibility in resourcing (both relating to numbers and seniority) — at this stage it envisaged that the majority of historical shortfall claims will
be relatively simple but our model can adapt quickly to cater for variations in scale or complexity.
“+ The review of individual claims made by Post Masters under the Historic Shortfall Scheme. Examples of claims may include claims in
respect of shortfalls, remuneration based claims (eg suspension, notice pay etc) and consequential losses (eg personal injury, stigma,
capital losses, insolvency related losses, loss of opportunity, interest and penalties etc).
OUR OFFERING!
Our Alternative Legal Services (ALT) team will:
*+ Bring our experience of designing solutions for clients on claims assessment and complaints handling projects on high profile and sensitive
matters. Our high profile clients choose to work with us because they trust that we will carry out reputationally sensitive and complex work
whilst delivering cost and time savings.
“+ Provide a dedicated and knowledgeable team to ensure high quality output at competitive rates, which can be adapted to meet demand.
++ Respond by scaling our team up and down as required based on case flow and the complexity of claims.
* Implement streamlined processes to promote efficiency and ensure all claims are dealt with promptly.
* Work as an extension of your in-house team to deliver a “one team” approach.
* Review claims using the HSF Relativity review platform to review the documents and prepare the assessment.
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HOW WE WORK
T\ipsei:"peie) I ALT is comprised of eDiscovery and legal review teams across 11 hubs around the world that work as one integrated global
SERVICE
practice group and support the HSF Disputes Practice in each region across both local and multi-jurisdictional matters.
Alan Watts and Catherine Emanuel, based in the London HSF Disputes team, have worked on a number of matters with the global
ALT practice and are experienced in providing their clients with the integrated ALT and Disputes offering, providing truly innovative
legal service delivery to their clients.
Together with the HSF Disputes case team, we can ensure a seamless and integrated service which incorporates the entire claims
assessment journey from initial claims assessment through to the presentation of outcomes.
We provide a risk-wrapped approach, with HSF having oversight of all stages of a matter thereby saving time and costs against
using third party providers, where additional costs of supervision and knowledge gap bridging are likely.
Our ALT team works with the Disputes case team as one unit to ensure efficient and robust workflows are in place, removing the
need for multiple providers and thereby:
. limiting risk;
* _ increasing efficiency in the traditional delivery of legal services; and
. realising overall cost savings for our clients by ensuring a robust legal process is in place to underpin complex claims
assessment matters.
VALUE We will design bespoke workflows according to the requirements of the exercise and we use all available technology and expertise
PROPOSITION to maximise efficiency.
Itis our objective to save costs for clients. We have a strong track record of achieving cost and time efficiencies for clients.
TECHNOLOGY Mages Freehills (UK, US & EMEA) hosts a fully managed on premise Relativity instance in London.
We take the protection of client information very seriously. We know that data management and protection is key to our clients. As
such, the firm is certified to ISO-27001 and has adopted best practice security controls.
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OUR CLAIMS ASSESSMENT EXPERIENCE
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PROJ ECT OVERVIEW Key: actioned by Post Office
actioned by HSF/ALT
Claim Received Triage
+ Log claim on tracker * Identify missing application
* Trigger document collection information
process cal © ASSESS cligibility
+ Send claim & terms of « Further information requests to
reference to assessment team Claimant and Post Office
Claims Assessment
+ Tailored information request sent to Post
Office (if required)
* Tailored information request sent to Claimant
(if required) * Presentation of
a e
* Claims assessed by reference to assessment eco me ates are
criteria and recommendation made on merits i Pp
and quantum
Panel
+ Prepare Panel pack
Outcome
* Prepare outcome letter to
Claimant
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CLAIMS ASSESSMENT & DECISION MAKING
CLAIMS ASSESSMENT
What we do
DECISION MAKING
What we do
Review evidence provided by the Claimants and
internal documents collected by Post Office by
reference to the Assessment Criteria.
Request additional information when required from the
Claimant or the Post Office prior to completing
assessment.
Review additional information or evidence provided by
Post Office and/or Claimant following a further
information request.
Engage with Post Office Technical or Legal teams and
accounting support where necessary.
Complete a Claims Assessment Pack to include
recommendations on liability and quantum to be
approved by an internal Post Office Historic Shortfalls
Panel comprised of senior stakeholders with relevant
technical knowledge.
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Prepare Claims Assessment Pack and circulate in
advance to those appointed to the internal Post Office
Historic Shortfalls Panel.
Present recommendations on liability and quantum to
panel members.
Offer panel opportunity to ask questions in relation to
the recommendations made.
Assist with any further discussions at panel meeting.
Record panel decision and prepare outcome
communication to Claimant.
16
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HSF ALT ©! I
Case Specific Estimated Costs
ALT will allocate claims to one of 3 categories depending on the circumstances/complexity of the claim.
; : , ee I 3 28 cg [essis0oI I ereacon I I ev enr soo)
Category 1 Category 2 Category 3
£2,300 £3,800 Cost per file based on time spent
+ This estimate is for the end to end process, from receipt of the claim through to the outcome
communication to the Claimant.
Case Specific
Estimate
Assumptions
+ Category 1 and 2 claims will be billed on a fixed fee basis.
+ Based on the estimated volumes above and for the purposes of this estimate we have assumed:
o Anaverage split of cases by category based on 35% of claims within category 1, 35% in
category 2 and 30% in category 3.
o Anestimated average cost of £5,600 for each category 3 claim.
o Once the actual volume and complexity of claims is known, this estimate will be subject to
revision.
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HSF ALT
End to End
Process
Legal Project
Support and
Management
Legal Project
Support and
Management
Estimate
Assumptions
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Legal Project Support and Management
One month secondment to Post Office Senior Management time First month
Free of charge Free of charge Capped at £50,000
+ ALT are experienced in providing legal project support and management.
+ To assist Post Office with the design and set up of the historical shortfall scheme, ALT will provide a qualified
team member on secondment to Post Office for a period of one month. The estimated cost benefit of this, to
Post Office, is approximately £40,000.
+ Legal project support and management is assistance with the project overall but not on individual cases
(except for irregular bespoke reporting requests). For example, work completed on workflow set up; project
management including triage, allocation and tracking of claims; communication with internal Post Office teams;
ensuring guidance notes are regularly updated and shared with the teams; reporting and irregular bespoke
tasks; attending Post Office project meetings; amongst other un-defined tasks.
+ Legal project support and management costs will vary over the lifetime of the project and will be dependant on
the volume and categorisation of the claims received.
* Costs in relation to some legal project support will be incurred over the course of the project, whilst other costs
will be greater either at the beginning or end of the matter.
+ Legal project support and management costs will be charged at an hourly rate.
+ For the first month we will cap legal project support and management fees at £50,000 for the end to end
process. This along with the value add of a qualified team member seconded to the Post Office, will support
you in designing a process which will drive efficiencies and deliver the project at a lower cost overall.
+ Once the actual volume and complexity of claims is known, we will work with you to agree an appropriate fixed
monthly retainer which will ensure certainty.
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HSF ALT ©! 1 VI
eDiscovery
+ The HSF eDiscovery team will consult on this matter and assist with establishing the most efficient
workflow for the claims assessment on the Relativity platform.
eDiscovery + Support may include, but is not limited to:
Services
o Processing and hosting data
o Database management
Designing a bespoke workflow
Advising on best practice; utilising structured and conceptual analytics; trouble shooting technical
issues
Technical time creating bespoke reporting requirements, eg scripting template reports
Supporting/consulting on project queries
Providing reports on data (which do not fall within the weekly MI report)
Undefined tasks which may be required depending on how the project evolves
9.0
0000
+ eDiscovery fee earner time will be charged according to the fee earner grades below:
‘GBP
Manager, eDiscovery (ALT) 300
Senior Executive (ALT) 235
Executive (ALT) 210
Analyst, eDiscovery (ALT) 165
+ Data processing on the HSF instance of Relativity are provided below on a tiered basis, reducing as the
volume of data increases.
0-250 65
251-500 55
501-1000 45
1001+ 35
+ Data hosting on the HSF instance of Relativity is charged at £15 per GB per month.
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HSF ALT does not charge any additional costs for the following, unlike some third party vendors:
+ Email threading
+ Near de-duplication
eDiscovery + Predictive coding
Value Proposition Tiive mccain
+ Promoting documents to review
+ Complex keyword searching
+ User licence fees
eDiscovery
Assumption
* This estimate was prepared based on assumptions regarding the level of support required on a monthly
basis. We will revise the estimate when the volume and scope of the data and services required are
known.
+ The monthly costs will vary as the project progresses, depending on the volume and frequency of data
uploads, the number of Claimants and reporting requirements.
* The lower estimate is based on a volume of 20GB and the upper estimate is based on 100GB.
+ eDiscovery costs to include technical time building the workflow/reporting scripts, database
management and dealing with irregular bespoke requests will all be billed on an hourly rate.
+ eDiscovery technology fees to include Relativity hosting and processing fees will be charged per GB.
Hosting fees are charged on a monthly basis.
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HSF ALT COST ESTIMATE
INDICATIVE OVERALL ESTIMATE
eDiscovery (12 months) £186,300
Legal Project Support and Management (12 months) £600,000
Case Specific (500 claims) £1,907,500
Estimated Cost £2,693,800
Case S pec ites I ° This estimate is prepared for the purposes of budgeting only. We will re-estimate should the assumptions in
e this estimate prove incorrect.
Estimate
i + As per page 8 of this estimate we have agreed a cap for the first month for legal support and management
Ass umptio ns costs. We will cap these fees at £50,000 for the end to end process.
+ For the purposes of this estimate only and until we have greater visibility of the level of support required, we
have estimated the cost of legal support based on a monthly cost which is equivalent to the month 1 cap.
However, these figures (post one month) are not capped. It would be our intention to provide a more accurate
estimate after the first month.
+ We have estimated the costs of the assessment of 500 Historic Shortfall claims as per the assumptions on
pages 7 of this estimate.
+ We have assumed eDiscovery costs at the upper end of the estimated range as per the assumptions on pages
9 and 10 of this estimate.
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HSF ALT F
CATEGORY 1
Claims falling into this category will:
Comprise of 1 claim for alleged repaid shortfalls only, with no more than
5 separate shortfalls identified as incurring that loss.
Require the review of less than 50 documents (including the claimant's
claim and internal Post Office documents). It is assumed each document
will have on average 3 — 5 pages.
Not require any further information from either Post Office or the
Claimant at any stage in the process after the Post Office investigation
report and file build is complete.
Require no more than 1 Post Office panel for approval, which should
take no longer than 1 hour to prepare, present and answer queries.
Follow up work is not required.
Require no more than 1 non-complex final outcome communication to
the Claimant.
Proceed through each stage of the claims process only once.
Should the Claimant not accept the outcome of the assessment and
proceed to a good faith meeting, mediation or litigation, any time incurred
after the outcome is communicated will be billed at an hourly rate.
Individual claim categorisation will depend on the circumstances of the
case and is subject to change. Any claim which falls outside category 1, at
any stage of the claims process, will be assessed to determine if it shall
move to category 2 or 3.
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CATEGORY 2
Claims falling into this category will:
* Comprise of up to 2 categories of loss. If one of the categories of loss is
for alleged shortfalls, it will have no more than 10 separate alleged
shortfalls identified.
+ Require the review of less than 100 documents (including the claimant's
claim and internal Post Office documents). It is assumed each document
will have on average 3 — 5 pages.
* Once the Post Office investigation report and file build are complete,
require no more than:
o 1 further information request to the Post Office and the Claimant;
and
o 1 follow up email to the Post Office and/or Claimant in relation to
a response.
+ Require no more than 1 Post Office panel for approval, which should take
no longer than 1.5 hours to prepare, present and answer queries.
+ Require no more than 1 non-complex final outcome communication to
Claimant.
+ Proceed through each stage of the claims process only once.
+ Should the Claimant not accept the outcome of the assessment and
proceed to a good faith meeting, mediation or litigation, any time incurred
after the outcome is communicated will be billed at an hourly rate.
Individual claim categorisation will depend on the circumstances of the
case and is subject to change. Any claim which falls outside category 2 will
move to category 3.
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CATEGORY 3
The following cases will fall into category 3:
+ Any claim which falls outside of the scope of category 1 and 2 (at any stage of the claims process) will be charged by hourly rate according
to the fee earner grades provided below.
+ Claims with complex facts and/or analysis.
* Cases which require input from the Post Office legal or technical teams or which require accounting support.
+ The first 5 cases assessed by HSF.
Should a significant number of similar claims fall within this category, we will consider proposing an additional fixed fee for such claims.
If a claim falling within category 3 contains more than 2 categories of loss but can easily be assessed, in less time and at a lower cost than
category 1 or 2 claims, they will be billed according to the time spent and will therefore represent a saving to the Post Office.
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HSF ALT \' }
* This estimate is in GBP and is exclusive of VAT.
+ Where work is undertaken on assessment or legal project support and management at an hourly rate the
following will apply:
Director 375
Head of Practice Areas 350
325
300
235
210
125
100
100
+ Director, Head of Practice and Senior Manager time will be provided free of charge.
+ Assumptions underpinning these cost estimates are set in each category of costs. As the project
progresses, if any of the assumptions underpinning this estimate prove to be inaccurate, the cost estimate
will be revised and we will discuss this with you prior to doing so.
+ Once the actual volume and complexity of claims is known, this estimate will be subject to revision.
+ This estimate is subject to review after the first 5 cases have completed the assessment phase to ensure
that the assumptions underpinning the assessment are accurate.
+ We will utilise the appropriate fee earner grade to drive efficiencies.
+ This estimate does not include a review for any additional coding which may be required for the purposes
of litigation or anything outside of the scope of the claims assessment.
Exclusions * This estimate does not include work carried out in relation to a master excel or additional investigatory or
analytical tasks which may be required. These will be charged at our an hourly rate.
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‘ESATO AON EE TR YARN HATE TEP TN EA ETO HTN AERA,
BANGKOK
Herert Smith Freehis (Thalland) Lid
BEING
orto’ Srrvth Froekitis LLP
Beijing Representative Olfice (UK
BELFAST
Heer! Sroith Frsehitis LUE
BERLIN
Herter: Srrith Freehitls Germany LLP
BRISBANE
Herbert Smith Frechiis
BRUSSELS
Herbert Smith Freehits LLP
puBAL
Hesbert Smith Freebills LLP
DOSSELDORF
Hertort Seni Freeills Gerevary LLP
FRANKFURT
Herbert Smith Freehills Germany LLP
HONG KONG
Horhert Smith Frontills
JAKARTA
Hiswara Bunjamin and Tandjung
Herbert Seritis Frecills LLP associsted finn
JOHANNESBURG
Herbert Smith Freebills South Anca LL
KUALA LUMPUR
Hercert Smith Fieahilis LLP
iLPoo10119-FGN
LONDON
eriert Smith Freebills LLP
MADRID
Hertsort Serif Freehilis Spain LP
MELBOURNE
Herbert Smith Freehills
MILAN
Studio Legale Associate in association with
Hervert Smith Freenilis LLP
Moscow
Herbert Smith Freehills CIS LLP
NEW YORK
esl Sith Frechits Now York LLP
PARIS
Herbert Smith Freehils Paris LLP
PERTH
Hestort Smith Frechits
RIYADH
The Law Office of Nasser A-Hamdon
Hostort Smith Frechills LLP associated firm
SEOUL
Herbert Smith Freaballs LLP
Fonign Legal Consultant Office
SHANGHAL
Heeber Savith Freetalls LLP
Shanghai Representative Office (UK)
SINGAPORE
Herbert Sent Freetalls LLP.
SYDNEY
Herbert Smith Freeballs
TOKYO
Herbert South Freebills
Appendix 4
Historic Shortfall Scheme: Eligi ty and triage
Escalation Criteria
Certain cases should be escalated for urgent and expedited investigation and/or early contact from
Post Office (such as the postmaster’s Area Manager / a multiple relationship manager) and/or
welfare professionals. An external support telephone line will be provided so that individuals can
seek assistance or be referred for professional support.
Judgement should be exercised in considering these cases, erring on the side of caution. Should
there be any doubt whatsoever, guidance should be sought from HSF London and/or Post Office.
Examples for escalation include:
Applications that suggest that the applicant, or someone close to them, is suffering or at
risk of suffering imminent personal harm (including but not limited to stress, depression,
mental health issues, insomnia, panic attacks, anxiety, eating disorders, self-harm,
substance misuse, abuse, violence, overdose, suicide).
Applicants who are terminally ill or suffering decreasing capacity.
Applications that suggest that the applicant is at risk of significant current or imminent
financial harm, such as default, insolvency, repossession or other extreme financial
hardship, such as inability to pay basic living expenses.
Applicants who are currently suspended and whose suspension pay is continuing.
Applicants who are known to be active in the media.
Applicants who are multiples (i.e. who operate multiple Post Office branches rather than
being a pluralist.
Routes for escalation
On a case-by-case basis, routes for escalation may include:
The application to be expedited through the scheme.
The applicant to be contacted/visited by the relevant Area Manager.
The applicant to be referred to, or directly contacted by, the welfare helpline.
The applicant to be contacted personally by someone else within Post Office.
In the case of multiples, the relevant multiple relationship manager to be alerted to the
claim and the applicant to be contacted/visited by the relevant manager, if deemed
appropriate.
Care should be taken in relation to personal data. For guidance, please contact HSF London
and/or Post Office's data protection team.
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Appendix 5 POST OFFICE LIMITED
(“the Company”)
Terms of Reference of the Historic Shortfalls Claims Scheme Decision
Making Panel
The Historic Shortfalls Claims Scheme (“the Scheme”) has been constituted to
address past issues regarding Post Office’s point-of-sale accounting system, Horizon.
The Historic Shortfalls Claims Scheme Decision Making Panel (“the Panel”) is a panel
set up by the Group Litigation (“GLO”) Sub-Committee from which it derives its
authority. The Panel’s authority is always subject to the powers and duties of the GLO
Sub-Committee, as set out in the Sub-Committee’s Terms of Reference.
A. PURPOSE
The purpose of the Panel is to determine outcomes for claims in the Scheme. The
outcomes determined by the Panel shall be communicated to Scheme’s
applicants. If an outcome is accepted by an applicant, it shall be binding on both
the Company and the applicant. If an outcome is not accepted by an applicant,
the claim shall enter the Dispute Resolution Process contemplated in the
Scheme’s Terms of Reference.
B. DUTIES AND RESPONSIBILITIES
The Panel shall:
1. review Scheme claims that:
i. are eligible for the Scheme pursuant to the Scheme’s Eligibility
Criteria?;
ii. have been investigated through the Scheme; and
iii. are presented to the Panel;
2. determine outcomes (including financial settlement offers) for Scheme
claims to be communicated to Scheme applicants;
3. determine financial settlement offers up to the amount of £100,000 per
claim;
4. approve for recommendation to the GLO Sub-committee that financial
settlement offers in excess of £100,000 be accepted and provide written
reasons to support this;
5. refer Scheme claims back to the investigation stage to undergo further
investigation where appropriate;
6. convene decision-making sub-panels as required, which shall derive their
authority from this Panel; and
7. determine at least the first 25 Scheme claims presented to the Panel.
Subject to the volume of Scheme claims received and the total monetary
value of all claims, the Panel may thereafter direct claims to be determined
1 The Scheme’s Terms of Reference approved by the GLO Sub-Committee
2 The Scheme’s Eligibility Criteria approved by the GLO Sub-Committee
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Terms of Reference of Historic Shortfalls Claims Scheme Decision Making Panel
10.
11.
12.
13.
14.
15.
by one or more sub-panels. The Panel shall review a sufficient sample of
determinations reached by the sub-panel to its satisfaction, and will also
hear any claims escalated to it by any sub-panel for reasons of complexity
or sensitivity.
COMPOSITION AND GOVERNANCE
Membership
The Panel’s members shall comprise:
i. One representative from Post Office’s Operations Department;
ii. One representative from Post Office’s Finance Department; and
iii. One legal adviser from an external law firm.
Members of the Panel shall be appointed by the Group General Counsel
from time to time. Members shall have the power to delegate their
attendance and voting rights at Panel meetings to a colleague within their
business unit, or law firm, subject to the approval of the Group General
Counsel.
Quorum & Voting
A meeting will only be quorate when all three panel members or their
delegates are present. Each Panel member shall have one vote each.
Decisions will be taken by a majority of two. Any member of the Panel may
vote to escalate a proposed decision in any case to the GLO Board Sub-
Committee.
Meetings
Panel meetings shall be convened by Herbert Smith Freehills LLP (“HSF”).
HSF shall have responsibility for the administrative arrangements for
convening Panel meetings, including sending meeting invitations and
providing meeting room facilities as required.
Panel meetings shall be chaired by the legal adviser from the external law
firm.
The Panel shall convene on a weekly basis following the commencement of
the Scheme, with ad hoc or additional standing meetings to take place as
required and subject to the agreement of the Panel members.
Notice of each Panel meeting shall be given to all those entitled to attend
at least three working days before the meeting.
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Terms of Reference of Historic Shortfalls Claims Scheme Decision Making Panel
16. One or more representatives from HSF’s Belfast office (‘HSF Belfast”) who
have assessed the claims before the Panel (the “Case Assessors”) will
attend the Panel meeting to present their assessments and
recommendations.
17. Meetings may be held in person or by telephone or other electronic means,
so long as all participants can contribute to the meeting simultaneously.
18. In respect of each claim for determination before the Panel, the Panel will
be emailed the supporting materials necessary to consider and determine
the outcome for the claim (“Claims Assessment Pack”) by the Case
Assessor a minimum of three days prior to the Panel meeting.
19. The Case Assessors shall record the outcomes for each claim that is
determined by the Panel at the meeting.
20. HSF Belfast shall maintain a tracker to produce management information
for the Company on Panel determinations, the value of financial offers made
to Scheme Applicants and the levels of acceptance. Such information will
be reported to the GLO Sub-Committee from time to time.
D. REVIEW AND APPROVAL
21. The Terms of Reference shall be approved by the GLO Sub-Committee and
shall be reviewed by the Panel no longer than six months after the
commencement of the Scheme. Any amendments to the Terms of
Reference shall be approved by the GLO Sub-Committee.
Approved by: Date: Version: Effective from:
Post Office GLO Sub-Committee 1.0
INTERNAL 3
Appendix 6
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Appendix 7
DRAFT: IN STRICTEST CONFIDENCE AND SUBJECT TO LEGAL PRIVILEGE
02-03-2020
HISTORIC SHORTFALL SCHEME — PRESS NOTICE
POST OFFICE ANNOUNCES HISTORIC SHORTFALL SCHEME FOR POSTMASTERS
The Post Office today [date] announced the launch of a scheme that aims to resolve past issues for
current and former postmasters who believe they have experienced shortfalls related to previous
versions of Horizon.
The Historic Shortfall Scheme follows the agreed settlement last year of group litigation between
Post Office and 555 mainly former postmasters.
During the court proceedings the current version of Horizon, the Post Office’s electronic point of sale
system, was found to be robust relative to comparable systems, but the Court highlighted issues
regarding previous versions that had the potential to affect branch accounting.
Nick Read, Group CEO, said: “We are sorry for past events where we got things wrong and we are
committed to fairly resolving these. The scheme is an important step in re-setting our relationship
with postmasters and is designed to provide the opportunity for postmasters who were not part of
the group litigation to resolve issues they may have experienced.”
The scheme is open from today to both current and former postmasters. Full information for
potential applicants, including the eligibility criteria and application form, is available at [website
link] or by emailing [contact] or by writing to [details]. Applications should be received by midnight
on [insert date three months after first communication of the scheme] to be eligible.
Every eligible application will investigated and assessed. A dispute resolution procedure is available
for applicants not satisfied with the assessment outcome, providing further review stages and
independent mediation.
The independent mediation provider will be Wandsworth Mediation Services [link], a not-for-profit
community mediation service led by Stephen Ruttle QC who mediated the resolution of the group
litigation. Profits from the service are used for charitable purposes.
NOTE TO EDITORS:
Post Office Historic Shortfall Scheme
Full details of the scheme including eligibility criteria and the terms of reference which apply can be
found at [web link] or by emailing [xx««] or by request in writing to [xxx]. Applications must be
made on the official scheme’s application form, obtainable at these same addresses, to be eligible.
Applicants should follow the advice provided regarding information to accompany their application.
The scheme relates to shortfalls related to historic versions of Horizon in use from [xxxxxx until
xxxxx]. It does not relate to the current version of Horizon.
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If, following all stages of the scheme, including independent mediation, agreed resolution is not
achieved, applicants may have recourse to the small claims civil courts process or to arbitration,
depending on the value of the claim.
The principles and scope of the scheme have been endorsed by the mediators who helped to
negotiate the settlement of the group litigation.
Group Litigation
The group litigation between Post Office and 555 mainly former postmasters concluded following
successful mediation and agreed settlement in December 2019.
As part of the proceedings, the Court determined [15] technical matters concerning historic Horizon
systems used since around 2000. It did not consider or determine individual cases.
A joint press statement was issued on 11 December 2019 by both parties involved in the litigation.
[link]
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Appendix 8
HISTORIC SHORTFALL SCHEME
TERMS OF REFERENCE
In order to enter the Historic Shortfall Scheme, you must agree to the terms of reference set
out below. A signed copy of the terms of reference must be provided alongside your
application form.
1. Post Office intends to establish the Historic Shortfall Scheme (the "Scheme") to address
past issues regarding its point-of-sale accounting system, Horizon.
2. The purpose of the Scheme is to bring finality to current and former postmasters who, in
good faith, believe they may have been affected by shortfalls arising after 1 January 2000
and allegedly caused by the historic versions of Horizon (HNG-X or prior) ("Historic
Shortfalls"). The Scheme will not deal with issues arising with the current version of
Horizon (HNG-A, sometimes referred to as the ‘Branch Technology Upgrade’).
3. All applications to join the Scheme must be received by Post Office by midnight on [insert
date three months after Post Office first publicly communicates the existence of the
Scheme]. If they are not, Applicants will not be eligible to join the Scheme unless Post
Office agrees otherwise.
4. Applications and other communications should be sent either:
41 to the Office of the General Counsel at Post Office, Finsbury Dials, 20 Finsbury
Street, London EC2Y 9AQ by post or hand delivery; or
42 by email to casereviewteami GRO i
5. Applicants to the Scheme are required to agree to these Terms of Reference. Applicants
who do not agree to the Terms of Reference will not be eligible to participate in the
Scheme.
6. Once an application has been made, either party may write to the other to request relevant
information. The parties shall co-operate with one another in providing any information
which the other party may reasonably request. Information obtained and provided in
relation to each application should be proportionate to the circumstances of that
application.
7. Every application made under the Scheme will be individually investigated and assessed
by a panel of at least three individuals. Following assessment of the claim, Post Office will
write to the Applicant setting out the outcome of their application.
8. In the event the Applicant is dissatisfied with the outcome of their Application, the following
Dispute Resolution Procedure shall apply:
8.1 The Applicant must notify Post Office in writing within 28 days that he or she
wishes to engage the dispute resolution procedure.
8.2 As soon as is practicable, at least one Post Office representative shall meet with
the Applicant, either face-to-face or by telephone, and endeavour to resolve all
issues regarding any outstanding shortfalls in good faith and in a manner that takes
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8.3
8.4
8.5
8.6
87
into account the legitimate interests of Post Office and the Applicant (the "HSG
Good Faith Meeting").
If the dispute is not resolved as a result of the HSG Good Faith Meeting, either
party may within 28 days escalate the dispute to a member of Post Office's senior
management (the "HSG Escalation Meeting") in writing.
If the dispute is not resolved as a result of the HSG Escalation Meeting, either party
may refer the matter to Wandsworth Mediation Service ("WMS") within 28 days.
WMS is a charitable organisation run by Stephen Ruttle QC, one of the two
independent mediators who assisted the parties to reach agreement between Post
Office and the claimants in the group litigation. Profit made by WMS out of the fees
paid for mediations is not for gain but is rather deployed charitably in the
community. WMS will carry out the mediation in accordance with its standard
terms. The Applicant will not be required to contribute towards the costs of
mediation but the mediation will be limited to four hours in duration.
All HSG Good Faith Meetings, HSG Escalation Meetings and mediations shall be
carried out on a confidential and "without prejudice" basis, to ensure each party is
able to engage in an open and meaningful fashion.
Any settlements reached shall be on a full and final basis and shall not be capable
of being re-opened save in the event of fraud. The terms of each settlement will be
recorded in writing and signed by both parties.
In relation to disputes which are not resolved at, or as a result of any mediation:
8.7.1 disputes for sums totalling not more than £10,000 shall be resolved by
recourse to civil proceedings in the County Court pursuant to the Small
Claims Track and shall be subject to the fee scale applicable thereto.
The parties agree not to seek reallocation of the proceedings to the Fast
Track or the Multi Track; and
8.7.2 disputes for sums totalling in excess of £10,000 shall be referred to and
finally determined by arbitration under the Arbitration Act 1996. The
appointing authority shall be either Charles Flint QC or Stephen Ruttle
QC, the number of arbitrators shall be one, the seat of arbitration shall be
London, England and the language of the arbitration shall be English.
These dispute resolution procedures may be varied by agreement between Post Office and
the Applicant or, if it becomes apparent that amendments to these terms would allow the
Scheme to operate more effectively without causing any material disadvantage to the
Applicants, by agreement between Post Office and Charles Flint QC or Stephen Ruttle QC.
Post Office will deal with all Applicants in good faith and in light of the lessons learned from
Mr Justice Fraser's two judgments in the group litigation. However:
10.1
10.2
entry into the Scheme does not guarantee that a relevant shortfall will be repaid or
written off; and
By creating Scheme, Post Office does not waive any of its own legal rights. The
duty of good faith is reciprocal and, if it appears from the investigation of any
application made that the Applicant has not acted consistently with his or her own
duties of good faith, Post Office shall not be precluded from taking such steps as
may be open to it as a matter of law.
I confirm that I have read and understood these terms of reference and that I agree to be
bound by them:
Signed:
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Name:
Date:
11160682463_2 3
Appendix 9
[Placeholder for eligibility criteria and instruction regarding the terms of reference]
POST OFFICE HISTORIC SHORTFALL SCHEME
APPLICATION TO JOIN THE SCHEME
Your details
Full name
Branch
Application on behalf of a subpostmaster
Are you applying on behalf of a postmaster?
If yes, please set out (i) their details, and (ii)
your relationship with them. Please see the
guidance set out at the start of this application
form as to who can bring an application on behalf
of another person. As part of this application, you
must provide proof as to your legal capacity to
make an application on their behalf.
and role details [instructions to be provided rega!
Post Office branch name and address
(including the postcode)
2 Previous name(s) (if any)
3 Postal address
4 Email address
5 Contact telephone number
6 Preferred method of communication O Post
O Email
rding multiples and pluralists]
Post Office branch and FAD code(s) (if known)
10
Post Office customer account number(s) (if
known)
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11 Are you currently in post? If no, please give
details, e.g. resigned, terminated, etc.
12 Start date of appointment
13 End date of appointment (if applicable)
14 Have you ever been suspended from your
position? If yes, please provide the dates of your
suspension and the reasons for the suspension.
15 Please provide the full name of the
individual(s) or company which has or has had
a direct contract with Post Office.
16 What is/was your role (e.g. postmaster,
directly managed branch employee, absent
postmaster, temporary postmaster)? If your
role has changed over time, please list the
different roles and the relevant dates for each.
17 Did you employ assistants/staff at the branch?
If yes, please provide details, including full names
and dates of appointment (if known).
Shortfall(s) — Please note that this scheme will only deal with shortfalls arising after 7
January 2000 and allegedly caused by the historic versions of Horizon (HNG-X or prior).
It will not deal with issues arising with the current version of Horizon (HNG-A, sometimes
referred to as the ‘Branch Technology Upgrade’). Concerns related to the current version
of Horizon should be raised with [insert].
18 For each shortfall in respect of which you are
applying, please specify:
1. The amount;
2. The relevant dates (please specify when
any shortfall was first noticed and when it
was settled (if applicable));
3. Whether the shortfall amount was paid to
Post Office (along with the date and value
of any payment);
4. How the shortfall was treated (or settled,
if applicable) in the relevant accounts,
and why;
11/60775200_1 2
5. Whether Post Office was notified of any
shortfall, and if so, how and when it was
notified. In particular, please provide details
of:
- Any relevant reference numbers;
- Any advice given by Post Office to deal
with any shortfalls; and
- Who within Post Office advised you (if
known);
6. Any other relevant information in relation
to any shortfall — e.g. please detail whether
shortfalls arose as a consequence of any
specific transaction or type of transaction.
19 Please explain what you would like Post Office
to do in respect of the alleged shortfall(s). For
example, please specify whether you are applying
for the shortfall(s) to be repaid or written off. If
you are making a claim for repayment, please
specify the precise amount claimed.
20 Did Post Office conduct an audit into the
relevant branch? If yes, for each audit, please
provide details including:
- What prompted the audit (if known);
- The date(s) of the audit; and
- The outcome(s).
21 Was there any other investigation into the
alleged shortfall(s) by either Post Office or any
other organisation/individual? If yes, please
provide details, including:
- Whether any such shortfalls were
reported to Post Office as part of any
investigation and, if so, what happened;
- Whether any intervention support visits
were carried out; and
- Whether any further training was
provided following the reporting of a
shortfall(s).
22 Was any action taken by Post Office as a
result of the alleged shortfall(s) (e.g.
suspension or termination)? If yes, please
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provide details including relevant dates and what
steps were taken in respect of the branch (e.g. it
was closed, a temporary postmaster was
appointed, etc).
23
24
Miscellaneo:
Have you experienced any other losses that
are directly related to the alleged shortfall(s) in
respect of which you would like to claim? If
yes, please provide the following details for each
alleged loss:
- The nature of the alleged loss;
- The dates of the alleged loss;
- How the loss arose as a result of the
alleged shortfall; and
- The value/size of the loss.
matters
Have you or anyone who works/worked in the
branch ever been the subject of civil or
criminal proceedings relating to shortfalls? If
yes, please give brief details.
Please note that applicants who have a
criminal conviction related to shortfalls are not
eligible for the Scheme. [HSF to include
wording setting out how a convicted criminal
can take their case forward].
Did you participate in the Initial Complaint
Review and Mediation Scheme commenced in
2013 in which complaints were reviewed by
Second Sight? If yes, was a settlement
agreed?
27
Have you participated in a
settlement/restructure as a result of Network
Transformation or other scheme? If yes, on
what terms did you settle?
Other information related to your application
Please provide an explanation as to why you
believe you have not been treated fairly by
Post Office. In doing so, you should set out what
you would like Post Office to do to remedy the
situation, and why. Please provide a clear and
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detailed explanation. As much detail as you are
able to provide here will assist in resolving this
matter.
28 What documents/material do you have to
support your application? Please provide this
material at the same time that you submit your
application. This will allow your application to be
investigated and considered more efficiently.
Please note that Post Office may require
additional information in respect of your
application.
29 Is there any further information you would like
Post Office to consider when assessing your
application?
Statement of trut
By signing this document I confirm that:
1 All of the information provided in this application
form is true and correct to be best of my
knowledge and belief;
2 ‘Ihave read and understood the eligi criteria
for the Historic Shortfall Scheme and believe I am
eligible for the Scheme; and
3 [Insert GDPR wording].
Please note that you must separately read and sign the
terms of reference for the Historic Shortfall Scheme,
which are available here [insert link]. The signed terms
of reference should accompany your application form.
Signed
Name
Date
11/60775200_1 5
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Appendix 10
Current Postmaster letter
DRAFT: IN STRICTEST CONFIDENCE AND SUBJECT TO LEGAL PRIVILEGE
For the attention of the postmaster
Name
Address
Address
Address
Date
Dear Postmaster,
Launch of Historic Shortfall Scheme
Following the agreed settlement of the group litigation in the High Court in December 2019, I
wanted to share some important information with you about a scheme we have launched that aims
to resolve past issues for current and former postmasters who believe they have experienced
shortfalls related to previous versions of Horizon.
As you may have heard, our Group Chief Executive Officer Nick Read has stated that we are fully
committed to resolving past events fairly where we got things wrong, and I hope this scheme
reassures you about the importance to us of working in genuine partnership with postmasters.
I want to ensure that we continue to put postmasters at the heart of our business and do all we can
to help you to thrive. There is still a great deal more work to do to continue to drive a new culture at
Post Office and this scheme is a step forward in building a more open and transparent relationship
with postmasters.
More information about the scheme is included over the page and on our website at xxxxx, where
you will also find the application form, eligibility criteria and questions and answers. If you have any
further questions please do not hesitate to contact your area manager.
Yours sincerely,
Amanda Jones
Retail and Franchise Network Director
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More details about the scheme
When does the scheme launch?
The scheme opened on 9 March 2020 and applications can be submitted until XX June 2020.
Why has the scheme been launched?
The launch of the Historic Shortfall Scheme follows the agreed settlement in December 2019 of the
group litigation between Post Office and a group of mainly former postmasters.
As part of that litigation, the Court found the current version of Horizon to be robust compared to
similar systems. However, the Court identified some issues with previous versions of Horizon, in use
since around 2000, that had the potential to affect branch accounting.
We are committed to applying lessons learned from the litigation, to address past issues and to reset
our relationship with postmasters. Some current and former postmasters who were not part of the
group litigation may have encountered past shortfalls they believe were linked to previous versions
of Horizon, so we have launched this scheme to resolve any such cases fairly.
What to do if you think you may be eligible
The scheme is open to current and former postmasters.
You can find full information about the scheme at [website address]. This includes the criteria to find
out if you may be eligible, the application form and questions and answers. If you would like to
apply, please use the official scheme application form and follow the guidance given on the above
website about the information to include with your application.
Alternatively, you can email [contact email address] to ask for this information and the application
form to be sent to you, or write to [address].
Please note all applications must be received by midnight on [insert date] to be eligible for
consideration, as the scheme will then close to new applications.
What will happen next if you apply?
Every eligible application will be investigated and assessed and you will be notified of the outcome
as soon as practicable, keeping in mind that it could take some time to investigate and assess some
individual claims.
You can find more details about the process at [website link].
Questions and support
You can find questions and answers and full details of the scheme at the website above — potential
applicants should read these carefully. If you have further questions following this, please speak to
your area manager.
Appendix 11
Former Postmaster letter
DRAFT: IN STRICTEST CONFIDENCE AND SUBJECT TO LEGAL PRIVILEGE
For the attention of the postmaster
Name
Address
Address
Address
Date
Dear Former Postmaster,
Launch of Historic Shortfall Scheme
Following the agreed settlement of the group litigation in the High Court in December 2019, I
wanted to share some important information with you about a scheme we have launched that aims
to resolve past issues for current and former postmasters who believe they have experienced
shortfalls related to previous versions of Horizon. As a former postmaster, you may be eligible to
apply if you think this applies to you.
Post Office Group Chief Executive Officer Nick Read has stated that we are fully committed to
resolving past events fairly where we got things wrong, and I hope this scheme reassures you about
the importance to us of working in genuine partnership with postmasters past and present.
I want to ensure that we continue to put postmasters at the heart of our business. There is still a
great deal more work to do to continue to drive a new culture at Post Office and this scheme is a
step forward in building a more open and transparent relationship with postmasters.
More information about the scheme is included over the page and on our website at xxxxx, where
you will also find the application form, eligibility criteria and questions and answers. If you have any
further questions please do not hesitate to contact us at [historicshortfallscheme@postoffice.co.uk].
If you are not the named addressee and have received this letter in error, we are sorry
for any inconvenience this may have caused you - please disregard it and you do not
need to take any action. If you are a relative of the former postmaster who is the named
addressee, you may be eligible to apply under the scheme on their behalf — please see
the website above for the criteria.
Yours sincerely,
Amanda Jones
Retail and Franchise Network Director
UKG100046031
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More details about the scheme
When does the scheme launch?
The scheme opened on 9 March 2020 and applications can be submitted until XX June 2020.
Why has the scheme been launched?
The launch of the Historic Shortfall Scheme follows the agreed settlement in December 2019 of the
group litigation between Post Office and a group of mainly former postmasters.
As part of that litigation, the Court found the current version of Horizon to be robust compared to
similar systems. However, the Court identified some issues with previous versions of Horizon, in use
since around 2000, that had the potential to affect branch accounting.
We are committed to applying lessons learned from the litigation, to address past issues and to reset
our relationship with postmasters. Some current and former postmasters who were not part of the
group litigation may have encountered past shortfalls they believe were linked to previous versions
of Horizon, so we have launched this scheme to resolve any such cases fairly.
What to do if you think you may be eligible
The scheme is open to current and former postmasters.
You can find full information about the scheme at [website address]. This includes the criteria to find
out if you may be eligible, the application form and questions and answers. If you would like to
apply, please use the official scheme application form and follow the guidance given on the above
website about the information to include with your application.
Alternatively, you can email historicshortfallschemeg GRO “to ask for this information and
the application form to be sent to you, or write to [address].
Please note all applications must be received by midnight on [insert date] to be eligible for
consideration, as the scheme will then close to new applications.
What will happen next if you apply?
Every eligible application will be investigated and assessed and you will be notified of the outcome
as soon as practicable, keeping in mind that it could take some time to investigate and assess some
individual claims.
You can find more details about the process at [website link].
Questions and support
You can find questions and answers and full details of the scheme at the website above — potential
applicants should read these carefully.
Appendix 12
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GLO Post Settlement Programme — Placeholder Forecast for 20/21
Historic Claims Contract Reform Ops Modernisation [Convicted Claimants & CCRC _Ifotal
Ex Gratia Payments £17,800,000 £0, £0, £0, £17,800,000
Legal Fees £6,152,176 £1,569,976 £108,576 £1,826,760 £9,657,488,
Implementation Costs (technical, operational, Resource
and Process) £0 £2,500,000, £2,500,000, £0 £5,000,000,
(Other Professional Services £1,543,750 £0 £0, £231,250 £1,775,000,
Project Team £235,680 £235,680 £235,680, £80,160 £787,200
Assurance £0, £500,000, £250,000, £0, £750,000,
Internal Investigations Team £493,656 £0, £0, £98,731) £592,387
(QC Panel Member £300,000 £0, £0, £0, £300,000,
External PR £200,000 £0, £0, £50,000, £250,000,
Legal Team Back Fill £120,000 £120,000, £120,000, £120,000, £480,000,
(Comms Resources £132,768 £0, £0, £44,256 £177,024
Secondees £77,622) £0, £0, £77,622) £155,244
DSARs £150,000 £0 £0 £0 £150,000
‘otal £27,145,652 £4,865,656 £3,154,256 £2,468,779 £37,874,343