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Witness name: Tracy Marshall
Statement no.: WITN11610100
Dated: 22 August 2024
POST OFFICE HORIZON IT INQUIRY
FIRST WITNESS STATEMENT OF TRACY LOUISE MARSHALL
ON BEHALF OF POST OFFICE LIMITED IN THE POST OFFICE HORIZON IT
INQUIRY
I, Tracy Louise Marshall, of 100 Wood Street, London, EC2V 7ER, will say as
follows:
A Introduction
1. I am the Retail Engagement Director within Post Office Limited (“Post
Office”) reporting to the Interim Chief Operating Officer and a member of
the Post Office Leadership Team. My areas of responsibility cover
Postmaster Onboarding, Postmaster Training and Postmaster Contract
Teams, all of whom work closely with and support Postmasters on a day-
to-day basis. My wider responsibilities include Postmaster engagement
and ownership of Post Office's suite of Postmaster Policies.
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2. This witness statement has been prepared to assist the Post Office Horizon
IT Inquiry (the “Inquiry”) with matters set out in two requests made by the
Inquiry under Rule 9 of the Inquiry Rules 2006:
(a) Rule 9 Request 57 dated 12 June 2024 (“R9(57)”); and
(b) I Rule 9 Request 58 dated 2 July 2024 (R9(58)’).
In this witness statement I refer to R9(57) and R9(58) together as the “Rule
9 Requests”.
3. The Rule 9 Requests sought witness statements from individuals presently
involved in the matters underlying questions set out in their respective
annexes. In that capacity, I address in this witness statement the questions
from the Rule 9 Requests set out in the table below:
Rule 9 Inquiry Questions Witness statement section
Requests and paragraph references
R9(57) Question 5 Section F, paragraphs 140-145
R9(57) Questions 11-12 Section E, paragraphs 105-108
R9(57) Questions 17-20 Section F, paragraphs 146-199
R9(58) Section A, Questions 1-4 Section D, paragraphs 14-41
R9(58) Section B, Questions 5-13 Section E, paragraphs 42-104
R9(58) Section C, Questions 14-25 Section E, paragraphs 109-139
4. I understand from Burges Salmon LLP and Fieldfisher LLP (together
“BSFf’), who are assisting Post Office in relation to the Inquiry, that other
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Post Office individuals will address the other questions set out in the Rule
9 Requests.
5. This witness statement is split into the following further sections (which
include those referenced in the table above):
(a) Definitions;
(b) Key documents;
(c) Postmaster contracts;
(d) Induction and support for Postmasters and assistants (including
training); and
(e) Suspension, reinstatement and termination of Postmasters.
6. To make clear which questions I am answering in each part of this witness
statement, I have copied the relevant questions into the sub-headings of
the sections of this witness statement that answer each question.
7. The facts and matters set out in this witness statement are complete and
accurate to the best of my knowledge and belief.
8. Where my knowledge and belief has been materially informed by another
person or by documents that I have reviewed, I acknowledge that person
or those documents.
9. BSFf have assisted me in the preparation of this witness statement.
B DEFINITIONS
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10.
11.
12.
13.
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I use the following defined terms in this witness statement, which I hope
will assist the clarity of my evidence:
(a)
(b)
The “Network” refers to the network of Postmaster businesses. As
the Inquiry is aware, Postmaster businesses are independent
businesses operating under a Post Office franchise contract. Post
Office, as a corporate body, operates a network of over 11,600
branches, the majority of which, save for 114 Directly Managed
Branches, are operated by self-employed, independent business
people and companies (“Postmasters”).
“Onboarding” means the process undertaken by potential new
applicants who are interested in acquiring a Post Office business.
The Onboarding process begins when a prospective new
Postmaster registers their interest in a Post Office opportunity and
concludes when a contract is formally entered into between them
and Post Office.
Further terms are defined in the body of this witness statement.
KEY DOCUMENTS
I have been asked by BSFFf to state that I am not authorised by Post Office
to waive any legal professional privilege that belongs to Post Office.
I understand that the Inquiry has asked for only key documents to be
produced as exhibits to this witness statement. I have taken the approach
* Sub-Postmasters and Sub-Postmistresses are both types of " Postmaster”, but a Postmaster can be a limited company,
partnership, or limited liability partnership, as well as an individual that contracts with Post Office as a postmaster in the
Network.
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D
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of also including documents that I consider may assist the Inquiry in its
understanding of my evidence.
POSTMASTER CONTRACTS (R9(58))
Question 1. Please provide the current SPM contract and set out in detail
what relevant changes have been made to its terms and conditions since
the findings of Fraser LJ in the ClJ or resulting from evidence arising in the
Inquiry.
14.
15.
16.
Although this question pre-supposes that there is currently one, single,
contract applicable to all Postmasters, there are numerous different
contracts which govern Post Office’s relationship with Postmasters. This
reflects changes over time, the different types of branches and different
circumstances in which they operate.
The Standard Sub-Postmaster Contract is the oldest contract variant
governing the relationship between Post Office and its Postmasters that is
presently in use within the network (POL00448049). It was first introduced
between 1991 and 1994 with the intention of moving Postmasters on to a
more modern contract.
In 2012 Post Office began to implement the Network Transformation
Programme. The key aim of the programme was to redevelop the Network
to make it sustainable for Post Office and its Postmasters against the
backdrop of societal changes and decreasing levels of Government
subsidy.
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17.
18.
19.
20.
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As part of the programme, Post Office sought to increase branch
profitability and reduce operational costs. It sought to achieve this by
introducing two new operating models:
(a) The “Local” model; and
(b) The “Main” model.
The Local model facilitated the integration of the branch into the
Postmaster's wider retail business, usually by installing a Post Office
counter with a Horizon terminal next to the Postmaster's retail till (a combi-
counter) with the key aims of increasing the floor space for retail products,
making staffing more efficient and reducing Postmasters' overall costs.
Although Local branches provide a large proportion of Post Office products
and services, the vast majority do not undertake more complex
transactions such as driving licences and passport check and send
services.
The Main model provides the full range of Post Office products and
services from a dedicated Post Office counter. However, usually at least
one combi counter is installed to give flexibility to Postmasters to sell
products and services from the retail side of the business, outside of normal
trading hours, when the dedicated Post Office counter is closed.
In 2012, Post Office wrote to branches informing Postmasters of the
proposed introduction of the Network Transformation Programme and
advising which model was likely to be appropriate for their individual
branch.
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21. As a result of the Network Transformation Programme, Post Office
introduced the Network Transformation Terms (the “NT Terms”?),
comprising two different basic categories of contract: the “Local” contract
(POL00448064) and the “Main” contract (POL00448240).°
22. Although most of the provisions of the Local and Main contracts are the
same, the material differences between them relate to:
(a) Postmaster remuneration;
(b) Initial funding to assist with the branch set up (including equipment);
and
(c) Postmaster notice periods to terminate their contractual agreement
(e.g. a Local contract stipulates six months’ notice is required, and
a Main contract stipulates twelve months’ notice is required. This
difference reflects the fact that as Main branches tend to be larger
in footprint and offer the full range of products and services, it is
likely to take longer to secure a replacement service in order to
maintain customer services in the local area).
23. The majority of Postmasters subsequently transferred to the NT Terms,
however, a proportion of Postmasters did not to transfer to the NT Terms
and remained as SPSO branches on the Standard Sub-Postmaster
Contract (SPSO Individual — POL00448241; SPSO Partnership —
2 Referred to as the “Network Transformation Contract’ in the Common Issues Judgment (at paragraph 18)
° Note there are also a small category of “Outreach Agreements”. The Outreach Agreement relates to Outreach services,
which are pursuant to the terms of a separate agreement. A Postmaster will operate a core branch under the provision of
either the Standard Sub-Postmaster Contract or NT Terms, and the Outreach Agreement applies solely to the Postmaster's
operation of the Outreach service.
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24.
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POL00448242; SPSO Company — POL00000261; and SPSO Agreement
— POL00448244).4
Post Office also have a group of contracts which apply to a Postmaster
when they agree to operate a particular branch on a temporary basis (the
Temporary Postmasters’ Terms). These contracts are typically used where
it is necessary for an interim Postmaster to be engaged in order to continue
to provide services within the local community.
In particular, please identify where and when relevant changes have been
made to:
25.
26.
(a) Make explicit the terms Fraser J found to be implied into the
contract;
(b) Terms relating to contractual liability, remuneration of SPMs on
suspension, termination and compensation for loss of office; and
(c) To remove the onerous or unusual terms identified in the
Judgment.
Following the ClJ, Post Office carried out a "Contract Restatement
Exercise", which involved updating the template NT Terms issued to new
Postmasters to reflect the findings of Mr Justice Fraser (as he then was).
Post Office also produced a guide, the "Common Issues Judgment:
Summary of effect on Postmaster contracts" (the "Contract Restatement
* Part of the process to transfer to the NT Terms involved Postmasters submitting a business plan to demonstrate that
they were able to operate the branch in accordance with the new operating terms (which involved moving from a fixed to
variable remuneration structure). A small number of Postmasters were unsuccessful at this stage of the process,
however Post Office invited them to consider alternative options, including: accept a leaver’s payment of 26 months’ pay;
sell the premises; or find ways to make the business more sustainable and put forwar d an updated business plan.
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27.
28.
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Guide" (POL00037518)), which identifies and explains how the Common
Issues Judgment ("CIJ") clarified the meaning of the contracts and
communicated this to existing Postmasters via its One Channel
Communications tool (POL00448051). The One Channel article informed
Postmasters that the ClJ made several legal findings that clarified how the
contracts should be interpreted; of the terms that were found to be onerous
or unusual and that should be removed; that the summary provided is not
a contract variation; and that Post Office were reviewing whether there
were improvements it could make to Postmaster contracts longer-term.
The Contract Restatement Guide summarises the words used by Fraser J
and makes clear the Court's interpretation of the contracts. For example:
i. “It implies (adds) some new terms into the contracts. Most of
these are additional obligations for Post Office Ltd. There are a
small number of additional obligations that also apply to the
Postmaster.
ii. It replaces or modifies some existing terms. This mainly affects
or restricts Post Office Ltd’s rights under the contracts. In
addition, the Judgment clarifies the meaning of the terms relating
to the Postmaster’s responsibility for losses.
ili. It removes a small number of other terms. This affects or
restricts Post Office Ltd’s rights under the contracts.”
A summary of the implied terms added to the contracts is included in the
Contract Restatement Guide. Examples of the implied terms include:
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(a) General terms that mean obligations for both Post Office and the
Postmaster, including:
"to take reasonable care in performing its functions and/or
exercising its functions within the relationship, particularly
those which could affect the accounts (and therefore liability
to alleged shortfalls)", "to refrain from taking steps that would
inhibit or prevent the other party from complying with its
obligations under or by virtue of the contract", and
"to provide the other party with such reasonable co-operation
as is necessary to the performance of that other party's
obligations under or by virtue of the contract" (page 3 of the
Contract Restatement Guide).
(b) I Terms that mean obligations for Post Office in relation to losses and
shortfalls, including:
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"To provide adequate training and support, including through
the provision of training materials, to the Postmaster,
particularly if and when Post Office imposes new working
practices or systems or requires the provision of new
services",
"To provide a Horizon system which is reasonably fit for
purpose, including any or adequate error repellency",
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(c)
(d)
(e)
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"To cooperate in seeking to identify the possible or likely
causes of any apparent or alleged shortfalls and/or whether
or not there was indeed any shortfall at all";
"To communicate, alternatively, not to conceal the extent to
which the other Postmasters are experiencing problems
relating to Horizon and the generation of discrepancies and
alleged shortfalls" (page 5 of the Contract Restatement
Guide); and
Terms that mean obligations for Post Office in relation to termination
(page 7 of the Contract Restatement Guide).
Terms requiring Post Office not to suspend the Postmaster:
"Arbitrarily, irrationally or capriciously",
"Without reasonable and proper cause", and/or
"In circumstances where Post Office is itself in material
breach of duty in respect of the matters which Post Office
considers give it the right to suspend" (page 6 of the Contract
Restatement Guide).
Post Office's right to withhold payment during suspension is
removed from the contracts (page 6 of the Contract Restatement
Guide). Postmasters now receive payment during suspension, as
set out in the Postmaster Contract Suspension Policy
(POL00448254).
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(f) The term in the contracts stating that the Postmaster acknowledges
that he/she shall not be entitled to receive any compensation or
other sums in the event of the termination or suspension of the
contract or compensation for loss of office is removed (page 8 of the
Contract Restatement Guide).
2. Please describe the process by which SPMs were notified of relevant
changes to their contract following the ClJ.
29.
30.
31.
Although Post Office made efforts to communicate the clarifications to the
meaning of its Postmaster contracts via its One Communication tool and
took steps to brief Area Managers about the changes by way of FAQs to
enable them to deal with any questions arising from Postmasters, it did not
have a process in place to check that Postmasters had read and
understood the Contract Restatement Guide.
Following the ClJ, Post Office made the decision to amend the template
NT Terms being issued to new Postmasters to reflect the Court's
determination (as set out in the Contract Restatement Guide) and to focus
on making operational improvements and positive changes to the way it
works with Postmasters, before making widespread changes to its
standard contractual terms. This was because Post Office assessed that
operational improvements would have a greater beneficial impact for
Postmasters and should, therefore, be prioritised.
An example of these changes includes the introduction in summer 2020 of
the Postmaster Support Guide (POL00448077), which sets out the range
of support available to Postmasters and their staff and how and where they
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can access it. The Postmaster Support Guide is updated annually to take
account of any changes to processes, procedures and support available
with the last update taking place in July 2023. The Postmaster Support
Guide contains information on the following key areas:
(a)
(b)
(c)
()
(e)
(f)
(9)
(h)
(i)
@)
(k)
General support (digital platforms such as Branch Hub and face-to-
face support via Business Support Managers, Area Managers and
Branch Assurance Advisors);
The various ways in which Postmasters and their teams can share
feedback or raise complaints;
Training (including early days support);
Standards of customer service;
Managing cash, stock and branch balancing;
Branch security;
Remuneration (assistance with VAT, invoicing and details of the
Remuneration Support Centre);
Accounting dispute resolution;
Contract performance;
Communications; and
An overview of Post Office's twelve Postmaster Policies.
32. Post Office also introduced a suite of Postmaster Support Policies in 2021,
designed to set out how Post Office teams will support Postmasters and
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33.
34.
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their staff in running Post Office branches. The Policies have the objective
of “ensuring that we are treating Postmasters and their staff fairly,
transparently and professionally” as set out in the Guide to the Postmaster
Support Policies (POL00448222).
In addition, improvements to the Onboarding process were made and the
level of initial training and ongoing support to Postmasters was reviewed
and improved, including the introduction of a new Operational Training
Guide for Postmasters and their teams. Improvements were also made to
the support provided to Postmasters in dealing with discrepancies in
branch as well as to the processes for dealing with suspensions and
contract terminations. A number of these changes made are referred to in
this witness statement and in the witness statement of Melanie Park,
Central Operations Director.
Post Office has also updated and streamlined the way it provides support
and information to Postmasters and their staff, including the key obligations
for the Postmaster and for Post Office, by way of the following documents:
(a) Key Obligations document for Local (POL00448283), Main
(POL00448284) and SPSO branches (POL00448285). The
document is designed to give Postmasters a high-level overview of
each part of the contract with Post Office. The Key Obligations
document explains the four parts of the contract:
i. The Preface (which details the specific branch and is part of
the contractual agreement) (POL00448239);
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(c)
iii.
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The Standard Conditions (which contain general legal terms)
(POL00448240);
The Operations Manual (as described at paragraph 34(b)
and (c)); and
A Fees Booklet which sets out the remuneration structure for
the branch.
(collectively, the "Postmaster Contract")
In 2020, Post Office also reviewed and updated the Operations
Manuals for both Local (POL00448053) and Main (POL00448054)
branches, documents which form part of the Postmaster Contract.
The structure of the manuals was simplified and references to
redundant products and processes were removed. The Operations
Manual is designed to provide Postmasters with key information and
support that they will require for operating their branch and explains
Post Office's requirements and instructions relating to accounting,
security, cash funding, ordering of products, training and data
protection issues (among others).
Post Office recognises that the Operations Manual is one of the key
contractual documents for Postmasters, detailing operational
processes and requirements and supporting them to run their
branches on a day-to-day basis. However, the Operations Manual
was tailored specifically for the Local and Main branches only and
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35.
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not SPSO branches:. As such, the decision was taken to update the
Operations Manual in the Autumn of 2023 to create one easily
accessible digital version, relevant to all contract types and
branches. Following this decision, a detailed scoping exercise was
undertaken to understand what elements of the Operations Manual
required updating, which parts were still relevant and any areas of
duplication. The new version of the manual has been reviewed in
detail by the Postmaster Experience Director who is a serving
Postmaster. The National Federation of Sub Postmasters ("NFSP")
have also reviewed the document. Following this feedback, the
Operations Manual was then shared with a Postmaster working
party comprising approximately 30 Postmasters at a face-to-face
event in June 2024 and feedback was provided, which was
incorporated into a further iteration of the document. In July 2024 a
further meeting was held with this group of Postmasters to update
them on the changes made and further feedback was obtained at
this point. The new version is due to be launched in September 2024
and will be available to view on Branch Hub (POL00448361).
During the time that Post Office has been working to improve its processes
and operations — in particular its working relationship with Postmasters — it
has been considering a widespread review and reform of all its Postmaster
contracts to reflect its current operational practices and to ensure greater
5 Any new Postmasters joining to run an SPSO branch would be signposted to the Operational Training Guide and the
materials available on Branch Hub, including the Postmaster Support Guide
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consistency in the way it contracts with Postmasters (the “Contract
Reform Project”).
36. In July 2024 the Retail Engagement Team presented a proposal for the
Contract Reform Project to the Strategic Executive Group ("SEG"), which
would involve:
(a) Drafting a new contract template in modern and accessible
language that reflects the improved and current operational
practices;
(b) Removing specific rights, obligations and/or terms that are no longer
in use and/or are unnecessary (e.g. products that are no longer in
use, or job titles that are now defunct); and
(c) Amending specific terms to ensure they comply with applicable laws
(e.g. freedom of information, data protection and confidentiality).
37. Following discussions with SEG, work has now commenced on the
Contract Reform Project and a review of the contracts are underway. As
part of the Project, Post Office will, in due course, engage with Postmasters
and the NFSP to gain their input into, and feedback on the changes that
Post Office propose to make.
Question 3. Please describe the process by which new SPMs joining the
organisation are notified of the terms and conditions of their contract. If
SPMs are provided with any accompanying documentation on joining
relevant to their contract’s terms and conditions (such as guidance), please
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also provide these to the Inquiry by way of exhibits to URNs in the
statements.
38.
39.
40.
Prospective new Postmasters are sent a copy of the Key Obligations at the
very outset of their onboarding journey, along with the instructions on how
to apply. As described above in paragraph 34(a), the Key Obligations
document sets out in high level terms the Standard Conditions and other
key contractual documents that form part of the Postmaster Contract with
Post Office.
New Postmasters receive their contractual documents during the final step
of the Onboarding process. They are sent a cover email (POL00448237)
and pack of information containing all the documentation for them to review
prior to signing their contract with Post Office (POL00448238). Both the
email and information pack encourage potential Postmasters to seek
independent legal advice before signing the contract.
The documentation sent via email includes:
(a) Cover letter: which congratulates them on successfully completing
their Onboarding application and outlines the next steps required,
including the review and signing of the Postmaster Contract with
Post Office;
(b) Pack letter: this refers to the various documents (as set out below)
that the potential Postmaster will need to review before completing
and signing the contract.
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(c) The contractual documents, which are attached to the email,
include:
i. Preface;
ii. Standard Conditions;
iii. Operations Manual; and
iv. Fees Booklet.
(d) The pack letter states that the Postmaster Contract will be
conditional, subject to a Valid Property Interest in the premises
being obtained and, if applicable, the existing Postmaster resigning
from their position. The letter also references the Preface to the
contract which contains branch and operator specific information
and which is required to be signed in duplicate before returning to
Post Office.
Question 4. If applicable, please describe the process(es) that enable SPMs
to negotiate the terms of their contract with Post Office. If no such
process(es) exist, please explain why.
41. Postmasters are not able to negotiate the Standard Conditions of their
contract with Post Office, on the basis that it would not be possible to
administer such a large network of branches without standard processes
in place. As Post Office provides a network of branches which sell or
provide a range of services and products on behalf of its various clients,
there is limited flexibility in terms of the processes and standards set out in
the contract. Post Office requires standardisation across its Postmaster
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contracts to enable it to introduce a new product or service without having
to review and amend so many contracts.
E INDUCTION AND ONGOING SUPPORT FOR POSTMASTERS AND
ASSISTANTS (INCLUDING TRAINING) (R9(58)
Question 5. Please provide details of the training now given to SPMs,
managers and assistants on the use and operation of Horizon. In
responding to this question, please detail what relevant changes (if any)
have been made to the provision of training following the findings of Fraser
LJ or resulting from evidence arising in the Inquiry and set out when those
were made. Please outline the training package for both existing and
incoming SPMs, and include the following information in your responses:
(a) any relevant changes or improvements made in the provision of
training;
(b) where, when and by whom training is now provided;
(c) the form, content and duration of training including in particular
training on balancing; the process to be followed when shortages or
discrepancies are identified; audits; transaction corrections,
including when they are disputed; raising disputes and dispute
resolution; and whistleblowing;
(d) what provision is made for additional training on Horizon; on what
basis can additional training be provided;
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42.
43.
44
45.
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(f) what provision is made for additional training when a branch
experiences shortfalls, or if there are significant changes or
modifications are made to Horizon;
(g) any bespoke training implemented because of Fraser LJ’s findings
or resulting from evidence arising in the Inquiry.
Following the ClJ, Post Office has reviewed and made a number of
changes to the training offered and made available to new and existing
Postmasters and their staff.
Before the ClJ, Post Office provided limited training formats to Postmasters
and did not actively inform Postmasters that training was also available for
Postmasters’ staff.
Post Office now offers a blended learning approach to operational branch
training for new and existing Postmasters and their staff, seeking to ensure
that they have the confidence and competency to begin operating a Post
Office branch and that they can continue to access training once they are
fully established in branch. A wealth of new training material has been
developed and is now available. Training is more structured and offered in
a variety of formats: e-Learning modules; classroom training; on-site
training; and digital resources via Branch Hub and the Learning
Management System (“LMS”).
Branch Hub is a digital platform that provides information to help and
support Postmasters and their staff on a day-to-day basis (POL00448364)
Branch Hub also contains the Digital Service Desk to report IT issues.
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46. The LMS is a digital platform that hosts a range of training modules and
information for Postmaster and their assistants. Postmasters and their
assistants will be automatically registered on LMS during the Onboarding
process. Once registered, Postmasters and their assistants are able to
access the e-Learning modules and other training materials online. The
LMS enables Postmasters and their assistants to manage their own
learning journey; they are able to self-register for training (including
classroom training) as and when is necessary (POL00448288).
47. Since the ClJ, Post Office have introduced the following (between August
2019 and January 2022), which remain available today (POL00448286):
(a) Monthly branch balancing (e-Learning);
(b) I ATM accounting (e-Learning and Work Aid);
(c) Accepting and dispatching remittances (Work Aid);
(d) Investigating discrepancies (half day classroom course and Work
Aid);
(e) I Customer experience university (workbook and guide);
(f) Branch Operational Training Catalogue (provides summary of all
courses on offer);
(g) I Operational Training Guide (utilised in the classroom by delegates
with digital versions available on Branch Hub and the LMS);
(h) “How to” videos (available on Branch Hub and the Learning
Management System); and
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48.
49.
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(i) Vulnerable customers (distance learning pack).
Post Office does not currently offer a stand-alone training session or
module on whistleblowing, however, Postmasters and their assistants are
provided with details of Post Office's whistleblowing service, Speak Up, in
the Guide to the Postmaster Support Policies which is part of the
Postmaster Support Guide and the Operations Manual. In addition,
Postmasters have received a variety of materials on the Speak Up service
for display in and around the branch and details of Post Office's Speak Up
function are due to be added to Branch Hub soon.
Post Office has also increased its investment in training resources,
including the formation of a dedicated Training Team comprising:
(a) Head of Postmaster Training & Delivery, who is responsible for the
relationship between the Classroom Trainers, Onsite Trainers and
the Postmaster, for the production and maintenance of e-Learning
modules, operational guides and the work aids relevant to the
learner journey (POL00448046). They are also responsible for the
line management of the Regional Lead Training Managers, the
Network Learning Design Manager and the Learning Technologies
Manager;
(b) Regional Lead Training Managers, responsible for the line
management of the team leaders of Onsite Trainers and Classroom
Trainers and for observing and monitoring Classroom Trainers on a
regular basis;
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(c) 14 Classroom Trainers, of which 10 are located in England, two in
Scotland, one in Wales and one in Northern Ireland, are responsible
for providing classroom training to new Postmasters after they have
completed the required initial e-Learning modules. They will also
provide further refresher classroom training to existing Postmasters
and their assistants;
(d) 35 On-Site Trainers (currently in post, with the capacity for 40°),
responsible for delivering a comprehensive package of training and
delivering onsite support for up to six days to new branch teams.
They will also assist the branch staff with the first cash delivery and
monthly balancing procedure. In addition, Onsite Trainers support
existing Postmasters and their teams as requested, where
additional support is deemed necessary. The Onsite Trainers are
supported by four Onsite Trainer Team Leaders;
(e) Onsite Trainer Team Leaders, responsible for managing and
observing a team of Onsite Trainers;
(f) a Network Learning Design Manager, who is responsible for the
design, production and maintenance of the branch compliance
learning, distance learning packs, e-Learning modules, classroom
courses, operational guides and other materials relevant to the
learner joumey; and
(g) a Learning Technologies Manager, who is responsible for the
effective deployment and ongoing maintenance of a Learning
® Recruitment is ongoing for the remaining 5 posts.
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51.
52.
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Management System, and hosting digital learning content to
Postmasters and their assistants.
Training for new Postmasters
New Postmasters are offered training once they have signed their contract
at the end of the Onboarding process.’
The Onboarding process begins at the point the prospective new
Postmaster responds to a vacancy on the Post Office website and
completes an online form (POL00448294). The applicant's information is
fed through to the Onboarding Team, who will send the applicant a link to
an online application form. Applicants are asked to provide their personal
details, company details, financial information, and to provide a copy of
their CV and business plan on how they will fund the business. Applicants
are given 28 days to complete the application form.
The Onboarding Team will then review the applicant's details and carry out
various background checks together with a financial assessment to
ascertain whether the applicant's business plan is viable.
Once the applicant has their business plan approved, they are invited to a
Suitability Assessment (previously called the Postmaster interview). The
Suitability Assessment is an opportunity for Post Office to get to know the
applicant and answer any queries the applicant may have, as well as
providing insight into how they would effectively manage and run a
sustainable Post Office. An updated approach to Suitability Assessments
7 Across 2023/24 approximately 1517 delegates attended the initial classroom training course. This figure is made up of
multiple delegates for many branches.
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is due to be launched in September focusing on six key areas including
‘leadership’, ‘customer service’ and ‘marketing and promotion’ with the
applicant being invited to present evidence to demonstrate their
knowledge, experience and plans in relation to each area. Each of the six
areas will be scored, with a total of 24 points available overall. The pass
threshold for the Suitability Assessment will be 15 points.
If the applicant passes the background checks and is successful following
the Suitability Assessment, the Onboarding Team will provide electronic
copies of the Postmaster Contract for the new Postmaster to review and
sign.
Following the completion of the Postmaster Contract, the Onboarding
Team will pass the details of the new Postmaster to the Training Team.
This phase of Postmaster training is referred to as “initial training”.
Initial training is split into different stages. The first stage comprises e&
Learning modules hosted by and accessed through the LMS, which can be
completed by the new Postmaster and/or their designated assistants online
in their own time. The modules are interactive and include training on basic
products, services and transactions that can be done in branch, as well as
other compliance related training such as Mails Integrity and Information
Security and Data Protection. Each e-Learning module ends with a
knowledge quiz, testing the new Postmaster’s or assistant’s knowledge of
the module.
Postmasters are required to achieve a score of 100 per cent in the
knowledge quiz in each e-Learning module before they are able to
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progress to classroom-based training. If a delegate does not achieve 100
per cent in the knowledge quiz as part of e-Learning, they can take the test
again and for as many times as they need to achieve the required pass
mark.
Once the compliance modules are successfully completed and individuals
have been vetted by Post Office they are provided with a Horizon ID known
as a SMART ID. It is not possible to access or operate the Horizon system
without a SMART ID.
Postmasters (and their assistants, if applicable) will either attend three
days in classroom for preparation to run a Local branch, or four days in
classroom for preparation to run a Main or Directly Managed branch. This
additional day of classroom training is required for main and directly
managed branches due to the fact that they offer more products such as
DVLA and financial services.
These initial classroom training courses for new Postmasters and their
assistants are structured as follows:
(a) I Two-day Basic Transaction course, which consolidates the product
and service knowledge gained from the e-Learning modules;
introduces the Horizon system and customer conversations.
(b) I One-day Back Office course, which provides training on key back-
office processes including cash management; remittances (value
consignments such as cash, coins and stock that are sent to and
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received from branches); and daily, weekly and monthly balancing
processes on the Horizon system.
(c) Anadditional One-day Basic Transaction course (for Main branches
and Directly Managed branches only) which covers transactions
specific to these branches, including financial services and DVLA.
The purpose of classroom training is to enable Postmasters and their
assistants to practice transactions using the Horizon training system; build
capability on completing transactions and processes; build confidence in
talking to customers about Post Office’s products and services; and receive
face-to-face feedback and support from a Classroom Trainer
(POL00448248).
There are currently 15 classrooms across the UK, each fitted with Horizon
terminals that can accommodate between six to eight delegates.
The training aspires to replicate what happens within a branch. However
there are certain transactions that cannot be completed in the classroom,
for example, an Evri transaction. In these circumstances, the Training
Team signpost Postmasters to the relevant information. These
transactions will also be covered by the Onsite Trainer during the next
stage of the learner journey.
At the end of each classroom course delegates are required to complete a
knowledge quiz comprising 20 questions. This is an open book quiz insofar
as delegates can review documentation and forms during the quiz, as they
would be able to do in a live branch environment. Although there is no pass
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mark, any delegates who receive a score of less than 15 out of 20 are
flagged to the Onsite Trainer as requiring further support during the initial
six days of onsite training. The Onsite Trainer will ensure these areas of
development are covered during their time in branch, and before the
Postmaster is supported by the Business Support Manager (discussed
below). However, it is rare that delegates do not achieve a score of 15
correct answers or higher.
Onsite training and support is delivered in branch during the initial six days
of trading and builds on and embeds the knowledge received from the e-
Learning and classroom sessions (POL00448217). Onsite training
provides on-the-job training when new Postmasters and assistants start to
complete live transactions for the first time and interact with customers.
The key elements of onsite training includes:
(a) Six days of onsite support from a Post Office Onsite Trainer;
(b) I Support in completing a Trading Period balance; and
(c) Branch-specific and tailored training for Postmasters and assistants,
as required and in response to additional needs identified during
onsite support.
The purpose of onsite training is to give a new Postmaster and their staff
in person support in the setting up of their new branch; help to embed the
learning when serving customers for the first time; provide in-branch
training on products and services; provide support in completing daily back-
office activities such as remittances and cash declarations; and provide
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support during the first monthly branch balance. In the event that the first
monthly balance does not coincide with the initial onsite training,
arrangements will be made for an Onsite Trainer or a Business Support
Manager to attend the branch on the day of the first monthly balance and
support the Postmaster and their assistants as required.
During the first six days of the branch opening, the role of the Onsite Trainer
is to support the Postmaster and their team and ensure that as many
transactions and processes as possible are covered. A checklist is
available on the Branch Contact File for the Onsite Trainer to use, which
lists the areas to cover including specific transactions, back office
processes and signposting the support that is available through Branch
Hub and the Branch Support Centre. The Onsite Trainer will complete the
form on the Branch Contact File, recording whether each item has been
transacted, practiced or at the very least discussed. The Onsite Trainer will
also record any areas of concern, and where further support may be
required.
Following the onsite training, the Onsite Trainer hands over the branch to
a Business Support Manager, who is assigned to the branch to provide
support to the new Postmaster and their staff for the first six months. The
Business Support Manager’s role is to continue to support the new
Postmaster and their team, consolidating and reinforcing the training
delivered. In addition, the Business Support Manager will ensure the
branch is complying with the necessary operational requirements, such as
completion of daily cash declarations, monthly trading balances and
management of cash holdings.
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If a requirement for further training is identified, either by the Business
Support Manager or as a result of network monitoring activity, a request for
a further training intervention can be raised. For example, if a branch is
experiencing shortfalls or needs support with investigating discrepancies.
The Training Team will then contact the Postmaster to understand their
requirements and discuss additional training needs. This could include
signposting to Work Aids or online e-Learning modules, agreement to
provide further onsite support or attendance on a classroom course.
Although the topics of discussion during the phone calls and visits to the
branch by the Business Support Manager are led by the requirements of
the Postmaster and their team, the main contact points typically include:
(a) Phone call or visit six weeks prior to the branch opening/transferring
(introductions, discussion around training plan, check on progress);
(b) Phone call or visit two weeks prior to the branch opening/transferring
(check on training progress; Operational Excellence and the
Operations Manual; check for SMART IDs);
(c) Branch visit on day four, five or six on onsite training (discuss
training progress, Branch Hub, sales and marketing, operational
actions, any issues or feedback); and
(d) Branch visit every four weeks (as a minimum) for the first six months
(covering the topics above, but also including regulatory
compliance, remuneration, checks that the branch is comfortable
® Post Office's Operational Excellence Programme commenced in June 2023, with the aim of reviewing and improving
the operational support provided to Postmasters during each stage of their journey with Post Office.
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72.
73.
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with daily, weekly and monthly accounting procedures as well as the
review and dispute functionality, and conversations around overall
branch performance).
Business Support Managers are available to return to the branch should a
Postmaster require further training or support beyond the initial six-month
period in branch. The Business Support Manager will then request the
additional training required where necessary.
The Business Support Manager will also support the Postmaster in driving
the overall profitability of the branch, discussing sales techniques, local
marketing and staffing levels for example.
Post Office have recently updated its Business Support Manager
Handbook, which details the key principles that should be followed when
supporting Postmasters during their first six months, which will be trained
out to the team during August 2024.
Post Office have identified that the incumbent Business Support Managers
have been carrying out Postmaster Suitability Assessments which has
redirected their focus away from providing the Postmaster with early days
support following the onsite training. Post Office are aware this is an issue
and are currently taking steps to move the Suitability Assessments work
into the Onboarding Team, enabling Business Support Managers to focus
entirely on providing early days support to new Postmasters. Post Office
is also actively recruiting to fill the current vacancies within the Business
Support Managers’ team.
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76.
77.
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Training for existing Postmasters
Post Office offers the same training options as described above to existing
Postmasters and their assistants. Postmasters are responsible for their
branch staff's continuous learning cycle. If a Postmaster considers that
they or a member of their team needs initial training or refresher training
on certain aspects of the branch operation they can access training
materials on Branch Hub, self-register for training via the LMS, or contact
their Area Manager to discuss the most suitable options. Postmasters and
their staff can access the online, classroom and digital training content at
any time.
Post Office's refresher training includes courses such as the half day
“Investigating Discrepancies” classroom course, which covers the
importance of cash declarations, back-office reports, how to identify the
common causes of discrepancies, how to correct a discrepancy and what
do to if they need support with a discrepancy.
The Operational Training Guide (Index - POL00137308)° is a fundamental
tool for both new and existing Postmasters providing operational
instructions for the day-to-day activities involved in running their branch.
The Guide includes the following sections:
i. Getting started on Horizon (POL00448121);
ii. Security (POL00448122);
iii. Banking & Payment Exception Service (POL00448123);
® The Operational Training Guide is split into 20 sections.
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vi.
vii.
viii.
xi.
xii.
xiii
xiv.
XV.
xvi.
XVI.
xviii.
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Automated payments (POL00448124);
Inland mail (POL00448125);
International mail — Royal Mail (POL00448126);
International mail — Parcelforce Worldwide (POL00448127),
Travel money (POL00448128);
End of day activities (POL00448129);
Weekly accounting (POL00448130);
Monthly accounting (POL00448131);
Back office transactions (POL00448132);
Cash & stock management (POL00448133);
Postal orders (POL00448134);
Money transfer services (POL00448135);
Passport Check and Send (POL00448136);
Financial services products (POL00448137); and
DVLA (POL00448138).
78. The Operational Training Guide also includes useful information such as
how to access Branch Hub, along with the contact information for Branch
Support Centre and IT Helpdesk (POL00448120). The Operational
Training Guide can be accessed at any time via Branch Hub.
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79.
80.
81.
82.
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Information is also available on Branch Hub in the form of 'Knowledge
Articles' which cover topics including help with weekly and monthly stock
unit processes; help with IT issues; and help with transaction correction
processes.
Following the ClJ, Post Office has introduced further training content,
including:
(a) Aseries of “how to” videos available to view anytime on Branch Hub
or the LMS (videos cover cash declaration — individual stock unit;
ATM balance on Horizon; remitting in cash, among others)
(POL00448363);
(b) A digital “How to run your branch” guide, also available on Branch
Hub; and
(c) A new Investigating Discrepancy Work Aid.
In the event a change or modification is made to the Horizon system or to
any of Post Office’s in branch processes and procedures, the Training
Team will ensure all training materials are updated including the
Operational Training Guide. Notification of any changes are sent to all
branches via the weekly Branch Focus publication which is available to
view on each Horizon terminal.
A full breakdown of the training available to new and existing Postmasters
and their assistants is provided in The Branch Operational Training
Catalogue (POL00448154).
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Question 6. Please provide details of any key guidance, policies, training or
instructions given to those responsible for delivering training.
83.
84.
85.
Members of the Training Team responsible for delivering training are
trained internally. For example, Classroom Trainers who pass the interview
process are required to undergo a structured training plan which involves
observing a course delivered by an experienced Classroom Trainer,
following which they will shadow that Trainer and partially deliver a
classroom course alongside them. Once the new Classroom Trainer feels
confident enough to do so, they will then lead a classroom course with an
experienced Classroom Trainer present to ensure that the content is
delivered correctly. When the new Classroom Trainer is confident to deliver
a classroom course without supervision, a Regional Lead Training
Manager will attend to observe them and sign them off for future delivery.
Once the new Classroom Trainer has completed their training they attend
a regular one-to-one session with their Regional Lead Training Manager,
undertake regular observations and take an open book competency test
every quarter.
To streamline and enhance the quality of training provided to new and
existing Postmaster and their staff, Post Office trainers have the option to
work towards achieving ‘Intermediate’ or ‘Advanced’ levels of Postmaster
training delivery via Post Office’s Quality Assurance & Training Lead
(QATL) Accreditation Framework. The 2-stage QATL Framework supports
trainers to recognise any capability gaps or development areas. A
summary of the requirements for each accreditation level are set out in the
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Quality Assurance Training Lead Accreditation Framework (Personal
Development Tool) guide (POL00448215).
86. Following the ClJ, Post Office introduced The Postmaster Training Policy
(POL00448106), which is reviewed annually and formally approved by the
Audit, Risk and Compliance Committee (ARC). Prior to submission to ARC,
each policy is reviewed and agreed, in addition to feedback from the
Postmaster Experience Director, a serving Postmaster working with Post
Office.
87. The Postmaster Training Policy is given to all members of the Training
Team, Business Support Managers and Area Managers and training
records are maintained.
Question 7. Which department(s) hold responsibility for the policies and
guidelines described above and who holds responsibility for the
management and oversight of that department?
88. The Retail Engagement Director (currently me) is the owner of the
Postmaster Training Policy and has overall accountability to the Post Office
Board of Directors for the design and implementation of a comprehensive
operational training package for Postmasters and their teams.
Question 8. Please provide details of the experience, expertise and
qualifications of those currently responsible for delivering training (or, any
minimum level that is required, if any).
89. There is no formal qualification required to become a trainer at Post Office,
however, certain roles require previous knowledge or experience of Post
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Office processes. For example, Classroom Trainers are required to have
previous training experience and knowledge of the Horizon system and
processes (either from a Directly Managed branch or a Post Office branch)
(POL00448045). As part of the interview process, potential new Classroom
Trainers are required to give a presentation on Horizon to demonstrate
their level of knowledge and understanding of the Horizon system.
Other roles, such as the Onsite Trainer Team Leader, require previous
experience of training and previous experience of line management
responsibility (POL00448100).
Question 10. Please provide any key reports, reviews or investigations
(produced by POL or by an external firm on POL’s behalf) which address
the quality of training provided to SPMs, managers and assistants in
relation to the use and operation of Horizon.
91.
In 2021 Post Office commissioned an external firm, Deloitte, to conduct an
audit and review of the training function as part of its wider review of
whether Post Office had moved towards its stated aim of putting
Postmasters at the heart of the business (POL00038115). Deloitte's Final
Report dated March 2021 observed that, "since August 2019, a full review
of PM [sic] training has been performed and significant changes made to
eLearning and classroom content. In particular, additional eLearning and
classroom courses have been introduced for complex / common problem
area topics such as ATM, Lottery, Monthly Balancing and Investigating
Discrepancies." However, "training for PMs [sic] is primarily focussed on
products and common transactions... with limited coverage of the day-to-
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day operational running of a branch...common customer-related issues,
customer service, soft skills training...""° In addition, Deloitte observed that
the Operational Training Guide and Work Aids mainly provide operational
instructions. Deloitte noted that Post Office management “are currently
working on ways to digitise training to encourage PM uptake and improve
learning".”
92. Asa result of the Deloitte report, engagement across the Training Team
and feedback from Postmasters more generally, Post Office implemented
a number of improvements to the training provided. For example, further
‘How To' videos were introduced, and the LMS was upgraded to improve
overall functionality, including introducing the ability to gain feedback from
users. Steps were also taken to ensure a greater focus on training around
cash management, ensuring that an Onsite Trainer or Business Support
Manager was present to support Postmasters and their teams with the first
cash delivery. The Onboarding classroom courses were also extended to
enable more time for delegates to undertake practical sessions on a range
of more complex transactions, and to explore how to deal with common
customer related issues.
93. The Head of Training and Delivery oversees and manages the work of the
Regional Training Managers to ensure quality assurance across the
Postmaster training function. The Head of Training and Delivery reports
directly into me.
© Deloitte report, page 53.
* Deloitte report, page 49.
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Question 11. Please provide details of any feedback sought or engagement
undertaken with SPMs, managers and/or assistants in relation to their
training on the use and operation of Horizon, and set out any relevant
changes made to the provision of training as a result of this engagement.
94.
95.
Post Office routinely requests feedback from Postmasters and assistants
in relation to their training, and will make changes, if appropriate, to the
provision of training as a result of this engagement.
Feedback is sought from Postmasters and delegates at various stages of
the training journey:
(a)
(b)
(c)
(d)
Learning Management System Survey: to gather feedback on digital
learning content and how easy the LMS is to navigate
(POL00448525 and POL00448526);
Classroom survey: to gather feedback on the entire classroom
experience (facilities, content/handouts and delivery)
(POL00448534);
Onsite Trainer survey: to gather feedback on the delivery of the
onsite training support to new Postmasters (POL00448533); and
Post Go-Live survey: to gather feedback from new Postmasters
after the first two to three months of operating their branch. The
survey is designed to ascertain from the Postmaster how well the
full onboarding training (e-Learning, classroom and onsite) prepared
them to run their branch (POL00448535).
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96.
97.
98.
99.
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The Post Office Training Feedback Forms are all online forums and take
approximately 10 minutes to complete. The Forms ask users to submit a
rating between 0-10 to indicate levels of confidence in particular areas,
including knowledge of products and services; completion of transactions
for customers; and customer conversations. Although the surveys are sent
at regular intervals, the response rate to the surveys remains poor.
Post Office also have a feedback survey form which various internal teams
can submit, such as Area Managers, to feedback directly to the Retail
Training Team on the training content, ways of accessing training, the
promotion of training and other opportunities for improvement
(POL00448532).
In addition, members of the Training Team regularly meet with Postmasters
to discuss training and seek their feedback and any opportunities for
improvement. Post Office have previously held co-creation sessions with
Postmasters to seek feedback. For example as a result of one of these
sessions, several improvements were implemented, including the
extension of the initial classroom training courses by an additional day (up
to three days for a Local branch and four days for a Main branch).
Representatives from the Training Team are regularly in attendance at the
Postmaster Experience Forum and other face-to-face or virtual Postmaster
working groups. Representatives from the Training Team last met with
Postmasters on 18 July 2024. The Training Team also attend meetings
with the NFSP to gather feedback and to address specific training queries.
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100. In June 2024 Post Office established a Feedback Committee to collate all
feedback received on training, to analyse the feedback for patterns or
trends, and to consider any requirements to enhance or change the way it
engages with Postmasters post-training (POL00448523). The purpose of
the Committee is to streamline how Post Office responds to feedback, and
to ensure it is implementing changes where necessary. The Committee
met for the first time on 27 June 2024. The minutes of the first meeting can
be found at POL00448524.
Question 12. To what extent are SPMs expected to train their own managers
and assistants on Horizon? Is any training on Horizon provided to managers
and/or assistants directly by POL?
101. The training made available and provided to Postmasters’ staff, and
Postmasters’ responsibilities to train their staff are described in context in
paragraphs 75-82.
Question 13. Please set out what (if any) provision there is within POL for
SPMs, managers and/or assistants to raise any issues about the provision
or efficacy of Horizon training.
102. Postmasters and/or their assistants who wish to raise any issues about the
provision or efficacy of Horizon training may do so via a number of
channels, including:
(a) Business Support Manager;
(b) I Area Manager;
(c) Branch Support Centre ("BSC");
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(d) Branch Hub ("Feedback and complaints" button); and
(e) Speak Up (for concerns or feedback in confidence, and
anonymously if preferred).
103. Any member of staff working in a branch can call the BSC to raise a
complaint, or, using their SMART ID, log into Branch Hub and use the
complaints function. The Speak Up service is also available to all working
branches and, using the telephone number provided, assistants could use
this service anonymously, without the knowledge of the Postmaster.
104. Details of the Speak Up process are included in the Postmaster Support
Guide and Operations Manual, as described in paragraphs 31 and 34(b)
respectively.
CONTRACTUAL LIABILITY FOR SHORTFALLS (R9(57))
Question 11. Key policies and guidelines (applicable in any of the four
countries of the UK) relating to the contractual liability of PMs and other end
users for shortfalls shown by Horizon currently in force.
105. The ClJ clarified a number of implied terms into the Postmaster contracts
relevant to the liability of Postmasters and other users for shortfalls shown
by Horizon.
106. As explained above in paragraphs 25-28, the Contract Restatement
Exercise sets out these terms, which are included in the Standard Sub-
Postmaster Contract and NT Terms (Local and Main branch) and which
state Post Office shall:
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vi.
vii.
viii.
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"provide a Horizon system which is reasonably fit for
purpose, including any or adequate error repellency;
Properly and accurately to affect, record, maintain and keep
records of all transactions effected using Horizon;
Properly and accurately to produce all relevant records
and/or to explain all relevant transactions and/or any alleged
or apparent shortfalls attributed to the Postmaster’?
co-operate in seeking to identify the possible or likely causes
of any apparent or alleged shortfalls and/or whether or not
there was indeed any shortfall at all;
seek to identify the causes of any such apparent or alleged
shortfalls, in any event;
disclose possible causes of apparent or alleged shortfalls
(and the cause thereof) to the Operator candidly, fully and
frankly;
make reasonable enquiry, undertake reasonable analysis
and even-handed investigation, and give fair consideration to
the facts and information available as the possible causes of
the appearance of alleged or apparent shortfalls (and the
cause thereof);
communicate, alternatively not to conceal known problems,
bugs or errors in or generated by Horizon that might have
"2 Note the term "operator" is also used to refer to Postmaster (see NT Terms (BLP1 Local) POLO0448064).
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financial implications for the Operator and communicate,
alternatively not to conceal the extent to which other
operators are experiencing problems relating to Horizon and
the generation of discrepancies and alleged shortfalls;
properly, fully and fairly investigate any alleged or apparent
shortfalls."
In addition to the Postmaster contracts as referenced above, and for
completeness, the key policies and guidelines relating to the contractual
liability of Postmasters and other end users for shortfalls shown by Horizon
currently in force are the following:
(a)
(b)
Contract Restatement Guide, which provides a summary of the
effect of the ClJ on existing contracts (section 6 of the Guide: Losses
and Shortfalls, pp. 5-6). This document was published on the One
Communication channel on 29 July 2020. As part of this exercise in
responding to the Rule 9 Requests, the Retail Team have been
advised that, due to an archiving exercise, the document is no
longer held on Branch Hub and the Retail Team have arranged to
reinstate it so it can be readily accessed by Postmasters;
Operations Manual, which includes information on daily, weekly and
monthly accounting processes, and how to dispute a discrepancy or
transaction correction. This is currently a hard copy document sent
to the Postmaster as part of the Onboarding process and should be
stored in branch. The updated version due to be launched in
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(c)
(d)
(e)
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September 2024 will be an electronic version accessible to
Postmasters via Branch Hub;
Operational Training Guide, which includes step by step instructions
for how to complete weekly and monthly accounting processes, and
dealing with discrepancies (including guidance on disputing a
discrepancy or transaction correction). This is available to
Postmasters on Branch Hub, under the Training tile, and on the
LMS;
The Contract Performance Policy (POL00448204) which sets out
that "escalating/continuing discrepancies" and "branch accounting
non-conformance" may indicate a contract performance issue. This
is an internal document, however a summary of the Policy can be
found in section 13 of the Postmaster Support Guide, accessible via
Branch Hub, in the "Helping Run Your Branch" section. Post Office
are planning to reissue the Postmaster policies in a streamlined,
external facing template.
The Postmaster Contract Termination Policy (POL00448206) which
deals with serious breaches of contract, including "where a shortfall
of a significant value has been caused by the negligence,
carelessness or error of the Postmaster, resulting in a loss to Post
Office, and which have been fully investigated by Post Office." This
is an internal document, but a summary of the Policy can be found
in section 13 of the Postmaster Support Guide, accessible via
Branch Hub, in the "Helping Run Your Branch" section. Post Office
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are planning to reissue the Postmaster policies in a streamlined,
external facing template.
Question 12. Which department(s) hold responsibility for the policies and
guidelines described above and who holds responsibility for the
management and oversight of that department?
108.
The Retail Engagement Director (currently me) has responsibility for this
area, however any changes to the scope of the Postmaster Contract would
go through SEG and the Post Office Board for approval. Any changes to
the Postmaster Contract would be undertaken by an external law firm and
approved by SEG and Post Office Board following consultation with NFSP.
ADVICE AND ASSISTANCE (R9(58))
Question 14. Please set out all the avenues available to SPMs, managers
and/or assistants to raise queries or questions about Horizon. Is the
Business Support Centre Helpline still the primary source of advice and
assistance for SPMs in relation to Horizon?
109.
The BSC is one of a number of sources of advice and assistance for
Postmasters should they require support or assistance in relation to
Horizon. Post Office currently provide several direct sources of support for
Postmasters, including face-to-face support by Area Managers; telephone
support from the Branch Support Centre, IT Digital Service Desk and Cash
Management Desk; training materials; and digital support by way of Branch
Hub, Horizon Help'® and Branch Focus articles (sent weekly via the
*° A button on the Horizon terminal
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110.
111.
112.
113.
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Horizon terminal). A summary of these sources of support can be found in
the Postmaster Support Guide and is discussed at paragraph 127.
The BSC is the first port of call for Postmasters should they experience an
issue or if they do not know how to obtain the support they need.
Depending on the issue, the BSC may escalate the matter to a different
team for more specialist support.
Should a Postmaster call the BSC with a complaint, the BSC will log the
complaint and transfer the information across to the Issue Resolution Team
who are responsible for responding to complaints.
Training on how to contact the BSC is covered at various stages of the
learner journey. During the initial classroom training course, the Classroom
Trainer will refer to BSC on several occasions, signposting the support
available should Postmasters and their teams require support on
processing transactions, balancing or dealing with discrepancies. During
the six days of onsite training support, the Onsite Trainer will also discuss
the BSC, and this is documented as a specific area to cover on the Branch
Contact File. In addition, details of how and when to contact the BSC are
included in various sections of the Operational Training Guide, as well as
the Postmaster Support Guide and Operations Manual.
Question 15. Please describe the current process an SPM, manager and/or
assistant goes through when they raise a balancing issue and seek to
assistance to resolve it.
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114. As explained above in paragraphs 110-112, the BSC is the first line
telephone support to Postmasters and/or their assistants in the event they
require help with balancing enquiries or to review, resolve or dispute an
accounting discrepancy.
115. When a Postmaster and/or their assistant contacts the BSC, the BSC
Advisor will ask them a series of initial questions to attempt to identify the
issue and support them as appropriate to try and resolve. As this process
is managed by the Central Operations Team I cannot give detailed
evidence as to the current process. However, I understand this process is
explained in some detail in the first witness statement of Melanie Park at
paragraphs 193 and 213.
Question 16. Please provide details of any key policies, guidance, training
or instruction given to those responsible for operating the BSC since the
findings of LJ Fraser. In particular, please confirm whether any training has
been provided on the findings of LJ Fraser.
116. Following recruitment to the role, BSC Advisors are required to undergo
three weeks of induction training. The induction training is a combination
of e-Learning modules and classroom-based training (including Horizon
training which is similar to the training that Postmasters receive), and
includes:
(a) Basic telephone skills;
(b) Call handling modules;
(c) Dynamics 365;
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(d) Branch processes;
(e) Training in how to process a variety of specific products and
services;
(f) Horizon balancing scenario exercises; and
(g) Product exercises and knowledge checks.
117. The Post Office Horizon IT Inquiry is covered as part of induction training,
where the context behind the Post Office Horizon scandal is shared,
including by way of showing extracts of recordings of Tracy Felstead's
witness testimony to the Inquiry. In addition, the Company wide training,
titled Post Office Scandal Awareness, includes excerpts from the evidence
given by Lisa Brennan, William David Graham, Karen Wilson, Harjinder
Butoy, Noel Hughie Thomas and Lorraine Margery Williams.
118. The aim of the induction training is to ensure BSC Advisors reach a level
of competency before progressing to more complex calls and scenarios.
The BSC also runs a “coaching line” which provides additional support to
BSC advisors. The coaching line is made up of eight more experienced
staff who assist BSC Advisors dealing with all types of calls and respond
to questions or queries from the Advisor in the event they are unsure or
need to check a particular point before advising the Postmaster.
119. BSC Advisors do not use specific scripts during the calls. Rather, the
Advisor seeks to identify the issue or problem through asking a number of
questions and using the search function in Microsoft Dynamics to identify
the relevant Knowledge Article (POL00448257) which provides step by
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step instructions for the BSC Advisor to use to assist with the Postmaster's
issue.
Question 17. Which department(s) hold responsibility for the policies and
guidelines described above and who holds responsibility for the
management and oversight of that department?
120.
The BSC sits within Central Operations (led by the Central Operations
Director, Melanie Park) and is managed by the Head of the BSC
(POL00448287). Two Operations Managers report into the Head of the
BSC, one of whom is responsible for the day-to-day operational delivery,
and the second responsible for recruitment, training and delivering the
quality framework. A team of approximately 50 Advisors is managed
through four Team Leaders who report to the Operations Manager. There
is a separate team of 15 advisors led by two Team Leaders who support
specifically with enquiries related to PUDO services (parcel pick up and
drop off services provided by third parties such as Evri and DPD).
Question 18. Please provide details of the experience, expertise and
qualifications of those responsible for operating the Helpline (or, any
minimum level that is required, if any).
121.
There is no formal qualification required to become a BSC Advisor.
However, the selection process is focussed on identifying applicants who
are customer focussed, can demonstrate empathy and strong listening
skills and have a passion for delivering the right outcomes. There are a set
of standard questions used to interview applicants and, whilst these do not
specifically call out empathy or strong listening skills, the competency-
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based questions are aimed at eliciting evidence of these skills and
behaviours. Once the Advisor is employed, Post Office have a strong
training process that allows us to identify specific needs and address the
same during the probation period. There is also the option to extend the
probation period if that will support the Advisor to achieve the required level
of competence. The key skills of empathy and listening are monitored as
part of the quality assurance process (described in paragraph 122). The
training described in paragraphs 116-119 should ensure each Advisor has
the right technical skills to support their positive behavioural attributes.
Question 19. Please describe how (if at all) the advice provided by the
Helpline is monitored, reviewed or checked for quality assurance purposes.
122. Calls to the BSC are regularly monitored for quality assurance purposes,
and to ensure BSC Advisors receive any additional support they require.
Currently, the Team Leader will monitor a minimum of four calls per month,
per advisor. The Team Leader will listen to the duration of the call using a
headset, and all monitored calls are recorded and retained for a minimum
duration of 18 months. All calls are recorded through Puzzel (BSC contact
centre platform) into EvaluAgent," a third-party quality and performance
improvement platform. Team leaders will select a sample of calls on a
random basis and use the EvaluAgent software to assess the call and
provide feedback both positive and developmental to the advisor.
Evaluagent are a third party partner of Puzzel (the company who Post Office engage to record the calls). Post Office
use Evaluagent software to pull samples of calls from Puzzel to enable assessments to take place. Post Office pay for
licences for each user.
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Question 20. Please describe how (if at all) the calls raised with the Helpline
are monitored, reviewed and/or checked to identify any potential issues in
branches, including in particular (a) shortfalls and (b) potential bugs, errors
or defects (‘BEDs’) in Horizon.
123.
124.
I cannot give any evidence from direct knowledge in relation to how calls
with the BSC are monitored and/or reviewed to identify any potential issues
in branches, including in particular shortfalls and potential BEDs in Horizon,
as the operational aspects of the BSC falls under the remit of the Central
Operations Director. However, I have been assisted by Post Office's
Central Operations Team and my understanding is that during calls to the
BSC, the Advisor will seek to identify whether the query or issue relates to
what Post Office define as a ‘Branch Impacting Problem’ ("BIP"). BSC
Advisors are trained to check whether the potential BIP has been reported
previously and whether there is a relevant Knowledge Article that can
assist them in resolving the issue. BSC Advisors are required to log all
instances of BIPs, whether or not they have been reported previously,
which they do so by completing the relevant section on the Microsoft
Dynamics system. The data is then pulled onto a BIP Tracker document,
which is managed by the IT Department, who seek to resolve the issues
identified.
My understanding is that as part of the BSC call monitoring process, as
described above in paragraph 122, Team Leaders monitor that potential
BIPs have been logged by the Advisor.
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Question 21. To what extent (if at all) are branches proactively notified of
BEDs or anticipated shortfalls in their branch accounts? If applicable,
please explain the notification process, when such a situation would arise
and how frequently this has occurred since the Horizon Issues Judgment.
125.
126.
As explained in relation to the previous question, I am unable to describe
in detail the exact process followed to proactively notify branches of any
potential BEDs or shortfalls in their branch accounts as this falls under the
remit of the Central Operations Team.
Whilst this falls beyond the scope of my responsibilities as Retail
Engagement Director, to assist the Inquiry, I have been informed that in
the event of any system related issues, either on Post Office's systems or
in relation to third party software, the relevant teams within Central
Operations will be requested to carry out tasks in line with the IT Major
Incident Management Standard Operating Procedure (POL00337591),
which is managed by the Major Incident Manager allocated to that incident.
Specific tasks involve making the necessary communications to impacted
branches about what processes will be followed to rectify the issue.
Regarding any defects or issues in relation to Horizon, I understand that
these are set out in Knowledge Articles which are published on Branch Hub
within 48 hours of the Horizon defect or issue being identified. I understand
that the IT Major Incident Management Standard Operating Procedure is
due for its annual review.
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Question 22. Please provide details of any other sources of advice and
assistance made available to SPMs, managers and assistants on the use
and operation of Horizon since the findings of LJ Fraser.
127. In addition to the BSC, Postmasters and their assistants can seek advice
and assistance from the following sources:
(a) Face-to-face support by the Area Manager or Business Support
Manager;
(b) Telephone support from the IT Digital Service Desk;
(c) Telephone support from the Cash Management Desk;
(d) Branch Hub, which contains the IT Digital Service Desk; and
(e) ‘Branch Focus' articles sent to branches via the Horizon terminals
and Knowledge Articles (available on Branch Hub to help
Postmasters and their assistants troubleshoot common issues
and to enhance knowledge about Post Office processes and
services, including the transaction correction process, help with
weekly and monthly accounting processes and help with IT
issues).
128. Post Office continually reviews the ways in which it supports Postmasters
and their teams. In addition to the regular reviews of Postmaster feedback
and complaints, Post Office will send an annual survey to all internal staff
inviting comments and suggestions as to how it can continue to improve its
services and support to Postmasters and their teams.
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Question 23. Please provide any key reports, reviews or investigations
(produced by POL or by an external firm on POL’s behalf) which address
the quality of the advice and assistance provided via the Helpline and any
other avenues available (as set out in response to Q22 above) since the
findings of LJ Fraser or resulting from evidence arising in the Inquiry.
129.
130.
As set out above in paragraph 91, Post Office commissioned Deloitte in
2021 to carry out a review of the Postmaster journey. Deloitte identified that
there was a lack of cultural and soft skills training provided to key support
teams, which meant that Postmaster-facing support teams such as the
BSC are not always equipped with the soft skills required to communicate
with Postmasters in an effective and supportive way. In addition, Deloitte
found that there was scope to establish consistent call quality monitoring
processes. ‘>
Over the last three years, changes have been implemented to improve the
quality and content of induction training for BSC Advisors. Historically,
training was more focused on developing a working knowledge of
transactions and other branch processes through attendance on a two-
week classroom-based course, with little focus on the soft skills required
when speaking with Postmasters and their teams. BSC Advisors now
follow a nine-week structured induction process, starting with time in the
classroom, progressing to deal with simple calls first and then calls of a
more complex nature, following additional time in the classroom.
45 Deloitte report, page. 68.
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131.
132.
133.
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The training involves much more focus on demonstrating empathy with the
caller, understanding how they are feeling and building rapport with them.
Specific modules are covered as part of the induction process covering
areas such as ‘overcoming objection’, ‘positive communication’,
‘questioning skills’ and how to deal with emotional factors.
Similarly, improvements have been made to the way in which calls into
BSC are monitored to ensure quality. Historically, the approach was based
on a series of tick boxes to assess whether the Advisor had completed a
specific set of actions, an approach that did not monitor the effectiveness
of the soft skills and ultimately the Postmaster's potential satisfaction with
the resolution. Now, quality assurance is based more on the behaviours
exhibited by the BSC Advisor, including their overall confidence, whether
they take ownership of the issue, and demonstrate positive communication
with the caller. As explained previously, all calls are recorded and a sample
of calls each month are reviewed by Team Leaders against an agreed
matrix.
If there are any issues highlighted as part of the call monitoring process,
several options are available to address them. One to one coaching by
team leaders is the first step and a mentor process is also in place, where
Advisors who are struggling to deliver the relevant customer experience
(either due to lack of product knowledge or confidence) are allocated a
coach who will work with them over a longer period of time to build a
personal coaching plan that will develop the relevant skills/behaviours
required. This could include additional coaching on a specific product, if a
gap is identified.
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Question 24. Please set out the means by which an SPM, manager and/or
assistant can provide feedback of their experiences or using the Helpline
and/or any other avenues of assistance (if applicable).
134. As set out in paragraph 31, Postmasters and their assistants can provide
feedback or raise complaints via a number of channels, as detailed in the
Postmaster Support Guide.
135. Following a Postmaster and/or their assistant contacting the BSC, an email
will be sent to them inviting them to complete a customer satisfaction
survey using the link provided in the email. Every completed survey will go
into a draw to win a £200 One4All gift card with winners being contacted
directly each month. This is designed to encourage participation in the
survey. Although the survey has been in place for some time, it was
relaunched in January 2024 via the weekly Postmaster email.
136. Survey results are monitored via the weekly and monthly Central
Operations Dashboard. Postmaster satisfaction levels are currently
trending consistently above 80 per cent with over 75 per cent of calls
answered within our SLA of 60 seconds.
137. The Head of the BSC also attends the monthly Postmaster Experience
Forum (chaired by the Postmaster Experience Director, who is a serving
Postmaster) to receive feedback from Postmasters directly and discuss
any future actions taken to improve the service.
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Question 25. Please set out the measures POL has in place to ensure that
SPMs, managers and assistants who contact POL for assistance with
Horizon receive useful, tailored advice.
138.
139.
BSC Advisors are trained to provide support and assistance that is relevant
and tailored to the specific needs of the Postmaster and/or their assistants.
As explained above, BSC Advisors do not use preprepared scripts during
their calls with Postmasters and/or their assistants; rather, they will ask a
range of questions based on the query and have access to Knowledge
Articles and the BSC coaches (should they want to confirm their response
before communicating this to the Postmaster, or if they are not sure of the
correct answer) to ascertain whether the issue requires specialist support.
In addition to the BSC, Post Office have a number of teams who are skilled
and equipped to deal with specific issues that may have arisen as a result
of a technical issue or operational issue. For example, in the case of
accounting discrepancies, they will be directed to the Network Support &
Resolution Team who will 'triage' the issue and who will ensure the
Postmaster and/or their assistant receives the advice and support that is
most relevant to them.
SUSPENSION, REINSTATEMENT AND TERMINATION OF
POSTMASTERS (R9(57))
Question 5. The number of SPMs’ whose contracts were suspended or
terminated based on Horizon data since the Rule 9 start date, and the
outcome.
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140.
141.
142.
143.
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Post Office does not hold a complete record of historical data in relation to
Postmaster Suspensions, Reinstatements'® or Terminations (“SRT”). Prior
to financial year 2017/18, the Contracts Team was managed as two
separate teams (North and South) with each team holding their own data.
It may be possible that some additional data from pre-2017 exists that
could be derived from a manual review of individual branch files. This would
be a significant undertaking and I could not be confident that this would
produce accurate figures.
The data for financial years 2017 to 2024 inclusive can be found in the table
below at Figure 1. This shows the number of branches where there was a
suspension and whether this led to termination or reinstatement. This figure
does not identify the number of Postmasters, but the number of branches.
Each Postmaster might have run more than one branch.
The numbers in brackets indicate the number of those suspensions,
terminations or reinstatements which were based on Horizon data. This
distinction has been recorded by Post Office since financial year
2019/2020.
For financial years 2017/18 and 2018/19, Post Office did not keep records
that identified whether the SRT was based on Horizon data. The Head of
Contract Management and Deployment has undertaken an analysis into
the reason for suspension or termination in these cases and whether it is
'® Reinstatement refers to the period following suspension, or post termination decision on appeal where there is ongoing
challenge but the termination has not been enacted
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likely or unlikely that they were based on Horizon data. I have included
those figures in the table below:
(Contract
(Contract [Terminations
Contract ITerminations IRequested Notice not leading
Financial ISuspensions leading from jtoLeave during (Contract in from a
Year Branches) suspension) Suspension lReinstatements [Progress suspension)
2017/2018 163 (137)* 425(111)* T(1* 37 (25)" 0(0) No Data
2018/2019 201 (158)* 143 (11) * 5 (3)* 53 (45) * 0(0) No Data
2019/2020 101 (91) 62 (55) 2(2) 36 (35) 1(1) 7 14 (0)
2020/2021 4(2) 3(2) 0(0) 1(0) (0) 22 (0)
2021/2022 25 (13) 17 (12) 0(0) 6(1) 2(0) ® 3(0)
2022/2023 33 (29) 11(11) (10) 9(7) 1(1) 3(0)
2023/2024 17(14) 3 (2) 6 (6) 4(4) 4(2) 19 1(0)
2024/2025
(24/6/2024) 3(3) 0(0) 0(0) 0(0) 3 (3) 2 0(0)
Figure 1 — Table of the contract suspensions, reinstatement and terminations from 2017 —
2024. Brackets based on a likely/unlikely analysis. Where there is an * the figures in brackets are
the number of cases ‘likely’ based on Horizon data.
144. As is evidenced by the table, the number of contract suspensions and
terminations reduced after the 2019/20 financial year. In 2019 Post Office
introduced new policies and procedures in this area, evidenced in the
Postmaster Contract Suspension Policy (POL00448254) and Postmaster
” Suspended GLO/Freeths claimant. There were 22 branch suspensions relating to 20 Postmasters (two of the
Postmasters ran two branches each), all of whom were a claimant under GLO. These suspensions were ended through
settlement agreements with each Postmaster. 19 Postmasters requested their contracts be ended through mutual
agreement and one Postmaster (two branches) requested that their agreement be reinstated. The final claimant who asked
that their contract be ended but, to date, has not entered into an agreement is this suspension. A call was recently held
between HSF and Freeths. Freeths confirmed that there are no specific issues with the settlement offered or clauses in
the draft deed which are of particular concern however the delay is caused by a broader, more general concern that, by
signing the deed the suspended Postmaster will be giving up their rights against Post Office and, at present, they are not
inclined to sign the deed. Ultimately, Freeths are hopeful of movement in the next couple of months
‘® Both Postmasters have been arrested and charged with offences relating to financial crime
"Two of these Postmasters have been arrested and charged with offences relating to financial crime. The other
suspensions have been prolonged due to issues in arranging Postmaster meetings, one is now at a stage where the
decision will be reviewed by extemal professional advisors.
® Relatively recent suspensions in process, all at a point of a meeting being undertaken with the Contract Advisor after
review.
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145.
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Contract Termination Policy (POL004482006). A key principle detailed
within the policies is that decisions should only be taken where absolutely
necessary and after all reasonable alternatives have been considered.
Improvements in the decision-making processes, including the need to
ensure Post Office investigate properly and thoroughly all of the facts, have
moved us to a position where suspension is not the first and only option.
The ongoing trend of reduced numbers of terminations is the result of Post
Office's adherence to the policies (as described below in paragraph 161)
and its improvements to the way it provides support to Postmasters in
cases where contract performance issues have arisen. It is also worth
noting that as a result of the Covid-19 pandemic in 2020, there were fewer
visits to branches, in turn, impacting the numbers of suspensions and
terminations.
Questions 19. Which department(s) hold responsibility for making
determinations in relation to the suspension, reinstatement or termination
of Subpostmasters and any consequent appeals, and who _ holds
responsibility for the management and oversight of that department?
Contract Advisors
146. The Contract Team are responsible for the determinations on SRT and the
Head of Contract Management and Deployment has responsibility for this
department. The Head of Contract Management and Deployment reports
directly to me.
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147.
148.
149.
150.
151.
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Within this team, Contract Advisors are directly responsible for making
determinations on SRT. There are currently four Contract Advisors and one
current vacancy. The role of a Contract Advisor is to manage Postmaster
conformance to their contractual obligations where other support activities
have failed to remedy issues identified. Contract Advisors are required to
understand the Postmaster contracts. They follow procedures to manage
and resolve contractual breaches to meet the required standards. This may
lead to the suspension and/or termination of a Postmaster’s contract.
Contract Advisors do not investigate branch discrepancies or deal with the
recovery of sums outstanding in branch accounts.
The role of Contract Advisors is separate to that of Area Managers, who
handle the day-to-day commercial and operational relationship with the
Postmaster.
The Contract Advisor team used to sit under the same management as the
Branch Assurance Team. However, in June 2023 Group Assurance
identified that this might be perceived to give rise to a conflict of interest
and Post Office has acted on that advice, moving the Contract Advisor
team to sit under me in August 2023.
I am aware of the Common Issues Judgment Assurance Review dated 31
July 2023 completed by colleagues from Group Assurance. This identified
a number of recommendations. The Retail Team provide periodic updates
to ARC on the status of recommendations and improvements implemented
to date, including at the most recent ARC meeting which took place on 1
July 2024.
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Question 18. The experience, expertise and qualifications of those
responsible for making determinations in relation to the suspension,
reinstatement or termination of Subpostmasters and any consequent
appeals (or, any minimum level that is required, if any).
Experience and Qualification
152.
153.
154.
There are no specific qualifications needed to be a Contract Advisor. The
experience varies across the current team; however, the job description
requires a track record of delivering results and improving performance
within a complex multi-site environment, building relationships and
communicating effectively with Postmasters (POL00448198).
All of the current Contract Advisors had previous Post Office experience
with knowledge of the business and an extensive understanding of branch
operations. These roles are advertised externally and internally.
Of the four current Contract Advisors:
(a) One advisor joined Post Office in 2005 as an Area Sales Manager
before working as an Area Manager for nine years and now as a
Contract Advisor. They do not have any formal qualifications but
have a wealth of experience at Post Office, both in operations and
in communicating and working with Postmasters.
(b) Another advisor joined Post Office in 2012 in the Network
Transformation team and has worked in various roles in the
business including Area Network Change Manager, Business
Support Manager and now Contract Advisor. They do not have any
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formal qualifications but have over 30 years’ experience in retail and
contract management.
(c) Another advisor joined Post Office in 1981 and started the role of
Contract Advisor in 2006. They have no formal qualifications but do
hold almost 20 years’ experience of performance management of
Postmasters in line with their contractual obligations.
(d) The fourth advisor joined Post Office more recently in 2016 and
does not hold any formal qualifications. They are an active mental
health ambassador which has transferable skills within their role as
Contract Advisor when handling difficult conversations.
155. The Head of Contract Management and Deployment has been employed
by the Post Office since 2003, initially in an administrative role and has
progressed through the business, taking on the role of Contract Advisor in
2011 and Contract Investigation and Resolution Manager (since re-titled to
Head of Contract Management and Deployment) in September 2019.
Although he has no formal qualifications, he has committed his career to
Post Office and has extensive experience of the business and managing
performance.
Question 17. Key guidance, training or instruction (applicable in any of the
four countries of the United Kingdom) given to those responsible for making
determinations in relation to the suspension, reinstatement or termination
of Subpostmasters and any consequent appeals currently in force.
Induction and Training
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156.
157.
158.
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The Contract Advisor Induction and Training Programme was designed by
the Head of Contract Management and Deployment and sets out the
induction training available for Contract Advisors upon starting the role
(POL00448194). As part of this induction, Contract Advisors review the
Postmaster contracts and the policies that underpin the work the Contract
Team does. They also meet with other Contract Advisors who will provide
practical guidance, support and act as a ‘buddy’ for a new starter. In
addition, the Contract Advisor will review live examples of cases and
understand how the information is to be recorded. The Head of Contract
Management and Deployment will provide an overview of Postmaster
contract types, the ClJ and the effect of the judgment on Postmaster
contracts, as well as mandatory Post Office training which introduces new
starters to the Inquiry and includes videos on the human impact. No legal
training is provided to the Contract Advisors.
At the end of the first week, a review will be undertaken between the new
starter and the Head of Contract Management and Deployment of the
progress against the induction plan.
By week three, once the Contract Advisor has familiarised themselves with
the Postmaster policies on SRT, they will be introduced to their own cases.
They will also make contact with the Regional Manager for the areas they
will cover to introduce themselves. Time will be spent with an Area
Manager and, where possible, the Contract Advisors will attend some
branches with them to gain a deeper understanding of branch operations.
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159.
160.
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It is the responsibility of the Head of Contract Management and
Deployment to ensure that the induction of the Contract Advisor takes
place and accurate records of each activity completed are kept, maintained
and stored centrally. The Head of Contract Management and Deployment
will determine when the Contract Advisor is ready to take on their own
cases, against a specific checklist (see the Appendix to the Induction and
Training plan), whilst initially continuing to be supported by another
experienced Contract Advisor.
Contract Advisors have ongoing one-to-one conversations with the Head
of Contract Management and Deployment and ad hoc training as identified
by the Head of Contract Management and Deployment. For example, at
the end of 2023, training was delivered to Contract Advisors on the role of
POL Legal in relation to suspensions and terminations, and the process for
determining the risk associated with Post Office taking a decision to
terminate a Postmaster's agreement (POL00448232).
Guidance and Policies
161.
Area Managers are generally the people within Post Office who contact a
Contract Advisor, although anyone at Post Office e.g. the training team, the
Network Provision Team or senior leadership can contact the Contract
Advisors if they feel there is a conformance issue in branch that needs
addressing. In the first instance, this is likely to be through a phone call to
the Contract Advisors, followed up with an email. The Contract Advisor
team then log a record on MS Dynamics.
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162. The key guidance or instruction given to Contract Advisors on SRT is
contained in the four Postmaster support policies:
(a) I Postmaster Contract Performance Policy v5.1 (28 June 2024);
(b) Postmaster Contract Suspension Policy v5.2 (24 July 2024);
(c) Postmaster Contract Termination Policy v5.1 (28 June 2024); and
(d) Postmaster Contract Termination Decision Review Policy v3.1 (28
June 2024) (POL00448205).
163. These policies are reviewed annually and approved by the Risk and
Compliance Committee (RCC) and ARC. They were all last approved by
RCC and ARC in November 2023, with the next review scheduled for
November 2024. The RCC consists of:
(a) Group Chief Financial Officer (Chair) - Preetha McCann (interim)
(b) Deputy Chief Executive Officer - Owen Woodley
(c) Chief Transformation Officer - Chris Brocklesby
(d) Retail Engagement Director (me)
(e) I Group Chief People Officer - Karen McEwan
(f) Group General Counsel - Sarah Gray (interim)
(g) Finance Director, Commercial - Max Jacobi
The following individuals shall be permanent invitees of the Committee:
(h) I Compliance Director - Jonathan Hill
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(i) Head of Risk
() Head of Internal Audit
(k) Financial Controller
(I) Group Legal Director - Christian Spelzini (interim)
(m) Group Assurance Director — Anshu Mathur.
(or those holding positions with responsibility for such roles, howsoever named).
164.
165.
166.
The RCC is a standing committee of SEG. The purpose of the RCC is to
support the SEG in fulfilling their responsibilities in the effective oversight
of risk management, internal control and assurance, and compliance in the
Group. The RCC shall ensure the timely and appropriate reporting to the
SEG, the ARC and the Board (as requested).
The Contract Advisors are updated with any changes to the policies after
each review.
There is also the internal guide to the Postmaster support policies.
Monitoring Postmasters’ Contract Performance
167.
In the event that a contract performance issue arises (where a Postmaster
is not meeting operational requirements under the Postmaster Contract, for
example, in relation to poor premises standards) the Contract Advisor will
speak to the Postmaster and establish the circumstances and, as part of
that, whether any further support may be needed to improve their
contractual conformance.
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168.
169.
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If the conformance issues have not improved and further support and
intervention is required, a meeting will be arranged with the Postmaster.
The Postmaster is invited to bring a member of the NFSP, another
Postmaster or a legal representative to the meeting who can speak on the
Postmaster’s behalf. If the Postmaster requested a representative from the
CWU or another Trade Union, Post Office would facilitate this
(POL00448225).
The Postmaster Contract Performance Policy advises how to deal with
conformance issues that could escalate to an SRT position. Where
reasonably possible, the Contract Advisor will resolve any contract
conformance issues by supporting branches and working with branches
and the relevant Area Manager. The procedures as detailed in the
Postmaster Contract Performance Policy are intended to be used for
serious breaches of contract and are usually a last resort once all other
support mechanisms have been exhausted.
Suspension of the Contract
170.
If the initial intervention is unsuccessful in improving contract performance,
the Contract Advisor will follow the contract performances issues
procedures as detailed in the Postmaster Contract Performance Policy to
determine the appropriate next step. These may include:
(a) Written directions to the Postmaster identifying the breach in their
contract and seeking a formal remedy; or
(b) I Suspension.
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171.
172.
173.
174.
175.
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There are circumstances which necessitate a direct route to suspension,
for example, an admission of misuse of Post Office funds.
The Contract Advisor team has a record of which contract each Postmaster
is appointed on, to identify if a contract breach has occurred.
A letter is sent to the Postmaster setting out the suspension decision, the
rationale for that decision, next steps, appointment of a temporary operator
(if agreed) and the complaints or concerns procedure (POL00448226).
The Postmaster Contract Suspension Policy sets out the principles behind
the suspension process, including:
(a) Carrying out an investigation;
(b) Documenting the rationale behind a decision;
(c) Considering alternative contractual action;
(d) Informing Postmasters of the decision;
(e) Paying fees during suspension; and
(f) Arranging a temporary operator during the suspension period.
The policy also sets out the circumstances in which it may be necessary to
suspend a Postmaster’s contract, for example to investigate the cause of
a potential contractual breach issue (noting that there is no implication that
there has been breach of contract or any predetermination as to the
outcome of the investigation). Post Office, however, considers that
suspensions should only occur when there is no other appropriate
alternative.
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176. The Contract Advisors make a recommendation to the Head of Contract
Management and Deployment on suspension, who then makes the final
decision. This decision is then reviewed at the next Postmaster Suspension
Decision Governance Committee meeting (POL00448228). The members
of the Postmaster Suspension Decision Governance Committee include:
(a) Head of Contract Management & Deployment (Chair; Non-Voting
Member)
(b) Head of Assurance & Complex Investigations
(c) Head of Network Support & Resolution
(d) Retail Operations Director — Pete Marsh.
(e) Head of Postmaster Engagement
(fy) Head of Group Assurance — Anshu Mathur.
(g) I Head of Legal — Dispute Resolution (Non-Voting Member); and
(h) Head of Risk (Non-Voting Member).
177. To date, no decision has been overturned by the Postmaster Suspension
Decision Governance Committee.
178. All contract suspension decisions will be reviewed by the Postmaster
Suspensions Decisions Governance Committee, who sit on a monthly
basis to ensure all decisions were taken in line with the relevant contract
and Post Office policies.
Termination of the Contract
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179.
180.
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The Postmaster Contract Termination Policy sets out Post Office’s
principles for the termination process, including:
(a) I Understanding termination rights;
(b) Carrying out an investigation;
(c) Documenting the rationale behind a decision;
(d) I Checking the contractual obligations are fulfilled;
(e) Considering alternatives to termination;
(f) Applying notice periods; and
(9g) Informing Postmasters of the decision.
Before a Postmaster’s contract is terminated, a meeting is held with two
members of the Contract team and the Postmaster. The purpose of the
meeting, as set out in a letter sent to the Postmaster, “is to establish facts
and to give you an opportunity to identify and answer any issues that have
been identified. Post Office will use the content of this meeting, along with
other areas of review, in determining next steps and this may include a
decision to terminate your Agreement. With this in mind this is also an
opportunity for you to raise any material issues that you need me to be
aware of as well as the impact any decision by Post Office may have on
you. I will then take the contents of the discussion into account in making
a decision as to what will happen next” (POL00448227). The letter informs
the Postmaster that they have the option to bring legal representation or
another representative (e.g. NFSP, a trade union representative, a friend
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or a colleague — all who can speak on behalf of the Postmaster) and the
fact that termination of the contract is in contemplation. Sometimes,
Postmasters do not engage with this process. The Contract Team will
make multiple efforts to engage with the Postmaster, however, if they are
unable to do so, a decision will need to be reached based on the
information available.
181. The meeting invite letter also recommends that the Postmaster seek their
own legal advice.
182. The Contract Advisors build a decision rationale document which includes
the background of the situation, a review of what has happened, and then
sets out their rationale for the decision (i.e., termination by notice,
termination with immediate effect, or no termination). This recommendation
is reviewed by the Head of Contract Management and Deployment.
183. Since 5 August 2024, the recommendation of the Head of Contract
Management and Deployment is then referred to the Postmaster Contract
Termination Decision Committee (after it has been reviewed internally by
Legal Services and externally by professional advisors). Prior to this date,
the final decision was made by the Head of Contract Management and
Deployment (once reviewed by Legal Services and_ professional
advisors).
184. The Postmaster Contract Termination Decision Committee includes the
Banking Director (Ross Borkett), the Postmaster Experience Director
(Mark Eldridge), the Supply Chain Director (Russell Hancock) and Head of
Legal — Dispute Resolution (Non-Voting Member); none of whom have
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been previously involved in the termination process. The Head of Contract
Management and Deployment is the Chair and non-voting member of this
committee. The terms of reference for this committee can be found at
POL00448293 and an explanation of the purpose, duties and
responsibilities of the committee can be found at POL00448042.
Appeal
185.
If a Postmaster, or its directors or partners, believe Post Office has failed
in its obligations in relation to a contract termination decision, the
Postmaster can ask for the decision to be appealed (this is referred to as a
‘challenge’ or ‘review’ by Post Office).
186. If a termination decision is overturned, the Postmaster will be reinstated in
their role.
187. The Contract Termination Decision Review Policy sets out:
(a) Notifying Postmasters of the right to have certain decisions
reviewed;
(b) Carrying out the review and investigation;
(c) Documenting the rationale behind a decision;
(d) Choosing the right decision option; and
(e) Informing Postmasters of the decision.
188. The Contract Termination Decision Review Panel (POL00448233) and the
appointment of its members was set up by the Head of Contract
Management and Deployment. Post Office appreciates the perceived
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conflict in the appointment of this panel and is in the process of transferring
responsibility for the appointment to ARC, which is expected to take place
in October 2024.
189. The current Contract Termination Decision Review Panel is comprised of:
(a) I One panel chair (a former Postmaster and Non-Voting Member)
(b) I One former Postmaster
(c) Two Post Office Senior Leadership Group (SLG) Members. These
are senior Post Office managers (Band 4 and above) who will have
had no prior involvement in the contractual decisions being
reviewed. These members sit on the panel on a rolling, timetabled
basis around once every four or five months.
190. A diagram mapping the decision-making process for Postmaster Contract
SRT decisions can be found at POL00448195. This shows which person,
department or committee is responsible, accountable, consulted and
informed about the SRT decision.
191. Since 2021 there have been 11 challenges to a decision to terminate (first
decision review panel sat in July 2021). Nine decisions to terminate were
upheld and two were overturned.
Question 20. Key reports, reviews, formal legal advice or investigations
(produced by POL or by an external firm on POL’s behalf) which address
the quality of the decisions taken in relation to the suspension,
reinstatement or termination of subPostmasters and any consequent
appeals.
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192.
193.
194.
195.
196.
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Since July 2023, Post Office has engaged with external professional
advisors to risk assess each termination decision before confirming the
decision. I understand from BSFf that Post Office has not waived any
relevant legal professional privilege. Post Office is confident that all
termination decisions to date have been appropriate and none of these
decisions have been challenged.
Between August 2021 and July 2023, Post Office also sought to risk assess
termination before confirming the decision (during that period, the
assessment sometimes involved engagement with external professional
advisors but was sometimes conducted internally).
These reviews were undertaken either internally by POL Legal (including
using a secondee from DAC Beachcroft), through Womble Bond Dickinson
(last used in September 2022) and once by Norton Rose Fulbright (in
October 2022).
Four termination decisions taken by Post Office during that period had
factors that contributed to some elevation of the perceived risk level. I
provide some additional detail on those decisions below.
Two of the termination decisions related to the same Postmaster who had
two branches. That Postmaster raised issues regarding an alleged lack of
support and training from Post Office. Those matters were taken into
account by the Contract Advisor but Post Office decided that it remained
appropriate to terminate the contract and did so. The Postmaster
challenged the termination decision, but Post Office’s original decision was
upheld by the Decision Review Panel.
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197. Another termination decision involved a Postmaster whose contract had
not, in fact, been countersigned by Post Office. Post Office nevertheless
considered it was appropriate to terminate the contract and did so. That
termination decision was not challenged by the Postmaster.
198. The final termination decision was linked to civil proceedings undertaken
by the local council for activities on the retail side of the Postmaster’s
business. Following a review, the termination recommendation was revised
to a reinstatement.
199. As detailed above, external advice helps us understand whether we have
made a decision in line with ClJ principles. That feedback is considered
when the initial decision to terminate a Postmaster's contract is made, a
decision which is then ratified by the Postmaster Contract Termination
Decision Committee, having reviewed all the background and facts.
Statement of Truth
I believe the content of this statement to be true.
Signature: ...
22 August 2024
Date:
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Index of Exhibits to the first witness statement of Tracy Louise Marshall on
behalf of the Post Office Limited in response to Rule 9 Request 57 and
Rule 9 Request 58
Number I Inquiry URN Document Description Control/Production
Number Number
1. POL00448049 I SPMC.PDF POL-BSFF-104-
0000008
2. POL00448064 I BLP1_Standard_Conditions_V45_April_2021.docx I POL-BSFF-104-
0000023
3. POL00448240 I BM3 Standard Conditions V3 December 2023.docx I POL-BSFF-104-
0000199
4. POL00448241 I SPSO Individual Contract V3 December 2023.docx I POL-BSFF-104-
0000200
5. POL00448242 I SPSO_ Partnership Contract V3 December I POL-BSFF-104-
2023.docx 0000201
6. POL00000261 I SPSO Company Contract V3 December 2023.docx I VISO0001235
7. POL00448244 ISPSO Agreement Document V2 October I POL-BSFF-104-
2020.docx 0000203
8. POL00037518 I Contract restatement summary.pdf POL-0034453
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9. POL00448051 I One article re contract restatement_010720.docx I POL-BSFF-104-
0000010
10. POL00448254 I Postmaster Contract Suspension Policy V5.2.pdf I POL-BSFF-104-
0000213
11. POL00448077 I Postmaster Support Guide_Updated July.pdf POL-BSFF-104-
0000036
12. POL00448222 I Guide to the postmaster support policies v4.0.pdf I POL-BSFF-104-
0000181
13. POL00448283 I Local Agreement_Key Obligations Document I POL-BSFF-104-
V2.1_Final 11JUL24.pdf 0000242
14. POL00448284 I Main Agreement_Key Obligations Document I POL-BSFF-104-
v2.1_Final 11JUL24.pdf 0000243
15. POL00448285 I SPSO Agreement_Key Obligations Document I POL-BSFF-104-
V2.1_Final 11JUL24.pdf 0000244
16. POL00448239 I BM3 Preface V23 October 2020.docx POL-BSFF-104-
0000198
17. POL00448053 I Locals Operations.pdf POL-BSFF-104-
0000012
18. POL00448054 I Mains Operations (1).pdf POL-BSFF-104-
0000013
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19. POL00448361 I OPERATION_MANUAL_202407262nddraft.pdf POL-BSFF-116-
0000010
20. POL00448237 I Main Cover Letter V6 December 2023.docx POL-BSFF-104-
0000196
21. POL00448238 I Main Pack Letter - Nov 23 V8.docx POL-BSFF-104-
0000197
22. POL00448364 I Screenshot 2024-08-07 094226.png POL-BSFF-116-
0000013
23. POL00448288 I Learning Catalogue Search Page.png POL-BSFF-104-
0000247
24. POL00448286 I Branch Learning updates since ClJ HIJ v1.0 Jan I POL-BSFF-104-
2022. pdf
0000245
25. POL00448046 I JD Head of Training 24 1.0.docx POL-BSFF-104-
0000005
26. POL00448294 I Postmaster Onboarding Policy V4.1.pdf POL-BSFF-104-
0000253
27. POL00448248 I ClassroomTR pdf POL-BSFF-104-
0000207
28. POL00448217 I BCF Onsite TR Page.pdf POL-BSFF-104-
0000176
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29. POL00137308 I Ops Training Guide INDEX PAGE V4.0 July 2023 I POL-BSFF-104-
RE. pdf
0000078
30. POL00448121 I Ops Training Guide Section 02 GETTING I POL-BSFF-104-
STARTED ON HORIZON V4.0 July 2023 RE.pdf
0000080
31. POL00448122 I Ops Training Guide Section 03 SECURITY V4.0 I POL-BSFF-104-
July 2023 RE. pdf 0000081
32. POL00448123 I Ops Training Guide Section 04 BANKING & PES I POL-BSFF-104-
V4.0 July 2023 RE.pdf 0000082
33. POL00448124 I Ops Training Guide Section 05 AUTOMATED I POL-BSFF-104-
PAYMENTS V4.0 July 2023 RE. pdf 0000083
34. POL00448125 I Ops Training Guide Section 06 MAIL SERVICES I POL-BSFF-104-
V4.0 July 2023 RE.pdf 0000084
35. POL00448126 I Ops Training Guide Section 07 INTERNATIONAL I POL-BSFF-104-
MAIL RM V5.0 July 2023 RE. pdf 0000085
36. POL00448127 I Ops Training Guide Section 08 INTERNATIONAL I POL-BSFF-104-
MAIL PW V5.0 July 2023 RE. pdf 0000086
37. POL00448128 I Ops Training Guide Section 09 TRAVEL MONEY I POL-BSFF-104-
V4.0 July 2023 RE.pdf 0000087
38. POL00448129 I Ops Training Guide Section 10 END OF DAY V4.0 I POL-BSFF-104-
July 2023 RE. pdf
0000088
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39. POL00448130 I Ops Training Guide Section 11 WEEKLY I POL-BSFF-104-
ACCOUNTING V4.0 July 2023 RE.pdf 0000089
40. POL00448131I Ops Training Guide Section 12 MONTHLY I POL-BSFF-104-
ACCOUNTING V4.0 July 2023 RE.pdf 0000090
41. POL00448132 I Ops Training Guide Section 13 BACK OFFICE I POL-BSFF-104-
V4.0 July 2023 RE.pdf 0000091
42. POL00448133 I Ops Training Guide Section 14 CASH & STOCK I POL-BSFF-104-
MANAGEMENT V4.0 July 2023 RE.pdf 0000092
43. POL00448134 I Ops Training Guide Section 15 POSTAL ORDERS I POL-BSFF-104-
V4.0 May 2023 RE.pdf 0000093
44. POL00448135 I Ops Training Guide Section 16 MONEY I POL-BSFF-104-
TRANSFER SERVICES V4.0 July 2023 RE.pdf 0000094
45. POL00448136 I Ops Training Guide Section 17 PASSPORT I POL-BSFF-104-
CHECK & SEND V4.0 July 2023 RE.pdf 0000095
46. POL00448137 I Ops Training Guide Section 18 FINANCIAL I POL-BSFF-104-
SERVICES PRODUCTS V4.0 July 2023 RE.pdf 0000096
47. POL00448138 I Ops Training Guide Section 19 DVLA V3.0 July I POL-BSFF-104-
2023 RE.pdf 0000097
48. POL00448120I Ops Training Guide Section 01 USEFUL I POL-BSFF-104-
INFORMATION V4.0 July 2023 RE.pdf 0000079
49. POL00448363 I Screenshot 2024-08-07 094041.png POL-BSFF-116-
0000012
50. POL00448154 I Branch Ops Training Catalogue V10.0 Jun 2023 I POL-BSFF-104-
RE (1).pdf
0000113
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51. POL00448215 I Quality Assurance Training Lead Accreditation I POL-BSFF-104-
Framework March 2024 V2.docx 0000174
52. POL00448106 I Postmaster Training Policy V3.0.pdf POL-BSFF-104-
0000065
53. POL00448045 I JD Classroom Trainer 24 1.0.docx POL-BSFF-104-
0000004
54. POL00448100 I Microsoft_Word_Document2.docx POL-BSFF-104-
(Onsite Trainer Team Leader Job Description) 0000059
55. POL00038115 I Postmaster Journeys - Final Report 2.pdf POL-0035050
56. POL00448526 I LMS feedback survey (basic courses) POL-BSFF-123-
LMS feedback survey (additional courses) 0000005;
POL00448525 POL-BSFF-123-
0000004
57. POL00448534 I Classroom Feedback form POL-BSFF-123-
0000011
58. POL00448533 I Onsite Trainer Feedback form POL-BSFF-123-
0000010
59. POL00448535 I Post Go-Live Feedback form POL-BSFF-123-
0000012
60. POL00448532 I Feedback on Retail Training Team POL-BSFF-123-
0000009
61. POL00448523 I Feedback Committee Terms of Reference POL-BSFF-123-
0000002
62. POL00448524 I Feedback Committee meeting minutes POL-BSFF-123-
0000003
63. POL00448204 I Postmaster Contract Performance Policy V5.1.pdf I POL-BSFF-104-
0000163
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64. POL00448206 I Postmaster Contract Termination Policy V5.1.pdf I POL-BSFF-104-
0000165
65. POL00448257 I BSC Discrepancies - Knowledge - Microsoft I POL-BSFF-104-
Dynamics 365.pdf 0000216
66. POL00448287 I BSC Organisational Chart.pdf POL-BSFF-104-
0000246
67. POL00337591 I IT Major Incident Management SOP Version 1.1 POL-BSFF-
0190493
68. POL00448198 I Contract Advisor_JD_17JUN24.pdf POL-BSFF-104-
0000157
69. POL00448194 I Contract Advisor_Induction and Training Plan_v2.0 I POL-BSFF-104-
O8APR24.docx 0000153
70. POL00448232 I Legal Assurance.pptx POL-BSFF-104-
0000191
71. POL00448205 I Postmaster Contract Termination Decision Review I POL-BSFF-104-
Policy V3.1.pdf 0000164
72. POL00448225 I A3 Invite to discuss contractual performance V4.0 I POL-BSFF-104-
14MAY24.pdf 0000184
73. POL00448226IB1 Suspension of Operator V4.1_Final I POL-BSFF-104-
14MAY 24 pdf 0000185
74. POL00448228 I Postmaster Suspensions Decision Governance I POL-BSFF-104-
Commitee_ Terms of reference v1.pdf 0000187
75. POL00448227 I B5 Invite to Attend Meeting V3.0_Final I POL-BSFF-104-
12APR24.pdf 0000186
76. POL00448293 I Postmaster Contract Termination Decision I POL-BSFF-104-
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