P
WITNO09890101
WITNO9890101
PETERS & PETERS
Note
To: Post Office Limited (‘POL’)
Date: 6 May 2021
Subject: Methodology for identifying Potential Future Appellants
Background
1. This note is to record the methodology used to identify Potential Future
Appellants (‘PFAs’) to whom POL owes a duty of post-conviction disclosure.!
The details of PFAs have been compiled as part of POL’s wider post-conviction
disclosure exercise (‘PCDE’). For audit purposes, the basic details of the PFAs
identified as at the date of this note are recorded at Annex 1. It is possible that
other PFAs exist that have not been identified through the methodology set out
in this note. Ata general level, this is due to a combination of the limitations
of POL’s available records and the historical nature of the cases.
2. At the outset, it is important to note that POL/P&P have adopted an inclusive
approach to the PCDE. This means that POL/P&P have only excluded cases
that are confirmed as being outside of the PCDE criteria. Where it is unclear
whether a case is outside of the PCDE criteria, those cases are included in the
number of PFAs, until information is received that confirms that those cases
are outside of the PCDE criteria.
PCDE criteria
3. The PCDE criteria is formally set out in the Disclosure Management Document
at paragraphs 1-5. The essential criteria are:
a. An individual was convicted of a criminal offence.
b. POL (or RMG pre separation) was the prosecutor.
c. The prosecution was based wholly or partly on data derived from
Horizon.
d. The prosecution was undertaken between 1999/2000 and 2013. This
is the period from the introduction of Horizon to POL ceasing to act
as a prosecutor (subject to a small number of limited exceptions).
' Note, it is possible that others may seck to appeal. The PFA number is limited to individuals to
whom POL owes a duty of post-conviction disclosure by virtue of the Common Issues Judgment
and the Horizon Issues Judgment, because their cases relied wholly or partly on Horizon data.
1
P
WITNO09890101
WITNO9890101
PETERS & PETERS
4. If cases are confirmed as not meeting any of the above criteria, at that point,
they are not to be regarded as PFAs.
Methodology
5. The list of PFAs originates from over 100 spreadsheets that were provided to
P&P by POL Security or identified during the review of POL Security’s
SharePoint site. These spreadsheets are referred to as ‘Casework
Spreadsheets’. The Casework Spreadsheets were used by POL from as early as
1980 to record various details about past/present investigations. The
Casework Spreadsheets are held securely on Relativity under a ‘saved search’.
They can be extracted and sent back to POL if requested.
6. In the early stages of the PCDE, a reconciliation exercise of the Casework
Spreadsheets was undertaken. The purpose of the reconciliation exercise was
to identify all cases that were potentially within the PCDE in a single
consolidated spreadsheet. This consolidated spreadsheet is referred to as the
‘Master Search Terms List’ (‘MTL’). The reconciliation exercise extracted all
cases that:
a. Appeared to have resulted in a conviction.
b. Recorded a decision to prosecute, including cases where there was
no further information (i.e. these cases may or may not have resulted
in a conviction).
7. The cases on the MTL were then categorised. The categories are summarised
in the table below:
Category I Cases included
1 Current appellants or cases being considered for referral by the
Criminal Cases Review Commission.
2 Audit Shortfall Cases (described as Audit Cash Loss; Audit
Shortage/ False Accounting) dated between 2011 - 2014.
Audit Shortfall Cases dated between 2008 - 2010.
Audit Shortfall Cases dated between 2004 - 2007.
Audit Shortfall Cases dated between 1999 - 2003.
alu] a}
All Other Cases (e.g. Misuse of Postage Labels; Stock Inflated;
Suppression of Banking Documents; Crown Office Cash Loss;
DWP Fraud/DWP Overclaims; Banking Fraud etc.) dated
between 2011 - 2014.
7 All Other Cases dated between 2008 - 2010.
oe
All Other Cases dated between 2004 - 2007.
9 All Other Cases dated between 1999 - 2003.
8.
10.
11.
12.
WITNO9890101
WITNO9890101
P
PETERS & PETERS
10 ‘Out of Scope’ cases including cases that do not involve the use
of Horizon data or cases prosecuted by the CPS or DWP/DSS.
11 ‘Out of Scope’ cases prosecuted in Scotland and Northern
Ireland, by the Procurator Fiscal or PPSNI.
Cases in Categories 2-9 are all PFAs (as Category 1 referred to individuals who
were already Appellants or had applied to the CCRC). The MTL is held
securely on P&P’s OneDrive, which is currently shared with POL’s Historical
Matters Case Review Team. There are not multiple versions of the MTL.? It is
a single comprehensive record based on POL’s records.
During the PCDE, cases were removed from the PFA categories if it was
confirmed from the review of case papers that those cases were outside of the
PCDE criteria, i.e. in circumstances where (i) there was no conviction; (ii) POL
was not the prosecutor; (iii) the prosecution did not rely on Horizon data
wholly or in part; or (iv) the prosecution was not undertaken between
1999/2000 and 2013. The removals took place iteratively, as case papers were
reviewed.
All cases removed from the PFA categories continue to be recorded on the
MTL. Where/how the removed cases are recorded depends on the reason for
their removal. Le.:
a. Where it is confirmed that POL was not the prosecutor or that the
prosecution did not involve Horizon data (but Horizon was installed
at that branch at the relevant time) these are recorded in the ‘Out of
Scope’ Category (10) in the first worksheet of the MTL.
b. Where it is confirmed that there was no conviction or that the
prosecution was not undertaken between 1999/2000 and 2013, these
are recorded in the second worksheet of the MTL.
Where cases are removed from the PFA categories and recorded on the second
worksheet on the MTL, the reason for their removal and the date of removal is
recorded for audit purposes.
In addition to the review of the case papers (i.e. from POL/RMG’s internal
records), other verification exercises have been undertaken in parallel via
external sources. These steps were taken to attempt to verify whether the cases
in the PFA categories (compiled based on the inclusive approach) meet the
PCDE criteria. A summary of these exercises is set out below.
Requesting information from courts
? Albeit, we have earlier versions that can be retrieved via the audit trail inherent in the OneDrive
system.
P
WITNO09890101
WITNO9890101
PETERS & PETERS
13. In June 2020, P&P wrote letters to all of the courts recorded within the PFA
categories (i.e. the courts where the apparent conviction was obtained). P&P
requested:
Confirmation that a conviction was secured in relation to the PFA.
Details of the offences.
The date of the conviction.
Where available, any further information about the case.
nore
14. Where the information received from the court revealed that a case was outside
of the PFA criteria, that case was removed from the PFA categories in
accordance with paragraph 10 above.
15. In December 2020, P&P wrote to the courts for a second time, in relation to PFA
cases in which the identity of the prosecutor was not confirmed. P&P
requested the record sheet and/or confirmation of the identity of the
prosecutor on the court record. Where the information received from the court
revealed that POL was not the prosecutor, that case was removed from the PFA
categories in accordance with paragraph 10 above.
Horizon instalment dates
16.In March 2021, Fujitsu Services Limited (‘FSL’) provided the Horizon
instalment dates for the branches in which approximately 270 PFAs were
employed. These dates were cross-checked against the ‘date of case creation’
in the MTL. The ‘date of creation’ is the recorded date that POL’s Security team
started its investigation into an individual. Where the Horizon instalment date
post-dated the case creation date, that case was removed from the PFA
categories. The basis for removing the case from the PFA categories is that if
Horizon was not installed at the time the investigation was recorded as having
started (i.e. the investigation which culminated in prosecution/ conviction), it
is reasonable to conclude that it was not a Horizon related conviction.
Identifying PFAs - ongoing work
17. At the time of finalising this note, the number of PFAs stands at 649. It is
important to note that this number is not fixed and is subject to change pending
further information to be received from third parties. These third parties may
include the PFAs themselves, the Criminal Cases Review Commission, the
courts and FSL.
18. Several courts have been unable to locate or retrieve the requested records in
relation to some PFA cases convicted between 2000-2005. This is primarily
19.
20.
WITNO9890101
WITNO9890101
P
PETERS & PETERS
because the courts require an exact hearing date to locate the case in their
archive system, which is not always available due to the lack of material held
for these historical cases. Secondly, due to the Covid-19 pandemic, several
courts have been unable to access documentation held in offsite archives.
P&P continue to follow up with outstanding courts by email/phone for a
response to our requests. At the time of finalising this note, P&P is continuing
to follow up with 23 courts. Where new information is obtained on conviction
dates, further requests are sent to the courts.
In recent weeks, details for 42 further branches have been sent to FSL to obtain
Horizon instalment dates relevant to PFA cases. Upon receipt of these dates,
they will be cross-checked against the ‘date of case creation’. As per paragraph
16 above, any case not involving the use of Horizon data will be removed from
the PFA number.
Peters & Peters Solicitors LLP
PETERS & PETER
Annex 1 - Basic details of PFAs identified as at the date of this note
WITNO09890101
WITNO9890101
Number
Forename
Surname
DOB
PFAOO1
PFAOO2
PFAO03
PFAO04
PFAOOS
PFAOO6
PFAOO7
PFA008
PFAOO9
PFA010
PFAO11
PFAO12
PFA013
PFAO14
PFAO1S
PFAO16
PFAO17
PFAO18
PFAO19
PFAO20
PFAO21
PFA022
PFA023
PFA024
PFAO25
PFA026
PFA027
PFA028
PFA029
PFA030
PFAO31
PFA032
PFA033
PFA034
PFA035
PFA036
PFA037
PFA038
PFA039
6
WITNO09890101
WITNO9890101
PFA040
PFAO41
PFA042
PFA043
PFAO44
PFA04S
PFA046
PFA047
PFA048
PFA049
PFAOSO
PFAOS1
PFAOS2
PFA0S3
PFAOS4
PFAOSS
PFAOS6
PFAOS7
PFA0S8
PFA0S9
PFAO60
PFA061
PFA062
PFA063
PFA064
PFAO6S
PFAO66
PFA067
PFAO68
PFAO69
PFA070
PFAO71
PFA072
PFA073
PFA074
PFAO75
PFAO76
PFAO77
PFAO78
PFAO79
PFAO80
PFAO81
GRO
WITNO09890101
WITNO9890101
PFA082
PFAO83
PFA084
PFA085
PFAO86
PFA087
PFA088
PFA089
PFAO9O
PFA091
PFA092
PFA093
PFA094
PFAOSS
PFAO96
PFAO97
PFA098
PFAO99
PFA100
PFA101
PFA102
PFA103
PFA104
PFA105
PFA106
PFA107
PFA108
PFA109
PFA110
PFA111
PFA112
PFA113
PFA114
PFA115
PFA116
PFA117
PFA118
PFA119
PFA120
PFA121
PFA122
PFA123
‘GRO
WITNO09890101
WITNO9890101
PFA124
PFA125
PFA126
PFA127
PFA128
PFA129
PFA130
PFA131
PFA132
PFA133
PFA134
PFA135
PFA136
PFA137
PFA138
PFA139
PFA140
PFA141
PFA142
PFA143
PFA144
PFA145
PFA146
PFA147
PFA148
PFA149
PFA150
PFA151
PFA152
PFA153
PFA154
PFA155
PFA156
PFA157
PFA158
PFA159
PFA160
PFA161
PFA162
PFA163
PFA164
PFA165
WITNO09890101
WITNO9890101
PFA166
PFA167
PFA168
PFA169
PFA170
PFA171
PFA172
PFA173
Ouranda
PFA174
PFA175
PFA176
PFA177
PFA178
PFA179
PFA180
PFA181
PFA182
PFA183
PFA184
PFA185
PFA186
PFA187
PFA188
PFA189
PFA190
PFA191
PFA192
PFA193
PFA194
PFA195
PFA196
PFA197
PFA198
PFA199
PFA200
PFA201
PFA202
PFA203
PFA204
PFA205
PFA206
PFA207
GRO
WITNO09890101
WITNO9890101
PFA208
PFA209
PFA210
PFA211
PFA212
PFA213
PFA214
PFA215
PFA216
PFA217
PFA218
PFA219
PFA220
PFA221
PFA222
PFA223
PFA224
PFA225
PFA226
PFA227
PFA228
PFA229
PFA230
PFA231
PFA232
PFA233
PFA234
PFA235
PFA236
PFA237
PFA238
PFA239
PFA240
PFA241
PFA242
PFA243
PFA244
PFA245
PFA246
PFA247
PFA248
PFA249
WITNO09890101
WITNO9890101
PFA250
PFA251
PFA252
PFA253
PFA254
PFA255
PFA256
PFA257
PFA258
PFA2S9
PFA260
PFA261
PFA262
PFA263
PFA264
PFA265
PFA266
PFA267
PFA268
PFA269
PFA270
PFA271
PFA272
PFA273
PFA274
PFA275
PFA276
PFA277
PFA278
PFA279
PFA280
PFA281
PFA282
PFA283
PFA284
PFA285
PFA286
PFA287
PFA288
PFA289
PFA290
PFA291
‘GRO
WITNO09890101
WITNO9890101
PFA292 ' : ee
PFA293 I I
PFA294 I I :
PFA295 '
PFA296 I I :
PFA297 I I
PFA298 I I I
PFA299 I I
PFA300 I I : :
PFA301 i i H
PFA302 I I I ; I
PFA303 H H I i
PFA304 I I I
PFA305 H
PFA306
PFA307
PFA308
PFA309
PFA310 I
PFA311 I I I i i
PFA312 I : i I :
PFA313
PFA314 I I I : I
PFA315 I I J I
PFA316 Elena Herd
PFA317 I_I i
PFA318 ! GRO i i I
PFA319 Angela [ Sefton '
PFA320
PFA321 I I I
PFA322 I I i i :
PFA323 I : i
PFA324 I I
PFA325 I I i I i
PFA326 I_I I ; I
PFA327 I: ! ; :
PFA328
PFA329
PFA330 I I i j
PFA331 I I i ' i
PFA332
PFA333 { j : !
PFA334
PFA335
PFA336
PFA337
PFA338
PFA339
PFA340
PFA341
PFA342
PFA343
PFA344
PFA345
PFA346
PFA347
PFA348
PFA349
PFA350
PFA351
PFA352
PFA353
PFA354
PFA355
PFA356
PFA357
PFA358
PFA359
PFA360
PFA361
PFA362
PFA363
PFA364
PFA365
PFA366
PFA367
PFA368
PFA369
PFA370
PFA371
PFA372
PFA373
PFA374
PFA375
‘GRO
WITNO09890101
WITNO9890101
WITNO09890101
WITNO9890101
PFA376
PFA377
PFA378
PFA379
PFA380
PFA381
PFA382
PFA383
PFA384
PFA385
PFA386
PFA387
PFA388
PFA389
PFA390
PFA391
PFA392
PFA393
PFA394
PFA395
PFA396
PFA397
PFA398
PFA399
PFA400
PFA401
PFA402
PFA403
PFA4O4
PFA405
PFA406
PFA407
PFA408
PFA409
PFA410
PFA411
PFA412
PFA413
PFA414
PFA415
PFA416
PFA417
GRO
WITNO09890101
WITNO9890101
PFA418
PFA419
PFA420
PFA421
PFA422
PFA423
PFA424
PFA425
PFA426
PFA427
PFA428
PFA429
PFA430
PFA431
PFA432
PFA433
PFA434
PFA435
PFA436
PFA437
PFA438
PFA439
PFA440
PFA441
PFA442
PFAA43
PFA444
PFA445
PFAA46
PFA447
PFA448
PFAA49
PFA4S50
PFA451
PFA452
PFA4S3
PFA454
PFA4SS
PFA456
PFA4S7
PFA4S8
PFA459
WITNO09890101
WITNO9890101
PFA460
PFA461
PFA462
PFA463
PFA464
PFA465
PFA466
PFA467
PFA468
PFA469
PFA470
PFA471
PFA472
PFA473
PFA474
PFA47S
PFA476
PFA477
PFA478
PFA479
PFA480
PFA481
PFA482
PFA483
PFA484
PFA485
PFA486
PFA487
PFA488
PFA489
PFA490
PFA491
PFA492
PFA493
PFA494
PFA495
PFA496
PFA497
PFA498
PFA499
PFASOO
PFASO1
WITNO09890101
WITNO9890101
PETERS & PETER
PFA502
PFASO3
PFA504
PFASOS
PFASO6
PFASO7
PFASO8
PFASO9
PFAS10
PFAS11
PFAS12
PFA513
PFAS14
PFAS15
PFAS16
PFAS17
PFAS18&
PFAS19
PFAS20
PFAS21
PFAS22
PFA523
PFAS24
PFAS25
PFAS26
PFAS27
PFA528
PFA529
PFAS30
PFA531.
PFAS32
PFAS33
PFAS34
PFAS35
PFAS36
PFAS37
PFAS38
PFA539
PFAS40
PFAS41
PFA542
PFAS43
GRO
WITNO9890101
WITNO9890101
PETERS & PETERS
PFA544 : i
PFAS4S ; i
_
PFA546 i L
: I
PFA547 i i
PFA548 ;
PFA549 I
PFA55O i
PFASS1 i
PFASS2 ' I
PFAS53 I I
PFA5S54 i L
PFA555 ; !
PFASS6 I : I
PFA5S7 I
PFASS8 i
PFASS9 I
PFA560 I
PFA561 I
PFA562 ; I
PFAS63 I i
/ 4
PFAS64 ; ; G RO
PFA565 i '
_
PFAS66 I I
PFA567 i
PFAS68 Husmukh I Shingadia '
paseo I 5 = 0c i DO QHNOOC™”™” I L I
PFAS70 iY i
PFAS71. Norman Barber i
PFA572 Robert Ambrose i
_
PFA573 i i
PFAS74 Amanda {
PFAS7S —
PFA576
PFA5S77
PFA578 :
PFA579 I
_
PFA580 i
4
PFA581 '
PFA582
_
PFASS3 I oi
PFA584 Gurdeep Singh Dhale
PFAS8S 1 nnn GRO a
WITNO09890101
WITNO9890101
PFA586
PFAS87
PFA588
PFA589
PFAS9O
PFAS91
GRO -
PFAS92
Timothy
Brentnall
PFAS93
John
Dickson
PFAS94
PFAS9S
PFAS96
PFAS97
PFAS98
PFAS99
PFA600
PFA601
PFA602
PFA603
PFA604
PFA60S
PFA606
PFA607
PFA608
PFA609
PFA610
PFA611
PFA612
PFA613
PFA614
PFA615
PFA616
PFA617
PFA618
PFA619
PFA620
PFA621
PFA622
PFA623
PFA624
PFA625
PFA626
PFA627
WITNO09890101
WITNO9890101
PFA628
PFA629
PFA630
PFA631
PFA632
PFA633
PFA634
PFA635
PFA636
PFA637
PFA638
PFA639
PFA640
PFA641
PFA642
PFA643
PFA644
PFA646
PFA647
PFA648
PFA649
PFA650