2% CabinetOffice Major Projects Authority Programme Assurance Review (PAR) Version umber 1.0 Final Date of issue 3 may 2022 Programme or projec: DWP Universal Credit Programe Organization owe Senior Responsible Owner (SRO) Terry Moran Progromme/Project Director (or equivalent) Malcolm Whitehouse Busines Cae stage reached! soac Decision/approval point his report informe: Not Appliceble Review dates: 26-30 March 2012 Review Team Leader: Faith Boardman Review Team Members: redected Departmental Review Team Member: redacted Previous review November 2012Pegarme Aan en Unt Ce Pog ach 012 Table of Contents Number Section Page 1 Executive Summary 35 2 ‘Adkitional Comments rom the SRO 5 3 ‘Summary of Recommendations 60 4 ‘Summary ofthe Pregramme 10 5. Detailed Reviow Team Findings 11-24 ‘A) Overall status Update on Now 2011 PAR " 5} Programme Management and Resourcing 116 ©) Scope Atordabilty.Business Case 1416 D)ITDelvery 1647 ) Fraud, Eo & Securty Elements 17.20 F) Scope & Transformational Elements 2023 6) Stakeholder Engagement 2324 ‘Annex A Scope ofthe eviow (To) 25.26 ‘Annex B Update on Actions tram previous PAR. 28 ‘Annex D Conduct of the Review 26 Annex List of Inlenenees 27-28 ‘About this Report Tis tePaMtis& sngoshot reviow ofa programme or project, electing the concusions of an Inegpendent Assurance Review Taam. tis based on information fom project eater ‘reviewed and rom interviews cacied out within a shor tmofarse, ‘This Project Assessment Review was arranged and managed by Major Projects Autonty Cabinet Offes| Hi Treasury Bung 1 Horse Guards Road Lonaon SWiA 2HO Senvice Dose 0945000 4980 ‘More infomation about the Mor Projats Author, and guidance for enzal government bties onthe requremen lo rare assurance and approver Apr 30 esracrea Page aot abPerrine Arar av — OW Une Cn Pagans Mach 20:2 41. Executive Summary ‘The Universal Crect programme (UC) has made good progress over the last 4 monthe in @ number of important areas. ‘The primary legislation is now in place (with ttle amondrat), and preparations forthe complex. Fegulatons are well in hand (with a realsic expactaton that te data of thece may be argued ‘ver rather more}. *+ The programme continues te bene rom strong Minctrial and oficial leadership: endithas much improved is overall governance, programme and risk management over the last few monte Consistent with a programme of tis size and complexity (although - as would be expected with a Programme of this size - there will continue to be a need to constany reinforce active Tsk ‘management at aleve). ‘+ There has been a clear improvement in the programme's understanding and engagement with {ecal Authorties (who are now righty viewed as dolvery partners); and the programme has also steagthened (and better systematsed) ite overall communication capacty and. external stakeholder management function. We would encourage it fo buld on tis base over the nent ow ‘months to explore what contrbution Third Sector organsalions and. bodies ike Houelng ‘Associations may be able to make to support individual clamaris through some of the transformational elements ~ such a8 Channel Shit and monthly budgeting, *+ The resourcing neods ofthe programme have righty been glvan HR prlolty (or example to use Interim to cover seme key sil needs) and ts capacty has grown, Acitonal speclatst resources have also been brought into the Fraud and Evtor and Cyber Socuriy projects that are important \Sependencies for UC. But UC remsins 37% below ‘comploment” and thi wil emai a serous risk ‘ar6a fox some months — during which itexpecis o rocrt signfieartly (once the wider Departmental reduction processes have concluded) but wil need to expend considerable efot on recrutmont ‘and induct, ‘+ Relations and confidence lavels around the HMG’s Fea! Time Information dependency continue tobe good and on track. * Leap 3 has ended (although not yet been signed of), and oveal relations wth (and between) al the IT suppliers continue 10 be good, despite some inevitable tensions. around the current ‘egotators fo move the commercials from "time and materials" lo @ more “apis” basis IBM have ‘been appointed io the important integrator” role and this should enable a beter assessment io 'be mae over tho next few mnths ofthese challenges and wider IT dependencies (for exami, with coporate DWP systems), + The programme has recently developed an Assurance process that is fit for the special Fequirements of an agile approach’, and should be capable of provieing assurance about the ual of he T, *+ The programme has concluded « comprehensive “Elaboration” exercise that has fleshed out —and revised - the phasing and high level pln forth fist six monthe wth the ull agreement of Ministers (who temain exceptionally wel-cused on the need ta secure sale Galvery) The overall eects ‘expected to reduce the impact of sks around the IT ul; and to provide more fei end ‘greater opportunities to use contingencies (suchas staf action and wotkcarounde) and Yo manage {he rate at which clamants are “migrated” to Universal Cred, should these prove necescary., The FReview gam feels that this overall approach is sensiba, glen the seale of UG and ks ‘nary ‘dependencies, Ithas provided the programme and the Permanent Secretary with confidence thot ‘OWIP has a range of options thal can flex to ensure that UC remains within ts SHO and Sfi4 "mits this should be clarified during the reresh ofthe Business Case (fr sign-ff ny), Pape SolanPearman DA? Ura Cet Pens Mah 2012 But the Programme remains inheranty high ek arid complex, with some key elements sill behind the ‘rigas femain serious capacity issues that cannot be met fly fr several months aowing forthe induction process) TPs. celwery missions or Leaps 4 and 6 remain “chalenging, wth the remaining “unused part ofthe contingency that was original bul info Leap 8 now me laf and estates. This type of concem is often found at thie stage ~ but it has been exacereted by the Programme's capacity issues and by the fact thet Ii has only revuhly been ate Communicate ts high-tvel Target Operating Model that can form the bask formuch moe Gecchey {cussions wih Business Managers, and thie wil be further helped once the programmes eratae {0 announce the site(s) forthe pattinder and frst phase locations after local easton purl be tor the new sevice, and to design (and “human capita ‘There is a Q008 Enables HMT to regulary tst and understand te deal of movements inthe ligeea) a OF oo GDecemad senior inivduals tke full advantage ofthe opportunites provided by te prod orn {o attend workshops and ciscussions around sratogicaly portant aseocts aniicant dependencies have been Wenifed on Fraud and Error andl the Cyber Security Brostamme ~ both of which ae also High Risk and complex We were acted to undctake's Deck, Gue.an both, and make a numberof deta observations and Recammenctons fh socion ity Gyeral. wo think that both remain behind the cure", and we have alow level ol covftirns crc hether ether (and Fraud and Error in parculr) willbe ready forth paths Apo SOS it ‘merafore recommend that the programme give early consideration 10 What conongoncican,esraicreo Propane asraneRevew DH? Unser Pagar ach 2012 Planning may be needed in that eventuality — and what steps need tobe taken to improve the rok Fating ofthe Fraud and Error programme, ‘+ There are also continuing uncertainties arcund the speed and peter for ensting JSA claimants {8,move to “online” before UC, and we provide the detalied figures on recent pedomance and trends. We recommend that a futher PAR be carried out sither in lately (around the Business Case), or in September, We understand that DWE's preference would be September as they expect to be rovianed by the NAO in July and August. The timing and coverage ofthe next PAR should enable fo holale s Deep Dive around the main T build ~ which we were notable fo look atin any depth during his tov because ofthe concerns around Fraus and Error, and io focus on preparations forthe Pathlnder and startup, Delivery Confidence Assessment Amber/Red ‘The Uc programme has proactively adsressod a number of key isks over the last four months and has signileantly strengthened some key programme management aspece, But here roma ge of substantia! issues and uncertainties that will require continuing prudent and active managemert 2. Adcltional comments from the SRO ‘Overall am gratetl for and accept the balanced assossment o the ndings. | welcome the recognition of the strengthen he Issues idettied here, that the progress made so far, ‘rong evidence of how the programme toam can tackte demanding and complex iesees dnd do tat successfully going forward. TTenty MoranParmesan Raion - OW Lele agane Mach 2012 3. Summary f Recommendations 2 pan ae hou ares ne ecommendatons trough nama governance processes, asiging ‘ pronty and action ouner to each as appropriate, PascaleRet Recommendation ‘Creal No Essentia Recommended 7 Recommendation 1: The next PAR and related Tniemal | Essential ‘Audit need to test that this improving focus on active risk and issue management is effective (and commensurate) at all levels across the programme, both strategic and ‘operational. w Recommendation 2 The Programme should use the | Gitical ‘pportunty provided by the further work on the Business Case over the next 3 months, to strengthen the focus on embedding Benefits Realisation throughout the Programme's activitie w Recommendation 3: We recommend that DWP continue To | Gilead ive the staffing and skills needs of Universal Creit and its associated projects high priory. The Programme Must | actively monitor and manage resource utlleation and availability on an ongoing basis and take swift action to plug identified gaps, and to develop on-going and robust ‘Succession planning around key skills and porsonnel. oF ‘Recommendation 4: We recommend that the Programme | Easantial Increase Its inclusion of HMIRC staff (particularly around the areas of Fraud and Error and Busines Change) as part of transitioning to delivery and implementation over the ext 3 months, = Recommendation 6: The Businoss Case milestone plan | Essenilal ‘should be shared at all evele with HIIT and OBR as soon 30 ssible, This should include a clear timetable for senior ‘engagement; against which key players from all areas can be held to account for their level of personal engagement Inthe necessary detail w Fiscommendation 6: We also encourage the Programme to | Grical Confirm (as part of the work on the Business Cage refresh ‘over the next3 months) that all costs for known changes to existing corporate IT systems have been captured, anclor to identify these separately in order to support the ‘management of these additional dependencies. oF Recommendation 7: We recommend that the programme | Eacaniar Satisties itself that satisfactory arrangements. exist. to ‘ensure that policy colleagues and Ministers are fully aware of the timescales and costs of any IT programming changes that may be required to take account of policy Concessions that may need to be made at short hotlce during the passage of the Regulations.oF Recommendation 6: We recommend thal the programme ‘rigorously oversees the embedding of the new, seoaene agime over the next 3 months, and the next PAN aed Internal Audit should review the impact and working of the ew assurance regime. Grier — w Recommendation &: We recommend Thal The programme ensures that any addtional costs and requirements at path; and that next PAR approach to integration, and the progress. made Identifying potential contingencies ‘should’ significant Challenges emerge from that work, Essential Recommendation 10: We recommend that any TeSuee and c9sts sround the data quality of claimant information ee gxisting systems be clearly identified In time to be won ‘count of in the current refrash of the Business Cost Eeseniiar Rocommendati fraud and secur have an impact on resourcing and on the timing, aed {overage of the Pathfinder in particular (depending onan level of manual intervention needed), Creal 7% Fecommendaiion 12: We recommend thal @ Specie plan for addressing all the elements of staff fraud asrece we should be drawn up over the next 3 monting, Recommended Recommendation 13: We recommend hat “=pealis mitigations are putin place within 3 months forthe oats risks and issues idenified in Paragraph 6.26, marten ‘rogress on them is reported regulary te Us, Gitieat Recommendation Ta: We recommend that the programme” urgently dentiies the appropriate skills and revonren necessary to prepare a high-iovel design for the cule (behaviours, values, attitudes and ekilfsets) that oles ‘equired for the new organisation in time for these to ne Consistently embedded from the outset in the detain {loslgns of job roles, training and communications, tbranaling”, terms and conditions and leadership sive of the programme ast moves into implementation ant business change ph CreatPera Assurance Revon-DWP alr Peyanne Mach 20:2 = Recommendation 18: We recommend that work to develop | Ciical ‘and communicate the Target Operating Model is prioritised over the next 3 months to ensure that t can Inform both the relevant IT and user requirements but also the wider communications with staff in DWP, HMAC and Local Authorities, and closer engagement with senior ‘managers in the current Businesses. 6 Recommendation 16: We recommend that the Programme” | Orlical Board continues to monitor the ongoing risk levels around the IT and timing (identified In paragraph 6.24 {and 5.35) proactively and closely; and thatthe next PAR, {nd internal Audit prioritise reviewing the progress and. ‘uaity of the IT development; and any further Adjustments that may prove necessary to the Critical Path 7 ‘Recommendation 17: We recommend that the programme | Easentar takes an overall "stock-take” of the progress and interventions around intermediate channel shift in Partnership withthe current Businoss in tie for any Conclusions to be fed into the refresh of the Business Case. Critical (De Now) — To increase tho tkethod of & euecestul outcome Is ofthe grestst mporance tht the rogrammproject shou take ton immediatly. Essential (Do By) To increase the ikeload of @ auocessul outcome the programmelproec hou ako ection inthe near future, (Note torevew teams — whenever possbe Essential recomendations shesdboe ted elcn meson a, before contract eignluo and/or aspelie ttre eg. win theme thee ee] Recommended = The programmelprojet should beneft frm the uptake ofthis recommendation, (Note to review teams — if possible Recommenced recomsmentaiors shoud b= Inked to projet milwtones eos Seone oer ‘signature andlora spciedtmarame e.g. ult tho nxt tne mrt}hesracreo Perrone Asuras sw OH? ae Pagan a 2012 4. Summary of the Programme Background and context Gover ets rs Crt renaine Sato efor Pry for DWP and te cenvepece of he Sted sya Sey on Welare lor, Univeral ret amato rede conlony mike ee in work Romans stress stem shes thal act as dsncenthes lorcemants are or change meutoal ees 2a change othe waar sytem fors0 years, endindaapo neta ‘change ncaa attudes to werk, and to ensue that more peopl ae Sein esa Boca anda goverment parent response forthe deve of Universal Cred -whih wi so Sterng nanmants who curonty receive Tax rods. N wit cosls a angie ccen ben aee ‘system, age Sareea onine claimant experience. The new sevice wal epang ere working {Choco ase cae TU. be ned tothe Labour mart oyctema and wee ented {cessed 98 for limants to use secure, relabl, ard oma suppor morstecehe een intel ures development oa mor IT systom he managed migaton of upto 12 mion Fea tng wile ange cf bones ayteme, ee no succest Poausen nso ee Torelon es eer wit ht DEL and AME constrains. i curly prepring a ihr dopa cn aees Cato by HMT andthe OBR indy 201. Ge te man eee er Senet RU: ene of Key aims is to ensure an ordory merston tat Memerc stabil of the Denes system, Pom 0at28Prarie Acar Reve - ON Unt rt Ptarme ach 012 5. Detailed Review Team Findings ‘The findings are presented against the Terms cf Reference te which they relate. A) Overall talus Update on actions from November 2011 PAR 5.1 We found thatthe Programme had responded pastvaly tothe rocommendtions ane comnts ‘made by the November PAR and intemal Audi lopots, and the subsequent meting othe MPAGs land thal they have made significant progress overall on implementing the recommendations an actions trom these. These Reports ana Recommendations wore mutuelly supporive, andthe Programme has sensibly looked at them as a whole, Annex 6 contains the detaled progress Summary provided tous by the Prograrnme on the curcent sate of play on ll the recommendations ‘fom the last PAR, Inlemal Audt and MPRG. Ths shows thatthe large majarty of actone have either been closed or completed, and thatthe Programme Board regards the majorly of those that are stil outstanding as “On Track’. We verifed a sample of he dala in Annex B agaist the writen ‘material and interviews, anc found that these assessments were generally accurate although n ome eases the quality and effectiveness ofthe Programme's response can only Become evident overtime, 52 The main outstanding exceptions relate to 3 items that the Programme have flagged up as continuing to be amongst their Top Issues Pisks, These are ‘+The need to develop an outine scope and plan for an alternative Target Operating Model ‘Wark on developing an outine TOM is underway, and the Programme expects to share ths with Business usors in DWP and HMRG shorty. We tink the scussions ground that Should be used to address the need for greater engagement and ownership With the Programme that was expressed by many ofthe "Business” managers ws iniermowed. We Would expect ito enable significant acceleration of the design cf businoes products, roles and stafng structures and implementaton, Butt presert, or oelng is tha this modeling land engagement remains “behind the curve. + The need to api fila numberof Key programme posts and resourcing needs has been ‘acessed in part but significant gaps remain, and ae not ike) fo be filed for frther 23 ‘montis because of the consequences ofthe wider Government HR processes around the Signileant savings required in DW's central headcount ‘+The last MPRG remained unconvinced that the 60% ome tke up target willbe achiaved by October 2013, and emphasised tho need forthe work that is underway to inereass the SR on lin tobe used to support the UC take-up assumption.” 58 These 3 are covered in more detail Below. In aditon it shouldbe noted that this PAR team was notable to look atthe quality and progress of the T ull (and partculay of LEAP 3) as much ‘deta as had been envisaged by the fecorsmendation in the last PAR thal ws should prewide an Independent assurance en tese aspects ~ because ofthe greater urgency currently placed oo ‘viewing UC's important dependencies around Frau, Error and Seaunty, 8) er Management ar 5.4 The last PAR and Internal Audit Reports highighted a number o significant remaining weaknesses in he Programme Management, and Governance, which ware being exacerbated by a serous Fssoareing shortfall. The review toam consider that overall programme managoment arrangements have eo, strengthened significantly since the last PAR review... We again found good evidence tat song, engagedeste ar mje arene ai Bg Brovded by bth the SRO and Ministers; and we conteue to eget are roe a nag one Boaramme, The ovr governance arangements naw soem beter esha sThough om pancetta understanding ofthe remtis and shuts tho Boers ae ease rowan of ease tl hat they wade meeinputo he agendas, end more oe sence ‘overview of the maine and progress rather than longer agendas and papers ~ and we ioe member Mel forthe Programme Board to review how best meat te fava nase ee members, notice “ie bey at an scve ad increasing elective programme management oto (PMO) snow aroes the pes £220 0 Be lactating a number of improved programme management eines aroue govern 28 2 whole including planning and contol nck management snd soeceer ees vatlous govemance mechanisms across the programme, ‘The review team saw a range of programme documentation inl ‘lan, leap sched, eniteal roadmap, Siskeholder and communication plans, Interviewees refered to t being used actively (at least by te central programme tary to responsibiltes programe, Hamed recommendations to tuner improve the risk management process arose the Programme. In response to this, the progeamme has! ‘ey programme risks and issues, This indicates that the peogent ate level win the programme. As the programme moves stn tonere here et Seas png ensure tat this focus on rik and lesue managements foci ene ee facrass the programme, both strategic and operatonel on acne eter e NeXt PAR and related internal Aust need test tha this improving focus programma and issue management is etective (and commensutsl) a at ieee eee programme, both strategic and operational {rom Universal Crect are actively manages toughout the progamine ‘management aciviy. It's ancpated that the deta underpinning ese berate wit fie a Page 98Pann kanes Boven- OW Ue Cel Peers ath 2012 Considerable interest to both the Treasury and the OBR in re-examining the Business Case; and the work planned on that should assist the Programme's aim of embeding Denes realsation at at level, Recommendation 2: The Programme should use the opportunity provided by the further work on the Business Case over the next 3 months, to strengthen the focus on embedding, Boneting Realisation throughout the Programme's activities. Programme Resources 57 Interviews contimed tha the UC has a strong leadership team who are wel respected by, and visible {o, key stakeholders and partners across DWP and government. A high level of energy throughout the Programme is also evident which is ffecively hamessed to support delivery: but which he SHO Fecognises brings with it some risk of “bur-out” over a long and complex programme, hotels heaty Investment inthe skits and knowdge of Key post holders and we would oreautage ihe Pregrenine & Brogross the intended development of supporting succession plane qicky, to minimise the askoolodgod risks of executive bumout and oss of crea expertise, although the Programme leadershige wel cctoss tt these potential problems, their focus at present is righty) an bulng up rescurces toa basi level aoa we aw litle evidence that concrete progress has yet been made to eslablah miigatons for thoes probleme over the next 2 years, 5:8 Following the Corporate Centre Review, the Programme has a 87% overall shortfall insta in post resources. This issue is rightly one ofthe key civers behind the current Programme sal-assecerrent ot ‘AmbouFed. Standard recrutment channels have proved sub-opimal, and We supper! the contingency rangement thal have already Been taken to recrt interim personne o Key poste to pataly Mere this curenty re rated risk The Programme is actively pursuing the soluion to ether esource Gaps through a promotion route and expects many vacancies tobe filed bythe end of May. Theve vil then ce '8 period during which a sizable numer of newcomers wil need tobe absorbed and brought up to geese and the programme wil nd to devote time and energy to ensure tat all sta are fully aligeed wine Bragramme's aims and plans, and working culture. The programme's curenly expressing condone ta {he Programme sal-assessment willbe abe to mave from "Amber ed” to "Amber" once these vecancleg ae filed. In our view, tha is @ judgement that can only Be made ance thoes ro ‘tar key aspects. But we suppor the need for to programme to bs given as mush shorsets sect Bony 9s possible (along with those project tha tis dependent on (euch as Fraud ane Error and Gybey, Securty), 5.8 The Programme wil ng to continue to actively moniter, erect and contra recrutment aver a ong Period. A continued focus on effective resource planning ls so important lo ensore thatthe elaek a future salt tumover can be quickly dentiled and rasoWed. Future recruitment wil be Tequred on on ongoing cyclical basis, and wil remain erica that effective induction e provided to maxims tne speed cl engagement and productivity of new sa. We understand the Programme cuertyoveleoieg Induction packages and processes. ecommendation 3: We recommend! that DWP continue to give the staffing and skills nesés of Universal Credit and its associated projects high priority. The Programme must actvely mentee and manage resource utilisation and availabilty on an ongoing basis and take swift ation to pngrestacTen ogre Aaszne avn DWP Unni Ce Peon ch 202 Tlslon he onset us NOW Li fo the spect site needed to mplment UC, spicy n Secunly Operant Cyeer Defence, Th "Commander and Cnet OF Stat posts nie tee a Foerster ee Cente te fognsod 88 etcal. and we suppor tha nocd are t recruitment to be actvely {which do not euenty (Perturay aan fyWe feeommend thatthe Programme increase its inclusion of HMAC etait papeculaly around! the areas of Fraud and Error and Business Change) ac gon oy ‘transitioning to ‘livery and implementation over the next 3 monte, Shoe ase ae toby packed ad ecainad in more dal espace Breas Cons eee to imploenan 2? InP3= on the speed wih which the vanstion io he hal US otee earn be impiementecbenefits, The milestone timetable developed to support HMT and OBR engagement i elptl and tneeds {o be shared wih all paries as soon as possibie to engender commitment and to sete aa lew io Improve engagement. The demands on the limited te and capacty ofa eral pragrame ike Uc as mary, and wil be important thatthe all paris make the mos ofthe checked oppouies ts angese Recommendation 5: The Business Case milestone plan should be shared at sil evets with HAT and OBR as soon as possible. This should include clear timetable for senior engagements againet which key players from all areas ean be held to account for ther level of personal engaeneet ig tho necessary detail. 5.14 The Reviow Team de not have sufficient ime ta undertake a “deep dive” on Business Case costs {nd affordability. We accept thatthe nature of Age development, coupled with the E-wonih tne leg between relreshes, ioads to an inevitable and understandable misalignment between the Business Gos _assumptions/costs and the latest thinking and design principles. Interieweee confined that there gare continuing needs to fim up costings for IT and securly to reflect the enticpated shit in cure assumptions, We noted the detailed work o the recent PAR ofthe Fraud and Exor programme and he availabe figures 2n.0yber Security: We also noted the work that has bogun wth HMRC sround the algrent of cotnge and timings wih the RT programme, Universal Crecit wil also depend upon a number of comonte enabling IT systems for aspects of functionality ane administration, and we wore potenaly concomes not nd any figures arcund th costs (and timescales) ofthe amendments fo these that wl bo requ, {See also paragraphs 5.21 and 522 below on integration andmigration trom existing stentdacing Soret ystems) We understand that thee are costs for interlace inthe budgets which sil be sehinod coer {merging plans for the interface work (that oid not commenes in the lest financial year due to persicaiog, Spend constants). Recommendation 6: We also encourage the Programme to confirm (as part ofthe work on the Businoss Case refresh over the next 3 months) that all costs for known changes te existing Gorporate IT systems have been captured, and/or to Identity these separately n order to scope the management of these additional dependencies. 5.15 We received good assurance thatthe figures wit allow forthe foreseen fnancla aac ofthe detailed Boley decisions that vil be requled when finaising the detated proviions inthe crak Regulators, Fanning on the Regulations is wel advanced, andthe poly team are corfident hat the timetable ara financial envelopes can be metabo that imescales remain very challenging However is though by ‘Mister that there ie an inreased risk that unforeseon and lst minute amansireris ard concecons CS detalles provisions may become necessary during the Parlamentary process, And IT providers were concerned thal future poy changes resutng fom the work to develop supporting Registre aso result of last minute trade ofshhagoles to smooth the path through the House of Lotd could alse inne antipated IT development costs and tmescales. They raled with us the need to ensure that pee ‘colleagues fully understand not just the relative Bent coats of changes, but also whlch potential changes {ould be avoided because they would require a disproportionate amount of programming revere to the I eystems, Thi ould include everk or code for completed Leaps andlor changes alexi the dao future Leaps, Whilst these costs cannot reastoaly be quaniied in advance, we woul! encourage Tt colleagues fo share current thinking wih poly coleagues and to Identify ress fo avid when madi trade-offs because of tha impact on IT build costs and practicaltiae. We wore assured tat ths approsey, 's part of OWP's normal way of supporing the passage af lecislalon. But we Tink thal NiritSre neyana tat opt al ast minute pressures because of wider factors outwith the ambit or eantol a and that special care wil therefore be noeded tha pres eee were notable to lok in any deta atthe quay and progress confidence around dant ae cee 0" athe progres vara ino of Leap homes ohh ee ou Compt He Mn he reve tam underatand tat leap 3 Ur hadacetelaner se Se complete, postive among merecentions rearing te ongoing use ofthe ‘Aa’ approach ware consistently fag and conse eniowees. Incviduls fox that wks taking such an nnekatae epee Tho Rao ede ohCaND rODrame held inbret ik, that evra ho Us proganteerin ances an Able epee ccnal Mes! th reeds abel win modoalons twa eospinen Gann er otae geese coud no! be done solly onthe IT areas othe programme, aide See ane tensors anette IT suppre appeared tobe postive ata stateic lve, and the neve Comore aes erent Negoaions arcund moving tem a "tne and meals face ore tho majorsummansements appear to be being managed. Of equal importance he tear aae eee inbott asee? (el apPerEs tobe one of partnership wih an auto of weal suesece ere ane coment oscar ih wht November 2017 PAM found en tne ae heer, idence tan ee te lornt elses of te programme, tne vow tam eng vee ‘evidence that hs colaborative spit had continued over the last fea eects product Gag Sekm 3 pt nave an opportunity to prove & etal perepectve onthe qully ofthe Srcraauon” Seated, Bu were please to see th recon developments maestnee ate hier tis caer ltery and etna, On paper, these procecores appear apt and rte eas forward anaenceuragna 9 S80 tha his process has been put in places as in US soa eae trang rears rer te cea 8 going tobe essential fo oneua athe eee Be regsrad eenored, Witout such a proces i plco there la eal ak hat agin ea ect ha ote Russ Maar continually being developed ane teat ugh BS ear ene ne ‘meet the poly inte the new scomnane e,Seamimend that the programme rigorously oversees the embedng of Fev tha negange regi over the next 3 months, and te Poxt PAR and moral Renae, Feview the impact and working of the new assurance regitns, Page eatat5.20 The reviow eam understand thal the recently agraed elaboration process was undertaken with a veut ensuring safe-landing of delivery of the pattinder and the October 2018 go lve by drawing esr boundarigs around the level of automation requlrdin the care stages of mplomentgson Tes may however be seen to have the elfect of pushing the skier and more complax ues further down the line, We were assured by the Programme that othe best of thei knowledge thas tte Caso: The feview team would question the degree to which the UC programme has bull in necessary contingency fortis risk shiing etfect within ts plans. We undoretand that some contingency is belt ake oh eee watin Lesps 4 and that there isa remaining “general” contingoncy of 20K man-ays In eep & an that 2 numberof significant IT aspects can be sifted into later releabes, But we have not been able to ‘tte trade-offs between this and manual work-a rounds or time-scales in any depth 521 IGM has now been appoinad othe important rle of integration; and attention fe begining to tun more towards managing the interfaces between UC and other systems, and the neceocary "Toad migration f existing claimants trom lagacy systems. We understand that ie IBMis cumenty seopine re challenges facing interfacing the various systems. Given that we understane thal ioe ove at hoe > inferiaces that are required for day one goive ofthe pathfinder may be thal this Work needs fs be accelerated on beter understanding the interac chalenges, Given the scale and nuriber of teoee, systems, we consider that this work could potentially idently a number ef sigeant lssuce, ond the Programme needs to stato idently potential contingencies should these challenges rae. Recommendation 8: We recommend that the programme ensures that any additional costs and Fequirements that are established by the current work on integration ara fully Teflaced wn wre refresh of the Business Case and ertical path; and that next PAR and Internal audit teview the approach to integration, and the progress made in identifying potential contingencies show significant challenges emerge from that work. 5.22 We understand thatthe approach to migration of claimants has recently been approved at Ministerial level and that this wil resut in the fst claimants of Universal Credit boing new clamwonts we lunemployed. ‘This means that migration of existing claimants data may not be the tous oltre panies Recommendation 10: We recommend that any issues and costs around the data quality of claimant information on existing systems be clearly identitid in time to be taken account of Inne cerns refresh of the Business Case, Fraud, Error and Security Elem: Overview: 5.23 At the time of the last PAR (beglnning of November 2011) the UC programme had only vary recently sppointed adotonal expertise and eapacty in both fraud and eror end. seculy. (reusing cyber Concerted actvty on the design and requirements has therefore only slated in ine leet tow meePern Azaunce Raven UT Une Cet Pog ach 212 5.24 The oyber aliack aspect is a kay risk to the programme recently comploted UC specie Th Fe caer sam fates on anunber of external densty providers ging the il denty assurance ot Seaman Here some 80 potent povder have boon ened and an Ts mmbentena ae snd wagon is being akressed by imohing CESG to augment the DWP Acwroseton enya Ro dewelogmat 7 Oneg an ineemana process rather han sontatingwhen hansen eae ean tha development. Iho one amuladamen tat the aud and secuty osu should be rested together ater han sed this sto be weleomed Potential Issues Identified: {5.26 These include: - * cectnty Sotmy ol views exists cbout the progress and potential readiness ofthe fraud end thatthe peng Patleuany in respec of Pethinder. Some intoviewous ae mare contra: place Peaane row on tack, whist chers ars concemed tel he sure aay ne Ertotho reg Some of hs may stm om lack of ably to those nol ae coe totes ahd Er geen Pteares; but we think hat anunber of serous ise tomain arnt oes and Enor in particular. * Teptioe ang lof work to do in a inted amount of time that continues to present renee gC Programme. Management need to focus on onaurng tet Dee seenenre rection on te eu ed secunty measures i place for ho Pains, acer the Bathing” standing fending issues; and to conser what contingency mayo hese the Pathinde.figures will be. DWP expressed concer thatthe “rip feed ol funds trom ICT Futures may in tsa’ presont a rsk to delvery as increases uncertainty: and we agree that I would be Fetpfl to more csarly dently the funding smvelope and tng eis, ‘+ The use of three key supplies working colaboraivaly on the cyber defence is innovative but elo intinsicaly high risk, (paricuarly in view of the Pathvinder deadline) unll adoauste laces Integration anda colaborative approach between the thee isin place. Athough ai are sapere soa indivualy, there wil be a need to ensure adequate lalzon and integration and colebereiee ‘approach o sharing risk. ‘+ There seems to be a heavy reliance on the senior role responsible for the cyber defence ‘work, and there Is no clear succession plan andior knowledge transfer, *+ We understand that, in relation to IRIS, there have been discussions around the merit/risks of using an accredited and trusted specialist suppl versus on culautced menaced service andlor smaller newcomers. Given the inherent sensitivity of the data and the timescales we would support DWP's assessment that the first presents asignificanty lowe tisk, without incurting any disproportionate or major loss of quality: and we concider thet ‘he priority now is to minimise the potential for delays and controversy impacting on Gelivery of this programme. * ote genorally, the overall gvemance ar management asounabilty fraud ero and secunty {or UG isnot clear There are tensions around what shoud be ‘owned by UC and what are oe, epartmertal issues. These need tobe cared as soon as possible in ever ta alow the reopens ‘oconcentrate on te core required to enable UC implementation to prosoed! * The incumbent UC core suppliers have lite visibly as yet of fraud and security developments This should be addressed (now that IBM have been appointed tothe UC itograion faneon) ‘Seon as possible to ensure that any crcl deadlines for intagralion ofthe IT systems are met + 1D Assurance plans are at an eaty stage and rel on a numberof externa deny Providers. The dotaled plans ofthe relationship and process between the claimant he provider ana ONE nee ‘be firmed up and thisneeds tobe done in consuilaton with the potontdl proveleg, Same ofthe assumptions around the external data shaving cpootuntios need tobe tested ~for exam whether the banking sector wil tow heir black dala io be accessed va the National Fraud ntshgoresFraps a Songnise that because th "Hu of Hubs" wil not be valle, UC fs having to bul @ na cone ran Bat tey are working closely wth the National Fraud Autry (NEA) he A ease that it confoums to standards aid down by the NPA Recommendations: frau ree aon 12: We recommend theta specific plan for addressing all the elemonts of sta fraud across UC should be drawn up over the next 3 onthe, the einer maatcn 13: We recommend tht specific mitigations are putin place within 3 monthe for regulary ce one issue idontiied in Paragraph 5:26, and that progress on thon once regularly to UC. Scope and Transformational element dtoarly eoets Crett the main vehi for deivering @ Ministerial vision for Welfare Reform which e Cloarly focused on "Traneformationaouteon Coton ami an ongoing isk that the practic stops requied to and a programme ofthis ize and complex safely wil undermine the transformational aspects an objectven ‘Soveral key aspects of this lemma were vsble during tis PAR, Grud won| tt don that because the staf and managers who wil deliver UG onthe Savon be dawn from DWP and HMAC, they wil import strong “ultra” mreiets area oy cig ane nase organisations thet wil be dierent trom each other, and not Roy serene Taran euortng the new Behaviours and focuses that Miniters want UC prdlce oes sonar 2am age vith the SAO that isimpoate tht more Hand managerion cto Sy migra aenabsh 8 new “eulture”for he future organisation fom i Guset as ange, Iitigaton forthe risks that flow rom this issue, wis ine resent he HE fous is very much on ‘managing the numbers ad locations, in accordance Taductne eal Gl sonvice expectaions and approaches. We sympatice wh hat guon tee sece cae and enone reais me Bolen for sta nd union cencems, But ths has Undotecy nt (omy Te arse lie, ready required to moet stating noeds: and we thik tat mare hose ee Sy dag tet oeinetdesin and then establish - what sil, behaviours, atthites and auee on sees chpancatene "anager io the new organisation. We think “designing” and inpioentee he ee ciareatons, human resources” is just as important 0 the programme's long term ec Sbieaives as “signing” and implementing tho new ITHS an business proconees Cola enTequies focused effort and leadership over a considerable period and a key oppovtuniy wil be missed it these “human capa” Issues are not alo deine from the outset, and tiallodfombeaed ito te dosh of the Target Operating Model and the new business processes; and into, the cary, phases of Implomentaon such asthe Patines al ta these “human eapltal” eapects avon sooner (cr simply "overcokec because of the pressures associated wn Duiding th enabling wamclegn £30 At Present he programme stil fels very much tke an IT programme in terms ofits focus, budgets, and the kil sets of those involved. The importance of widening ts scope and focus to Incuide horney caplalchenge needs tobe recognised as acrical sucess factor and tobe adchossed inthe upcoming wetsion ofthe Business Case. We agroe with the assessment of the SRO thal Ino mpact the mare {Boont HF changes and reducing staff income may render sa las receptve fo change than plevcusl). Experience suggests that aligning sal’ hears and sls fo lage Business change ace great rake capacty within the Business to migat ime ofthis type witout Incuring substantial adonal costs Recommendation 14: We recommend that the programme urgently identifies the appropriate skills and resource necossary to prepare a high-level design forthe culture behaviours, values ated, and sil sets) that willbe required for the new organisation inti for these lo be concistenty ‘Embedded from the outset in the detailed designs of job roles, taining and communication’ branding”, terms and conditions and leadership style of the programme as lt moves. ing Implementation and business change phases. 5.3 It wl be important that this is developed in close partnership with the existing businesses and business managersin DWP and HMRC, snc twill beericl fat hey acthely and consistent renee ‘and prepare the vay forthe new culture in thee current leaclership ries within te existing ergerieate “Many of the “bott-ine" contingencies forthe IT implementation inevitably rely on thant ene ah and effort put nto building thal understanding (and excitement) amongst existing benefi/creds tal acs idole managers vil nereore also increase hat poten contingency fo: the man progres 5.32 Inteniowees from the currant Businesses consistently warted more engagement with the programme 303 gbressed iusraton al nt yet having seen enough about the basic design of te new Opsrsing (Model to be abe o start a dialogue wth the programme, orto begin the detailed planning and actors fe {hey wil raed to put in place in the “legacy” businesses over te dilarent phases of tho molonentcinn Thepregramme has (understandably) been concentaing on managing tT fiske by re-shasims eo i feels "behind the curve" at this pont in terms of is businaes design and business change tuncteee: has just produced a high level Target Operating Model, and this could provide an inioriat vento fat helping the programme to become more “porous” overall In tha eyes ol hose outed h. Gin toes {and the huge proportion of cunt staff and functions that wil be changed by f, thers ie ae Rosca derying tension Between whether the programme fe-designing Unworeal Gre ar the Dense ne Frosting 18: We recommend that work to develop and communicate the Target Operating Model is prioritised over the next 3 months to ensure that it can inform both the relevant Troe User requirements but also the wider communications with staf in DWP, HMRG and Lone Authorities, and closer engagement with senior managers in the current Busineceos We agree with te SRO tha the announcements around pattiner ses thatthe pregranme expects to Poet otatresracren Propane Aenean evo OWF Uv Ces Pager ih 12 Change, Mt &POU provide a urbe good opportunity to communicate more wel about Business Change. along a Nal ocieed onthe noel to develop an omtne Knowledge Management fctty ihe work ee Dal othe use of oth stall and claimants, and we saw an oncuragiy te a ‘he work and approach to this important Business prosuct faa pppreaamne has cared outa comprehensive “Elaboration” process since the lst PARntemal ‘Aut. This has resulted in dsisions to agniieanty 1 fanbor pion tat te rk evel around the Apri’2013 star-dato forthe Pathnder remain high; and that arf mumplomentain sues may emerge from te cscussons wih the ousing Busnes near ot tiger aun’ ths cutine “Target Operating Mode” and he longerietm covigursecn ot tos eee Shit Thee Key crepe underyng the Transformation obecves for the Programme ie Channel inrosuston share es consist emphasised the need forthe Department ves i ane i ropa oni ae eteasing the numberof ondne JSAvansactons although wo undessiong hee Siemon ct ops ed (and est importa) element ofa wider stmtogy te we near eis Pop and semectNet® a compelina sevice propastion anda business mode and culure aren ee help and service ats heart done on line before UC begins to be phased i There sul be etines the importarce of achieving the Univareal Cred onlin targets - which are hat Dovid is oo of Tansactons on ine rom Ockaber 2013 rang to 675% atthe ond ote mean poried in 2018. repinele promote Set servic is continuing within Jobcentre Pls and is si framed by the 20% BAP Chang oasis had bean incoporated in the Automated Service Delivery USA/ocieeh ace Commiton’? Tomamme thst were bot sloppedon 20 Februny 20% atthe OWE Pontos Uscecer ey Commitee mrned fone round current perfomance levels in Jabentre Pus reviewed by th reviw team le imsedin terms of venes, and open to afrent interpretations. Performance in golieg 1s hanecieeSPrarie Aanarce Reve -ONP Ua Cas Pagans acho fonline is current being messured in 2 ways ~ the Change Programme Business Case measura (which 's based on the volume of customers making a JSA claim online vided by the total volume of SA Caims ‘ceived in JSAPS. And the MISP Measure ~ thats based on te ISA claims received in JSAPS cided ‘by the total yolume of JSAcisims recewved in JSAPS, We received differen! views about hich ofthese the more reable and apposite gure, and we think that the DWP needs to establish and embed a shared ‘ew with the Business, in order to underpin rake planning going forward. ‘The Business Case measure stood at 20.4% in Sop 11, 28.1% in Oct, 26.7% in both Nov and Dee: 40.4% In Jan 12; and 38.1% in Feb, ‘The MISP Measure stood at 16.2%n Sep 2011, 14.295 in Oct, 14.8% in Nov, 14.6% in Dec; 19.7% in Jan 2012 and 17.9% in Feb, 5.38 in both cases, the rend was slightly downwards in the run-up to Xmas, with @ sigiticant “spike” improvement in January, anda rather smaler increase (above the autumn velo continuing into Febroay, We understand thatthe January spike reites to a poorer telephone service being avalale ue to 6 ‘ignicant spike in the voiume of claims compared wih the autumn levels, (December claims stood at (8,948, which leapt to 136549 in January, and continued tobe high in Februaty at 85,208) 5.39 We do not think that these figures are yet suclent to provide much reliable dala about long term tends, There may weil be some confidence to be had izom the abearvtion that more climants wl g0 60 line when faced wih a poor telephone service (and post Xmas nancial prossures). But we think Ws more {questionable to take tis as an indication that a significant shift yet occuring in tho underying trend and Claimant attudes. However, we were also fold that this variable fs not of major signicance tothe underiying Business Case {athough we were notable to vert this inthe time avatable: andthe Programme also need to conten {he financial impact of the potential varabies around channel shit (hat are stated in the exiing senstivty ‘analysis at tablo 2.10 ofthe current business case) inthe next refresh ofthe Business Case. Recommendation 17: We recommend that the programme takes an overall “stock-tako” of the progress and interventions around iniermediate channel shift in partnership with the current time for any conclusions to be fed into the refresh of the Business Case, 9) Stakeholder Engagement 5.40 Tha November PAR drew attention to the significant implications and opportunities around the Programme provided by Local Authorities ~ who at that stage were very dsststieg withthe extent arc §poroach ofthe programme's communication and constation with them. -A high proportion of beseat caiments also receive Housing Beneft, and the changes to that regime (and to local ab markets arid employers) will have signficant implications for househode, labour market elects and tne mote {ransformational aspects ofthe customer experince. I wil aso hava mejor praccslimpleatone for any 'ecalauthoites — which they wil have to manage as just part of their own change programmes hat heve to delver 28% eficiences over 3 years). ‘We wore pleased to see the extent to which the programme has now recognised these lasuce ~ and ‘ppotunies, and are now approaching local authoriies more ae potertal delivery parnersratney than pesrmcreo Page maraePerrine sane Reve DHF Ure Ce Pega ch 212 Kroueaganath consulees, We encourage them to continue tht tend, One are. in which counel eal Srpaedae and wider suppor functions saué be of help i in dentfying and meting local Tne soePropane sso Raven BWP Usa Creat Pre oie ANNEX A- Scope ofthe Review ‘The agreed Scope ofthe Review wae confirmed to be: ‘Statue Update and Update on actions trom previous PAR ~ see Annex B Latest position with IT delivery + Rolatonship with suppor © Quality of products being delvered ‘+ Progross check on Leap 3 #IRISintrfaces with other systems Development of the transformational aspects of the programme Plans, resources, engagement ofthe wider department, early stage development (Patvinder) Progress on design based on ful user requirements ‘Ghannel shit — maturity of plane atest progress FRE dosian lemons FE Design Elements ‘+ Progress on design + Fiiwih overall FRE Strategy Scope Elaboration v scope creep and addtional elaments being adied tothe Programme: ‘+ Fraud and Error~ what needs tobe in place before go-ive * Affordaty Resourcing ‘+ Resourcing levels across the Programme with @ particular focus onthe transformational elements ot Universal Great - Patinder ‘+ Reslisnce within the Senior Team and contingency plans to ensure continuity Programme Management {+ Maturty of plans, including sutabity of the ertical path and level of contingency + Impact of sinpage + Fisk management processes, including mitigating actions and contingency planning ‘+ Integration wth eter iT systems ‘Alignment wth AT! and relationship management festacrE9Prayer Abus ve Urvs Cel Pgnne 2012 Stakeholler engagement ‘+ Inparicular, with local authorities should be noted that: = Reve Togcenceme that had arisen siound the March PAR ol the Fraud and Error Programme, the owes Tear was asked to pay parca attenion to examining the eitel dependoney ha Te ie Programme has on the design and deivery of thal programme, nad of te Se ANNEX B — Update on Actions from previous PAR, a etn aoe ‘eis ‘Appendix C- Conduct of the Review nd al rene pat shes to thark the DW Univaeal Cre Programme tem, the PAR suppor team, Seer neue iterviewed fer thelr co-operation, support and openness which contibuted te hee Rene chape tne cceeanang ofthe Universal Credit Programme and af the costs and berate tht hehe shape the outcome ofthis review, Programme/Project documents eat ew Team Has proved with unfettered access toa wide ange of documentation that provided a Mnetonsy Mormaton relating to the stategy, programme etucture, cosing. funding ang tense cocupests etuTemerts, technical architecture, PPM documents, highight report cad gowns ocuments. Page ot28Pare Assure Reven- MF Uv Cnt Posrarime ch 02 ANNEX D: List of Interviewees Name “Terry Moxan Malcolm Whitehouse Karelin Nakonz John Michael Paul MacPherson Ten Carter Stove Dover ‘Stuan Proud Katherine Couriney ‘Stephen Brien Steve Lamey Davi ster ose James Lara Sampson Pete Soarle Sarah Souton Jeremy Groombridge ‘Tim Read Jacquie Wood Robert Devereux Low Freud Fichara West uth Owen! Net Couing ‘Ann Harts Esther Stowart Bob Lovett Lyn MacDonats Charlotte Wightwick. Dominic Bracken olen (riet Operating Officer and SRO Programme Director Dep Programme Diector Head of Statogie Sourcing Dep Director, UC Core Dep Director, UC Business Processes Director, UC Business & IT Solutions Dep Director, Finance Director, Policy and Service Design DWP Expert Advisor Director General, Bonelite & Credits Non-Exee Director DWP Dep Director, DWP insight ep Director, Service Design Director, Finance Planning Director, Business Transformation & ‘Change Organisation DWP Operations wp uc owe uc DWP FinancesCommercial DwP uc. DWP uc. owe uc DwP uc DWP uc owe Hr atonal Grid Dw wp uc DWP Financea Commercial DWP HA Director, Implementation and DelveryDWP UC Dep Director, DWP Business Change OWP UC ‘Senior Pinipal Pormanent Secretary Moist for Wellare Roem (Lords) Dep Director, Claimant Migration pois Director, Work Services & Dep COO Director, Working Age Benefits Director, Portfolio Management Unit Dep Director, Programme Manager Dep Director, Security Programme Director, Fraud & Error ep Director, UC Poy Division we uc bwe owe we uc DWP Operations DWP Strategy Group LOWP Corporate Change we uc Dwe uc owe DWP uc Dw ucestacreD ‘Prorenr esas Ren? Url Fegan Mach 202 Name Rolentie Organisation Stefan Czerniasks Dep Director, implementation Phase DWP UC ‘Stephen Banyard q Hwee Director, Transformation Dir General, Personal Tax & SRO of an Flona Gough op Director, Welle Reform DCLG Nisote Kett Dep Director, Personal Tax, Welfare HN Treasury a Pensions Group Redacted) (Redacted) we uc We were unable to interview the folowing due to itness or ‘other commitments: - Mike Bracken Head of Government Digitl Series Gobnet ofce Director, Operational Excelence, pave ck ‘SRO for Frau &Etror Paul Raynes Local Government Association Head of Programmes and LocalismaesTRICTED & CabinetOffice Major Projects Authority Project Assessment Review (PAR) Version number: Final Date ofisve: 12 February 2013 Programme or project: Universal Creit Programme ~ ID 1880 Organisation: Senior Responsible Owner (SRO) Mark Fisher — Acting SRO Stephen Brien ~ Deputy SRO Programme/Projct Director (or equtslent) Hilary Fleynolds Business Cas stage reached: osc. Decksion/spproval pint this report informs: MPRAG Panel Review dates: 26° January to 5 February 2013 Review Team tender: Dr Noma Weod Review Team Members: [redacted] Departmental Revlew Team Member: redacted} Provious review: May 2012 ‘About this Report ‘This reports a snapshot review of a programme o projet, reflecting the cancslons ofan independent Assurance Review Team. tis based on information from project daciments reviewed ne fm interviews ‘ried out within shor timeframe (over 5 days) and is delivered tothe Senior Respontible Que forthe programme or project tthe conclusion ofthe review,eSTRICTED Pret ana Me Erict Programme/Project Description LUC is the centrepiece o the Governments poicy on Welfare Reform based on commitment made in the Coaltion Agreement and through public consultation. fs alm i o change the nature ofthe ‘lationship between beneft claimants andthe state, focusing on geting more people into more work ‘mer ofthe ime. UC wl have a wide ranging impact onthe payment of benefits to both unemployed nd in-work individuals, with signicant changes to claimant and ste interactions and processes, The ‘very of UC wl be introduced in controled phases, starting with ania Pathfinder (Phase 1) to be launched in Api 2013, wth national rollout (Phase 2) beginning in October 2018. Rel out of UC expected to be complete by the and of 2017, uhen all eurant benefis JSA, ESA, 1S, HB) and Tax Credits (WTC, CTC) systems wi have been completely shut down Deals of the phases are etl being define Noe: In this report we consider the scope of Phase 1 and Phase 2 tobe as defined within the business Delivery Confidence Assessment (OCA) Please seo Annaxe D for DCA detitions “The Delivery Confdones fr this programme is REL ‘This i as@ rest ofthe accumulation of the significant seuee eet out inthe Executive Summary and ‘expanded on inthe bed of he report DW's sa-assessment of daivery confidence rates Phase 1 as Amber, Phase 2 as amierired and ‘Phase 3 and beyond is rated as red. DWP’ view is that theres time for delivery ofthe inl Pathfinder te startin Api 2013, and while is important o maintain the momentum ofthe programme, tis of equal importance that the recommandatons made ae pursued and aciessed as a mater of upency and ‘certainly in advance of fraisng pane for later phases, ‘The cumulative effoct of he issues in this report i to challenge the successful delivery of he policy inten. We therefore recommend a complete re-think ofthe delivery approach together with sveamining f potently overly elaborate solutions. The Pathfinder aperoech i a lerpely manu service and wil eller some value by exploring the feasibility of behavioural enange -the core ol the policy intent and thereore should go ahead provided operational readiness ie assured. We recommend that subsequent work should not proceed unt the completa re-think of tha delivery approach (e.g, Blur, business architecture, sysiem architecture) is coneuded. restricreo UNCLASSIFIED VeonaesesticteD 2. Exeoutlve Summary LUC palcy intent io universally vested and undersiood aoress the programme, front ine ard business Partners who have a deep commiment io bringing aout the raquired changes in caimant Behaviour ‘Theres strong ovnerehip trom Ministers, senior ofeals andthe leadership team, Historically, the Programme hed been purely IT civen wih It, # any interface wih the business anda ‘epulation for impermeabilty. The commercial constuct and lack of rgour ar! discipline in the IT ‘methedology has le to an ineletive programme which appears to be unlikely to be dafvered without substantial changes. The Programme commenced in January 2011 with an aggressive timetable to start dalvery in 218, Development work on supporting IT stated in July 2011 in paral o progress the Wellare tor ‘and final decisions on the overall palcy and design. The programme adopted an Ags approach: ‘Short after Royal Assent in March 2012, the Secretary of Stat inated a ‘Hed Team’ review to provide 8 comprehensive stocktak ofthe progress to dato andto make recommendations that guarenteed Gelivery in 2013. As a resut, a Programme Dirctor and leadership tearm with a focus on delvery was Introduced under the leadership of hight experianced SRO, who unexpectedly ded in December 2012, To maintain the essential momentum, an acting SRO, wth exceptional operational experience, has been appointed and he is * Gonsofdating the leadership team who have impressive knowledge ofthe business and ts ‘customers. Clsimants and their predicaments underetooe, analysed and modelled realistically *+ Executing the new appraach to dalivery, namely the inteduction of phases fo integrate and Control werk stands which were previously sload together wth a weloome injection of Programme management expertise fo execute the delivery of Phase 1 & 2, ‘These measures are eminonly sensibie and are beginning to daver some clarity tothe ealy phases ct {he programme, but the approach remains incremental and doesnot recognise key aspects of what is Fequired to tuinaround and delver a business transformation on ths eal. ‘The shape of the steady sate and articulation of how DWVP wil do business diferent is not know as, {hare is no Blueprint or Business Architecture and the need to devslop and communicate one fe not understood of deemed tobe a priory for the leadership team. Ther is no bridge between the high ivel vision and the proc detail n the programme, Hence strategic direction and coherence is hard to ‘maintain across the communiy of partners constiuting the UC enterprise. Directing and guiding effort effet, inctuding managing plans, key milestones/ritcal path and integration rk, without a sence of the end result to be achieved, wil be problematic. Whether Phase 1 and 2 contribute or detract fom the ‘end slate cannot be assessed. ‘This lack of a Blueprinvbusiness architecture Is @ root cause of othr crcl problems, ‘thas impeded he developmen of an and to and Security (Cyber, F&E, IDA) eoktion, encompassing the entre business and its supporing business processes not just IT. As a resul, ‘current proposal for sunt cannot be landed eflactvely which seriously afect the dtverailty of Phase 2,aesracrea "thas caused incoherence in IT developments, hich now a based on dering assumptions, ‘scope and solutions. Consequently the ecalabity of Phasa 2 and the extensibility for Phase ‘snd beyond is questionable. UC does not have agreed and aligned High Level Business, Appication, Data, Security and invasttucture Architectures. + The resulting architecture is incoherent an does not provide programms, sustainable patoxm for his Suscessfl delivery wl require very effective loadership in tho face of severe capability gaps. There are signifcant questions over * The business readiness for Phase 1, a largely manual proces, which i geting peilously cose to gortve without the key materials essential fo rontina prepaation and delivery (oustomer Journeys, learning and development, businase processes ete). * Poor ita desi discipline coupled with the abrogation of responsiblity to suppliers has resuted in substantial re-work, re-scoping and nugatory offre extremely unsval o fnd suppliers ‘conducting user acceptance testing and working cin side and supplier side simultanccusly, DWP needs to take back contol of ts suppliers. Significant constraint within the commercial Construct (PR, exclusivty and pricing mechanism) wil raquit robust e-negotation, ‘+The lack of robust, defensible nancial management rlatng io IT spend and sift costs should also be corrected, ‘ther issues to be noted are: * The business case and accounting treatment is conetructod so thatthe benefits wil be realised at {tho end of he programme, ahough they begin to accrue inthe programme’ eter stages, The ‘benefits associated with reduced werklessness which are atthe heart of fe potoy into do ot Sart uni stoady stato is reached in 2018/18, But slppage, wich i kal given the onsiderations above will move benefits and sigicant coat int the next SR which have not yet been assessed, *+ Blurred eccountabittes between the Acting Seniar Responsible Officer, Deputy Senior Responsible Oficer and Programme Director are causing some confusion ae staf and Stakeholders do not know who to go to for key decisions and escalaion/esoltion of erica Issues, + Cries cscpines(T, Commercial, Securiy, Financial) expected ina transformation programme remain outside ofthe Programme's direct control, +The continuing risk of burn-out 1 the requirement for SROs to combine this role with ether dues (COO, C10, 06 Change) wil leat to overload © tiie capabilies at Dect level such as IT, Commercial, Transformation delivery a ‘Stetched very thinly across the whole of DWP. ‘The cumulative effect ofthese isues isto challenge the successful delivery of the poi intent. We therefore recommend a complete rethink ofthe delivery approach together with steamining of potently very elaborate solutons, The Pathfinder approach isa lgely manual sane anil Selver some value by exploring the feasiblityof behavioural change - he core ol the policy intent ~ and therefore shouki go ahead provided operational readiness is assured. We recommend tal subsequent ‘work should not proceed unt the complete re-think ofthe delivery approach (e.g, Bluepin, business architecture, sysiom architecture) is concluded,Resricre Proje eect Re 8. Summary of Recommendations 1] Asa mater af uigeney, the SRO develops and bat Urgent ‘communicates a Blueprint to ster the programme ‘and engender coherence and realism aetoss tne UC enterprise immeclately flowed by the development fa coherent programme plan, erica path and realistic risk management. 2 To intercept a cifieal ak, the SAO acively manages [p73 | Ugent ‘a timely delivery of programme products for Phase 1 go-live to operations, 3 | The SFO contains the soale and complexiy in P2, | pt) | Uae While the UC IF architecture ia reconsttuted to roduoe a secure, sustainable, extensible architecture tosely aligned vith the output othe Blueprint. Co- lccation of the teams working on both the Blueprint and the reconstituted architecture fs essential. |# | Tomanage hard dependencies, tie SRO eaabiaha | p18 [Fae ‘Business Partner team to lead the deep exploration of business imperatives of esch partner, ereale jomnt plans, develop and share data and assumptions {Master Daia and Assumptions List) and mitigate isk {\e co-destny partnership management) The SAO ‘may wish to consider a separate de-commissioning team. |The SAO claiies the accouniabilies of he pie | Uae leadership team and adresses signieant capabilly and capacty gaps in Business Architecture, Ir Architecture, IT Davery, Commercial, Contact management and PMO teeme ©) The SAO urganiy commissions an intemal review ot p17 | Urpeat ‘he aotual and forecast expenditure and how tis controled. rica to this willbe gripping supplier management (T, commercial, contrat mastagoment andl contact nance) effectively. 7] Ae a summary af the recommendations above, he | p18 | Ua SRO should conduct complete re-think o he onthe olvery approach to safeguard the successful delivery othe poly intent.ResTRICTED 4, Adeitional comments from the SRO ‘The Department siready recognises and indeed has beon acing on many ofthe repor!s recommendations, Recommendation 1: As a matter of urgency, the SRO develops ancl communicates a Blueprint to ‘Steer the programme and engender cohererice and realiam across the UC enterprise immeciatsly followed by the development of a coherent programme plan, ertical path and reallti rick management. We have maved toa phased approach to delivery and ine naw antangements have given clay to the ‘evised implementation approach, wih each 'Phase Director having lear leado'ship and accountabty {or delivery and outcomes. But we accept that a clear, comprehensive and detailed picture of tha ond ‘stato Is essential and we are commited to having a developed suche Blueprint by Apri 2013. Recommendation 2: To intercept a critical isk, the SRO actively manages, with the Programme Director, the timely delivery of programme products for Phase 1 golive fo operations. Phase 1 plans have beon subject o rigorous sorutny, et Dect led operational readiness reviews, \wbich have assessod the extent to which products and prooasses are h place in time for he daory of Phase 1. The SAO wil actively assure himealt ofthe timely delvery of programme produce for tne Phase 1 go-ve ocommendation 9: The SRO contains the seale and complexity in P2, while the UC IT architecture ie reconstituted to produce a secure, sustainable, extensible architecture closely aligned withthe output of the Blueprint. Colocation of the teams working on both the Sluepont ‘and the reconstituted architecture fs eesental. Phase 2 current includes extending the geography of our Greater Manchastar inal Pathfinder. We are ‘currently considering the scale and complexiy of Phase 2m lightol decisions on te FT architecture Recommendation 4: To manage herd dependencies, the SRO establish a Business Partner team {1 lead the deop exploration of business imperatives of esch partner, create jein plans, develo, 4nd shate data and assumptions (Master Data and Assumptions List) and mitigate risk (us oo. dlstiny partnership managemen), The SAO may wish to considera separate de-commisaioning team. ‘We acknowledge that delivery partners are central fo the secur implementation of Universal Credit. To that end, HMRC are onthe Programme Board We have a new partnership forum with local government, | wil reinforce these arrangements, as | wil the relationships with programmes within BWP, to make sure we capture the spit ofthis recommendation, Recommendation 5: The SRO clarifies the accountable ofthe leadership team and addressos significant capabilty and capacity gaps in Business Architecture, fF Architecture, I Dellvery, ‘Commercial, Contract management and PMO teams. | accept this recommendation. | am working to clay accountabiltes. We had already identlied gaps in ‘eapebilty and capacty on IT and Conmercils, Contract Management and tne PMO. Atany have boon filed including the appoiniment of a now Programme Co-ardintion Director who undertook a sna rol in London 2072, PraneetsssesTRCTED Recommendation 6: The SRO urgently commissions an intemal review ofthe actual and forecest expenditure and how itis controlled. Cilcl to thi wil be gripping supplier managemont (f commercial, contract management and contrat finance) sifectvaly, | accept this recommendation. Recommendation 7: As a summary ofthe recommendations above, the SRO should conduct a complete re-think ofthe entire delivery approach to safeguard the successful delivery ofthe policy intent | 2ecept this recommendation, it wl however be eseental to maintain delivery momentum to extond ‘coverage beyond the curent Phase 1 pathndor In Greater Manchostor, Wa twclor intend undertake the reviw in parallel to prepatng forthe safe excension of Phase 1 coverage, bath ‘eographicaly, anc terms of selected claimant type, lair 2013 |e remain confident inthe safe, phased, delivery of Universal Cred securing the slnfcant benefits ‘tl bring te society, and in ealising the value inthe business caso, Our awl Iplomestaton oh the, ‘ecommerdatons in his report wil help achive tha, accompanied by contnuad remonum celeryresrRicre Propel een Ree 8. Scope ofthe Review and Lines of Engulry ‘The scope and lnas of e Nuit ofthe review are previded Inthe Term of Rearance for the Review at annex E.resraicTeD 6. Summary ofthe Programme Jackiground and context ‘The delivery of UC a Strategic Reform Prony 1 for DIVP. Ite the centrepiece ofthe Government's policy on Welfare Reform based on a commitment mad in the Coalition Agreament and through pubic ‘onsuation. The White Paper (200) included various eptions fr tho redesign o ta benefte system and UC was adopted asthe preferred option. UC aims to rachace complaiy inthe curort means tested ‘system andl address systomis issues thal act as csincentves for claimants to move of benef and into ‘employment DWP wil create new single modem benefit system, offering a precominanty onfine claimant ‘experience. The new sence wil replace a number of working age benofils and tex evedis In ordor to liver successtly it wil need to be workfocused, easy fr claimants to use, secur. reliable, and make ‘suppor flexible and accessible, The service wil go-live in October 2013 (nth Pathinders from Apri 2073), Projects contributing tothe programme ‘Thote are a number of elated Programmes across government which, whilst outside the scope of UC, ‘we critical to support successful delivery, These Include the: + HMRC RTI Programme, which wil provide the interface between DWP and HMRC systoms to Support the access to real-time esmings information; ana ‘+ DWP Fraud and Enor Programme, which wil dlver the IRIS system to provide isk ‘management and ust capabilty to suppor the UC serve. Current situation ‘The UC Programme Business Case (2.02) has racsived the relevant inlomal approvals, nelucng signe of by the DWP Ponti Board. ‘The Programme has shifted from service dasign to delvery, with major changes to the Programme leadership team. The focus on delivery has moved ta phased implementation, the Phases ar: + Apr-October 2013: Patinging: + October 2016-Aprit 2014: National rlkout of new claims for unemployed households; + Spring 2014: extoncon of gstoway oall new benefit claims; and » 2014/15:2017: managed migration. Programme Aims and Objectives “The objectives of UC are te: ‘+ Encourage more people into work and to make even small amounts of work pay and be seen to pay rage ctoeresrRicteD Prost ene Pte + Smooth the traniin into work by offering a single benef that removes the distinction between being in and out of wore ‘+ Encourage in-work claimants to Increase thei eamings; + Offer simpler support wth one system replacing muliple systems, therefore reducing ‘éminisraon costs and the propensity or sror and * Tackle poverty both through increased take-up since the system wil be simpler and increased reward fom employment fot the claimant 7. Detailed Review Team Findings DELIVERABILITY Deliverability - Business transformation LUC has not been constivted as a business transformation programme: pethaps due toits IT diven history: and perhaps due tots Leeming From Experience phiaeophy which takes an incremental approach, often quoted as “starting smal. Current the nead to grapple with practicalities of roganing orto against hard delivery timescales is lading the team to focus onthe nearest declines without a ‘8a sense of how they contibute fo the overall scheme, Consequenty, the need for an overarching statement of how the business is expocted to workin its steady state hes been do-emphasised. (The readap we were shown ralates pat to migration and Party to phase evelopment with increasing functionality but it doesnt dock with a stecdy sate), ‘Many ofthe steps o tur vision into practial realy are missing, or example: + There is no Blueprint or business architecture describing whats the shape ofthe steady stata _and how DWP will do business diferently. (There are varying views about the end date), Envisagng the future is not any easy process especially in such a complex programme but we would have expected atleast ¢rucimentary articulation of how core business would be Conducted, expecting ito be expanded and refined as knowledge accumclates though each ‘successive stage ofthe programme. tis ficult o direct activity cohereniy without a clear Statoment ofthe results to be achieved nd how each element of tha programme contributes to them. ‘There sno strategy for how the steady stte isto be achieved the priories, sequence and ‘ctvties necessary to rect and control the programme and ts nterdependencies "+ Accordingly there sno plan fo the full programme, deiing when esearal actives must be compete in citical path, detineating the long lead time items and integrating business partners! Programme plans and tesiment of legacy systems. ‘+ Wihout a Blueprint there is no way of knowing ifthe Programme Is ontrack; what elect Phase 182 will have on the steady stato business; nor deed if these phases will Contbute fo or Cetract rom t. It ill be extremely cific to avoid unintended outcomes, Risk cant be fal |dentiied and therefore cant be actvaly managed. Integration plane ofthe key components (FT, Tax Gres, et.) are not of suicant depth to mitigate tis risk ‘There fs no bridge between the highevel vision and mulipcy of tal Asa result many ofthe pasts of ‘the programme have been builtin isolation based an diferent and sometimes conflicting sts ofresrRIcTED assumptions with no clear understanding of how the pars willbe utimately assembled. The potential for ‘Sigicant levels of unknown rik is high. One vitally crtcal consequence of the lack ofa clr Blueprin/Business Architecture fs that thas impeded the development ofan end to end Securty solution, encompassing the entre business ad Is ‘supporting business processes no just IT. As aresuit, current proposal or socurty cannot be landed) cfectvely and have led o over-engineeringin IT ‘The lack of & Blueprint (and its aocompanying plans, cal path and rik assessment isa root cause of ‘many of the problems the Programme is experiencing. The widely cknowiodged probloms ot IT and Scurty ae deep-sested symptoms of this problem which are uikely tobe cued Ifthe underlying allment of lack of a Blueprints nt remeclod fet. ‘This situation is recognised by key staff most inimately involved and engaged with the programme and {here is an urgent plea trom them fora Blueprint to bring coherence and realism to the entire endeavour ‘and then subsequent fo align plans, milestones, ereal path etc wih the ond state {tis moet point as fo whether the entre leadership team recognise or understand the significance of this Issue, The workshop planned for Phase 8 due to be held on 5/6 Feb appear o be renoring the incremental approach rater than addrassing this issue. Recommendation 1: As a matter of urgency, the SRO develops and communicates @ Blueprint to steer the programme and engender coherence and realism across the UC enterprise immodiat {followed by the development of a coherent programme plan, erticel path and reafstic risk ‘management. Deliverablty: Businees readiness Phase 1 is broadly ontrack tobe delivered by the due go-ve date of 25th Api 2019, Thera i ti time {or the operations teams tobe ready but there is no cortingoncy avatablbelween now are the go-nve ‘ate and the timeline to the delivery date isnot without risk. Much depends on clear and timely information being made avaiable and training completed in good time. Pathfinder operational ses vil ‘want to see the physical evdence a least 4-8 weoks lead time ahead of gorve to cantinm thoy wil be {uly ready to implement Phase 1 of UC. Mid-March isthe drop deadine for operations fo confirm readiness, Frontine offices Jobcentre and sence centr) report the current situation on readiness fr Phaso 1 as very confused, There is cleary a good dea! of enthusiasm from operational stat forthe intradtion of UC and understanding of the poy intent. A "can co" attude exets within operations but pressure is ‘mounting a8 the Phase 1 go-ve date is only 11 wosks away and important prods are not avai to {tontine staff These products include training packages, descriptions of clsiman journeys ana, \finions ofthe manuel processes necessary to operate UC in Phase 1 Claimant journeys are being developed but are not yet avalabe tothe frontine offices included in Phase ‘and they have not been socialized or agreed with business partner. Delay f tha understanding ofthe claimant journey inereases the risk to the delvery date for Phase and increases the nek of, ‘putational damage for DWP. Understanding claimant journeys is essential o operational managers to Paget ets0resrnicréo ‘beable to answer detailed questions about the new proceduresprocesses irom staff and deal with lenquities fram claimants. Considering the UC vision is dependent upon a culture sit for bth unemployed and in-work caimants, ‘there's litle evidence of education material for these target customer cohort, The Phase 1 programme team relies on “readiness acesesments” to gauge the state of operational readiness. DWP assessments show thatthe Phase 1 delivery dat Ie curently amber and thre le no ‘reason to challenge this situation report but thera dos not appaer tobe pariculaly song communications channels from the programme to operations ao thal they fee suliienty engaged and reassured. Tesining of operational staf is dua to begin in cary Apri but the manual process deinitons are not yet _avsiiable, which means tis dala is at risk. Feedback from operations includes a plea for resources to ‘ack post 50 that day-to-day delvery of services ie nt advorsoly affected when stl aro released to {ake partin UC taining events. Thetis & concern that no forme ga/no-go decision eteria have been sol. Operations donot appear to ‘be ombeckled in user acceptance testing, which is IT led, This wl make i iffcu or eperational ‘managers ard staf to see physical evidence thal the Tis werking (een in iit form for Phase 1), which in tum increases the risk of reputational damage should the technology al on day 1 ‘There appears fo be a disconnect between the Service Design function and operations insomuch design products though o be “signed” byfront-ne managers have nol yet reached oparatons teams, Furthermore, ther is no formal process for sign off and handover of programe produc to operations, LUG has a hard dependency on data feeds on incvuas from the Rel Time information system onned ‘by HMRC. This system is new and not due to goslve uni 6th Api 2019, The interlace between Ehace 1 1 UC and FTI low impact and on tack tobe ready by go-lve at the end of Apri. However, continuing §mal changes tothe UC requirement and failure fo freeze the specication goin to RT! is creating ‘Concern and ads risk to successful dalvery of Phase 1. Also, there i sill a need for better algnrsent| ‘between RTI and UC PMOs on planning an although endto-end processes are understood at heading level, there is stil a need to finalise the supporting detalled architecture PPhase 1 will ave minimal impact on HMIAC’s plans forthe managed and natural migration of tax ordi {aimeants to UC. Thore i stil mare work to be dane between HMC and DIV to plan and Gefne Claimant (custome) journeys and this wil be progressed in February 2013 tis notable this jin working ‘does not nce focal authori, which i a significant gap. ‘Theis are plans to create a rep response team to help Phas 1 sites deal with cca indents and tis ‘preach could be further strengthened by implementng a Gold Command stnucture fora lmileg pend to formalise th escalation of issues tothe programme's top team, This approach wil hep the ‘operational teams dea! with immediate problems but there is a80 a need to formalise procedures to 2pture learning from Phase 1 so that can be evaluated and used to inform the design and development ef Phase 2. There is no evidence of transion plans to show how manual processes willbe ‘removed from Phase 1 and replaced by aulomated processes in Phase 2 and beyond Pacet2c99esTRICTED Pomypnenmtee Recommendation 2: To intercept e citcal isk, the SRO actively manages the timely delivery of programme products for Phose 1 go-live fo operations, ‘cRmcaL PATH ‘There has been a lack of an agreed and aligned overarching architecture coupled with the absence ofa sttuetured mothodology,n spite of investments made in Agile tearing. This has lat significant amounts of ror and rugatory efor in the earty stages and continuing concems over th stably and extensibility of he architected solution. Further, there are questions over the size o the supply side {teams and the historic and forecast costs to deliver UC. A value for money assessment should be undertaken, The phased approach to delvety has introduced some weleome rigcur to scope cont, however this 'kely to reate pressure on ater phases. Time should be spent now on intodicing a more structured approach to the delivery of Phase 2 and beyond. ‘The absence ofan end to end architecture has led to tactical decisions being made without a ful ‘2ppreciation of the impact on DINP's longer term ambition forthe UC TT plato. Atfhough its beloved {hat the UC components are well-engineered and individually should be reusable beyond Phese 2, the system architecture (the manner in which they are assembled) is “hard-uted" end not extensible without signiicant rework to transition toa more flexible service-based architocture, ‘Secury has been identified as a key fue for UC es itis halting progress on infrastructure ands tkely {0 cause signicant rework tothe application development. The consequence of not having an integrated, system-wide approach to security from the outset Is that DWP may be exposed to external Utweats including cyber. Work is underway fo address this issue however there is no single owner to droct this effort. Current proposals ara both technically ever-enginaered and lacking in systom-nide ‘key component ofthe end to end security solution Is entficstion of fraud and eroe. Assumption have been made throughout the Phase 2 design around the delvery of IAIS which le it expected fo be ‘available unl mid 2014. Delays to IRIS roquire business process and application redesign as yet Lnplanned, Two key lssues have been identfed which give rise to concems aver the scaling up of operational rollout ofthe UC solution, The Work Services Platform has been developed in lsoaton from the core UC ‘pplication and wil esultin font ine staff double keying claimant detals until October 2044 current Plans, Secondly, ve understand thal the data model has been mplementad in such a way thet fe limts, {he felaonship botween payments made to households and claimant. This wil rel in clrial Intervention for more complex cases. We were unable to dently an end to end test strategy and test plan for UC. (We understand end to end testing onthe predution patform for Phase 1 applications has not yet taken place} Suppliors are {currently running al ofthe Treated testing. DWP should take responsibly for running an er o end User Acceptance Tost to validate IT, processes, raining and organization. DWP should alsa witness end to end performance testing ofthe system to validate tha iit for thelr purposes, Pagetocta0esTRICTED these Issues are not addossed ha clear view to future requirements forboth UC and DWP there is significant rik that the solution implemented wal ba nether effective nor eficient To addrees the Concerns idenified around IT and architecture requires spaciaist capably that does nol exist thin DWP at this ime, Immediate stanton shouldbe paid to identifying and resourcing the required roles, Recommendation 3: The SRO contains the scale and complexity in Phase 2, while the UC IT architecture i reconstituted to produce a secure, sustainable, extensible architecture closely aligned withthe output of the Blueprint. Coocation of the teams working on bath the Blueprint ‘and the reconstituted architecture Is essential. TIMESCALE ‘Tho UC team have developed an in-depth understanding ofthe behavioural atlibutes of thelr claimant base anc used tis knowledge together with detalled operational volumetcs to model comprehensive Imigrafon plans for managed and natural migration. The mode are the basi forthe roadmap which {explores the expansion of csimant and geographic coverage together withthe necessary extension in ‘unetionaity. The elegance anc sophistication of tie modes ie almost seductive, as these migration Plans are seen by many tobe the programme plans ~ tha problem being tha tis unclear without « Blueprint what these claimants are migrating to. These migration plens also delineate te closure pons ‘oF te legacy systems ans by extension, the point at which benefits to UC kickin, ‘We understand tat thee has been a major efor onthe part of the programme o engage deeply with those affected by migration plans but this is not aMays recognised by key partners, some of whom complain of poor engagement and being unsighod on ercl timings. For example, the impact of any delay on NISSA wil fect ther Ministerial commitments andthe legisive timescale. ‘The success of UC rests on some very hard dependencies witha few, vial organisations which \eanscend the normal needs for infomaton and engagement of oferstakeholers. The way in which UCis conducted and articulated overtime impacts the business and nancial operations of external ntti such as ATI, tx credits, housing benits as wall as those internal to DIWP (Personal Independence Payments, Pension Cred Plus, Benefit Cap, Work Programme, Joint HMFIG/ OWP Fraud ‘and Error Pregramme) ‘Although these enites are described by the programme as business peners wth some joint working on Poly (6.9, agreed trestment ofthe vexed question of debi) we found no real evidence of th inten of Join planning and management necessary to ensure that al the parners wore working closely in lock ‘step to eneure succeestal delivery. There was insulcient recagnaion of co-dependencie, the potential for unintended consequences both ways the impact of slopags on each ors’ costs, sa and benef realisation plans, the shared risks around dala quety and more simply, deep understanding of each ‘thers business imperatives, ‘Te programme is missing a rel oppertuity to wok these issues trough in genuine co-destiny Panning and management. itis unaighted on cial haneover pols ard we Could fal no recovery Dlans should failure st these points occur (which fs normal planning for any Service business), age aets2sestricreo \We appreciate that is hard to thik of decommissioning whan struggling to get the Programme designed {and bit but transformation requires tha ths thnkingworc is conducted in paral to eneure success be ata disadvantage in any future cisegreement over faire to meet expectations, Management ofthe IT Delivery is now the respensbity ofthe DWP Corporate IT function wh act on behalf ofthe UC Programme. CIT sal are expected tobe Programme Delvery Managers, delivering & highly complex IT solution in a mult-supplier environment. Theo ero a smal number of Corporate IT laff wth this experience and these incivduals are eretched across the wider DWP porfolo, Insufficient tention has been pai tothe sis and capacly required for thes IT delvery roles which curently st Dutside othe core UC programma team.estRICTED ‘Thote was no evidence ofa coniract tinance function, Invoices are signed off by CIT and there does not ‘ppaar te be one person holding the suppl to account for work completed of any measurement of value delvered Recognising the paucity of cnt side capably to manage the integrated design and development werk, LUC contracted with 184 to be the ‘Application Development Integral’ (ADI) in adson to their pplication development responsbiies. There fs evidence tha DWP isnot gating value for money with ‘the ADI and DWP retains a integration isk. Consideration shoud be given to redistributing the work out {o the new Programme integration Drsctor and an expanded, suteby experienced DWP IT Delivery team. Allowing forthe fat that DWP have provided the instruction for IT suppliés to proceed! withthe various ‘tages of design and development theres a question around! a professional duty of eare onthe pt of the suppliers. To have continued or prolonged period af time, to accept ner utons to develep softwere in te absence ofa clear Biueprint ae without a clar set of requirements is ot acceptable behaviour and should be challenged, itis clear thst many ofthese Issues were identified by the last SRO. Howover itis Imperative that they be revisited by the new senior team, Recommendation 8: The SRO clarifies the accountabilities ofthe leadership toam and addresses significant capability and capacity gaps in Business Architecture, IT Architecture, IT Delivery, ‘Commercial, Contract management and PMO teams. Business Caso ‘Tho latest version of the UC Business Case has recsived all the necessary internal DWP approval, including Portioio Board signoff on the 28th January, The next Teasury Approval Point (TAP) ie ‘expected at the end of March to align withthe Phase 1 delivery and go-ive plan / milestones. Tho total {uncing envelope of £2bn rng fenced within the DWP S10 allocation, The curent NPV is £290n, The Impact and etecs of any sppage inthe Programme, which could ptenialy move aspects of delivery to within the yet tobe agreed SA14 setiement, need to be understood and dacumentod ‘The key assumptions within the Business Case are belng reviewed and revised in gh, fr example the Impeet a the INFORM model on bene caseload forecasting. There isa lack of conlidence Inthe stabil and ongoing viabily of certain cost budgets, speccaly the £551m cepa IT spend which we ‘wore tol predicted to run out bythe end of Phase 4, We found inconsistencies inthe timing and "magnitude ofthe forecast IT spend and the Business Case. ‘Ther ie an exponential ise inthe fancil value of the presictod benefits fom 2017/18 (£2.7bn to 2018/18 (£7.7on) party de to accounting westmert. This profiertlects the fact tat the vst major of big tcket benef, specticaly AME reducton in Fraud (£1.5bn} and Reduced Worklesenees (£16 tor), {are backended and primary realised when steady slate is reached in 2018/18, The benefits anlicipated {tom “sii by default” (€991m component ofthe leducton in Adminstration savings) are relatively femal tough channel shit isa cra! enabler deliver the UC vision, Thor i a lack of laity over the Programme's intemal spend approval process. The absence ofan ‘easily Idantilable, clear and demonstrable supporing audit rail fr previous spend decisions, specicalyesrrcTéD TT, s-@ major concern, Historical it would appear that there is a lack of robust, defensible financial "management, the effects of which are compounded by the absence of Key supporting nancial metcs| such as burn rate and esmed value. Aditonaly the Programme's structural constrains, specifically the ‘separation between finance, contract management and T prevent “inteligant” challenge, the detailed “analysis of supplier spend, impacting the ability to undertake “due dilgencs” on supplier costs, Curent IT approvals are also dip fed on a monthly basis, lacing to supplier uncertainty nd instances of working atk without commercial cover. This situation ie symptomatic ofthe ited financial condance \which both Cabinet Office and HM havo in tho Programme's abit to effectively manege Is spend. tis rica tha this cecibity Is e-eamed to emacth delivery moving forward Recommendation 6: The SRO urgently commissions an internal review ofthe actual and forecast ‘expenditure and how its controlled. Critical to this will be gripping supplier management (TF, ‘commercial, contract management and contract finance) eflectivaly. LEADERSHIP GOVERNANCE AND RESOURCING ‘The leadership team has been strengthened since November 2012, including the introduction of a nowy ‘|ppointed Programme Director, Phase 1 and 2 Delvery Directors and head of PMO. The leadoship team continues to evoke with new appointments e.. Phage & Delvery Director appointed et January 2013. ‘The Programme has an acting SRO, appointed at the bagiing of this year and is also supported by a Deputy SRO. There isa Isc of earty over the accountabilise and responeibites of these two roles {and that ofthe Programme Diretor. Al three bring a wealth of welfare business knowledge and experience at policy and epeationl levels and this makes them highly eredibe within the DWP, with business partners and Nénisters. This top team would benefit rom further strengthering by adding additonal capabity to bridge gaps in the fl rng of sll roqirad to tumaround ths leige-scale ‘ranstommation programme. This manifests itself inthe lack of grip of commercial arrangement, contract ‘management, technology suppier management and dependency management (within and extemal to the DWP), Furthermore, the SRO role fora progremme the size and politcal profile as the UC is clear demanding {and a fl ime roe. Adding the SRO responsiiltis to otvar high profile posts, euch as the Dretor General or Change in a department with such a broad transformation agenda Joos run the ik of ‘overload forthe inevidua ling tie post, leading te possbla burn aut in a short space o time. This ‘creates further risk to the programme. There are capabilly gaps atthe next management love down and ‘bumout a his level is also a risk the programme isnot able to provide adequste and appropriate ‘resourcing &.g. 0 inerease support to the programme's IT and PMO functions ‘The UC programme eles upon external support to manage commercial arangements and IT, rather than embedding these functions inside the programme itself This fs giving the elect of fragmented and Inffective controls of technology delivery and costs, Tis means that decison mating happens by way, ‘of commissioning rather than controling IT. Programme coherence is leak and ther is lit evidence of leer alignment between PMOs within DIVE. ‘and wth extemal business partners. The lack of architecture (overarching business and technology) ‘expertise is of great cones andthe lack of a detaled Blueprint to show how procescee, peone, technology and estate come together ina single inlegrated view of th future state of welfare reformesTRICTED ‘estes significant risk to the suocesssul delivery ofthe government's pocy intent and the relisaton of benefits in the full business case, There is no individual or supporting unit locking atthe ently of the crose- Whitehall contribution tothe delivery ofthe most important welfare reform programme in decades, This has an impact on funding ‘approvals, supplier management, bulge management, alignment of coss-deparimentineraces and ‘education of adverse customer base, ‘The reconstitution ofthe Programme Board has reduced the size of its membership, whic has helped it to focus better on making decisions. However, key partners such as local autholy representatives and |HNT have been removed from the board and tisk ereating some tension largely cause there is lack of meaningful engagement with these organisatons and no vehicle for them fo contioute tothe ‘Sesion and development of the Implementation of UC at policy or operational evel Conflict management is escalated to the Programme Board but Lcal Authorities are not represented at this level and yot there is tension with local government, patculatyafound the migration of housing benetis to UC. This creates a disconnact with an important business partner and increnses tha ih to success delivery of the broad range of wellae reforms on the goverment’ agonda. There remaine a "ak that extemal stakeholders, particulary local authorities are not fully engaged and vill not be ready to ‘tas champions of change for UC by Apri 2013, The curen stakeholder map has net been updated since October 2012 and ths programme team to manage external takeholdrs is being formad at he time ofthis report ‘The Programme Board ands business parners are nct served with good quality management information tobe able to grip important questions suchas the programme's bum rae; progress in product development value analysis; operational readiness; and dependency management. Dashboards are helpful but are not data civen, wich means that decisions are les iksly to be evidence based and welinformed. Pouicy ‘As teerredio earl in ths repor, itis evident that DWP operational managers and staf have a clear understanding of UC's policy inert, There Is obvious enthusiasm among frontline and Programme stat {or delivering the change from complicated benefits systems fo the culural change nerent in Universal Credit as part ofa wider transformation agende. ‘There has been comprehensive work on customer insight, segmentation and modeling of customer ‘migration onto UG and this fom the basis for migration plens and the roadmap, Ini work hes been dane to develop support arrangements fr claimant monthly budgeting and to ‘socommodate the transition of te most wuinerable claimants (ocalised claimant support tothe new system. This is embryonic and needs further development. ‘There i a clear understanding of debt policy and how it will be managed but implementation plans are yot io be developed. HMRC accept that they retain labilty for debt, coming from the recovery of tae Cre overpayments. DWP wll own the management of debt recovery.sesrRcTED CONCLUSION ‘The tenor and thst and cumulative effect of thece fndnge dictate the need for really check io ensure ‘hat all aspects of the Programme are uly aligned and have realise prospects for delivery, Recommendation 7: As a summary of the recommendations above, the SRO should conduct a complete rethink ofthe entire delivery approach to safeguard the successtul delivery of the Policy intent.esrRicreD 8, Suggested Lines of Enquiry fr the Major Projects Review Group (MPRG) Panet Phase 1 ‘Are business operations ready for go-ve? Aco the staf waned and ready? Do they have the ‘business processes, customer journeys, scripts and soon that they ned? ‘+ Regarding the supporting IT, has the application been tested end to ond an the production infrastructure? Does it meet the necessary perteemance and operably standarts andi I uly available? ‘What is your assessment of the risk in Phase 1 i + Secutty (Cyber, FRE, IDA) has been a continuing problem in UC, Do you have a viable security solution given that IRIS will not be svaiable unt lier Phase 27 I this likely fo be a siatogie solution that will endure ard geal? * Because the programmes ramps up exponential it becomes inereasingly dependant on «automation ~ how extensible and scalable is the supporting IT? + Wit respect o Phase 2 and subsequently the stead stata, how mature and rele fs the T ‘agreed and aligned Le. High Level Business, Application, Oata, Securly and Inastucture Architectures) + Are suppliers delving value for meney? Directing the transformation ‘+ How are you steering the programme without a blueprint of how the steady-state wil work anda ‘wansiion plan of how to get there (plan, erie! path)? ‘© How are you managing he sks? ‘+ What reassures you thatthe current incremental approach wil dock etlectvely wth the end state? How do the phases ft and what do they contol? ‘+ How are you gipping the extemal (e.g. FTI, HMAC) and internal (e.g. FE, CPS ) hard dependencies ‘Supplier Management and Financial Control ‘+ Given the poor history, what are the new team doing o grip eupelir management to onsura that ‘supplies deliverables are ft for purpose and are value for money? * Constraints in the commercial construct (IPR, excusity and pricing mechanism) wil need to be overcome if contacts are to be effectively renegatiated, How do you propose ta do thie? ‘+ How are you going o achieve robust, defensole financial management? Alfordabity and Benofes ‘There s a positive NPV (£29bn) in the business case but the major benefits appear to be back ‘2nd loaded. When do the big tcket beneis kick in? What i the break-even pont? + Ina turnaround there i key tobe slippage —what are the lolerances forthe business casa to ‘accommodate sippage andlor i eippage already factored in? Capability and Resources *+ What do you need to lead the turnaround ofthis large-scale, high-profile. transformation programme? ‘+ There are crtcal capably gaps —how wll you overcome this problem? Pageant 38resraIcreDresrRictéo ANNEX A ~ Progress against previous review recommendations. [ Revrecommendatione ‘Suni (Recommendation 1: The next PAR and elaied internal | Suba {and issue management is effective (ane commensurate) at | 201%. all levels across the programme, both siretegic and ‘operational. imary of progress Sibaumned fio the Tors of Rerence ‘Ault need to test that this improving focus on active risk. | of ha PAR 20 January = Febery ‘2pportunity provided by the further work on the Business. | a embedding Benefits Realisation throughout the Boar Programme's activities. wits | Recominendation 3: We recommend thal DWP continue ‘actively moniter and manage resource uti succession planning around key skills and personnel, Recommendation # We recommend thatthe Programme | FTIR increase its inclusion of HIRC staf (particularly around | Prog part of transitioning to delivery and implementation over the next 3 month. ecommendation 2: The Programme should use the [A programme of Bom alalon iy has taken place, including Case over the next 3 months, to strengthen the focus on | preseriatons'o each Pros (Sub-group. A series of 12-16 individual bari onmers is currently rong out, give the staffing and skis needs of Univereal Credit and | place in Summer ar Autumn 2012, Its associated projects high priority. The Programme must | with vacancies iled nthe Programe, on and | A capabilty review of Programme ‘vallablity on an ongoing basis and take swift action to | deployment i panied forthe frat plug identified gaps, and to develop ongoing and robust | quarar of 2014, 1C stall have Joned the amme on secondment frm ATI the areas of Fraud and Error and Business Change) as | and irom Benelis ano Grout, ‘should be shared at all evels with HIT and OBR es soon | choc {28 possible. This should include a clear timetable for senior engagement; agsinst which key players from sl ‘areas can be held to account for ther level of personal engagement in the necessary det Recomm fon 6: We also encourage the Programme refresh over the next 3 months) tha all costs for known ‘changes to existing corporate T systems have been captured, andlor to Identify these separately in order to ‘support the management of theso additional | Recommendation 5: The Business Case mllesione plan —| Missions plan Shared, Regular oon rrangements now in place | Coste captured an intodeain he Tune {confirm (as part ofthe work on the Business Case | 2012 business cave, ‘aware of the timescales and costs of any IT programming ‘changes that may be required to take account of policy Concessions that may need to be made at short notice during the passage of the Regulations, dependencies. Recommendation 7: We recominend that the programme | Allpolcy cranges were te be mpaciod Salistios itself that satisfactory arrangements exist to. | against OPA. Rogulalone lad ey ‘onsure that policy colleagues and Ministers re fully | Dacomber 2012,esrricre [Key recommendations Fiscommendation &: We recommend that the programme} figorously oversees th regime over the next 3 months, and the next PAR and Internal Audit should review the impact and working ofthe smbedding of the new assurance | embedded across the programme new assurance regime, ‘stages ofthe programme (Dasign Summary of progress Programme assurance protecols were] through range of nates inotuaing the assurance workshops al the key Speciicalion, Pre-Buld, Post-Build and Model Office Assurance), Sulbsoquent redesign of Programme requires review of aseurenca arrangemants (ongoing) Fecommendation 8: We recommend thatthe programme ‘ensures thal any additional costs and requirements that {are established by the current work on integration are fully reflected inthe refs of the Business Gase and critical pati and that next PAR and internal Audit review the approsch to integration, and the progress made in identifying potential contingencies should significant Challenges emerge from that werk. Fecommendation 10: We recommend that any sues and costs around the data quality of claimant information on existing systems be clearly identified in ime tobe taken | ‘2ccount of in the current refresh ofthe Business Case. Recommendation 1: We recommend Thal the minimums | fraud and security requirements that need to bein place forthe Pathfinder and the Go Live date should be costly | defined and agreed as soon as possible, and that needs to be developed to devisk the impact of delays in those key dependencies on 2 key phases of the UC implementation, This may ell have an impact on resourcing and on the timing and Coverage of the Paihfindor in particular (depending on the lovel of manual intervention needed) Integrations costs fas known ate ‘im) clu in tha June 2012 business case and again in January 2018. Balto June 2072 business cane Palhfinder soca requraments now” ‘leer. Werk on Phase 2 ongoing, Recommendation 12: We recommend that a epee plan for addressing all the elements of staf fraud across UC should be drawn up over the next 3 months. Recommendation 13: We recommend that specifio 'mitigations are putin place within 3 months for the other Fiske and issues Identified in Paragraph 5.26, end thet Progress on them is reported regularly to UC. ‘Recommendation 14 We recommend that Ihe programme turgentl identities the appropriate skill and resource Iecessary to prepare a high-level design forthe culture [{behaviours, values, altitudes and ell sols) thet vl be | Paragraph 826 refers faut end) [Transformation Team wae eatin] “Taken forward a pait of work on sou ‘otf, whichis now under designated senior managemantvthin the Programme, rather than bang tested asanIT issue, place. Universal Credit Operations Dirstoris now in place, and the frst Universal Credit operations staff havebusiness change phases. ‘equired for the new organisailon in ime Tor hese To be Consistently embedded from the outet in the detailed ns of job roles, training and communications, ‘branding’ terms and conditions and leadership siyle of the programme as it moves into implementation and esrRicteD Dee seiected Universal reat "pranding" hes now been agreed. ANNEX B Supporting Information 81 - Conduct of the Fe ‘The Review was conducts between 23 January and 5" February 2013 jn DWP. Caxton House, London The Review iam would kof hank a of os intorawed fr ther openness and wilingnss lo colin to he fuctass ofthe eviow. Parteutr thanks are dvs to edacted for tat excepional menapemen of he sonpex logistics ina very compressed B2- List of Interviewees Name Lord Frou lain Duncan Smith Robert Devereux Mark Fisher Stephen Bvien| Hilary Reynolds Janice Hattoy Uz Patison Ann Hares Vitoria Hughes Sue Moore Fichard Wast cath Hamp Noll Couing Sue Owen Jeremy Groombridge John Michels Mike Boker Stuart Prous rimescai. Folerttle Organisation Minister for Weitare Reform owP Secretary of State forWork and OWP Pension Permanent Secretary we ‘Acting Senior Responsiole Owner DWP Deputy Senior Responsible Owner OWP Universal Credit Programme Director OWP Phase 1 Detivary Director we Deputy Drsetor PMO bw Potioo Management Director DWP Stakeholder Engagement owe Phase 2 Dalvery Director we ‘Service Design Deputy Director DWP. Interim Resotutons Diector owe Work Senvees Director owe Strategy Director we Director Extemal Relations we Head of Strategic Sourcing owe UC Operations Diostor owe Finance Director Dwe ane 2128Nome Nos! Shanahan Stefan Czecriansk’ Bill Parham sim Yates David West, Michael Foley Stuart Bladen Bill Cook Paul Martin Paul Raynes sen Ashby Bul Crofhers Lesley Hume ‘Lam Maxwel uth Owen Nick Lodge Mark Cope Jane Andrews Indra Moree Stephen Keir Cotn Sutivan aesrRicTeD Folenite hist Operating Ofce and Director General ‘Business Transformation Director Director Inograted Business Design Sorior Partner Senior Parner Senior Parner Senior Partnar Senior Partnar Locel Authorty Chit Executive Local Goverment Association Deputy Director Welfare Reform Chie! Procurement Officer Executive Director Fraud, Eror & Dott ICT Spend Aporoval Personal Tax Director General Organisation we owe owe Accents Accenture em HP Capgemini SOLACE Loa Department for Communes and Local Government Cabinet Office Cabinet Office Cabinet Ottice HMAC. Director General Benefits and Credits HMAC [HMAC Universal Creat Programme Diroctor and Bac Cnange Drector Deputy Director Head of Universal Credit Design and 'BEC's Customer Strategy Director General Tax & Welfare Deputy Director Wollare Division Director for Universal Crect 3 - Programme/Project documents reviewed ‘The folowing documents were reviewed «scommendations in this report HMRC HMRC Hur Scotish Government Northen Ireland Societ Security ‘Agency by members ofthe Review Team and informed the findings ancsaesrrcrED Poe oe LUC cltituinal Segmentation and sub Group analysis. Insight teem 06.03.2012. Business case Financial postion Assumption workshop 04.01.2013 UC business case Final 21.12.2012 ‘Annex: UC Benefit logle Map ‘Annex: Value for money ‘Annex: Financial Benetiis ‘Annex: Scope of eontingsney ‘Annex: Assumptions and Sensitivity ‘Annex: Costs by Phase ‘Annex Summary of Afordabitiy Annex: lk Register ‘Annex: Commercial Impact sheet ‘The Benetit Realisation Plan, Final 16.01.2013 UC Roadmap (19.12.2013), Research roport ‘Work and the Welfare System" recipients, UC performance environment. 16.01.2019 Key Messages from JSAOL Tralblazors in Operation Programme Brief Programme dashboard Last Secretary of Stato update note Draft integrated Assurance and Approvals Plan Phase 1 programme plan Phase 1 critcal path Phase 1 dependencies Phase 1 key milestone path ‘Operational Readiness Review “iste” for Phase 1 Governance dlagram Terms of Reference (drat) for the govemance boards Minutes of Programme Board Minutes of Assurance and Approvals Board Programme Target Operating Model Phase 1 Target Operating Model ‘Spend by third party provider ‘Accountabilies for budget sign-off of dependent systems: Contract tracker “Red Team Review" final side deck Latest Internal Audit reports ‘The Universal Credit ‘narrative document for staff ‘The Intranet site “what is inthis for staff?” Communications Strategy preparation paper ~ “bringing the Communications Strategy to life” Intemet pages of communications products ‘Organisation chart (senior) ~ current ‘Organisation chart (senior) ~ proposed ‘The High Level Plan “Assurance and Approvals Board. Evaluation and Monitoring Document. ‘Assurance and Approvals Board, Activities document survey of Benefits and Tax Credit epeas csesTacreo ‘Assurance and Approvals Board. Business Case progress and Next Steps. ‘Assurance and Approvals Board. Minutes of Meeting held 17.12.2013 ‘Assurance and Approvals Board Acton point log ‘Copies of the Programme risk Register UC Commercial outlook Timeline Internal Audit Recommendations and Implementation 16 Jan 2013 Internal Auait Final Report May-August 2012 Intemal Auelt Folow up review 24.04.2012 Suppliers update for IT spend Profile UC programme UVC. POM. 1669 2208.2011 List of Stakeholders Phase 1 Readiness Review (16 Jan 2013) UC Governance chart ter 384 ‘Communication Plan / Biot High level Governance Summary Tier 1-8 UC PMO Dashboard (10.01.2018) Pathtinder Presentation ‘The Vision Presentation UC SOBC 12 May 2011 Universal Credit Programme Business Case 03.11.2012 Universal Gredit Programme Business Case 12.07.2012 V2.0 Phase 2 Service overview. Operational and Executive team. Finance, Planning and Perfotmance tepor. (Dec 2012) Operational Costs / FTE Key Drives UC Phase 2 high Level Plan LUC impact assessment an Work Programme UC Phase 1 Senvice Defintion, Executive Summary UC Phase 2 Service Definition, Executive Summary UC Volumes-Deataled Universal Credit Perinership Meoting 11.01.2013, Technology Planning Viewpoint IT story List ‘Components interaction Phase + ‘Components intaracion Phase 2 ‘System Context Phase 1 System Context Phase 2 Architecture: 3 Docs Temporary Absence, Claim Termination Process Map Examples Universal Release Statogy V1.5 (17.12.2012) Phase 2 solution stabilty(Scope} ~ intial review 21.01.2018 Security Detiverablity Assessment by Option Secure Online Transactions for UC Phase 2 Universal Credit: Inclusion of new claims to Tax Credits Transformed Universal Credit. Looking towards 2020. (29.06.2012) Critical success factors Paradigms Document Pager 199STRICTED Pz ate Por Universal Crect: Inclusion of new claims to Tax Credits, Overview, timelines and handover notes, Latest copy (Jan 2013} of the Commercial Impact ADI overviow Copy of UC Bits. CR Log v2 130129 Universal Credit Review of Delivered Value ‘cost per day per supplier assuming 60 days over last three months ADEP Contract summary ADI Service Review of Delivery Value HP, IBM and BT age 25<159aesrRICTED ‘Annex C: Financial Date 1 - Budget and Cost Profile Annex D: DCA Definiti ‘SERRA Gan Th oe ape is, co ed GL SPOR WAN a {hare no mar ustrng ssf eth stage pea tenes Golo Catiaray ad Sroen ‘Sec SST par babe Rewer Sona SSA wi Do ToSUST Dea TA ‘netmaerate ts major amine sarin daly ‘SoS TW appoasn bt Sigiica Saas ARS Sing NONSOOTAT sano. These pear esate ths sage an aaaesaed sey soa ne pee a calico overt Taba Ra ‘Saceal chr ol he pale pRR Ta A na SS oS TT rus ley are Uigar acne ora ra stesiad dwar ‘Seca iv oF REISE GaRMS AS WBS WaSROTADS. Thee we Ta EES (upietrograrme ein, schedue, budget eure unter bons very, ch at ‘he tage do mat gpoa tobe manageable ashe The pel popes yea asses sss a era ibyesRicreo Annex & Universat Credit Project Assurance Review -Teims of Reference: re Purpose "Tis paper aus out he Tors of Relernce (TOR) for a Project Assurance Review (PAR) ofthe Universal eat (UC) Programme, The pupose otis PAR is to make robust appracal tthe sate of UC hone a ‘acinoss fr Phase ‘. ts plane fo Phaso 2 and overat dlveraiy fr the tumasing prasoe ees ‘Through the Maor Projets Review Group (MPG) the fring wi itt th advice proved Tote OS for thet singe of the Treesury approval forthe Ful Business Case (FOO), as pao he rlingssprecch Gok ‘pprovals. wil also inform advies to tha Minster for tha Cabinet tice (MLO) tesercies raed oe ‘FBiedee approvals. The scope ofthe Review, agroed by HNT, Cabin! Otis ard DMD, Ei pangroh Below. Alter the Review, HAT, CO and BWP wil meat conse he outcome, the fl ange et eek re avalbleand'o ages net steps, ‘Summary of Universal Credit 2 UC is the conreniece ofthe Governments poley on Welfare Reform based on a commitment made in the Csi Agreement and through public consutation. UC wl have a wide ranging impact onthe hacen et benefits to bth unempoyed ard n-work individual, wih signlicart changes to cainant and sia each and processes. The detvery of UC wil be Induced in eons phases, staring wih an ila Pare {Fsse 1) fo Be unchadin Apri 2013, wih national obut (Phase 2) basing in October 2019. Ral oot UC is oxseced to be comple by he end of 2017, whan al cure oanlis ISA Een, HES ne ret (HTC, CTC) systems wil rave been cemplotly shut down. Outs of Ie phases are el bleg etne, Outcom 'S The Crit Secrotary tothe Treasury has agred & oling aperoch to approval, which ellacts DW's aperoach of oling implementation. This means that although HAT wil conus fo ares overall programme ‘spend through the FBC, hay wl do 3 onthe basis hl thy wl approve lars nreation to phaose angering in more detail on DIP dofvey plans for earar paar, To ie fey, ne OST as eed ot DWP plans and associate spending in alation othe delivery of Phase 1 anes exacting ego Prec 2 ‘lars tin he net version ol the PEC, tuning plans or lr phasesn fue vorelans alte PSG roe PAR team wl conduc ther ele ina may which elects hs phase aperoast to prove ane dake, {oeusing in mote deta on Phases 1 and, wht alco coreldonng ths oral scope ster phases and ee ey dependencies ae milestones acres al phases ‘4 The Fevow wil tke into account (a he overall costs and Vala for Money (V(b) readiness for Phase 1 ‘auoch, (plans for Phase 2 () DWP's high level delivery pans for succontve phason, an fe) ho ee the 'stost plane moat he orginal potky ir. The PAR wl infor the MPRA tase of he Foe me ‘expected to cide onthe fatawingprory areas 3} Mhethor funding requested inthe FBC is approved in ull or part andi the programme romsins stordebie, 5) The level of ectual readiness through formal confirmation ofthe delivery confidence assessment; ©) Whether the scope defined in the FBC te considered deliverabl, and what (if any) plane fo dae coping andlor changes to current imescalee are rogured; and 4} Whether changes made to the overall programme re realistic and whether these provide the

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