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					     Personal Independence Payment (PIP) Assessment Service
                        Document 4, Part 5
                Tender and Supplier Information Form



                                   DOCUMENT 4            PART 5




Personal Independence Payment (PIP) Assessment Service

                     Invitation to Tender

     TENDER AND SUPPLIER INFORMATION FORM

                        2nd May 2012




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               Personal Independence Payment (PIP) Assessment Service
                                  Document 4, Part 5
                          Tender and Supplier Information Form


    1. Executive Summary

[1.1] You should submit a statement that summarises your response to the final tender and
highlights what you view as its particular strengths. You should use this statement to;
Provide an overview of your proposed delivery for the Personal Independence Payment (PIP)
Assessment Service.

The Executive Summary will not be scored in its own right. However Suppliers will
present this at their Supplier Presentation. Overall information from any questions
asked and responses given at the Presentations will be used by bid evaluators and
moderators to inform the overall quality and risk scoring of the bids.

Present your response at the top of a new page, within these preset margins in Arial font size
12 on up to 3 sides of A4 including the question text and these instructions.
“LOT” SPECIFIC RESPONSE FOR LOT 2 - Central England / Wales
The vision - we recognise that PIP is a completely new health and disability assessment
which takes on the key recommendations of the Harrington Report. We support the focus on
claimant experience, face to face assessments and the new process that allows claimants to
receive a fair and independent assessment of their ability to live independently.
A solution that meets all of the DWP’s critical success factors - our solution meets the
DWP’s critical success factors of conducting the right assessment in a consistent, transparent
and respectful manner, and in making the claimant’s experience as comfortable as practical.
We have undertaken extensive consultation with representative groups: Disability Rights UK
(DRUK), Assist UK, Mind, Scope, MacMillan Cancer Support, Mencap, Voluntary
Organisations Disability Group (VODG), Going for Independence (GfI), Centre of Excellence
for Sensory Impairment (COESI), Disability Wales, Capability Scotland, Citizens Advice
Bureau, Papworth Trust and Essex Coalition of Disabled People. We have been working
particularly closely with Assist UK, DRUK, GfI and COESI, in testing our solution, and these
are now a committed part of our supply chain. For Lot 2 we are also in discussion with
local organisations such as WIRED who have committed to help us design and deliver our
training programme. We have undertaken a range of focus groups and other research with
people with varying disabilities and health conditions, to develop an effective, empathetic and
personalised solution. As a consequence, Mark Shrimpton, Director of Services & Information
at DRUK, states that "Disability Rights UK is delighted to endorse Capita's approach to
learning, development and continuous improvement."
All of the people involved in the assessment service (enquiry centre advisers, triage and
scrutiny staff, centre hosts and assessors alike) will be key in delivering a successful service.
Consequently, we have designed a dedicated recruitment process that incorporates the
best from both our volume recruitment and our specialist health professional recruitment
businesses, with bespoke attraction and retention strategies by role and employment status.
The recruitment process dovetails into our training and longer term learning and development
plans that use an effective blended approach of on-line and face-to-face learning (10 days in
total) that best suits people’s roles, skills, work schedules and locality.
We believe that peer-to-peer interactions will provide the best claimant experience and as a
result we expect that around 40% of our advisers, centre hosts and administrators will
have long term health conditions or be disabled. To help achieve this, and the DWP's
Structural Reform Priorities, we are working in partnership with Remploy, experts in
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recruitment of disabled people and Reed in Partnership to help recruit long term unemployed
people on apprenticeships wherever practical.
Our service HQ in Birmingham will be co-located with the Enquiry Centre and the core team of
experienced HPs that will form the Escalation Team (who will be available to support other
HPs and provide advice to the DWP). To help achieve a low risk implementation, we are
capitalising on existing Capita accommodation and a range of local Capita resources. We will
also have at least 20% of our Enquiry Centre staff working from home. Through intelligent
routing this will allow us to present a local feel to the service by matching the sub-region of
the caller with the adviser where possible. In our experience home working also provides the
most economic and flexible solution and will help in recruiting people usually excluded from
the workplace. It also offers a particularly resilient and flexible solution.
We have access to an existing stock of assessment centres that cover most of the high
density areas for PIP claimants. Consultation Centres will therefore be primarily sourced from
our own existing Capita owned or managed centres. Others will be provided through our
partners: Assist UK’s Disability Living Centres, Remploy's Employment Services Centres or
Reed's Centres (all of which provide great opportunities for added value and signposting to
relevant services). All will be chosen to meet best in class accessibility as outlined in our
Estates Charter developed with DRUK. Based on feedback from disabled people and those
with health conditions, we will offer flexibility in whether a claimant is assessed in a centre or
alternatively in their home. (Our research suggests that around 60% would prefer to be
assessed at home.) Our solution therefore has the highest potential for achieving the best
assessment based on what an individual feels is right for them. In either case we will offer the
option of the consultation to be recorded for the claimant’s records.
Our solution utilises a multi-disciplinary team of HPs: general and mental health community
nurses, occupational therapists and GPs, supported by subject matter experts in mental
health, neuromuscular disorders and other relevant conditions for complex cases. Following
focus group feedback, we will provide the claimant with the opportunity to have input to the
type of assessor chosen, in order to reinforce a sense of influence over the process and to
reflect a greater empathy and knowledge of the claimant's barriers to living independently.
We recognise that the DWP needs to ensure that all providers use the same assessment tool
in order to provide consistency of process and reporting. For the systems that we need to
supply as part of our managed service we are able to refine existing modern systems that
we already employ to support health assessments for other clients. This means that we are
able to implement our core systems in a low risk and cost-effective manner. We have an
offline assessment tool capability which can offer resilience when conducting home based
assessments, enabling a better claimant experience, and this can also mitigate the risk and
additional manual effort prior to the DWP assessment tool being deployed. We have several
additional ideas for continuous improvement from an IT perspective to drive efficiencies in the
process, reduce risk and improve the claimant experience. We also recognise that security in
all aspects must be appropriate to the sensitive nature of the data that we will be processing
and have therefore designed our systems and processes accordingly.
We have designed a solution that encourages the use of local SMEs throughout. In
particular we will use sole trader and small groups of health professionals, local providers of
training venues and training (e.g. WIRED), local translators, local recruitment organisations
and the use of Independent Living Centres for assessments (through Assist UK).
The positive relationships that we have established with many disabled organisations will help
to manage representative groups over the term. Many have committed to joining our Expert

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Collaboration Forum to continue to support the service and its improvement. Similarly, the
many high-profile and politically sensitive services that we operate have proven processes and
experienced teams that will help handle contacts from MPs and associated bodies.
We are already in the process of assembling the Management Team that will lead the delivery
of the PIP service, and Paul Stanfield, who will fill the key role of Account Director, has been
involved in the design of the service for many months. This team will be vital in creating
the right operational controls, and a culture of partnership with the DWP and other providers
and representative groups. Finally, we will ensure that at least one of the top tier leadership
team is a disabled person in order to help drive the appropriate empathy and focus throughout
our own organisation, and that of our partners and SMEs that become part of the supply chain.
 SUMMARY OF FEATURES                                   SUMMARY OF BENEFITS
 Best of breed blended delivery model based on         Optimal cost, flexibility and service
 experience in providing high quality assessments      quality
 through a range of acquired health businesses         Low risk and high confidence in
 (Premier Medical Group, First Assist, Aviva OH        delivery
 and Medicals Direct)
 Existing flexible assessment centre footprint         Economies of scale (lower cost), lower
 (Capita owned/managed centres in urban areas          cost and lower risk in implementation,
 and partner centres on an ad-hoc basis)               able to cope with variable demand
 High proportion of disabled people employed in        Peer to peer support (best claimant
 delivering the service                                experience), meeting DWP targets,
                                                       easier working with stakeholders
 Claimant-centric model: e.g. choice in selecting a    Lower cost, more right assessments,
 home visit or centre consultation                     best claimant experience, great PR,
                                                       buy in of representative groups
 Extensive auditing & proven operational controls      High quality outputs, low risk of fraud
 Significant proportion of home working in the         Local feel (best claimant experience),
 Enquiry Centre                                        service flexibility, lower cost, ease of
                                                       employing people with mobility issues
 Experience of creating value for money solutions      Price certainty, low risk
 that take account of unknowns inherent in a           implementation
 complex, distributed, greenfield service, and
 delivering these to challenging timescales
 Effort expended over the past 12 months in            Easier initial working with
 establishing relationships with representative        representative groups, optimal
 groups and working with disabled people               claimant experience designed into the
                                                       solution
 The depth and breadth of our presence within the      Easy access to resources of all types
 geographies of all lots, ready access to existing     that may be needed to implement on
 centres/ HPs, and established relationships with      time, react quickly to unexpected
 SMEs, local authorities and other organisations,      changes and provide resilience
 supported by extensive central resources (e.g. IT)



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               Personal Independence Payment (PIP) Assessment Service
                                  Document 4, Part 5
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     2. Risk
     Generic – Risk question
[2.1] Please describe, in detail, your plans for managing service capacity and potentially
fluctuating claimant volumes throughout the life of the PIP Assessment Service Contract,
highlighting all key stages throughout that period.
Present your response at the top of a new page, within these preset side margins, in Arial font
size 12, up to 3 sides of A4 including the question text and these instructions.
Managing Service capacity and Fluctuating Claimant Volumes
We have carefully designed our strategy for managing service capacity and fluctuating
claimant volumes to ensure that we have an optimal solution able to quickly adapt to changes
(both increases and decreases) in demand without the need to apply a significant risk
premium that would drive up the overall costs per assessment. For example, our Human
Resources model uses a high proportion of contractor staff to provide in-built flexibility, and
our delivery strategy assumes a high percentage of home consultations (HCs), therefore, the
impact of demand fluctuations on Estates strategy is minimised. Should additional assessment
centre volume be required our large footprint and network of partnerships will enable us to
bring that into live service quickly. We will work collaboratively with the DWP (and DSD) to
identify reasons for un-forecast fluctuations in volumes and co-design/develop complementary
strategies to minimise the impact of these on Service Delivery.
Our plans for managing service capacity and fluctuating claimant volumes
1. Forecasting (pre go-live)
  1.1. Forward planning using DWP and NOMIS data to identify base capacity required for the
       service by Lot has already been completed to create our volume profile and resource
       blend broken down by sub-profile. We will continue to work with DWP during
       implementation to refine these assumptions in light of the overall PIP Implementation
       Programme to make sure they are as accurate as possible.
  1.2. Through focus groups / stakeholder engagement we have created our base assumptions
       (e.g. the % that would prefer home visits to centre-based assessment) to help to limit the
       level of unplanned changes in delivery and therefore de-risk the solution.
  1.3. We have identified required capacity, reserve capacity and contingency and will set up
       accordingly (e.g. for the required capacity for HCs (60% of all consultations) we have
       assumed a Human Resource model where 80% will be undertaken by contractor staff
       paid per assessment). Our contactors typically work at 80% of their available capacity
       which provides a reserve capacity contingency of 20%. We have developed further
       contingency through the ability to use our existing resource pools and those of our
       partners such as Reed in Partnership and Pulse.
2. Go live (April/June depending on Lot)
  2.1. Working with the DWP to have a forward view of actual volumes (e.g. Part 1, Part 2
       requested data) to enable rapid response to fluctuations.
  2.2. Validation of assumptions based on actuals (e.g. average length of call, number of
       actions passed from PIP CS per case, average time to complete assessment, split of
       home/centre consultations) to improve base assumptions and resource management.
  2.3. Use of workforce planning tools (e.g. Verint) and mapping software (e.g. Basemap) to
       begin daily, weekly, monthly adjustments. These tools will be used to closely monitor
       fluctuations in claimant numbers and claimant usage (e.g. fluctuations in average
       number of calls) to be able to identify emerging trends and implement any changes

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       required be they a need for more resources or a change in communication messages.
3. Peak & Business As Usual
  3.1. Planned volume fluctuations are built into our resourcing and estates strategy, working to
       the below profiles:
                                                       Required consultation rooms                                                                                                                                                             Required HPs
                                                                                                                                            3000.0
          500.0 


          450.0 
                                                                                                                                            2500.0
          400.0 


          350.0                                                                                                                             2000.0
                                                                                                                     Total rooms required
          300.0 
                                                                                                                                            1500.0
          250.0 

                                                                                                                                                                                                                                                                                                                                                                    Total HPs Required
          200.0 
                                                                                                                                            1000.0

          150.0 

                                                                                                                                             500.0
          100.0 


           50.0 
                                                                                                                                               0.0




                                                                                                                                                              May‐13




                                                                                                                                                                                                                    May‐14




                                                                                                                                                                                                                                                                          May‐15




                                                                                                                                                                                                                                                                                                                                May‐16




                                                                                                                                                                                                                                                                                                                                                                                      May‐17
                                                                                                                                                     Mar‐13



                                                                                                                                                                       Jul‐13




                                                                                                                                                                                                  Jan‐14

                                                                                                                                                                                                           Mar‐14



                                                                                                                                                                                                                             Jul‐14




                                                                                                                                                                                                                                                        Jan‐15

                                                                                                                                                                                                                                                                 Mar‐15



                                                                                                                                                                                                                                                                                   Jul‐15




                                                                                                                                                                                                                                                                                                              Jan‐16

                                                                                                                                                                                                                                                                                                                       Mar‐16



                                                                                                                                                                                                                                                                                                                                         Jul‐16




                                                                                                                                                                                                                                                                                                                                                                    Jan‐17

                                                                                                                                                                                                                                                                                                                                                                             Mar‐17
                                                                                                                                                                                Sep‐13

                                                                                                                                                                                         Nov‐13




                                                                                                                                                                                                                                      Sep‐14

                                                                                                                                                                                                                                               Nov‐14




                                                                                                                                                                                                                                                                                            Sep‐15

                                                                                                                                                                                                                                                                                                     Nov‐15




                                                                                                                                                                                                                                                                                                                                                  Sep‐16

                                                                                                                                                                                                                                                                                                                                                           Nov‐16
             ‐
                   Jun‐13 Sep‐13 Dec‐13 Mar‐14 Jun‐14 Sep‐14 Dec‐14 Mar‐15 Jun‐15 Sep‐15 Dec‐15 Mar‐16 Jun‐16 Sep‐16 Dec‐16 Mar‐17 Jun‐17




  3.2. These profiles have been achieved based on a phased recruitment model and a
       business case for any new centres created based on a minimum utilisation period of 2
       years. At peak time it is assumed that any overflow consultations will be completed
       using either partner premises or increasing the number of home visits to avoid any
       underutilisation of resource or delay for claimants.
  3.3. To manage the forecast increases and then decreases in volumes we have assumed
       that most HPs will be either contractors or fixed term contractors. Most non-HP staff will
       be employed on a permanent basis as it is assumed they can be absorbed by other work
       once volumes start to decrease. To help this we have co-located most back office
       functions in shared delivery centres.
4. Continuing to meet Service Levels (SLs) with unplanned volume fluctuations
  4.1. To manage the impact of unforecast volume changes on People we have built the
       following flexibility:
        use of contractors with 20% spare capacity
        internal, screened resources from our HP databases who could be trained in a short
            time to complete assessments (e.g. if we know there is an increase in Part 2 forms
            sent out)
        multiple employment options (e.g. part-time, office based, home working, flexi-hours)
            to ensure access to the widest talent pool and multiple work sources
        multi-skilled teams (e.g. Assessors will be trained to conduct triage so they can pick
            up any surge in new cases coming through) and work collaboratively
        supply chain managers to ensure our pool of HP contractors and SMEs remain
            active and available through regular updates, and
        back office teams (e.g. expenses) will be co-located with other Capita teams so they
            can quickly respond to sudden increases in demand through use of shared
            resources.
  4.2. To manage the impact of unforecast volume changes on Estates we are able to:
        in the short term, increase the number of home visits to ensure all SLs are met
        extend opening hours in most premises to provide additional venue capacity similar
            to our reserve people capacity, and
        access a wider network of accessible premises through partners to provide
            additional contingency (e.g. we have relationships with and could access over 300

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            GP surgeries).
We are confident that our solution has the necessary robustness to deliver assessments on
time and to the right quality even if faced with significant unforecast volume fluctuations. We
have built a strong contingency supply chain with whom we have good relationships and who
will enable us to quickly resource up or down as required. “We look forward to working closely
with Capita and being a valued part of their supply chain to ensure the claimant experience is
not impacted by unforecast volume fluctuations” Louise Edwards, Reed in Partnership.
Our Board has evaluated our solution against risk impacts of reputational damage (failing to
meet the right quality), operational (failing to provide the right service) and commercial (failing
to recover the costs of delivery) and signed off our solution as being low risk across all areas.
Impact of Lot award and sequencing on Contingency
In terms of Lot sequencing and award, we have developed solutions for all Lots independently
and then all Lot combinations to understand contingency implications. Delivering service in all
Lots provides the most protection in terms of volume fluctuations due to the wider resource
pool within which to manage changes and also increased likelihood of smoothing. If we were
awarded more than one Lot we would aim to centralise several office based functions (e.g.
Enquiry Centre, FME chase team) to provide more resilience against fluctuations. However,
we have several national partners (e.g. Reed in Partnership, Pulse, Assist UK) who we can
use to respond urgently to fluctuations in any individual Lots.
Prioritisation of Resources & Preventing Backlogs
To effectively prioritise the deployment of resource and prevent any backlogs of assessments
we will have two teams focused on continuously monitoring and managing demand, both
heavily leveraging our workforce management and advanced analytics tools:
 scheduling team - we will continuously look at where claimants are emerging and make
     any ad-hoc scheduling decisions required to meet demand - e.g. bank of assessors able
     to provide more consultations to meet a local spike in demand, and
 resourcing team - we will continuously review overall resources (e.g. property, people, IT)
     and immediately respond to changing requirements, working closely with recruitment and
     training teams to feed through requirements quickly and ensure all are resourced up to
     respond rapidly (we already have an in-built 20% contingency in resources).
The large number of contractor staff (80% of home consultations) and reward mechanism
used (paid by consultation completed) have been proven in our Medicals Direct business to
provide flexibility in our supply chain and therefore prevent a backlog of assessments.
Collaborative Working
Underpinning our approach to the above will be an ethos of collaborative working with the
DWP and other Lot providers to ensure demand and volume fluctuation is mitigated through:
 a rolling forward schedule of volume requirements agreed between the parties to ensure
     operations can meet demand, and any peaks and troughs envisaged over time
 close inter-working with other Lot providers for claimants located close to geographical
     boundaries and that could be handled by more than one Lot, and
 a collegiate approach to working with other Lot providers when engaging with
     stakeholders and bodies such as the Royal College of Nursing so there is a united front in
     terms of assessor recruitment across the UK through initiatives such as forums and
     communications to members.



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                          Tender and Supplier Information Form

    LOT Specific – Risk question
[2.2] Please describe in detail your estimates of, and plans to, manage the financial risks of
delivering the PIP Assessment Service.

Your response should include a plan to demonstrate how you will manage the level of
organisational and financial growth required to deliver this contract. Your plan should be
presented as a separate document in either Microsoft Word, Microsoft Excel or PDF format.

Please name these separate documents as follows:

‘Supplier Name’_ Financial Risk_Lot 1 (or Lot 2 or Lot 3….)
Present your response (per Lot) at the top of a new page, within these preset margins in Arial
font size 12 up to 3 sides of A4, per lot including the question text and these instructions.
Each response must be individually labelled for the Lot to which it refers, by completing the
heading below:
“LOT” SPECIFIC RESPONSE FOR LOT 2 - Central England / Wales
Managing the level of organisational and financial growth
Capita has grown significantly over the last 20 years through successfully setting up and
operating greenfield operations for the UK public sector, integrating new private and public
sector BPO contracts and integrating many acquisitions within the operational structures of the
group. We have grown to a business of more than 45,000 staff (c.41,000 in the UK) with an
annual turnover of £2.93 billion. During this period of growth we have managed to consistently
grow our profit margins to £385m in 2011. This gives us the scale and stability to finance and
deliver major service contracts to the UK public and private sector.
Over the last ten years we have strategically grown our Health and Wellbeing division through
large new contracts (e.g. health assessments for the Army and Navy) and targeted
acquisitions. Capita Health and Wellbeing currently:
 employs more than 2,000 permanent and temporary healthcare professionals
 has access to over 45,000 more healthcare professionals through:
     the acquisition of a specialist health professional recruitment business (Team 24)
     the newly acquired Medicals Direct Group (being announced this month), and
     a range of committed partnerships that make up an extensive supply chain network
 has access to more than 400 assessment centres nationwide , of which 154 are in the Lot
    1 region, and
 undertakes almost 1 million health assessments per annum.
(As a result, in the Lot 2 region we currently have access to just under 9,000 healthcare
professionals: 250 general practitioners, 544 specialist consultants, 1,154 general nurses, 210
mental health nurses, 6,427 occupational therapists, and 280 allied healthcare professionals.)
This experience, capability and capacity across the Capita Group generally, and specifically
with our Health and Wellbeing division, means that the level of organisational and financial
growth required to support the PIP service is wholly manageable. The scale of PIP is not
significantly different to many large contracts and acquisitions that we have serviced on many
occasions.
Specifically for PIP we will draw upon the following to minimise implementation, service and
consequent financial risk:
 experience of providing a range of types of health assessment services to both the public

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     and private sector
 a substantive existing network of Healthcare Professionals and assessment centres
 property expertise to enhance our current assessment network to meet the specific PIP
     requirements (using our market leading Capita Symonds property business)
 generic expertise in large scale recruitment and training (e.g. UK Census 35,000 people)
     combined with specific recruitment of HPs (through our Team 24 business)
 expertise in delivering complex IT to tight deadlines (e.g. London Congestion Charge
     Scheme)
 expertise in successfully setting up large complex greenfield services for the UK public
     sector (e.g. Criminal Records Bureau)
 experienced project implementation and operational managers who have successfully
     implemented complex large scale new operations within the group
 proven programme and project management techniques that have been developed within
     the group, and
 tactically utilising our existing IT systems for assessment services to dovetail into the DWP
     provided systems.
As requested, the Capita_Financial_Risk_Lot2 document outlines the plan for managing the
expected levels of growth in relation to working capital.
Sourcing the working capital and financing repayment
Capita, similar to most multi-national companies, operates a central financing model, under
which funding is raised centrally and provided to group operating companies as required. This
allows the group to raise funding in the cheapest and most efficient manner. Funding is raised
centrally via multiple sources, including:
 equity (Capita plc shares are quoted on the London Stock Exchange)
 bonds (typically issued in the US Private Placement market), and
 bank credit facilities (including a Revolving Credit Facility of £425m).
Capita normally funds capital expenditure, associated non-capitalised set up costs and day-to-
day working capital across all contracts from these central sources of finance. In some
instances the high equipment content of certain contracts may be funded through operating
leases, the cost of which is expensed through the profit & loss accounts over the contract life.
For PIP the overall working capital requirement for Lot 2 is £16.6m. The funding for this
requirement will be provided from the group’s central financing arrangements as described
above. Currently, as a result of the arrangement of a term loan of £285 million in February
2012 and equity issuance of £274 million in April 2012, Capita has substantial cash on deposit
(in excess of £200m) and unutilised available bank revolving credit lines of £425 million. This
£625 million of headroom is more than sufficient to support the PIP contract’s funding
requirements incorporating much more than the 25% stretch requested.
Furthermore, Capita generates substantial operating cash flow (over £350 million pa). Liquidity
and funding levels are forecast and checked regularly as part of a monthly process, to ensure
there is sufficient headroom to cover ongoing needs. Extra funding is arranged and bonds
issued as necessary to operate within the group’s policies and covenants. There are no major
bond maturities falling due for refinancing in the next few years, with only £123m maturing in
the next three years.
Within Capita we rigorously monitor our capital expenditure. The group's aim as stated within
our annual report and accounts is to contain our capital expenditure at or below 4% of

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revenue. In 2011, we met this objective, with net capex at 3.5% of annual revenue (this
equated to 3.6% in 2010). We believe capex at or below 4% is sustainable for the foreseeable
future. There are currently no indications of significant capex requirements in our business
forecasts or bid pipeline, however, we do not constrain ourselves in the case of exceptional
opportunities and will use this financial strength as needed. The PIP opportunity is one of
those opportunities for which we will flex this requirement, but the overall Group's capital target
will remain within the 4% maximum limit. (It is also worth noting that we have included a
‘conservative’ 8% cost of money within our prices to the DWP in order to provide a single price
per assessment without any upfront charges.)
In summary, the level of risk associated with sourcing the working capital and financing
repayment is very low.
Managing the financial risk of varying volumes
We also believe that the financial risk of significantly different volumes to those forecast is low
due to the fact that our operational solution has been designed to deliver a highly variable cost
base through:
 developing a solution which has a significant element of home consultations (60% of all
     face to face consultations). We therefore do not need to significantly build upon our
     existing large fixed assessment centre estate
 employing the optimum mix of permanent and contractor Healthcare Professionals to
     ensure maximum variability in the largest element of our cost base. The contractor
     recruitment bank of health professionals allows us to increase or decrease the required
     resources at short notice. The contractors will be paid per completed report which ensures
     maximum variability (we are used to working to this model within our Medicals Direct
     business)
 utilising staff from within the Group that can be easily employed from, and redeployed to,
     other health assessment service contracts to meet short term volume fluctuations
 utilising existing Capita owned assessment centres and our flexible assessment centre
     contracts with Regus and Instant Office under an ‘Easy In Easy Out’ model which provide
     a variable accommodation cost for those centres
 utilising spare capacity in existing Capita administration buildings for the Enquiry Centre,
     triage and back office functions, and
 enjoying a low cost flexible IT solution built upon a utility model which again provides
     maximum financial variability.
This variability is reflected in the relatively flat unit rates that we have provided for each
volume band. This will also ensure that our planned margins for this contract will remain
relatively stable irrespective of the actual volumes. We are therefore confident that we can
deliver the contract to the benefit of both DWP and Capita through a low cost flexible solution.




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     3. Claimant Journey
     Generic – Quality question
[3.1] Please describe the Claimant Journey through your PIP Assessment Service. This
should clearly demonstrate how every claimant will receive a positive experience, that the
journey will be tailored to take account of individual needs (detailing how you will address any
lot specific innovation for the customers) and that you clearly identify any innovative ideas for
delivery that adds value to the claimant journey.

NB: Suppliers can supply a flow chart or similar to illustrate their claimant journey in addition to
their narrative rationale described below.
Any such chart should be restricted to 2 sides A4 maximum and be presented in Word, Excel
or PDF format. Please name this separate document as follows: ‘Supplier Name’_
3.1_Claimant Journey. Where possible use universally understood terminology or give
explanation of internally used terms.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 10 sides of A4 including the question text and these instructions.
Our approach to defining the claimant journey
Our Claimant Journey was developed using a claimant centric, co-designed approach, putting
the needs of disabled people at the heart of the design and actively involving them in the
design process. We engaged with over 60 DLA claimants with a broad mix of impairment/long
term conditions (I/LTCs), 15 third sector organisations (both national and local), health
professionals (including people delivering WCAs) and enquiry centre staff.
Partnering with GfK NOP and Office for Public Management, we built on their considerable
experience and existing research in this space to establish a segmentation of disabled people
and those with health conditions. We extended this model through one-to-one interviews with
people living with a range of I/LTCs. By probing with individuals their goals, attitudes,
behaviours, hopes and fears - both for PIP and the wider context of their lives - we augmented
the segmentation with a layer of rich, anecdotal insight. This was distilled into a set of claimant
personas facing different barriers - fictional individuals based on a conglomeration of real
insights - to create a coherent focus for our design. A brief excerpt from each persona is
included in our Claimant Journey diagrams.
Our approach focused on mapping an optimised user journey through the assessment
process from the perspective of each of our personas. These journeys were iteratively co-
designed and validated with our collaborators through a series of local workshops. This
approach has ensured our Claimant Journey (detailed below), which draws out the key
common details from our personas' individual user journeys, is focused on the complex needs
of those who will experience the service first-hand. It ensures that we offer a low risk solution
designed to overcome the barriers faced by different claimants rather than assuming all
claimants will have a straight through journey resulting in a low process drop out rate and
reducing our FTA.
We will carry this people-focused ethos through to the implementation and continuous
improvement of the assessment process, ensuring claimants and interested parties continue
to shape the service going forward.
Capita has a dedicated seven person Service Design team with a proven track record
successfully employing similar user-centred design approaches on other high profile contracts,
including NHS Choices, BBC TV Licensing, MOD Recruitment and Teachers' Pensions. The

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team facilitates the embedding of people-focused techniques across each multi-disciplinary
bid team, ensuring all solution components are developed collaboratively and with the service
users in mind. The team also has a role in ongoing service delivery and feed in service
improvements made in other contracts that touch disabled people. We are an active member
of the Service Design Network.
Our Design Principles
We pared down our claimant insight to four core design principles that underpin our solution.
Claimants tell us that these will drive the greatest uplift in the quality of the experience for all.
Empathy: Understand and appreciate the barriers that individuals face; provide a flexible and
accessible service that caters for differing abilities; use a locally distributed workforce and local
knowledge; respond appropriately to embarrassment, anxiety and understatement; involve
service users in service design and improvement.
Dignity & respect: Be courteous and kind; preserve dignity; communicate positively; minimise
discomfort and hardship; do not patronise.
Reassurance: Be informative; be transparent; actively listen; demonstrate knowledge,
expertise and understanding; signpost to appropriate third party resources and support
networks.
Accuracy, consistency & fairness: Employ well-qualified and competent health
professionals (HPs); implement a common assessment framework; train all staff to a
consistent high standard; recognise, understand and respond to fluctuating and hidden
conditions; match assessors' experience and strengths to claimants' I/LTCs.
The Claimant Journey
1. Identifying the best assessment route
Providing the best claimant journey begins with allocating each claimant to the assessment
route most appropriate to their situation once their details are received from PIP CS. It is
handled by our two phased triage process, which ensures a reliable and consistent decision is
made:
 The first triage phase is conducted automatically by our IT system, HeART. This divides
     incoming cases according to rules based on whether the claimant is, or potentially is
     terminally ill (TI), type of I/LTC and the presence of FME, and routes them to a triage
     team.
     Rationale: The instant nature of the automatic triage means that vital and time-sensitive
     processes can be actioned as quickly as possible (e.g. TIs, lack of FME). It also prevents
     clerical errors that can impact repetitive manual processes.
 The FME team request missing FME. This will be done using the fastest possible method
     (e.g. telephone request) for claimants who are potentially terminally ill.
 All cases are then manually triaged by a suitable HP (e.g. a mental health nurse for a
     claimant with a mental health issue) who conducts a paper-based review within two
     working days.
 If the paper-based review establishes a face-to-face consultation is warranted, the HP
     identifies the likely appropriate location; if it should be conducted in the claimant’s home or
     at a consultation centre, and the type of HP best suited to conduct the assessment.
 We aim to conduct 60% of consultations in the claimant’s home. Claimants qualifying for
     a home consultation include: those who will self-evidently benefit from one as a result of
     their I/LTC; those who request one due to a fluctuation in their condition or non-medical

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   additional needs (e.g. due to dependents at home); those who live more than 90 minutes
   from a consultation centre.
 Our report will be written directly on the basis of the paper-based review when the
   claimant’s needs are very clear from the documentary evidence available (e.g. terminal
   illness, severely disabling condition). The exact circumstances in which this will occur will
   be based on guidance developed in conjunction with DWP (and DSD).
2. First contact
 The first contact with all claimants selected for a face-to-face consultation is sent through
   the post three working days after the receipt of their case. It contains a personal letter to
   the claimant and an information booklet written in ‘Clear English’. The letter is auto-
   generated by HeART.
   Rationale: Claimants expect - and most prefer - to receive the initial communication in this
   way. A letter is something tangible they can keep, refer back to and share with others.
 The letter is provided in Welsh or community languages, Braille, large print and Easy
   Read where required. Similarly, the information booklet is supplied on a DVD containing
   audio and BSL signed versions, electronic text versions suitable for use with screen
   readers or magnifiers, and an Easy Read print version.
   Rationale: This initial contact is designed to inform claimants and reduce anxiety; it is vital
   it is as widely accessible as possible. The different versions will make it more accessible
   for those with varying sensory impairments and more readily understood by people with
   intellectual or cognitive impairments.
 A reply-paid envelope for returning travel expenses receipts is included in the pack.
   Rationale: Many claimants tell us their financial situation is very tight indeed. Seeing the
   mechanism for claiming expenses upfront will help reduce money-related anxiety.
 The letter will be addressed to the claimant themselves or their appointee/representative
   where this is more appropriate, as advised in the data received from PIP CS.
   2.1. The letter provides personalised information for the claimant
    The letter explains that the claimant needs to attend a face-to-face consultation with an
       HP as part of their PIP application, and the reasons for this. It states the suggested
       location of the consultation, which may be the claimant's home, place of residential care
       or their local consultation centre. This is based on our initial triage of the case.
       Rationale: Claimants state that not knowing what is going to happen during the end to
       end process or why it is happening is a key source of anxiety.
    The claimant may request the suggested location is changed to one of the alternatives.
       Rationale: While the majority of claimants would prefer to be assessed at home, many
       do prefer to be assessed elsewhere, e.g. those with mental health conditions that make
       them uncomfortable having strangers in their home, or those with visual impairments
       who are more confident at home and fear this will skew their assessment.
    The letter explains what type of assessor will be conducting the consultation and why,
       including their qualifications and experience in relation to the claimant's type of I/LTC
       Rationale: Claimants fear being assessed by someone who is not qualified or has no
       experience with their I/LTC.
    The letter states the target dates within which the consultation will take place (between
       25-32 calendar days time for a home consultation and 28-35 for one that is centre-
       based).

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   Rationale: Again, being as informed as possible helps reduce claimant anxiety and
   demonstrates we respect the fact they have lives to organise. Many claimants explain
   they regularly have a number of competing appointments to schedule due to their I/LTC
   as well as routine commitments resulting from family or work.
 The letter explains any further medical evidence (FME) we have or are seeking on the
   claimant's behalf and that information will be dealt with in strictest confidence under
   data protection legislation.
   Rationale: Most claimants worry the assessor will not have access to their medical
   history, and will be reassured to know it is being sought.
 Claimants are encouraged to get in touch if they have any queries or concerns.
2.2. The letter asks the claimant to provide us with some information
 Those being assessed at their local centre are asked to get in touch within 14 days to
   organise a convenient appointment.
 Those being assessed at home are asked to get in touch to let us know which days
   within the target date range are not convenient. They will then be allocated an
   appointment for one of the convenient days.
   Rationale: Claimants may have existing commitments beyond their control and
   appreciate flexibility around appointment scheduling; this will help reduce FTAs.
 The letter explains the claimant can phone the Enquiry Centre between 8am – 8pm,
   use an automated voice service (24 hours a day) or log on to our online portal to make
   these appointment arrangements.
   Rationale: Many claimants are happy to handle appointment scheduling via an
   automated process; however, some will find this difficult and provision must be made
   for them to speak to a person during this task.
 It explains that an appointment will be automatically arranged for them if they choose
   not to get in touch.
   Rationale: Some claimants may be indifferent about their appointment date and time –
   or are unlikely to be proactive in this respect due to a characteristic of their I/LTC – and
   would prefer to have an appointment allocated to them.
 It asks the claimant to advise us of any additional sources of FME.
   Rationale: Claimants point out that their GP is not always the best person to provide
   suitable FME and that they should be consulted on this before it is sought. Whilst in
   most instances they will have provided this to the DWP/DSD, this is a good opportunity
   to double check all relevant information has been sought.
 The letter encourages the claimant to have someone present at the consultation for
   support, if it would make them feel more comfortable. It asks them to let us know who
   this will be if they choose this option.
   Rationale: Many claimants want to have a companion present for moral and/or practical
   support and potentially translation by someone they trust.
 It asks the claimant to let us know if they require a same-sex assessor, a translator for
   foreign languages or a BSL interpreter, and to get in touch with any further
   requirements that will facilitate the consultation.
 Finally it asks them their preference for how they receive appointment reminders: SMS,
   email or automated phone call to enable a more personal service.
2.3. The booklet or DVD provides information on PIP and the consultation process

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     The booklet explains: what PIP is; what to expect from the consultation process,
       including how and where an assessment is run; advice on how a claimant should
       prepare so as to provide a full and accurate representation of their situation; what to
       expect after the assessment; who makes the decision; signposting to other helpful
       organisations; how to feedback or make a complaint, including a reassurance that all
       such feedback will be treated seriously and will receive an acknowledgment within two
       working days and will have no negative impact on the outcome of their assessment. It
       includes an illustrated timeline for the end-to-end process.
       Rationale: Claimants tell us being fully informed about the process from start to finish,
       including timescales, is key to reducing anxiety. Knowing what to expect from the
       consultation itself and help in preparing for it is also considered a major source of
       comfort.
     It details the various methods for the claimant to contact us: by phone, post, email,
       SMS, social media or webchat (via the online portal).
       Rationale: Flexibility around contact methods is welcomed by claimants whose varied
       needs mean they favour certain channels.
     All information is replicated on the online portal, a W3C Web Content Accessibility
       Guidelines AA compliant website suitable for access via a screen reader, magnifier or
       refreshable Braille display, with an Easy Read, BSL and Welsh mirror.
       Rationale: Online material on a well-designed, accessible website is the preferred
       method for consuming information for many claimants, particularly those with visual
       impairments.
3. Inbound contact
    3.1. The claimant can seek peer-to-peer support through multiple channels
     The claimant can contact us through our Enquiry Centre. This is staffed by 'Peers'; a
       target of 40% of these will be disabled people themselves; all will have received training
       in empathy, positive communication, and awareness and sensitive handling of a wide
       range of impairments and conditions
       Rationale: Claimants tell us they want support from people who understand the
       challenges they face, are empathetic to their needs and have an understanding of the
       local health and social care economy.
     HeART provides a single view of the claimant: it allows Peers to instantly see the
       claimant's details and contact history allowing them to provide a consistent and
       personalised experience.
       Rationale: Claimants report being tired of having to continuously repeat their situation to
       people they encounter in the healthcare and benefits system.
     Peers respond to enquiries by a wide range of communication channels (e.g. phone,
       post, email, SMS, webchat, BSL via Skype) as preferred by the claimant. Responses to
       enquiries through channels other than phone or webchat are made within two working
       days. Phone and webchat enquiries are typically answered within 30 seconds. The
       phone number is charged at local rate.
       Rationale: Communicating with the claimant via the channel they favour increases both
       the accessibility and comfort of these interactions. Prompt response to any enquiries is
       essential to minimise anxiety.
    3.2. The online portal provides appointment scheduling and support information


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    Claimants can also use the online portal: It has a password protected area for
      accessing and amending appointment details and will be accessible to AA standard.
      Subject to DWP/DSD approval, this could also hold the audio recording of the
      claimant's consultation and a copy of their assessment report (at no additional cost),
      appropriately redacted for sensitive information. This is something that Citizen’s Advice
      Bureau, in particular, thought would be of huge vale based on their interaction with DLA
      and WCA claimants.
    The website also provides information aimed at making claimants feel as comfortable
      as possible about the process, including FAQs, video and audio recordings of an
      example consultation. Again subject to DWP/DSD approval, it will also provide links
      through to quality-assured third sector organisations that can provide added value or
      support to claimants e.g. organisations offering advice on money, welfare and law, or
      support of a general and I/LTC-specific nature.
      Rationale: The website is our opportunity to provide a broad and deep source of
      information to those claimants who seek it, without overwhelming those who don't. Most
      claimants we spoke to knew nothing of PIP and this lack of knowledge drives anxiety.
4. Appointment confirmation
 The claimant receives a follow-up letter or email within 2 weeks of the initial letter. This
   confirms their appointment date, time and location.
 Directions and transport advice are provided for those attending centre-based
   consultations.
 The letter explains that claimants have a single opportunity to re-schedule their
   appointment, provided they advise us in advance that they are unable to attend.
 The letter encourages claimants to make every effort to attend their appointment. It
   explains their case will be passed back to DWP/DSD if they fail to attend without notifying
   the centre or are unable to attend a re-scheduled appointment, and DWP/DSD will make
   enquiries with them regarding the reasons for non-attendance.
 This confirmation will be delivered in accessible formats as required.
5. Appointment reminders
 The claimant is sent three reminders of their upcoming appointment to reduce FTAs: 7
   days in advance, 3 days in advance and the morning of the appointment. The reminders
   are sent according to the claimant's preferences: email, SMS or automated phone call.
   Where appropriate (e.g. for claimants with certain mental health or learning difficulties) a
   Peer will make the 3 day reminder call in person.
   Rationale: All claimants regard this as a useful feature. Indeed, it is considered vital for
   those who have difficulty planning for or remembering appointments, such as those with
   certain intellectual, cognitive or mental health difficulties. Claimants' I/LTCs can result in
   them being unable to attend appointments at short notice; proactively checking and
   rescheduling where necessary helps reduce anxiety and FTAs. Automated rather than
   personal calls are considered acceptable for this purpose if expectations have been set in
   advance.
6. The Consultation
   6.1. Centre-based consultations
    The centre has been selected to have ground floor facilities, in a safe area, readily
      accessible to public transport and accessible parking.


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   Rationale: Claimants across various Lots report being distressed by having to attend
   consultations at venues that are intimidating, inaccessible and difficult to get to
 All venue hosts are friendly, courteous and respectful; they are trained to understand,
   communicate with and be sensitive to the needs of individuals with a wide range of
   I/LTCs. Many are themselves disabled people.
   Rationale: The overarching message from all claimants is that they simply want to be
   treated with respect and dignity by people who are empathetic to their needs.
 The venue host explains what is going to happen, how long the claimant should expect
   to wait, and that it will be no longer than 30 minutes at most .
   Rationale: Keeping claimants informed at all times helps them to feel relaxed. A key
   concern is being made to wait an unreasonably long time.
 The host will make every effort to minimise waiting time for claimants who arrive late.
 The host verifies the claimant's identification and that of any companion. They make a
   copy of any FME the claimant has bought with them and return the originals to the
   claimant. The copies are forwarded to DWP/DSD after the assessment has been
   completed.
 They will confirm any additional requirements the claimant has requested be
   accommodated. The venue host will attempt to accommodate any additional
   requirements that were not advised in advance. They will use HeART to arrange an
   alternative appointment that is convenient for the claimant if this is not possible.
 The venue host looks after claimants while they wait to make sure they're comfortable
   and uses the opportunity to signpost them to relevant information or sources of support.
   Rationale: Claimants don't want to be at an assessment; making them feel cared-for
   and that their trip has additional value makes it far more palatable.
6.2. Home consultations
 The assessor arrives within the time frame agreed with the claimant. They introduce
   themselves and show their photo/Braille ID.
 The assessor verifies the claimant’s identification and that of any companion. They take
   any FME the claimant has available. This will be taken away by the assessor, copies
   made and the originals returned to the claimant. The copies will be forwarded to
   DWP/DSD.
6.3. During the consultation
 The consultation itself can be audio recorded with the claimants consent.
   Rationale: A key concern of claimants who have been through the WCA is that the
   assessor's report will not match the discussion that takes place. An audio recording
   provides reassurance, transparency and an audit trail.
 Three-way simultaneous translation is provided via speaker phone for those who don't
   speak English. A Welsh speaking assessor will be used for claimants whose preferred
   language is Welsh. BSL interpreters will be present in the room or via video link on a
   tablet device.
 There is no time limit on a consultation. This enables claimants to take as long as they
   need to explain their situation.
   Rationale: Claimants who find it more difficult to articulate themselves tell us they are
   concerned there will not be sufficient time for them to adequately tell their story.
 All assessors undergo a face-to-face screening and skills programme prior to being
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    hired to ensure they demonstrate the right behaviours. They greet the claimant, make
    them feel at ease, and communicate positively throughout. They will behave in a
    supportive and empathetic manner and always try to minimise anxiety or physical
    discomfort for the claimant. (In total, they will undergo 10 days of specific training much
    of which will focus on empathy, listening skills and claimant facing mentoring.)
    Rationale: Claimants fear the assessor will be suspicious, adversarial or demonstrate
    other negative behaviours towards them.
   The assessor opens by reiterating the purpose of the consultation and then clearly
    explaining what will happen and how long it should take.
    Rationale: Understanding exactly what will happen and why is vital for reducing anxiety.
   They give a summary of their understanding of the claimant's situation and medical
    history if it has arrived, or explain how it will be reviewed and used if it arrives after the
    consultation.
   Rationale: Claimants worry the assessor will know nothing of their situation or history,
    and they will have to reiterate everything yet again.
   The claimant is invited to expand on this summary and describe in their own words how
    their I/LTC affects them, using a 'day-in-the-life' framework to help them organise their
    thoughts. They are prompted to consider what barriers exist without day-to-day aids.
    They are encouraged to describe how they are when their I/LTC is best and worst, and
    the timescale on which any fluctuations occur.
    Rationale: Claimants fear they won't have the opportunity to explain what life is like for
    them, that the consultation will simply be a mechanistic 'box-ticking' exercise. Those
    with fluctuating conditions are concerned their situation will be understated if they are
    assessed on a 'good day' and the decision is based heavily on this evidence.
   The assessor explains they are going to discuss a range of daily activities; they explain
    the claimant may feel they are not all relevant to their condition, but it is important the
    assessor makes no assumptions about what the claimant can do.
    Rationale: Claimants with experience of consultations complain on the one hand of the
    assessor making assumptions about the criteria that are relevant to them, but also of
    being asked questions that they don't feel are directly relevant to their situation.
   Assessors are trained to better recognise and respond to claimants giving an inaccurate
    or incomplete description of their situation. They skilfully probe to establish whether this
    is due to exaggeration, understatement, embarrassment, privacy, or a characteristic of
    their condition (such as a learning difficulty).
    Rationale: Claimants report finding it difficult to talk openly or accurately about facets of
    their situation with a stranger for a wide range of reasons, even if this might mean they
    understate their condition. Equally, there is the risk of some claimants over-stating the
    impact of their I/LTCs.
   Assessors will be trained on the nuances of home visits to ensure claimants are not
    judged more capable due to being in familiar surroundings.
    Rationale: Visually impaired claimants tell us this is a particular concern, as they can
    appear considerably more capable in a familiar environment.
   The assessor answers any questions the claimant /companion may have, without giving
    an opinion on their condition or the outcome of the consultation. They explain what will
    happen next, that the decision sits with DWP and that the claimant will receive the
    decision directly from them. The claimant is encouraged to contact the Enquiry Centre if

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      they have any further queries or feedback in the days following the assessment.
      Rationale: Ensuring the claimant leaves the consultation without any nagging doubts
      will greatly reduce their anxiety around the process.
   6.4. Claiming travel expenses
    The claimant simply enters their bank details on the supplied form, places it along with
      their travel proof(s) of purchase in the reply-paid envelope and posts it. Alternative
      payment routes are used for those without bank accounts. Those less able to complete
      their bank details form (e.g. visually impaired claimants) just send their proof(s) of
      purchase. They will then be contacted by a Peer who will collect their bank details.
    The claimant will be notified when the expenses have been paid, which will usually
      happen within 5 working days of receipt of claim form.
7. Following the Consultation
   7.1. Handover
    The assessor considers all evidence gathered from the claimant, supporting
      professionals (FME) and the consultation itself, and assesses the claimant against the
      criteria. They complete and submit their report, and update PIP CS. This occurs within
      30 working days of receiving the case from DWP/DSD.
   7.2. Measuring the claimant experience
    The information booklet in the initial post pack encourages the claimant to reflect on the
      experience they have during the consultation process and provide frank feedback via
      any available communication channel into the Enquiry Centre on what could be
      improved and what works well.
    A claimant satisfaction survey - developed in conjunction with Claimant Representative
      Groups - will be included in some post packs and replicated on the online portal. An
      independent research organisation will be tasked with ensuring responses are received
      from a sufficiently diverse cross-section of claimants to establish a statistically valid
      measurement of claimant satisfaction. This will include proactively collecting survey
      responses by phone from those less able to complete the survey on paper or online.
   7.3. Continuous improvement
    A cross-section of claimants and members of Claimant Representative Groups act as
      'the voice of the claimant' (in a paid capacity) in user-centred design activities aimed at
      the continuous improvement of the service. This focuses on operational delivery, not
      policy issues. A pan-impairment steering group recommends improvements that are
      driven forward by our Customer Champion in tandem with the DWP/DSD. The
      Customer Champion has user-centred service design skills and the support of the
      Capita Service Design team.
8. Complaints
 We encourage both negative and positive feedback from claimants at all stages of the
   process. However, a clear, simple and transparent complaints procedure is also promoted
   as a separate action to underline the importance we attach to tackling any grievances.
   Rationale: Claimants tell us the conspicuous presence of a clear mechanism for
   complaints actually makes them feel more relaxed and more positive towards the service.
   They see it as a sign of a genuinely fair, open and independent assessment.
   Understanding and addressing any claimant grievances is integral to us continuously
   improving the service for all claimants.


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   A complaint can be made using any of the communication channels into our Enquiry
    Centre: letter, phone, email or via the contact form or webchat on the online portal.
 We acknowledge all complaints within two working days, outlining the steps we are taking
    to examine the situation.
 We provide a full response to the complaint (in an appropriately accessible format) within
    20 working days. We apologise if we have got things wrong and explain the action we are
    taking to put them right. We explain what steps the claimant can take next if they are
    dissatisfied with our response. This escalation process will be agreed in consultation with
    DWP.
9. Reconsideration and advice
 There may be situations where additional evidence becomes available after the report has
    been written but before the decision has been taken. We will consult with DWP/DSD on
    whether late arriving information of this nature should be incorporated for consideration by
    the decision maker. If agreed, we will flag the late arrival of additional evidence on PIP CS
    and the authoring assessor will incorporate the new information before resubmitting the
    report.
 Equally, DWP/DSD may request this, along with any further advice or clarification required
    after the completion of the assessment.
10. Re-work
 Although not claimant-facing, claimants are still impacted by re-work as it can delay their
    decision. Our assessors work with a ‘right first time’ mentality and are fully trained in a
    consistent process aimed at producing fully compliant reports. Depending upon the final
    capabilities of the Assessment Tool provided it may make sense to use aspects of our
    HeART system on tandem with the DWP provided tool in order to proactively support the
    rework process by ensuring report completeness and minimising errors by intelligently
    flagging inconsistencies in the report. These measures result in re-work levels comfortably
    within SLA SC3.
 We envisage three broad types of re-work: reports with missing information, insufficiently
    detailed information, and information that is not easily understood (e.g. due to over-use of
    medical terms or abbreviations). We expect all reports to be legible, fair, impartial and
    legally compliant. One of our senior HPs will be assigned to handle the re-work case,
    consulting with the report author and/or reviewing available evidence before correcting the
    report.
 Re-work requests are completed within two working days in order to minimise the impact
    on the claimant journey.




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     Generic – Quality question
[3.2] Please detail how you will schedule and deliver the assessments by health professionals
for this service? Your response should address challenges identified within the service
requirements plus any additional challenges you have identified which would impact PIP
Assessment Service delivery.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 3 sides of A4 including the question text and these instructions.
Scheduling and delivering the right assessment, by the most relevant HP, in the most
appropriate environment, is at the heart of our solution. It combines the DWP (and DSD’s)
requirements, our experience of delivering similar assessments, and incorporates the
feedback of the many representative groups with which we have consulted. It will deliver an
excellent claimant experience, minimise Failure to Attends (FTA) and appeals, and optimise
cost. It also meets the other key challenges of meeting the range of communication needs of
claimants, an appointment that is tailored to the individual, and consistency. Our solution is
supported by representative groups we have engaged, for example the CEO of Assist UK
states that ‘after discussions with Capita we feel their approach is positive and they will
safeguard the interests of disabled people.’
Identifying the right HP to complete a Consultation through triage - Our triage process is
a two phased approach that provides a reliable and consistent outcome. The first phase is an
automated triage that occurs as soon as the data is received from PIP CS which assesses the
information against defined rules (e.g. location, impairment type, access considerations (such
as general mobility issues, wheelchair access, communication preference)). The second
phase is a manual triage process whereby an appropriate health professional determines the
right assessment required for the claimant based on a rigorous process. The duel triage has
several advantages over a purely manual triage. Firstly it will reduce the risk that the HP
assigns the wrong case type due to the repetitive nature of the initial screening (over 100
screenings a day on average based on the DWP triage estimate). Also where Part 2 has not
been completed and no FME has been attached, these cases can be instantly pushed to the
FME collections team to request FME which should reduce the time required to complete the
end to end process for some of the most vulnerable claimants.
Once the automated triage is complete (instantaneous) the case is assigned to a relevant
triage sub-team for manual triage which will determine whether a face to face assessment is
  Automated          required and in which environment, or whether a paper based scrutiny will resolve
  Triage Team
                     the case. The manual triage will be undertaken by experienced HPs who have been
   Terminal  N          Part 2 
                                        trained to complete the end to end assessment process. They will identify
     Illness         Complete                         the appropriate assessment environment for the individual and HP
                         N                    Y                                                     type (e.g. GP, nurse, mental health nurse or OT).
                                         Mental                                  Able to 
                        FME 
                     Attached      Y      Health 
                                                       N
                                                           Face to Face 
                                                              Needed
                                                                           Y      Attend            They would also identify any potential reasonable
                                        Condition                                 Centre
                        N                 Y                    N                 N                  Y
                                                                                                            adjustments that need to be made when
                  FME Collections 
                    Team – Non 
                                       Mental Health 
                                           Team             Paper Based         Home Visits         Centre Team 
                                                                                                                  booking a consultation (e.g. wheelchair
                      Terminal
                           •Paper Based Team
                           •Home Visit Team
                  Admin Support
                                                            Review Team            Team                Cases      accessibility, translator, same sex
     Y
                           •Clinic Visit Team
                    (non‐health 
                           Mental Health Nurses
                   professionals)
                                                  Nurses / Occupational  Nurses / Occupational  Nurses / Occupational 
                                                  Therapists             Therapists             Therapists
                                                                                                                  assessor, chaperone etc). The diagram to
                                                                                                                  the left illustrates our anticipated triage
                                        Expert Team for Escalations
                                                                        Mental Health 
                                                                                                                  teams.
                                    GPs             Senior Nurses
                                                                           Nurses
   Central Professional  Groups who can be referred  to on any cases where  the triage team is unclear on         Consultation Centre Scheduling
             the correct course  of action (e.g.  borderline  whether  paper  based visit is suitable)
                                                                                                                  Day 1: Case assigned by DWP, triage
and request FME as appropriate. TI cases identified and fast tracked.

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Day 3: Claimant assigned to a centre consultation and automatically allocated to closest
centre with a suitable HP type (from a specific profession, skill or experience) by our HeART IT
system. The system will automatically allocate 35 claimants to each consultation room on a
rolling fortnight basis and allocate the most appropriate HP to each case. This will be within a
window of 20-25 working days (28 – 35 calendar days) after receipt of case to allow time for
the FME to have been returned and processed. If this number is exceeded additional
claimants will be allocated to their second/third closest centre within the 90 minute radius
(typically 60 mins). Once all suitable centres are full, new claimant cases will be reclassified
as home visits.
Claimants allocated to a centre will receive a letter posted at the latest 3 days after receipt of
the case in the preferred format (Braille, large font, audio etc) which will cover:
 dates between which the consultation will occur and what type of HP they will see
 how to choose a consultation time and location that suits the claimant if there are dates /
     times that are better for them (via 24 hour access to web and telephone channel)
 a clear explanation of the process, ID required and what is expected including an
     interactive DVD with audio/large font/easy read/Welsh language/BSL options to enhance
     understanding, reduce anxiety and also reduce FTA, and
 how to register specific requirements such as a BSL translator, same sex HP, chaperone
     etc and change Assessor if they think a different HP might be more appropriate in light of
     their primary condition.
Claimants have the option to do nothing more if they do not have a preference, they will then
receive an auto generated consultation date. No contact after 14 days will be taken as
acceptance that any of the dates are acceptable. Our assumption is that 30% of automatically
scheduled claimants will contact us to re-arrange a consultation or seek advice.
Day 17: Once a suitable consultation has been confirmed, or 14 days after the letter if the
claimant has not been in contact , we will assign a consultation time and date and post a letter
(or e-mail if preferred) informing the Claimant of the consultation time with travel details by
public transport, an expenses envelope and expenses policy. Again, the letter will be in the
preferred format and/or language. Claimants will be able to reschedule the consultation after
this point and in our experience 20% of claimants will via telephone, text, SMS, fax, Skype
BSL, etc. or via our web portal with 24 hour access. This means all claimants should receive a
minimum of 11 days notice of their specific consultation time.
Home Consultation Scheduling
Day 1: Case assigned by DWP, triage and request FME as appropriate.
Day 3: Claimant identified as having been assigned a home visit and a letter will be posted
requesting they register any dates they would be unavailable between 25-32 calendar days in
the future. This pack will contain exactly the same information as the centre pack, except it
will ask claimants for any dates they cannot host/attend a home consultation. The same
options and contact channels will be available.
Day 17: Claimants will have 14 calendar days to respond and advise of dates they are
unavailable. Our system will then automatically plot the best route of consultations for suitable
permanently employed assessors, taking into account availability. It will do this by
geographically clustering consultations with availability together starting from the claimant
closest to the assessor’s registered address. A letter will then be sent to the claimant
confirming their consultation date and time. Once permanent home assessors are fully utilised,
cases will be passed to suitable contractor assessors who will have 3 days to personally

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schedule the consultation with the Claimant.
Day 20: Contractors will have updated the system with their consultation bookings and a letter
posted to claimants informing them of this consultation time (minimum 8 days notice).
Reducing FTA and utilising FTA time effectively - By offering options in terms of
consultation location, time and assessor type we are providing claimants with influence over
the process which should minimise the level of FTAs. We are providing a 24 hour telephone
line to heprovide parity of access. We will further reduce FTA by a series of reminders to the
claimant or their chosen representative: 7 days in advance, 3 days in advance and the
morning of the appointment. The reminders are sent according to the claimant's contact
preferences: email, SMS, automated phone call or social media. Where appropriate (e.g. for
claimants with certain mental health or learning difficulties) a Peer will make the 3 day
reminder call in person. If they can no longer make the appointment they can text “No” to
receive a call back to reschedule. This will be followed up with a call three days beforehand to
answer any further questions the claimant might have and make sure the consultation is still
suitable. Assuming no change of date is required, the claimant will receive a subsequent text
the day before their consultation with a final reminder. Where there are FTAs, permanent staff
time will be filled with other activity such as peer reviewing work to improve quality which will
be automatically feed into their work queue. Contractor staff will receive a lower payment rate
for FTAs reflecting the non-utilised time. We are experienced in working in this way through
our Medicals Direct Group business.
Gathering FME - Our HeART system is automatically set up to batch, print and post FME
requests. Where the information relating to FME is not complete (e.g. postcode missing) an
exception will be thrown out and our FME request team will manually identify the correct
information and update HeART. HeART will also set reminders for chasing and batch requests
for chasing when FME has not been received. A specialist Terminal Illness team will manage
all FME requests for TI cases. This will be a telephone driven process in order to expedite the
process.
High quality reports and advice to the Authority – Our assessors will be trained in the
production of high quality reports incuding justification and consistency. Our Expert Escalation
Team will fulfil multiple roles in addition to providing an escalation route for the triage team.
This variety of work will mitigate the challenge we have to ensure attrition in this group is low.
This team will be responsible for providing advice to the Authority and will be contactable via
multiple channels. All requests for advice will be logged on HeART so that they can be
tracked in terms of quality and timeliness. Any requests that are aging (nearing the 2 day turn
around) will be flagged so they can be managed immediately. This team will also be
responsible for quality checking reports produced by HPs. On average each full time assessor
will have 1 case audited by this team every 2 weeks. Our HeART tool also contains some
automated checking of report quality including logic and spelling. If we are able to use this
functionality to complete the first draft of reports it will flag anything that does not appear to
make sense (e.g. if a wheelchair user is able to walk) so any human errors can be immediately
corrected.
Ensuring additional requirements are met - Most additional requirements will be managed
by the enquiry team or automatically by the HeART system (e.g. arranging for same sex HP).
We will use our translation services team to provide telephone based translation support
during consultations. Any specialist adjustments such as manual communicators or BSL
interpreters will be picked up by our partner the Centre of Excellence for Sensory Impairment.



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    Generic – Quality question
[3.3] Please describe in detail how you will implement and deliver the completion of
consultation & assessment reports without an IT enabled assessment tool provided by DWP.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 3 sides of A4 including the question text and these instructions.
We are able to provide the same service to the DWP/DSD and to claimants during the period
where the DWP/DSD has not provided an IT enabled assessment tool as when this tool is
delivered. We will do this using our tried and tested assessment tool, HeART (Health
Assessment & Reporting Tool) which includes WARP technology, a part Capita owned
solution that is a leader in report writing software for HPs. As such, there will be no impact on
resource requirements compared to ongoing delivery of PIP (i.e. no additional HPs or Estates
will be required due to the lack of IT infrastructure) and all SLAs will be met throughout the
period. Additionally, no other part of the claimant journey will be impacted since all our solution
features will be available from day one, including online features such as appointment booking
to help the DWP meet its wider objectives of Continuous Improvement detailed in Section 40
of the Service Specification.
What our assessment tool, HeART, will provide
HeART will provide electronic assessment reports which can either be accessed and
downloaded securely by DWP, or be batch printed and couriered to the DWP using your
secure courier contract. The latter will be carried out in one central location to keep courier
costs low. These reports would exactly replicate the fields identified for the report design in the
DWP assessment tool to enable the Decision Maker to interpret the information easily and not
require additional training, thus reducing overall delivery risk of the end to end PIP
programme. The tool is built to enable high quality, consistent reports to be created by HPs
with free text sections to enable detailed justification as recommended in the Harrington
Report. Both the face to face consultation and paper based scrutiny reports will be built into
the tool to enable consistent processing. It has built in procedures to ensure accuracy and
consistency of the reports:
 intelligent sense check procedures - so that unusual or likely incorrect items are
     challenged or rejected (e.g. if a claimant is a wheel chair user and the report refers to
     them walking)
 spelling, grammar and context check
 time checks - if the timestamps in the assessment report show that it was conducted
     unusually quickly or slowly, quality concerns will be raised, and
 the ability to audit/review reports centrally so that for go-live and ramp up the Escalation
     Team can provide a detailed review of cases to manually ensure accuracy and
     consistency (100% report reviews undertaken until at least 10 consecutive grade A reports
     are achieved and at least 1 randomly selected thereafter every two weeks).
The tool is available offline so that reports can be written in real time for home consultations
without the need for reliable 3G connectivity. This ensures claimants in remote areas do not
get a different claimant experience. This also provides the most cost effective solution as
additional time does not need to be factored in for writing up handwritten, paper based reports.
How HeART works
1. Use HeART built in workflow to manage cases through to consultation
Given the mandated use of Citrix, data will need to be manually keyed from PIP CS to HeART
during this period, as screen scraping technologies (which otherwise would provide an efficient

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method of transfer) are unlikely to be reliable in a Citrix environment. HeART will then be
used to effectively manage the case from end to end (i.e. from triage through to final report).
All interaction with the claimant will be captured including any telephone contact or contact
through other channels, and all actions (e.g. request for a translator) recorded and managed
to create a complete and comprehensive claimant record.
From here a record will be pushed out to the HP that will be responsible for performing the
consultation. They will only receive the records for which they are responsible for
consultations and will not have visibility of any other records, thereby maintaining security and
confidentiality. These records will be downloaded onto their encrypted machine with an
agreed maximum number of records at any one time to remove the risks surrounding
aggregated data.
2. The Consultation
The consultation will be performed by the HP who will show courtesy and respect to the
claimant and demonstrate active listening during the assessment. They will use HeART to
write their report during the consultation and will be able to share their screen with the
claimant if the DWP wishes to show that level of transparency. Any potentially sensitive
information would then be added in separate sections after the consultation.
3. Post Consultation
When the assessor is back on line they will synchronise their system so that the reports will
synchronise back to the central HeART system securely. Once the report is uploaded onto
the main HeART system it will be deleted from the HP’s local machine.
In order to return the completed reports back to DWP there are three options:
1) Secure Connection - between Capita and DWP for electronic return of assessment reports
2) DWP to have ‘view’ access to HeART so that access to all aspects of the report are visible,
    or
3) Bulk print reports and send them back to DWP using the secure courier service.
Following this, the data relating to the assessments will remain securely on HeART until such
time when the DWP report writing tool is available. If required, certain fields could be removed
to create data anonymity whilst continuing to enable detailed analysis of trends during the
pathfinder stages. It would also enable reporting on MI as detailed in Annex 8 of the Service
Requirements that would otherwise be dependent on the DWP’s tool (i.e. MI numbers 23-27).
At this time we would push all live cases on to the DWP assessment tool using Blue Prism.
Implementation
For all Lots we have designed an implementation plan that ensures HeART will be fully
functioning, security accredited and tested prior to the first day of assessments. We recognise
that the report criteria are not yet finalised and will work with DWP during implementation to
reflect any changes to the report. Below is an extract from our overall implementation plan
detailing the specific report writing component that will be customised to ensure there is no
delivery impact of the DWP assessment tool not being available initially:
Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx


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Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx
Xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx

A significant amount of the clinical logic that sits behind the report is already written due to the
other medical reports that we process. The majority of the work involved is in relation to
creating the PIP specific report and the creation of a separate instance of the system to meet
anticipated security requirements.
Security
We believe that accreditation of our system will be achievable within the timescales as a result
of:
 being in the process of accrediting it as part of the MoD recruitment contract that we were
     recently awarded. This is being carried out by our in-house Information Security practice
     who have considerable knowledge of HMG InfoSec requirements, and
 our knowledge and experience of providing a Restricted Managed Hosting Service (RMH)
     for contracts we fulfil on behalf of the DfE (Teachers Pensions) and the DWP (Pension
     Protection Fund).
In terms of security accreditation, for the most part, there will be no difference when compared
to the non clerical solution. HeART will be subject to the full accreditation process and we will
secure the data using an EAL accredited encryption product. When the assessment data is
generated it will be temporarily stored on the hard disc of the offline laptop, synchronised with
the central HeART system and subsequently deleted from the local hard disc.
In principle this technique is no different from generating reports locally using any other tool
(e.g. Microsoft Word) except it provides a more reliable method of carrying out assessments
which are underpinned by formal XML structures. Access control for the laptops used by
assessors, will be via 2 stage authentication using key generation devices, using the same
level of security as the "tokens" that will be supplied by DWP at a later stage, in order to
enable access to the online assessment tool. The archiving and removal process for this
assessment data will be agreed with the DWP security accreditor. In order to transmit the
reports securely to the DWP prior to the availability of the online assessment tool, we will
agree an encryption format and secure transmission mechanism (e.g. SFTP, PGP) as a
method of ensuring data is received as transmitted with no en-route tampering or unauthorised
access.
We will need to agree with the DWP what the requirements are for receiving the assessments
during this clerical period. Our current thinking is that the best approach would be to allow
DWP direct access to HeART and the creation of workflow items to notify when new reports
are ready for review by the DM. This would avoid additional data transfer between systems.
An alternative would be to load reports into a secure SharePoint site within the GSI.




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      LOT SPECIFIC – Quality question
[3.4] Please describe how you will identify and take into account the management of specific
needs and barriers of individual claimants who will be using the PIP Assessment Service and
the measures you will put in place to ensure a consistent high standard of customer care and
delivery of the service to all claimants demonstrating commitment and upholding the Equality
Act 2010. and/or Section 75 and Schedule 9 to the Northern Ireland Act 1998.

Your response should address challenges identified within the service requirements plus any
additional challenges you have identified which would impact PIP Assessment Service
delivery.
Present your response (per Lot) at the top of a new page, within these preset margins in Arial
font size 12 up to 3 sides of A4, per lot including the question text and these instructions.
Each response must be individually labelled for the Lot to which it refers, by completing the
heading below:
"LOT" SPECIFIC RESPONSE FOR LOT 2 – Wales and Central England
Our training will incorporate specialist knowledge and training from WIRED, a north west /
north Wales based charity who state: "Our involvement in the design and delivery of the
training to Capita staff who are delivering the assessment process will ensure a full
understanding of people’s needs and the impact of their disabilities on their daily lives. We will
ensure that staff are aware of and take account of people’s mental health; mental capacity;
learning disability and / or development disorders in addition to their physical impairments."
Identifying Needs and Barriers of Individual Claimants
In order to design the optimal solution for PIP, whilst at the same time ensuring equality of
service for claimants, we used the social model of disability to design a service that
considered the various barriers faced by disabled people. We ran focus groups with claimant
and representative groups to test the claimant experience which is embodied in our proposed
user journey from the perspective of people with a range of barriers and needs. This process
has enabled us to create a solution with a level of customer flexibility above and beyond that
required by the Equality Act 2010. These are summarised below:
Addressing the Identified Challenges through our Solution
  Challenges /       How our solution addresses the challenges / barriers
  Barriers
  Communicative The enquiry centre (based in Birmingham) will provide instantaneous
  barriers - other   translation for calls or Welsh speaking advisors where the claimant where
  languages          the claimant prefers to communicate in Welsh and this will also be
  including          available on web chat. The claimant will have the option to book an
  requirements       interpreter or Welsh speaking assessor for the assessment as part of the
  under the          scheduling process.
  Welsh
  Language
  Scheme
  Communicative Scheduling communications will all be in Claimant requested format
  barriers -         (including Welsh, Braille, Easy Read, large font, audio and BSL options)
  alternative        to ensure understanding and reduce anxiety. The enquiry centre will
  formats            provide the ability to communicate via Skype BSL and text type for deaf
                     claimants. There will also be a web chat channel. The expenses process

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                 has been designed so that partially sighted claimants to not have to fill in
                 any forms to get their expenses processed.
Communicative    The enquiry centre will be staffed with a high proportion of disabled
barriers -       workers who will provide peer interaction with claimants achieving high
empathy          levels of empathy. The enquiry centre will include many home workers
                 recruited in all geographies of the Lot (including the midlands, east of
                 England and Wales) to provide a more local service.
Sensory          We have worked with the Centre of Excellence for Sensory Impairment
barriers         (CoESI) to ensure we provide a consistent high standard of customer care
                 for claimants with sensory impairments, creating process flows specific to
                 impairments (e.g. more voice based service for visually impaired). We
                 are also paying for an additional resource within CoESI during delivery to
                 help us adapt to any unforeseen impacts of sensory impairment.
Physical         Our consultation centre criteria have been designed based on the DWP’s
barriers         requirements - size, facilities and accessibility. We will provide an
                 environment that is best practice for access including nearby public
                 transport, accessible car parking, clear signage, access, egress,
                 circulation and accessible facilities including reception, WC and baby
                 changing facilities. We are working with Disability Rights UK and
                 exclusively with Assist UK (who will also provide a consultation centre in
                 the midlands), to create a location charter that defines what is an
                 appropriate individual customer experience that all premises will adhere
                 to. Individuals will also be able to select a Home Consultation where they
                 feel their physical barriers would make a centre consultation difficult for
                 them.
Cognitive        As part of the scheduling process, claimants' carers / family members will
barriers         be able to liaise with our staff to schedule appointments and make special
                 requests. They will also be able to attend the appointment with the
                 claimant and speak / act on their behalf where necessary. Extra time will
                 be allowed for information to be ascertained as appropriate.
Mental health    Our solution is designed to treat people as individuals rather than make
barriers (MHB)   decisions based on their condition. From our research people with MHB
                 can be impacted in a variety of different ways and so we will provide a
                 service that is flexible and responsive to the individual. This means that
                 those with MHB can choose the right environment (e.g. home or centre)
                 and time for them. A significant amount of information will be provided up
                 front before an appointment is scheduled to help manage expectations as
                 a key concern raised by this group was being surprised. Most claimants
                 with MHB will be assessed by a Mental Health Nurse who will have
                 experience of community based needs assessment. As part of the
                 scheduling process, claimants' carers / family members will be able to
                 liaise with our staff to schedule appointments and make special requests.
                 Our enquiry centre staff and HPs will be trained to deal with people with
                 mental illness.
Needing          Claimants will be able to request additional support for their consultation
additional       via our enquiry centre. For example they can request a chaperone to
support          attend the assessment with them if needed.

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Gender needs      The claimant will have the option to book a male / female HP.
Religious         The claimant will have the option to book a same religion HP or make
practices/beliefs special requests due to religious beliefs as part of the scheduling process.
                  We will also be conscious of religious factors such as same sex HPs and
                  we will respect claimants' wishes in terms of special needs such as to
                  avoid the Sabbath or certain times during Ramadan. We will also recruit
                  HP and other staff from the local community they serve where possible to
                  maximise empathy and understanding of the local social care economy.
Incorporating     Our Escalation Team includes condition specific champions for claimants'
the use of        physical, cognitive, mental health, sensory and communicative needs.
condition         Our HPs and DWP's DMs will be able to contact these champions for
specific          advice and guidance on specific or difficult cases. Additionally our
champions         assessor community assumes a percentage of Mental Health specialists
                  aligned to NOMIS data on the percentage receiving DLA who have a
                  Mental Health condition as their primary condition to ensure claimants are
                  assessed by the most relevant HP first time.
Management of We will issue guidance to our staff regarding handling unacceptable
claimants who     claimant behaviour (UCB) in accordance with the DWP's guidelines. We
are               will notify the DWP of anyone displaying such behaviour (within one
uncooperative / working day for new cases) via the PIP CS and our staff will complete a
display           form detailing any incidents. We will manage any such claimants in
unacceptable      situations of UCB with sensitively and professionalism at all times as we
behaviour         understand some UCB may be as a result of the claimant's condition.
Managing          Any unexpected findings will be treated with the utmost sensitivity. In
assessments of conjunction with the DWP, we will develop a process to ensure that if a
claimants with    HP identifies a medical condition that is unknown to the claimant or their
unexpected        GP, the information will be communicated urgently to the GP, taking into
findings          account the relevant consent issues.
Managing          All claimants living abroad will be treated with the same sensitivity and
assessments of level of service as claimants living within the UK, with the same access to
claimants Living our enquiry centre and web portal services. All such claimants will be
abroad            assessed via a paper assessment.
Managing          We recognise that there will be sensitive cases which will be subject to a
assessments of higher level of security and that the DWP is currently developing this
Sensitive cases process. We are aware that these cases may need to be managed
                  clerically by the DWP and we will need to be able to manage paper
                  referrals in these cases. We will work with the DWP to implement this.
Persons with      We recognise that some claimants will have dependents and others not
dependants        and will conduct assessments in the location that best suits the claimant,
and persons       which may be the claimant's home, place of residential care or their local
without           consultation centre. This will be based on our initial triage and will factor in
                  things such as claimants potential child care issues.
Claimants with    Finally, we recognise that many of the claimants will suffer from multiple
multiple          conditions and therefore multiple barriers. Consequently we will often
conditions        need to combine the individual solutions that we have described above.



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     Generic – Quality question
 [3.5] Please describe your understanding of dealing and engaging with claimant
representative groups (both local and national) who represent claimants affected by sickness
and/or disability – specifically disability organisations and customer representative groups.

Within your response you must describe how you will identify, engage and work with these
groups during implementation and full contract delivery, to deliver a PIP Assessment Service
which is coherent and integrated with their objectives and initiatives and how you will deal with
official enquiries originating from any of these groups. Your response should address
challenges identified within the service requirements plus any additional challenges you have
identified which would impact PIP Assessment Service delivery.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 2 sides of A4 including the question text and these instructions.
Identifying and Engaging with Representative Groups
Early, continuous and effective stakeholder engagement is key to designing and continuously
improving a user centric service that best meets the needs of PIP claimants and we have
already significantly invested in this process. We identified the key representative groups
(both nationally and locally) with which to engage to ensure we understood a large cross-
section of potential PIP claimants affected by sickness and / or disability. We also identified
organisations that were unlikely ever to engage due to their complete opposition to PIP, and
who might provide challenge during the contract period itself. We then proactively engaged in
order to understand their hopes, fears and expectations regarding PIP. We have now had
productive face to face meetings with The Voluntary Organisations Disability Group (VODG),
MacMillan Cancer Support, The Papworth Trust, MENCAP, MIND, SCOPE, Essex Coalition of
Disabled People (ECDP), Wirral Information and Resource for Equality and Diversity (WIRED),
Going for Independence (GFI), Centre of Excellence for Sensory Impairment (COESI), Assist
UK, Disability Rights UK (DRUK), Disability Wales, Capability Scotland and the Citizens
Advice Bureau. In particular we are working closely with DRUK, Assist UK, WIRED, GFI and
COESI to help meet their objectives. Indeed Assist UK’s CEO, Alan Norton, states: "(Working
with Capita) Assist UK will gain new avenues to promote the use of assistive technology in
providing solutions for disabled people to gain or retain independence in daily living.”
Our design has been tested with the most challenging of scenarios and for a range of disabled
people's reasonable adjustment needs to check its robustness and to identify and resolve
potential shortcomings at each touchpoint, ensuring claimants are treated with dignity and
respect at all times. An example of this is our work with WIRED who are working with us on
training design and delivery. They see their involvement as being key in terms of improving the
claimant experience: "Our involvement with Capita in the design and delivery of the training of
staff who are delivering the assessment process will ensure a full understanding of people’s
needs and the impact of their disabilities on their daily lives. We will ensure that health
professionals are aware of and take account of people’s mental health; mental capacity;
learning disability and / or development disorders in addition to their physical impairments."
Another example is that we are working with DRUK to test our consultation centres for
accessibility. As part of this bid they are assessing our Bootle Centre to help create a “Model
Centre” blue print for other centres.
Challenges of and Solutions to Ongoing Engagement and Collaborative Working
Challenge: Creating a positive culture of openness and transparency - our service as a whole
will embody the key values of fair treatment, open communications and transparency. In order


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to engender a culture of mutual trust and respect, we have already been promoting these
values in all our dealings with stakeholders, as evidenced by the quotes above.
Challenge: Ensuring that customer representative groups can contribute to continuous
improvement and ensuring lines of communication are open and managed effectively - in
order to implement a communication strategy in a co-ordinated and cost efficient manner we
will deploy a range of communications methods to maintain and control engagement. This
Stakeholder Communications Hub will be co-designed with the DWP/DSD and representative
groups and will include:
 an Expert Collaboration Forum for key representative groups to be a part of ongoing
     service design
 formal consultation - on key matters before making operational changes
 a dedicated stakeholder management team - in order to properly resource the key work of
     stakeholder liaison we will create a team dedicated to developing stakeholder
     relationships. A Director of Stakeholder Management will also be a member of the senior
     management team in recognition of the importance of this activity
 website - a fully accessible web portal will be built for claimants and their representatives
     with a full range of guidance and advice for stakeholders with opportunities for feedback
 phone lines and information requests - the Enquiry Centre will provide an accessible,
     efficient, friendly service in answering queries from individuals and stakeholders (and
     members of the public), through telephone, web chat and Skype BSL, and
 focus groups - we will continue to employ interactive focus groups designed to act as a
     barometer of satisfaction amongst stakeholders and service users. These groups will also
     be used to generate and test ideas for continuous service improvement.
Challenge: Ensuring that claimants and the general public have their voice heard - we have
committed to employing a resource within DRUK dedicated to capturing the views and
experiences of claimants and those impacted by PIP. DRUK has over 1,000 member
organisations which should allow for broad capture of ongoing claimant experiences.
Challenge: Dealing with challenging and high profile stakeholders including the media and
parliamentary groups – Capita delivers many high profile Government services (e.g. the
Criminal Records Bureau, Pensions Credit, Child Maintenance Options and BBC TV
Licensing). In addition we provide many key Local Authority services and work closely with
the devolved powers. Similarly to PIP, many of these attract a high number of passionately
committed campaign groups generating media interest, enquiries and official correspondence.
We are therefore able to employ best practice to meet this challenge.
Challenge: Continuous measurement of the quality of stakeholder relationships - measuring
the quality of relationships against defined targets will be vital in order to ensure continuous
improvement. The following measures will contribute to this; results and feedback from formal
and informal consultation and analysis of complaints and compliments; anecdotal and informal
feedback from the ‘field’ and stakeholder organisations as well as via Enquiry Centres, web
sites and email, all corralled into a dashboard of relevant MI; and ongoing stakeholder
development via local and national stakeholder forums / events.
Challenge: Co-ordinated stakeholder activity - finally, we recognise that we will need to co-
ordinate all of our stakeholder activity with that of the DWP or other Government bodies. We
will also work with providers in other regions in order to present a single voice as appropriate.




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     Generic – Quality question
 [3.6] Please describe your understanding of dealing with and engaging with challenging high
profile stakeholders including the media; parliamentarians; external organisations such as
welfare rights and medical organisations (GMC) and MP questions.

Within your response you must describe how you will deal with these stakeholders during
implementation and full contract delivery, to deliver a PIP Assessment Service which is
coherent and integrated with the Authority objectives and how you will deal with official
enquiries originating from any of these groups. Your response should address challenges
identified within the service requirements plus any additional challenges you have identified
which would impact PIP Assessment Service delivery.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 1 sides of A4 including the question text and these instructions.
Capita has a great deal of experience of working on behalf of HMG including high profile
contracts such as the Criminal Records Bureau, Gas Safe Register, Pensions Credit and Child
Maintenance Options. We also work closely with the devolved powers in Scotland, Wales and
Northern Ireland. Similarly to PIP, many of these attract a high number of passionately
committed campaign groups generating media interest, enquiries and official correspondence.
We are well aware that there are several challenging high profile stakeholders already heavily
focused on PIP including We Are Spartacus, Scope (through its alternative PIP assessment),
the PIP Select Committee, the All-party Parliamentary Disability Group (APPDG), and that all
of these will be closely watching the launch and delivery of PIP to ensure their concerns do not
materialise. We have also been keeping fully up to date with the intense media focus on the
reform which is seen by some as an attack on disabled people and also the political debates
which will likely lead to a high level of MP involvement.
For PIP we believe the best way to diffuse these challenges is to be open and transparent with
these stakeholder groups and encourage their feedback and contributions to improving the
service. We have a Stakeholder Manager whose role is to work closely with these groups and
individuals to address concerns as early as possible and also manage them in a structured
way (e.g. having regular forums where they can be heard). For some particularly high profile
groups such as Scope, we have offered them a place on our Expert Collaborative Forum so
that they are able to input into service design, implementation and ongoing service delivery to
help build a service that they can then stand behind.
We will work with DWP (and DSD) on a communications strategy to keep these stakeholders
informed at all times including agreeing what information should be regularly published on the
portal for true transparency.
For official correspondence, we will pass contacts to the DWP, logging and reporting on status
of contacts and supporting the DWP with information to respond to requests within agreed
times. Historic and current public body contracts make us acutely aware of our FOI
responsibilities.
Our PIP operation will have access to an experienced team at Group level who provide media
liaison expertise, risk managers and escalation processes. All staff involved in service
delivery will receive media training to ensure they do not inadvertently provide information to
the press without DWP consent. We also regularly address parliamentary committees, and
meet with MPs, MSP and ministers.




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    4. Resources
    LOT SPECIFIC – Quality question
[4.1] Please detail the staff resource you will need to deliver and manage your PIP
Assessment Service across ALL aspects of that service delivery e.g.: Managerial roles; admin
roles, data security including security accreditation through to HPs and providing
advice/clarification to decision makers (DMs).

Within your response you must detail this staff resource by job role and the numbers of staff
that you will have in each of those roles, their skills and experience, and your rationale to
support your proposals.

Your response should indicate how many of these are existing staff OR if how many will need
to be recruited and the processes and timescales for undertaking this recruitment. Where staff
are not intended to be a dedicated resource for PIP, you must indicate the percentage of time
they will spend working on PIP and what their other duties would be.

You must: provide Organisational Charts as detailed in Document 4, Part 6 of this ITT and
complete Annex 1a, Annex 1b and Annex 2 as detailed in Document 4, Part 6 of this ITT.
Ensure that your narrative response supports both the Organisational charts and Annex
information and clearly explains why this delivery structure has been chosen and why it is
appropriate and realistic for the approach you have chosen for PIP Assessment Service
delivery within your tender.
Present your response (per Lot) at the top of a new page, within these preset margins in Arial
font size 12 up to 6 sides of A4, per lot including the question text and these instructions.
Each response must be individually labelled for the Lot to which it refers, by completing the
heading below:
"LOT" SPECIFIC RESPONSE FOR LOT2 - Wales. Central England
Our management resource structure for PIP and its rationale is set out below and in the
attached organisation charts.
Senior Management Team and Overarching Account Governance - Led by an
experienced Account Director, Paul Stanfield, who has been both engaged on the solution and
an integral part of its construction and sign-off. Paul will be supported by senior members of
the Capita Board and senior resources from within Capita Health and Wellbeing (the division
responsible for delivery of PIP), as illustrated in the overarching organisation chart that
accompanies this response. His direct reports (also shown on the chart) will be responsible for
heading up the following different service delivery streams. We are also engaging with a well
established figure in the disabled community to potentially take the role of the Senior Medical
Director and will have other roles within the leadership team filled by disabled people.
Implementation / Programme Management - Led by a Head of Implementation and
Programme Management, Steve Patison. The Implementation Director will be responsible for
a series of workstreams to ensure a smooth, low risk implementation of our solution. Once
implementation is successfully completed, Steve will oversee new projects that will be agreed
and delivered as part of 'business as usual' operations. In terms of timescales, the
implementation team will be fully formed within 30 days of contract signature. Most resources
have already been identified from within the business and have confirmed availability. This
team will work alongside the Senior Management Team throughout implementation and a
significant number will become part of this team (e.g. business process owners) for ongoing
delivery providing a smooth transition from implementation through to live running.

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Business Assurance and Quality Management - The Business Assurance and Quality
Management function will be responsible for auditing all activity including monitoring and
achievement of service levels, adherence to processes and procedures, accuracy of
information, compliance with policies and overall quality management. A function that is
separate from the operational line ensures that an independent view is taken.
Enquiry Centre Management – This management team will be responsible for the day to day
running of our enquiry centre service, the first voice contact most PIP claimants will have with
our service. Working with Remploy we plan to staff the enquiry centre with disabled people as
far as possible (approximately 40%) and with 20% home workers to aid flexible working and
business continuity. The enquiry centre team will need to combine the usual contact centre
capabilities (of efficiency and quality) with a strong focus on empathy and helpfulness that will
result in a good claimant experience and help produce low FTA rates. Feedback from
representative groups is that peer to peer support from other disabled people is key. Our
enquiry centre will be based in Birmingham.
Triage and Scrutiny Management – This management team will be made up of senior
nurses (Band 7) who will provide clinical oversight of the triage team as well as a managerial
function. The triage and scrutiny team is responsible for the initial triage and paper-based
assessments of non-TI cases, staffed by HPs: General Community Nurses (GCN) (70%) and
Mental Health Nurses (MHN) (30%). These will all be permanently employed and based in
Cardiff and Birmingham, delivering a local service and ensuring we can tap in to a larger pool
of HPs therefore de-risking the service. These staff can progress to face to face assessments
or the Escalation Team over time.
Escalation Team – This team will also be based in Birmingham and on hand to provide
advice/clarification to the DWP who will have direct access via phone or e-mail as well as
being able to task actions through PIP CS. The team will support all other HPs involved in
service delivery (both triage and face to face assessors), providing guidance and support on
more complex cases. They will also undertake all TI assessments and conduct all clinical
audits to ensure service quality. Staffed with GPs (20%), GCN (70%) and MHN (10%), this
team will all be permanent and input into training design and FAQs based on any trends they
begin to identify in queries/escalations. These are the highest paid HPs in our organisation
and will have a highly varied role in order to attract and retain the best people. There will be
Condition Specific Champions within this team who will act as peer-to-peer leaders for each
of the professional groups and will be available to provide advice and support to HPs on health
conditions and disabilities affecting mental, cognitive, intellectual, behavioural and physical
functions.
For both Advice/Clarification and Appeals/Disputes handled by the Escalation Team a similar
process will be followed utilising the workflow and analytics capability within HeART, our
Health Assessment & Reporting Tool:




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   Advice, Clarification, Appeals and Disputes Process                                                                              We will endeavour to manage
    Action on PIP
                                                                                                                                    the process within 1 working
                          Activity re-                                                                               Timings / Hand
         CS that
       additional
                         keyed onto
                        HeART (our
                                                 Process           Team           Skills             Systems
                                                                                                                     Offs           day wherever possible.
    information is
        required
                       core system)              Advice /
                                                 Clarification
                                                                   Escalation
                                                                   Team
                                                                                  Senior HPs and
                                                                                  Condition Specific
                                                                                                     PIP CS and
                                                                                                     HeART
                                                                                                                     98% cleared
                                                                                                                     within two     Where this is not possible due
                                                                                  Champions                          working days
                    Workflow
                      pushes                                                      Senior HPs and
                                                                                                                                    to the complexity of the
                                                 Appeals /         Escalation                        PIP CS and
                        query
                   through to
                                                 Disputes          Team
                                                                                  Condition Specific
                                                                                  Champions
                                                                                                     HeART
                                                                                                                     To be agreed*
                                                                                                                                    information required, we will
   Phone call from
                   Escalation
                        Team
                                                    * We understand the DWP is currently working with Her Majesty’s Courts and
                                                      Tribunals Service (HMCTS) to agree the PIP appeals processes. We will
                                                                                                                                    provide the DWP with an
         DWP to
   Escalation team
                                                      contribute to the development of these processes if requested to do so.
                                                                                                                                    update on likely timescales.
      requesting
       additional                                                                                                                   All requests from DWP
     information                                                                                           MI produced on monthly
                         Information
                          able to be
                                                  Yes                      HeART updated
                                                                            to log response
                                                                                                             basis showing what     (advice, clarifications, appeals
                                                                                                               information was

     E-mail from
                        immediately
                          provided?
                                                                                and close
                                                                                 activity
                                                                                                             requested and any
                                                                                                                    trends
                                                                                                                                    and disputes) will be treated
         DWP to
   Escalation team
                                                                                                                                    at Priority 1 requests requiring
      requesting
       additional                                                                                                                   urgent resolution. Daily
     information
                          No                                                                                                        management dashboards will
                                       Identify where to obtain
                                        information & provide
                                                                                Obtain &
                                                                              consolidate
                                                                                                                                    monitor the resolution of these
                                          update to DWP on
                                          likely timescales to
                                                                                required
                                                                           information and
                                                                                                                                    requests to ensure all are met
                                               resolution                  provide to DWP
                                                                                                                                    promptly.
Face to Face Assessor Team – The vast bulk of consultation centre based assessments will
be conducted by permanent HPs; GCNs (80%) and MHNs (20%) however we will have the
flexibility to use other resources (e.g. GP, Condition Specific Champion) where a specific need
is identified. For home consultations there will be a mix of permanent (20%) and contractor
(80%) staff to maximise flexibility and efficiency in terms of fluctuations in demand. This team
will consist of GPs (10%), GMCs (65%) and MHN (25%). There will also be more senior HPs
who will act as managers for this team and responsible for daily monitoring of quality and
adherence to SLAs.
Recruitment and Resourcing Lead – The Head of Recruitment will be responsible for all
recruitment strategies and campaigns. We will set up a dedicated recruitment team for the
campaigns we will run for HPs and other staff. The campaigns will include initial attraction,
vetting and the initial competency training through to offers. This team will be drawn from our
existing volume recruitment and specialist recruitment businesses and will be co-located with
the operational teams to ensure rapid reaction to changing volumes. We have also engaged
with Remploy, Reed in Partnership and DRUK for specific recruitment areas where they have
expertise.
Head of Training – Our Training Lead will be responsible for working with DWP to create a
role based curriculum for all our employees that will enable a quality service to be delivered
creating a positive claimant experience, showing empathy and respect at all times. The
training team with develop this using our Expert Collaboration Forum to build on the
experience of claimant representative groups (CRG) such as DRUK and WIRED in Lot 2.
Our training team, whilst primarily drawn from our established Learning and Development
business, will be a mixture of Capita and CRG staff in order to best design the training
programme and SMEs will be engaged for local delivery.
Technology and security - We will deploy a variety of teams to manage the IT applications
that support our service (e.g. HeART for managing referrals, triage, scheduling and FME) and
its underlying infrastructure. These will capitalise on specific experience across the Capita
Group, but will be co-ordinated under an IT Director and Programme Team dedicated to this
service.
Business Support services - including complaints handling, quality audits, estates
management, Claimant Champions, FME and expenses processing. Expenses processing,

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printing and scanning will be based in our Darlington shared service centre with all other
teams located in our HQ in Sheffield.
Support services - these include HR and Finance and other central support drawn from
Group functions. These are costed in our overheads and therefore not displayed as separate
teams.
The following table, and associated requested charts, set out the numbers of staff, and other
information requested, in each team across the term of the contract. We have provided the
average in each year in terms of headcount. The changes in numbers reflect the DWP's
anticipated volumes, as given as part of the PIP specification.
                                                               Years
                                                                                                          Existing                         Dedicated
             Team                      1             2             3            4             5           Staff %     Recruited%   Perm%      %
Governance                              12.8       28.1       28.8       28.8       28.8                   80%           20%       100%     100%
Implementation                          11.6          2.9            ‐              ‐              ‐       80%           20%       100%     100%
Business Assurance Team                 1.03       1.86       3.26       3.76       3.30                   100%          0%        100%     100%
Enquiry Centre                          1.70     22.62     31.75     28.65     22.50                        0%          100%       100%     100%
Triage                                  0.58     27.27     43.87     38.86     27.59                        0%          100%       100%     100%
Escalation Team                         0.21       8.62     12.13       9.81       6.61                     0%          100%       100%     100%
Home Consultation Assessors      2.89   107.31   169.44   150.10                          108.67            0%          100%        20%     100%
Consultation Centre Assessors      2.10     77.69   123.54   109.24                          78.59          0%          100%       100%     100%
Centre Hosts                       6.01     25.41     28.13     27.00                        24.74          0%          100%       100%     100%
Recruitment                        3.21       3.65       2.83       2.00                       2.00        100%          0%        100%     100%
Training                                9.69       7.48       5.62       5.24       2.83                   50%           50%        50%     100%
IT                                    27.30     22.10     23.15     19.31       8.20                       100%          0%        100%      70%
Security                                3.00       2.25       2.25       2.25       2.25                   100%          0%        100%      70%
Business Support Services               2.98     25.34     36.93     33.62     25.79                       20%           80%       100%      80%
Organisation charts relating to this response can be found in the following documents:
 Capita_Doc 4 Part 6 Organisation Chart_Overarching
 Capita_Doc 4 Part 6 Organisation Chart_Lot 2.
The following tables also accompany this response, detailing contractor and sub-contractor
staff and sub-contractors:
 Capita_Doc 4 Part 6 Annex 1a_Lot 2
 Capita_Doc 4 Part 6 Annex 1b_Lot 2
 Capita_Doc 4 Part 6 Annex 2_Lot 2.
Skills and Experience of Delivery Teams
The tables below summarises the key roles / teams and the relevant skills and experience of
the teams we will deploy:
 Roles                     Skills                       Experience
 Senior Account            Operational delivery,        Successful operation of large scale
 Management Team           account management,          complex distributed services.
                           financial and commercial     (Account Director, Paul Stanfield, has
                           management                   over 10 years experience in such
                                                        roles within Capita)




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Implementation /        Implementation                Successful implementation of large
Programme               management, programme         scale greenfield distributed services.
Management              and project management.       Specific implementation experience
                        PRINCE2 and MSP               according to workstream roles (IT,
                        qualified                     HR, Property etc.)
Business Assurance /    Quality management,           Deep service quality and non-clinical
Quality Management      document control,             audit, business and risk management
                        process control, analytical   experience.
                        and organisational skills
Enquiry Centre          Customer service skills,      Previous work within a customer
                        demonstrating empathy         services or caring environment
                        and respect. Able to work
                        well as part of a team.
                        Excellent communications
                        skills
Triage and Scrutiny     Health professionals -        Multi-disciplinary clinical team skilled
Management              nurse, GP, mental health,     in clinical assessment. Minimum of 3
                        OT etc                        years post graduation experience
Escalation Team         Health professionals -        Senior multi-disciplinary clinical team
                        nurse, GP, mental health,     with subject matter expertise, conflict
                        OT etc                        resolution, quality assurance and
                                                      audit experience. Minimum of 3 years
                                                      post graduation experience
Condition Specific      Health professionals -        Specialist team skilled in a particular
Champions               nurse, GP, mental health,     condition. Minimum of 5 years post
                        OT etc                        graduation experience
Face to Face Assessor   Health professionals -        Minimum of 3 years post graduation
Team                    nurse, GP, mental health,     experience
                        OT etc. Skilled in
                        disability assessment and
                        with excellent
                        interpersonal skills and
                        empathy
Recruitment and         Excellent knowledge of        Experienced in best practice,
Resourcing              the market.                   recruitment and selection. Previous
                        Understanding job             experience of large scale recruitment
                        specifications and            and/or of HP recruitment
                        requirements for a given
                        role/roles and relevant
                        methods of attraction
Training                Excellent interpersonal       Experience of learning design, health
                        and teaching skills           professional development
                                                      programmes and creation of
                                                      apprenticeships. Experience of
                                                      training professional staff. Ideally
                                                      experience of disabilities




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 Technology and            Technical and application     Will be experienced technical and
 Security                  development /                 security architects, likely to have 5-10
                           management skills as          years experience, and also likely to
                           required. Will have the       have relevant industry certifications
                           skills to develop the         such as MCTS, Cisco CCDA/CCIE,
                           detailed technical design     VMware VTSP4. For security will have
                           for the hosted                experience of CESG/information
                           infrastructure in             security accredition process
                           conjunction with relevant
                           Subject Matter Experts.
                           This will include server
                           design and configuration,
                           storage and backup
                           design and configuration,
                           and the design and
                           configuration of the data
                           centre networks to include
                           LAN, firewalls, IDS, and
                           other security and
                           proximity services. Also
                           application development
                           skills.
Timescales
For all teams, the key roles and experience required have been identified. For the Account
Management Team, Paul Stanfield, the Account Director is already in place and has been
working as part of the bid team on operational design and sign-off. The implementation team
will be in place for contract award. The other roles will be in place at least a month before they
are required for the specific service that they are fulfilling.




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       LOT Specific – Quality question
[4.2] Please describe in detail how you will recruit, train and retain your qualified
multidisciplinary HP and other staff (including your processes and timescales involved) to
ensure the delivery of a large scale PIP Assessment Service. Your response should include
how you will undertake HP planning and manage capacity and HP performance, throughout
the life of the contract and your manpower planning processes set against the context of
delivering anticipated volumes of work. Please also include how you will ensure that HPs are
appropriately skilled to conduct assessments.

Please give an indicative number, including sessional staff, by HP type that you anticipate will
be needed to deliver PIP and the rationale that supports your proposals. Your response should
address challenges identified within the service requirements plus any additional challenges
you have identified which would impact PIP Assessment Service delivery.
Present your response (per Lot) at the top of a new page, within these preset margins in Arial
font size 12 up to 6 sides of A4, per lot including the question text and these instructions.
Each response must be individually labelled for the Lot to which it refers, by completing the
heading below:
“LOT” SPECIFIC RESPONSE FOR LOT 2 - Central England and Wales
We approached our employee journey using the same user centred design as for the claimant
journey to ensure a low risk strategy designed to appeal to our target audience. We spent a
significant amount of time with professional bodies (inc. College of Occupational Therapists
(COT) and Royal College of Nursing (RCN)) and individual focus groups. Our findings align
with the DWP Deloitte report (key drivers: flexibility and pay). We have designed our
employee model accordingly, testing it on different candidate personas.
1. Recruitment Strategy
We created different role types for different service components (and incentivisation) to appeal
to different types of candidate:
Triage / Paper Assessment Team - Characteristics of role: High volume, repetitive work; little
interaction with claimants; significant direct impact (if wrong decision made); can progress to
Team Lead/Assessor role; stable 9-5 hours; may be difficult to recruit volume in one location.
Performance pay of c.10% for consistently achieving quality.
Escalation Team - Characteristics of role: Significant experience required; hugely varied role;
interaction with both claimants and DWP; offers stable, 9-5 hours. Performance pay
component of 20% for overall service delivery balanced scorecard (e.g. meeting SLs, views of
stakeholder groups, DWP perception).
Consultation Assessors - Characteristics of role: Interesting role with some and areas of
challenge, but familiar to most HPs; significant direct impact on claimant experience; able to
progress to Escalation Team; flexible hours to work around other commitments. Performance
pay – paid according to their report quality scoring.
Screening criteria: qualified, empathy, clinical knowledge, listening skills, tolerance, objective,
communication skills, ability to dedicate minimum hours, driving licence (for home assessors).




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       Triage Team Peak Structure ‐ Lot2                                  Escalation Peak Team ‐ Lot 2                                       Consultation Peak Teams ‐ Lot 2
                                                                                                                                   GP Contractor ‐ £100 per assessment
   Permanent Nurse / OT ‐ £24k per annum basic salary             Permanent GP ‐ £100k per annum basic salary                      Permanent Nurse / OT ‐ £31k pa basic salary
                                                                  Permanent nurse / OT ‐ £38k                                      Contractor Nurse / OT ‐ £40 per assessment
   Permanent Mental Health Nurse ‐ £32k per annum  basic salary                                                                    Permanent Mental Health Champion ‐ £32k pa basic salary
       27.5                              27.5                     Permanent Mental Health Nurse ‐ £32k per annum  basic salary
                                                                                              14                                   Contractor Mental Health Nurses ‐ £40 per assessment
                                                                                                                                             171.7

                                                                                                                                                                        132.3



                 11.15                            11.15
                                                                                                                                                            47.3
                                                                              3.7                                                29.9 36.8                                          31.1
                                                                                                                                                     19.2
                                                                                                            1.9
                                                                                                                                                                    0           0           0

                                                                                                                                    Home Consultation                  Consultation Centre
           Cardiff                         Birmingham                                    Birmingham                                                                (GP Contractors also used as 
                                                                                                                                                                           required)


Non-HP roles will be permanent and office based with the exception of the Enquiry Centre
which will have 20% home workers, partially to make the roles accessible to home-bound
people. Overall the target is for 40% of our non-HP roles will be filled by disabled people and
the majority of the remainder filled by long term unemployed to help DWP meet its wider
objectives of Getting Britain Working and Achieving Disability Equality. This has significantly
influenced our recruitment strategy; we have an exclusive arrangement with Remploy who will
have the first opportunity to fill vacancies using their extensive network of disabled people.
We have also exclusively partnered with Welfare to Work providers (both through Remploy
and directly with Reed in Partnership) who will recruit roles unfilled by disabled candidates.
2. Manpower planning processes
We have used industry standard manpower planning processes to anticipate the required
headcount we will recruit. We have built a low risk solution assuming that we will recruit all
staff using a dedicated recruitment capability. Primarily this will be from our existing channels:
our network of contractor nurses (over 1,400 in this Lot) and other HP CV databases (a further
1,000 CVs). However extra resilience is provided by local third sector partners such as the
local members of Assist UK and Disabled Living in Central England and Wales, amongst
them: Milton Keynes Centre for Integrated Living, Dudley Assisted Living Centre, The Neville
Garratt Centre for Independent Living in Wolverhampton and the Independent Living Centre in
Bargoed, Caerphilly.
3. Recruitment Process
End to End Recruitment Process - The diagrams below show our end to end recruitment
process and attraction strategy for HPs. Our attraction strategy, recruitment screening and
training will all be geared around building a workforce with strong interpersonal skills as well as
the right qualifications. We want to attract people who treat individuals with dignity, respect,
care and consistency and are able to tailor the service they provide to match individual needs.
Recruitment and training will be designed to ensure that individuals are able to work in
stressful situations, to tight deadlines and independently. For non-HPs, the initial CV sift and
screen will be against role specific criteria and will be conducted by Remploy and Welfare to
Work providers (under our direction). The end to end process steps are the same as for HPs,
however timings and emphasis at each stage will change (e.g. Enquiry Centre staff will
undergo call centre simulations as part of their screening criteria to check their communication
skills are to the required standard). We will comply with the Capita Vetting Policy covering
recruitment of all permanent, contract or temporary workers and meet Government BPSS.
Right to work, confirmation of qualifications, medical licenses, registration with professional
bodies and CRB will be conducted by our internal recruitment compliance business (Security
Watchdog) and will use the e-bulk on-line CRB check system.



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  Attraction model front-loaded driving awareness,        RESEARCH REGIONAL MARKET AND TAILOR RECRUITMENT APPROACH
   talent pools & momentum.                                                      ACCORDINGLY
  Flags areas requiring partnership networks –
   regionally locally/by skill type                         RUN FIRST STAGE AWARENESS BUILDING CAMPAIGN TO GENERATE
                                                                 INTEREST AND BUILD TALENT POOLS / RESOURCE BANK
  Microsite provides ‘self service solution’ with
   candidate care mechanism allowing personal              REFINE RECRUITMENT APPROACH BASED ON FEEDBACK AND RESULTS
   contact where needed.                                        REFINE RETENTION APPROACH AND CHURN MANAGEMENT
  Initial Candidate Application
  Information provision allows candidates to select
   suitable roles                                               DIRECT ATTRACTION                 PARTNER ATTRACTION
  Killer questions & Situational Judgement Tests
   eliminate those without the right qualifications/                                                                                MI FEEDBACK
   skills/personality and work status                            DRIVE ALL RECRUITMENT TRAFFIC TO THE MICROSITE
  Booking system gives access to training and
   registration
                                                                      MICROSITE APPLICATION AND SIFT/SELECTION                      1 week
  On –line training in advance of Training & Evaluation
   Day
  Booking System gives access to training and                    ON-LINE TRAINING
                                                                                               COMPLIANCE/ PRE-
                                                                                                                                  2 weeks
   registration                                                                              EMPLOYMENT SCREENING
  Combined Training and evaluation in live scenario
                                                                                                                            2 weeks
   situations                                                                                                               (advance booking)
  Pre-Employment screening commences - checks via                     FACE-TO-FACE TRAINING AND EVALUATION
                                                                                                                          1 week
   internal recruitment “Security Watchdog” – e bulk &                                                                    (1 day)

   on-line CRB checking system for:                                                                                     4 weeks (notice period
    Right to Work                                                                   ONBOARDING
                                                                                                                        from previous job)
                                                                                                                       1 week
    Qualifications                                                                                                    (2 days)

    Medical Licenses                                                                                               Training, Mentoring
    Registration with Professional                               CONTINUED PROFESSIONAL DEVELOPMENT AND RE-
    Bodies and CRB                                                             ACCREDITATION




Assessing Competence: Example Assessment Day For Consultation HPs - All HPs will
undergo a 1 day face to face assessment to evaluate their competencies including clinical
skills, soft skills, logical reasoning, engagement, interviewing techniques and general
competency. The day will be structured to involve an element of training on what is required in
the assessment and then role play / scenario based evaluation. The full content of this day will
be developed in conjunction with our Expert Collaboration Forum (ECF) (which includes the
Royal College of Nursing, College of Occupational Therapists, Scope, Wired, Assist UK,

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Disability Rights UK, Citizen’s Advice Bureau and Centre of Excellence in Sensory
Impairment). It will be conducted in the consultation centre and will use disabled volunteers to
make the scenario testing realistic for evaluating interview techniques. It will involve aural and
written elements to ensure HPs meet the full criteria. The day will also be used to verify their
ID/Right to Work (e.g. through passport).
Contingency - We have a range of second tier suppliers that we can call upon including Care
UK, Reed, Pulse and Equal Approach Clinical Healthcare (an SME supplier of recruitment to
us in the Lot 2 region since 2007). Remploy will assist with our drive to employ disabled
people, for our Birmingham Service Centre and Triage centre in Cardiff form their branches in
Birmingham, Bridgend, Bristol, Cardiff, Coventry, Derby, Leicester, Nottingham, Swansea,
Wolverhampton, Worcester and Wrexham, and DRUK will helping us recruit disabled people
into senior positions. Together this gives us the geographical breadth and depth needed to
confidently service PIP. Within the Lot 2 geography we have access to over 9,000 HPs.
4. Induction Process
Once candidates have successfully completed the recruitment process, including all vetting
requirements, they will undertake a role specific induction. This will use a modern blend of
learning methods including classroom based training and a significant amount of online
learning to suit employees who may have other commitments to balance. All roles will take the
following courses: Introduction to Capita, The Claimant Journey, PIP Roles & Responsibilities,
Disability Awareness, Health & Safety, Data Protection, Working with Diversity, Treating
People with Dignity and Respect, Social Model of Disability, Improving the Claimants
Experience and Avoiding Complaints, Dealing with Aggressive and Potentially Violent
Behaviour, Mental Health Awareness, Justification, Using Plain English and Jargon Busting. It
will also include a refresher Introduction to PIP course (they would have taken this online
module already during the recruitment process). A snapshot of some of the role specific
training is highlighted below:
Assessor                  Triage                   Escalation         Enquiry Centre
Nuances of Home           Detailed walkthrough     Terminal Illness   Apprenticeship
Consultation              of triage process        All Assessor       programme
Assessment                Standard “rules” to      and Triage         Customer service
Technology                apply – e.g. TI, UCB     training           DWP process and how it
Advanced Interviewing     Allowed judgement &      Contract           works – the part you play
Skills                    when to escalate         overview           FAQs & Signposting
Advanced Listening        Paper Based Scrutiny     DWP                Dealing with escalation
Techniques                – detailed run through   Communication      Scenarios
Capita driver training                             Standards          mental/physical health
Clinical Evaluation                                                   Language
Modules x 9
5. Further Training
"Our involvement in the design and delivery of the training to Capita staff who are delivering
the assessment process will ensure a full understanding of people’s needs and the impact of
their disabilities on their daily lives.” Linda Roberts, CEO of WIRED, May 2012
In total we are providing up to 10 days learning and development for assessors. This includes
a training evaluation day (1 day), soft skills and clinical skills days (2 days), on job mentoring
(2 days), online learning - mandatory and refresher (3 days) and CPD/portal/forums/online

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coaching (2 days).
Identification of Relevant Training
There are multiple feedback channels that will be used to identify relevant role training and
feed into CPD programmes: complaints process & general feedback, customer satisfaction
results, stakeholder network (we are paying for DRUK to employ someone whose role it is to
identify and analyse feedback from their networks of disabled people to help us improve), our
Customer Champion, whose role it is to monitor general feedback (e.g. Twitter, media,
discussions with individuals), feedback from DWP via grades/audits and our own audits. The
ECF will meet regularly to review training needs based on this feedback and develop it into the
relevant modules.
Multiple channels will also be used to identify individual training needs: specific feedback from
claimant/DWP (passed from complaints team), local team management/mentoring reviews,
internal audits (most employees will be reviewed by peers roughly every 2 weeks on average)
and MI from the system (e.g. if assessments are taking significantly less time than peer group,
recommendations consistently different from norm for that group, or closes less queries at first
point of contact). Material will be available online in a modular format to enable individuals to
self identify and manage training needs proactively and some will be required for CPD.
All HPs will be peer reviewed every quarter using a matrix system to assess the ongoing
performance of delivery staff by assessing against a range of quality measures including
assessment knowledge, technology, processes, report quality, security as well as interaction
with employers and service users. HPs will undergo annual appraisal which will include an
evaluation of the prior year’s performance, and set targets for ongoing achievement and
progression. For a period, every assessment report will be reviewed by the team lead to
ensure quality and consistency so there is a constant monitoring process. Individuals with poor
performance will be closely monitored to ensure they improve (e.g. mentor accompanying
them on consultations, team leader listening in on calls) and tailored improvement plans put in
place.
Ongoing Staff Development
CPD will be systematic and bespoke for each member of staff working on the contract, and
assessors will undergo a six monthly training needs assessment (TNA) carried out by our
Learning and Development team. There will also be a standard CPD programme which every
assessor will be required to complete every six months which will include disability specific
knowledge (such as impairment specific training, led by disabled people and/or people with
long term health conditions, and case studies delivered by assessors), and changes to
legislation, system or procedural changes.
Further learning may then take the form of ongoing accredited assessment, targeted courses,
peer mentoring or informal research. We already have several relevant CPD programmes we
would look to adapt, including that which we currently have for assessors working on behalf of
the DWP to evaluate workplace disability requirements. We will support employees in
achieving the Diploma in Disability Assessment Medicine (DDAM) which will provide quality
CPD for HPs. We will align requirements with the clinical bodies such as the GMC, COT &
RCN through their regional focus groups throughout the UK, to ensure that best practice and
ongoing quality is maintained and annual revalidation is achieved. As well as CPD in medical
standards, we will accredit the induction programme to ensure the highest standards in
customer care and assessment processes. We will also capitalise on our existing links with a
range of universities for professional accreditation. For non-HPs there will be apprenticeships
available to support ongoing development. Non-HP roles will also be co-located in Sheffield,

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providing the opportunity for individuals to be cross trained and develop additional skills.
6. Retention & Staff Satisfaction
Regular staff briefings will be undertaken to keep all staff up to date on service developments
including a monthly newsletter and forums where staff will have the opportunity to meet senior
members of the management team and raise issues or suggestions for improvements.
Retention will be monitored through our monthly management dashboard metrics. We
anticipate staff satisfaction to be reasonably high as a result of the work that we have carried
out to closely match roles to suit different needs as outlined above. We believe our solution
will result in low attrition rates due to the potential for career progression; a HP could develop
from Triage, to Team Leader, to Assessor and then to Escalation Team over the course of
their career. All non-HP roles are co-located to enable career progression between functional
areas. The career path could also take an individual from an Enquiry Centre agent, to team
leader, to area manager to site manager over the course of their career. We will have specific
retention strategies in place to reduce the requirement for expensive re-recruitment including:
bonus related pay for high quality performers; a staff referral scheme for recruitment;
experience, training and CPD accreditation; and development opportunities and additional
work through wider Capita opportunities.
7. Revalidation
We have been in consultation with the GMC to develop a credible revalidation pathway for non
NHS work for doctors. Sir Graeme Catto, chairman of our Governance committee has been
assisting with these negotiations. For other healthcare professionals, we are in discussions
with the relevant accreditation bodies to award CPD points required for continued registration
as part of ongoing training and work done as part of the PIP contract and any subsequent call
off contracts. Increasingly, non-NHS work is becoming a regular source of income for HPs
and Capita is looking to bring such work as a credible career path along side NHS work for
HPs looking for a portfolio career. HPs, such as those who have been out of mainstream NHS
work for a period, including parental leave, illness, etc and who have the appropriate
qualifications and personal skills to undertake DWP work, will be encouraged to develop their
skills portfolio in order to work towards revalidation and retain their qualification. This is a
relatively untapped resource pool.
8. Excluded HPs
Our code of conduct will preclude all HPs from taking any action that would breach rules on
excluded HPs. Line management, business assurance and audit using specific MI will
develop checks to detect unusual patterns or relationships between claimants and HPs. For
example, we check GMC details of all clinicians and have developed a software program
which monitors all contracted physicians on the GMC website and immediately informs us if
there is a change in status of an individual clinician which we can then investigate. This
eliminates the possibility of a physician having GMC sanctions without Capita knowing. Best
practice fraud procedures and latest detection methodologies will be in place supported by our
Group Risk and Business Assurance teams who have experience of many similar schemes for
applying for grants, allowances and benefits.




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5. Implementation / Delivery

     LOT Specific – Quality question
 [5.1] Please provide your draft Implementation / Delivery Plan; your risk management of
service delivery processes and a risk/assumption log (with mitigation actions required &
likelihood & impact of the risk materialising) for each Lot you are bidding for. These should
cover the period from contract award to contract end - highlighting all key stages throughout
that period.
Your Implementation / Delivery plan and Risk / Assumptions log must include:
 an “overarching” plan / log AND plans/logs which specifically cover IT, Estate and Security
areas separately (and HP for Risk log only). These must be clearly identified and easy to
extract in order that DWP Expert Domains can remove these for their evaluation purposes.
You must provide a narrative response which supports the Implementation / Delivery Plan you
are proposing, identifying key associated risks and assumptions (supported by your risk logs)
and including your critical dependencies. It should also detail your risk management of service
delivery processes.
Your narrative response should detail alongside the challenges identified within the service
requirements any challenges / efficiencies you have identified which would impact PIP
Assessment Service delivery and how you would deal with these. Your response should also
include how these factors may change for any increase of numbers of contracts awarded, e.g.
if you are awarded more than one Lot for the PIP Assessment Service.

Your Implementation/Delivery Plans must be provided as separate documents replicated in
Microsoft Project and Microsoft Excel format. (NB: for ease the Excel plans can be submitted
in one Workbook rather than separately. Please ensure this is clearly identified in the subject
header of the attachment).

 Please clearly name separate documents as follows:
‘Supplier Name’_ Overarching Implementation/Delivery Plan_Lot 1 (or Lot 2 or Lot 3….)
“Supplier Name”_Estate Implementation/Delivery Plan_Lot 1 (or Lot 2 or Lot 3….)
“Supplier Name”_IT Implementation/Delivery Plan_ Lot 1 (or Lot 2 or Lot 3….)
“Supplier Name”_Security Implementation/Delivery Plan_ Lot 1 (or Lot 2 or Lot 3….) OR
“Supplier Name”_Excel Implementation/Delivery plans_x 1 (2, 3 or 4 etc dependent on
number of Lots bid for)

A page limit does not apply to your Implementation/Delivery plans. Where possible use
universally understood terminology or give an explanation of internally used terms.

You must download, complete and then upload the Risk/Assumption log provided on
BravoSolution. Please name this separate document as follows: ‘Supplier
Name’_Risk/Assumption Log
Present your response (per Lot) at the top of a new page, within these preset margins in Arial
font size 12 up to 5 sides of A4, per lot including the question text and these instructions.
Each response must be individually labelled for the Lot to which it refers, by completing the
heading below:


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"LOT" SPECIFIC RESPONSE FOR LOT 2 - Wales. Central England
We recognise the scale of the work required to successfully deliver an implementation of the
size and complexity of PIP. Risks will be minimised through the deployment of proven
methodologies, proven governance structure and proven delivery models. In particular we will
deliver the programme in line with the industry standards Managing Successful Programmes
(MSP) and PRINCE2. We will also create a dedicated team that will be responsible for the
implementation. In addition to these dedicated roles, additional support will be provided from
IT, Recruitment, Training and HR as appropriate.




We will ensure our teams are mobilised immediately following contract award and ready to
engage with the DWP on agreeing an integrated implementation programme and the
associated RAID log. We have already identified key members of the team (who will be based
in our HQ in Birmingham) which will enable a quick start. Regular RAG status reports will be
shared with the DWP. Processes and guidelines will be documented, including Business
Assurance (BA) procedures for managing the contract, which will be updated and stored in the
programme management office. The BA function will also be responsible for auditing all
activity including achievement of milestones across the phases of implementation, including
the controlled go-live period, adherence to processes and procedures, accuracy of
information, compliance with policies and quality. This team will continue into Business as
Usual (BAU) delivery to ensure no knowledge loss between implementation and delivery.
We have already identified a Head of Programme Management, Steve Patison, who will have
overall accountability for the successful implementation of the service. There will be a Project
Manager assigned to each of the specific work streams supported by a team of Business
Process Managers. The role of the Business Process Manager is integral to overall
programme delivery and these roles will be involved from the early stages of design and
implementation through to delivery where they will continue to own their specific process and
manage any BAU changes required. These teams will work in close conjunction with the
Expert Collaboration Forum which includes multiple Claimant Representative Groups and also
disabled people, helping to ensure that the needs and barriers experienced by disabled people
are considered through the detailed process design. The Head of Programme Management
will report on project status, milestone achievement and risk management. If successful on
multiple lots, this team would be scaled to ensure sufficient resource to manage a larger
programme.
Key Milestones and Dependencies - The table below summarises some of the key
milestones and dependencies across our implementation plan for Lot 2 and shows where we
will have dependencies.



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      Work-stream Key Milestone(s)                           Plan reference     Start       End        Organisation    Critical Dependency
                                                                                                       Responsible
      Recruitment Set up of recruitment micro-site                         117 10th July    3rd Sep Capita             Capita ITS
                                                                               2012         2012
                     First tranche of HPs successfully                     127 4th Sep      17th Sep Capita            Capita Recruitment
                     recruited                                                 2012         2012
      Training       Publication of all training materials             139-143 1st Oct      24th May Capita            DWP sign off
                                                                               2012         2013
                     Train staff                                           131 31st July 7th June      Capita          Capita Learning and
                                                                               2012      2013                          Development

      Estates        Confirmation of venues required                        467 10th July   10th July Capita           Capita and property
                                                                                2012        2012                       partners
                     Set up of each initial consultation                    484 10th July   2nd Jan Capita             Capita Symonds
                     centre                                                     2012        2013
      IT             Availability of key technology to            270, 321, 324 Apr 2013    July 2017 Capita ITS/DWP   DWP
                     deliver the service including CRM,
                     PIP CS and assessment tool
                     Systems readiness testing                             239 15th Feb     28th Feb Capita            Capita ITS/DWP sign off
                                                                               2013         2013
      Security       IL3 Accreditation                                     408 3rd Sept     21st Dec Capita            DWP sign off
                                                                               2012         2012
                     Pen testing                                           410 3rd Sept     26th Oct   Capita          Capita ITS
                                                                               2012         2012

A detailed plan incorporating the above is included with this proposal. We will also ensure that
the detailed plans are updated within 30 days of contract award for approval by the DWP. The
solution across all workstreams is low risk and allows rapid implementation through the use of
existing management, staff, properties, technologies and associated skills and methodologies.
Estates - A dedicated Estate manager will be appointed to ensure that there are sufficient
consultation centres available in line with the forecast demand. Our solution is based on
carrying out a large proportion of face to face consultations in the claimants’ home, to improve
the claimant experience (based on feedback from our focus groups with disabled people on
preferences). We envisage these making up approximately 60% of all assessments. The
remaining 40% of consultations will therefore be centre based, and suitable locations have
already been identified which comply with the 90 minute travel limit for claimants. We have
also developed a draft Estate Charter with DRUK which will be refined during the early stages
of implementation and all centres will adhere to. We will deploy centres in 16 densely
populated locations (with 76 assessment rooms) across the Lot 2 geography (at peak), the
majority of which are already in place representing a low risk implementation. These will be a
mixture of Capita leased and serviced accessible locations, as well as leveraging our exclusive
relationships with Assist UK (utilising 2 of their Independent Living Centres across Lot 2), and
Remploy and Reed in Partnership who will make 15 and 5 locations available respectively for
assessments across Lot 2 (as contingency). We will also use 9 existing mobile units across the
UK (2 in Lot 2). We believe this provides the optimum mix of owned and leased sites, which
will maximise the claimant experience and provide flexibility for fluctuations in demand. We will
be able to add new rooms or remove rooms at short notice without building high fixed costs of
property in to our solution. The first centres will be online for the controlled go-live in June
2013.
Example Estate Implementation Plan – Below is a summary of the key activities we will
undertake to secure and set up a consultation centre (in the minority of cases where one does
not already exist today):
 search for a property in the chosen location by issuing a search to the local market using
     the property arm of Capita, Capita Symonds – this takes around 2-3 weeks. We will filter
     the properties in accordance with the specifications (as provided by DWP). Arrangements
     are then made to view the shortlisted properties to assess them against the requirements
 once the property is chosen, the Heads of Terms are negotiated – this can take up to 4

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     weeks to secure agreement. Once agreed, solicitors are instructed which can take up to
     12 weeks depending on the property, to finalise the contract for the lease
 the tender process for the fit out then begins – this takes approximately 2 weeks. Bids are
     assessed and the successful Contractor chosen. Once legal work is completed, the
     contractor is instructed and fit out commences – this takes 4-6 weeks. During this time we
     will procure specific kit including furniture, medical kit, IT and telephony
 recruitment of the centre co-ordinator is carried out and staff start 2-3 weeks before the go
     live date for the centre. Centre set up is completed 2-3 weeks before go live to allow time
     for onsite training to be given
 packages for cleaning/ maintenance are then put in place to commence on the go live
     date. A final health and safety/ accessibility inspection is carried out before go live, and
 full performance testing of the venue prior to go-live is then carried out, scheduling trial
     cases using paid disabled volunteers, ensuring scheduling and receiving processes work
     as well as the IT systems that support them and lessons learned are fed back for go-live.
Enquiry Centre, Triage and Back Office Estate - Estates for Enquiry Centre, Triage and
Back Office will be based at current Capita sites which significantly reduces implementation
risk. However, the services in each site will be segregated from existing services and
dedicated to the PIP service. They will be ‘live’ for operational service commencement in June
2013. There will be an enquiry centre to support claimants with general enquiries and
scheduling or re-scheduling an appointment for assessment. To deliver this we will look to
recruit as many disabled staff as possible (targeting 40%), some of which will also be home
workers (c.20%). It will be possible to route calls to home workers based on geographical
area. This will further enhance the customer experience giving a “local” feel to the delivery.
                                                                         We recognise that a large
                                                                         number of Health
                                                                         Professionals will be
   Birmingham (Triage                           Lot 2                    required to complete triage
   Enquiry & Escalation)                                                 and desk based
                                                                         assessment. Locations have
                                                                         therefore been strategically
                                                                         identified in areas where
     Cardiff (Triage)                                                    there is a high density of
                                                                         appropriately skilled HPs.
                                                                         The map on the left outlines
the planned delivery locations across Lot 2, together with the services to be delivered. In all of
the locations above there is a large pool of Health Professional resource which can be
recruited for the delivery of the service. We have decided to deliver our services from multiple
locations to expand the pool of skilled resources available, reducing our recruitment risk.
Resourcing and Training - Our recruitment model consists of a dedicated resourcing team
(including forecasting and planning) using existing skills, technologies and methodologies, who
will be responsible for forecasting resourcing demand in each business area (e.g. Enquiry
Centre, Consultation Centres) using both early data received from DWP (such as claimant
contacted about PIP, request for Part 2 sent) and dedicated planning tools such as Verint
Workforce Management. Our approach is illustrated below:




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                 Revisions made                                                                    Continuous updating      Contact centre work 
                                       Forecast volumes 
 Initial         based on due                                   Verint continues                   with daily manpower      schedules updated and 
                                       finalised , provided in                    Actuals begin 
 manpower        diligence and post                             to be updated                      plan changes based on    recruitment team 
                                       agreed format (assume                      feeding into 
 plan created    contract                                       based on Part 1                    combination of           informed of any change 
                                       Excel) uploaded onto                       Verint
 from bid data   discussions with                               & 2 updates                        historical / forward     from anticipated 
                                       Verint
                 DWP                                                                               looking data             demand

We will deliver a full recruitment and training programme during implementation so that we are
appropriately staffed for service commencement, and continue this programme during ongoing
delivery, including campaigns and attraction, evaluation of candidates, vetting, training, on-
boarding and auditing of recruits work to ensure they are of the required standard.
IT Systems - We will deploy a range of existing and proven IT systems to support the delivery
of the service. They are centred around our health assessments and reporting tool (HeART)
for triage, scheduling and CRM. The system will require some, but relatively little,
reconfiguration to support the PIP service such as integration with Transport Direct for the
provision of personal route maps from claimant homes to centres.
Implementation Testing - Testing forms an integral part of the implementation and we have
developed a detailed test plan to ensure that all aspects of the solution are thoroughly tested
prior to go-live. The claimant champion, representatives from disabled groups and DWP will be
involved throughout the process from detailed design and requirements gathering through to
user acceptance testing. This approach will help to ensure that the final solution centres on
giving the best possible claimant experience, whilst enabling effective DWP decision-making.
Risk and Change Management - With any large scale implementation and delivery there are
inevitably risks involved. Due diligence has been undertaken to validate as many of the
assumptions and data provided by the DWP as possible. We have consulted industry experts
from within Capita's Health and Wellbeing business and Capita Symonds property business,
as well as wider representative groups including, to name but a few, Assist UK and DRUK to
enhance the claimant experience through service design. We have also engaged with WIRED
in Lot 2 for design and delivery of training to ensure assessors display the right behaviours
and understand how to deliver assessments with empathy and respect. Where risks have
been identified we believe that mitigation plans are in place to deliver a smooth
implementation as detailed in the accompanying risk log. Risks will be managed according to
our proven risk management methodology and framework, with a continuous cycle of
identification, assessment, response and monitoring and reporting.
Security Risk and Accreditation - We have built security accreditation process into the
implementation phase to ensure systems are accredited prior to service commencement. The
security approach is based on a risk management core. Technical security for the solution will
be assessed using the HMG IS1 methodology, and recorded in the RMADS. This risk posture
will be reassessed quarterly for personal data assets, and annually for other assets or
following a substantive change. Equally physical security will be assessed using the ISSS
specified Minimum Baseline Measures Matrix. We will continuously work with DWP in relation
to risk management, including the formal recording and notification of identified or emerging
risks and vulnerabilities. A Capita Security Manager will be assigned, responsible for
managing all the day-to-day security governance, compliance and IA related activities with the
DWP SIRO and Accreditor. We will present an updated Security Management Plan to DWP
within one calendar month of contract commencement. This will be a living document,
maintained under strict version control throughout the contract.




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      6. Contract Management, Performance and Continuous Improvement

          Generic – Quality question
 [6.1] Please detail the processes you will use to manage, monitor and evaluate the
performance of the PIP Assessment Service contract to the stated Service Level Agreements
(SLA’s). Your response should include how you will ensure that agreed SLA targets are met or
exceeded, efficiencies are monitored and improvements are planned and managed and how
general complaints will be handled.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 2 sides of A4 including the question text and these instructions.
Our Operational Service Management Framework brings together all the management
functions essential to a customer service operation to ensure continuity of service, operational
effectiveness and continued adherence to SLAs. The Framework will form the hub through
which operational oversight is provided for PIP and through which both monitoring and
exception management are performed. This function is fundamental to managing service
quality and ensuring the service is managed efficiently, transparently and consistently across
multiple service providers and locations. It will comprise workforce and location planning
(including HR, training and development), third party management (including SMEs, partners,
sub-contractor providers and key stakeholders such as charities), governance and business
assurance (BA), ensuring all of the above are effectively monitored and managed.
Proposed Governance Structure for Contract and Performance Management - We will
  Executive Board
  To ensure that:                                                 DWP Executive Capita Executive                  implement a governance structure for
   the contract objectives are being met and that
    the goals and strategies of both parties are                                                                  delivery of the PIP service which we
    understood and aligned                                                         Executive
   any issues that arise are escalated and
    resolved
                                                                                Steering Board                    will agree with DWP/DSD and which
                                                                                  [quarterly]
  Management Boards                                                                                               is illustrated on the left. We will
  To ensure that:
   the services are being delivered to the standards                                                             deploy stringent and robust processes
    and quality as defined in the contract
   relevant regulation and legislation is being met
    and that future changes are being prepared for
                                                                                                                          and tools for managing,
                                                                              Programme Board
   operational risks are identified and that mitigating
    actions are being taken and sustained
                                                         Service Delivery
                                                         Board [monthly]
                                                                                 [fortnightly /
                                                                                                         Change Board
                                                                                                           [monthly]
                                                                                                                          monitoring and evaluating SLAs
   changes are correctly prioritised and managed                                  monthly]
    as required                                                                                                           and for managing our supply
   the implementation is progressing as planned
    (reviewed fortnightly) and that new projects are
    on track during BAU (reviewed monthly)
                                                                                                                      chain for the PIP Assessment
  Innovation & Stakeholder Board                                                                                      Service, which will be controlled
  To ensure that :
   stakeholders (charities and the third sector) have                                                                through this governance structure.
    a voice feeding in to continuous improvement of                Stakeholder
    the service for the people they represent
   innovations are fed in to the operation for
                                                                      Board
                                                                                                Innovation Forum
                                                                                                    [quarterly]
                                                                                                                      These will be embedded in our BA
                                                                    [quarterly]
    busines s case creation and implementation,
    where agreed                                                                                                      procedures for managing the
contract which will be documented, updated and stored in our programme management office.
Service Quality and Claimant Engagement - The solution has been designed to achieve a
high level of service quality and an excellent claimant experience as follows:
Enquiry Centre - Call quality monitoring will provide a wide range of functionality that will assist
the enquiry centre with improving advisor performance and claimant satisfaction.
Comprehensive reporting will be available to assist with identifying recurring trends and areas
for improvement. Call quality will be conducted by using the Verint Quality Monitoring tool.
Every call made and received within the enquiry centre will be recorded and screens will be
captured which will allow evaluators to ensure that the correct process is not only followed
verbally but that all systems are also used accurately. Five calls per advisor will be reviewed
monthly and evaluated against the quality criteria and managers will also monitor a minimum
of fifteen additional calls as part of advisors coaching / development. We will seek to accredit
our PIP Enquiry Centre with the Government’s Customer Service Excellence (CSE) award.
Health Professionals - HPs will go through a stringent recruitment and training process to
ensure that they are appropriately qualified and have the necessary softer skills required to
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deliver the right claimant experience. They will undergo a six monthly training needs analysis
(TNA) carried out by our Learning and Development team. Our IT systems will provide a
dashboard view of the training status of all HPs and their performance quality and will flag
exceptions which can then be managed accordingly. At least one assessment report will be
formally audited for each HP every fortnight (and many more informally audited by the HP’s
Team Leader). Our Expert Escalation Team will provide an escalation route for HPs in order to
assist in complex cases. This team will be also responsible for providing quality advice to the
Authority and will be contactable via multiple channels.
Consultation Centres – Our HeART IT solution will be uploaded with all of the consultation
centre locations and data such as address, contact details and number of rooms available. As
part of our automated triage solution, the system will allocate cases to the nearest venues as
appropriate. Capacity management will be automatically monitored and flagged via
management information and dashboard views if there are spikes in demand in particular
locations. We will maintain a forward rolling capacity plan that will plan the level of
accommodation needed on a 3-month rolling basis. Where capacity thresholds are being
reached in a particular locale due to unexpected volume fluctuations, more home visits will
take place or extra rooms in serviced office locations will be put in place in order to meet SLs.
Adherence, Management and Monitoring of Service Management Requirements, Service
Standards and Quality Standards - Service standards will be reviewed through governance
procedures to be agreed with the DWP and as described above. Our proposals have been
based on the standards, requirements and specifications set out in the DWP’s specification
and contract schedules for the PIP assessment service. Service management requirements,
standards and processes will be documented for all elements of the service and available to
staff to ensure they are adhered to for delivery of the services. The BA function will be
responsible for auditing all activity including management, monitoring and achievement of
service levels, adherence to processes and procedures, accuracy of information, compliance
with policies and overall quality management. All of the DWP’s key requirements and SLs are
already agreed in principle and will be flowed down to our suppliers and sub-contractors.
The Processes and Procedures for Handling Complaints - Claimants will be invited to
provide feedback via satisfaction surveys, both after contact with our enquiry centre and after
the assessment either via a set of questions asked by the enquiry centre agent, or through a
post assessment questionnaire via the claimant’s preferred contact method. Claimants may
also make a complaint by phone, written correspondence or online. The enquiry centre will
attempt to resolve all complaints at first contact or will escalate to the complaints team who will
undertake a detailed investigation with the HP and others as required. Serious complaints of
gross misconduct will be escalated immediately to the Operations Director. Enquiries that
require DWP attention such as Ministerial briefings and Parliamentary questions will be
identified and fast tracked within 2 working days. A monthly suite of management information
will be provided to the DWP for governance meetings detailing claimant satisfaction,
complaints, sources, reasons and mitigating actions being taken to remedy systematic issues.
Continuous Improvement - We will ensure feedback and complaints are used to change and
improve processes where necessary. We will use multiple other sources to identify areas for
improvement including an Innovation Forum, Stakeholder Board and a dedicated Claimant
Champion responsible for centrally collating ideas for joint review with DWP. Ideas that we
decide to progress will be sent to the Change Board to Impact Assess the change and ensure
there is no adverse impact on the claimant or SLs and that its cost implications and overall
business case are understood. A change log will be kept of all changes (both implemented
and rejected) that will be reviewed at governance sessions with the DWP.


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       Generic – Quality question
[6.2] Please detail your approach to quality, including medical quality, complaint handling in
relation to the HP’s, auditing health professionals and continuous improvement of the service
in order to ensure that the service is of a consistently high standard, ensuring that the various
outcome objectives will be achieved or exceeded by you and fully meet the needs of claimants
ensuring that they receive a positive experience. Your response should address challenges
identified within the service requirements plus any additional challenges you have identified
which would impact PIP Assessment Service delivery and how you will ensure the
assessments are consistent, independent, medically reasonable and evidence based.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 2 sides of A4 including the question text and these instructions.
Approach to Quality, Medical Quality and Auditing Health Professionals
We will adopt an integrated approach to quality and audit that covers all aspects of assessor
selection and training, service, claimant interaction and DWP (and DSD) engagement. This
will include:
 HP selection will require demonstration of empathy and aptitude. Compliance checks and
   audits of individuals’ qualifications, professional registration status and background will also
   occur before recruitment and periodically to ensure continued compliance
 training, mentoring and testing including situational judgement and models of disability
   through scenario workshops that will test readiness for deployment. All newly recruited HPs
   will be allocated a mentor for in-service training, advice, guidance and clinical support
 report auditing with 100% report reviews undertaken until at least 10 consecutive grade A
   reports are achieved and at least 1 formally audited thereafter every two weeks (and many
   more informally checked by the HP’s Team Leader on a regular basis)
 code of conduct all staff will be trained on and will sign up to our code of conduct and
   Capita Group Policies which will govern the quality standards / ethical behaviour expected
 supporting tools & technology - HPs will have remote access to tools to ensure
   consistency of approach to situations encountered: FAQs, common scenarios, clinical
   advice line (access to SMEs during consultations/ad hoc), and built in clinical logic to check
   for consistency as well as basic quality features like spell check to ensure consistency
 a multidisciplinary approach will ensure the most appropriately skilled and qualified
   assessor works on each case with access to ‘specialist’ advice as required including our
   Disability Access Centre of Excellence
 audio recording of claimant interactions will maintain quality through random auditing and
   peer review, performance review, coaching and retraining where appropriate. Claimants
   will have access to recordings with DWP approval to improve transparency
 an HP dashboard will be used for HPs to proactively self-manage issues with their line
   manager using online training modules before they impact on quality. This anonymised
   quality performance leader board will allow HPs to view how they rank with their peers
 quality surveys will be undertaken regularly with claimants. These will include customer
   feedback forms, surveys taking place immediately before/after a visit and external support
 Business Assurance and Audit team will undertake regular audit checks that will provide
   independent monitoring of compliance. A minimum of 1% of cases will be independently
   audited this way and results will be shared with an independent scrutiny
 accreditations and standards will include local and national stakeholder groups
   participating in setting quality standards for governance and training through our Expert

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     Collaboration Forum. We have also agreed that we will develop a diploma for disability
     assessments with the Royal College of Nursing and will include the College of Occupational
     Therapists in a joint working group to ensure consistency of standards, and
   Professor Sir Graeme Catto, former president of the General Medical Council, chairs
     Capita’s Medical Governance Board and will oversee the process in conjunction with a
     newly appointed PIP Medical Director to ensure outputs are of a consistently high quality.
  Feedback on Claimant Experience and Complaint Handling
         Operational
         Framework
                                                                         Claimants will be invited to provide
  Operational
  Framework
                                           Ideas from Assessments

                                      Programme
                                               & Contact Centre          feedback via satisfaction surveys,
 Operational
                                       Board &
                        Business Assurance
                                       Strategic
                                                                         both after contact with our enquiry
 Framework
                        Compliance Checks
                                      Partnership
                                         Board     Continuous
                                                                         centre and after the assessment,
                Claimant &
                Stakeholder
                 Feedback
                                                    Improvement          either via a set of questions asked
                                                    actions
  Professional Groups                              Post
                                                                         by the enquiry centre agent, or
    & Team Leader
       meetings                        Change       Implementation       through a post assessment
                                       Board /      review
Capita, DWP & Best
                      Continuous
                     Improvement
                                      Implemt’n    Risk & Impact
                                                                         questionnaire via the claimant’s
                                                                 Continuous
                                        Team
 Practice Forums                                    assessment           preferred contact method.
                                                                Improvement
                                                               Initiatives / plan

                                                   Agreed change
         Management                                 budgets
                                                                         Stakeholders will be invited to
        Information &
       Operational Data                            Agreed risk & effort innovation forums and stakeholder
                                                    scores & benefits
                          Data Analytics            sharing %s
                                                                         boards to feedback on the
                              output
                                                   Agreed changes to    experiences of the claimants they
                                                    processes
                                           Environmental &
                                           Horizon Scanning
                                                                         represent. Claimants will also be
                                                                         able to make a complaint by
  phone, written correspondence or online. The Enquiry Centre will attempt to resolve all
  complaints at first contact. If this is not possible the issue will be passed to the complaints
  team who will undertake a detailed investigation with the HP and others as required
  (potentially from the Escalation Team if the matter is of a medical nature). The team will
  resolve the matter with the complainant through their preferred contact method. Serious
  complaints of gross misconduct will be escalated immediately to the Operations Director. An
  escalation panel of independent stakeholders will oversee the process. All complaints and
  feedback will be used to inform the continuous improvement process. A monthly suite of
  management information will be provided to the DWP detailing claimant satisfaction,
  complaints, sources, reasons and mitigating actions being taken to remedy systematic issues
  and will form part of the agenda at operational governance meetings.
  Continuous Improvement
  A CI 'roadmap' for the service will be delivered to DWP within 3 months of contract award. We
  will provide updates to the plan quarterly and this will feature in our monthly governance and
  management information to the DWP. The CI process is outlined in the diagram above.
  Future innovations currently being considered are:
   FME - increased automation to improve timeliness and quality
   dynamic clinic and staffing strategies - post implementation calibrating most effective
     deployment based on trend analysis and emerging themes
   creation of a Professional Development Academy to provide a parallel career path for HPs
     alongside the NHS to improve quality and retention, and
   automation of data transfer among claimants, DWP and ourselves wherever possible.




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    7. IT

    Generic - Quality question
[7.1] Please describe from receiving a referral from the PIP Assessment Service (PIP)
computer system:

a) what IT systems would support the claimant’s end to end journey and your processes.
Please supply a service block diagram in support of your narrative describing the claimant’s
end to end journey.

Your diagram should be restricted to 1 sides A4 maximum. Where possible use universally
understood terminology or give explanation of internally used terms.

b) how your existing systems need to be changed to support PIP and indicating how these
changes will be achieved by the implementation date and a risk log indicating key risks,
mitigation actions required, and the likelihood and impact of the risk materialising. NB: your
narrative response should be supported by your IT Implementation/Delivery plan and
Risk/Assumption log requested at Q 5.1;

c) how you believe the referrals could be integrated with your IT systems, highlighting your
experience of integrating different systems internal and external to your organisation.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 5 sides of A4 including diagram and including the question text and these
instructions.
a) IT - Supporting the Claimants Journey

The above diagram, in association with table below, maps the claimants' end to end journey to
the supporting IT systems, and identifies the key inputs, outputs, logical interfaces and handoff
points.
 Input/Output/Handoff      System             Mechanism - Automated/Manual
 Claim Referral            Capita HeART       Communications link via DWP (and DSD)
                           (Health            network to Capita MPLS network. Manual
                           Assessment &       rekeying of PIP CS items
                           Reporting Tool)
 Triage                    Capita HeART       Carried out using automated rules based
                                              algorithms plus manual review and verification
 Further Medical           Capita HeART       Request raised by HeART and Capita Total
 Evidence                  CTDS Service       Document Solutions (CTDS) generate
                                              document for FME supplier. FME scanned by
                           DWP Scanning
                                              DWP (Balfour Beatty) into Document Repository
 Scheduling                Capita HeART       Generates appointment letters supplemented by
 Appointments              plus Graticule     SMS reminders (Capita SMS bureau)
 Assessment Report         DWP Provided       Keyed directly into DWP online assessment
                                              tool. During “clerical period”, keyed offline into
                                              Warp (PIP Report Format) and then transferred

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                                               to DWP.
 Assessment Summary        PIP CS              Entered directly into PIP CS. Possible later
                                               automation
 MI/BI                     SQL Reporting       Offline copy of HeART database generated
                           Services            overnight to provide source for MI reporting.
                                               Telephony system supplements SLA reporting
 Payment of HPs            Capita HeART        All HP details are stored on HeART with details
                           SAP                 of assessments. SAP will make payments to
                                               contract assessors and FME providers via AP
                                               module or via SAP Payroll for permanent staff
 Schedules and work        Capita HeART        We will utilise the existing synchronisation
 Allocation for medical    Expert              interface to download this data to HPs laptops.
 assessors                 Administration      We will disable the generation and subsequent
                           System (EAS)        upload of medical reports as this will be
                                               replaced by the DWP report tool
 Claimant Expenses         Capita HeART        Claim entered into HeART (including bank
                           BACS                account details). Receipts scanned and linked.
                                               Selective verification/payment via Capita BACS
 Travel directions         Transport Direct    Facility for public sector travel: home to centre.
 Bulk Printing             CTDS                Existing secure service provided across Group
 Complaints                HeART               Details logged on system/actioned via workflow
Physical connections - all Capita systems described above and illustrated in the diagram will
be hosted in our secure production and DR data centres with secure links between. The
interface with DWP will be via a dedicated network link.
Our Core System: HeART - there is considerable commonality between the IT platform
required to support the PIP assessments and that currently deployed in Capita Health &
Wellbeing to deliver administrative functionality for our Medico Legal and Occupational Health
businesses. This means that there is relatively little development work required to create a
version to support the PIP service. The system provides end to end case management via a
workflow engine allowing for proactive management of cases through to completion. At the
core of the platform is a Microsoft Dynamics CRM instance. Document storage is facilitated by
the use of a Microsoft SharePoint instance.
At the heart of the system is an advanced appointment selection engine that allows
management of HP and venue resource availability. The appointment search facility can also
take into account ‘advanced’ requirements such as expert gender or personal specialisms
(e.g. to speak languages). The core CRM application is synchronised with an offline
application called the Expert Administration System (EAS) to remotely administer any cases
for which they are providing medical reports.
b) System Changes & Enhancements
An agile scrum test-driven framework will be used during development and testing. This
produces fully tested and documented incremental components of the system in 3 week
cycles to UAT, including deployment and data migration scripts. Continuous integration of
code and unit tests will ensure the integrity of components between changes. In addition,


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automated testing after every deployment will ensure continuing operation of the overall
system on all environments. All code will be stored in a Microsoft TFS repository, which will
allow tracking of every component version in each release. TFS allows branching and merging
of code for multi-phased development enabling parallel working and reducing the overall
timescale. Automated TFS builds will ensure system integrity.
There will be daily integration of code into the System Test (including Model Office)
environment followed by automated testing. On a three-weekly cycle, fully tested components
of functionality will be delivered to the secure Pre-Production environment for UAT. A set of
test scripts will be created and executed against all delivered functionality. Prior to go live,
there will be a longer period of end-to-end UAT including full regression testing of all system
functionality including completion of the security accreditation process. The Pre-Production
environment will also be used for training and penetration testing as the infrastructure
configuration will be similar to production. Solution phases will be deployed to production, and
penetration, performance, volume and resilience testing will be performed. To minimise
disruption, production deployments will be scheduled outside normal working hours.
It is envisaged that there will be one major release followed by patch releases (red process in
diagram above). If subsequent major phases are required, additional environments will be
created to mirror existing, and the purple release process will be followed.
Input from the DWP will be required for the definition and agreement of document formats and
other communications between the service and stakeholders (particularly claimants).
HeART will need to be enhanced to fully meet the requirements of PIP and we have already
augmented our existing development team to ensure the following enhancements have been
scoped, designed and costed into our proposal in order to ensure we can deliver the new
service in the available timescales as follows. We have included a complete work breakdown
schedule for these enhancements and incorporated this into the implementation plan. Other
enhancements are:
Appointment booking engine
Whilst an appointment booking engine already exists within the core solution, the system will
need to be adapted to take in to account 90 minute travel time. The solution will also be
modified to include home visit functionality. (We will however be able to draw upon the
systems experience in this area from our newly acquired Medical Direct business.)
Recruitment / Learning and Development
We have an enterprise-level IT solution to deliver volume recruitment functionality and other
specific solutions for HP recruitment. For PIP we will tailor the volume recruitment system to
specifically focus on HP (GP, nurse, occupational therapist etc.) recruitment (using our
experience of specialist spot HP recruitment as required). This will include the interfacing of
the application within the required recruitment process flow for PIP. Similarly, our existing
training modules will be developed to deliver PIP specific e-training and training portfolio
tracking functionality for HPs.
Claimant Portal
The current Capita Health & Wellbeing portal will be enhanced to provide claimants with a
bespoke portal providing claim tracking and appointment rescheduling functionality.
Integration/Interfaces
Our platform also provides full integration capability which we have deployed for our existing
health business, so that third parties can directly interact with the platform via a number of
integration mediums including XML, Web Services and a web portal.

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We have integrated with many external organisations. At RSA for example; automated
referrals are transferred from their Colossus system into our CRM. Reports created on Warp
contain embedded ICD9 codes which are used to look up appropriate compensation amounts
and transferred back to RSA.
Interfaces will be developed to the following existing applications to deliver the overall IT
solution:
 Learning and Development systems – integration between the HP management database
     functionality with the L&D training systems both for initial and refresher training
 SAP / BACS payment gateway – Capita Health & Wellbeing existing HPs already have
     their wage / invoice payments generated from the core system and an automatic interface
     to the corporate SAP environment which will be extended for PIP
 Capita Fulfilment – integration between CRM case management system and fulfilment
 Graticule / Accession – integration into route planning and scheduling software to allow for
     enhanced appointment search capability
 Transport Direct - The batch travel planning capability to assist in the production of
     personalised travel plans
 Social media integration – functionality to allow communication via Twitter, Facebook etc.
 Telephony system – CTI Integration between telephony and the workflow management /
     case management system will facilitate responsive service to claimant phone calls.
Steps taken to mitigate risk
The key IT mitigation strategies are:
 solution is based on existing functionality already utilised within the Capita health business
 system has been developed by Capita Health & Wellbeing in conjunction with Ciber: our
     long term development partner (8,500 employees and turnover > $1bn)
 additional development requirements have been identified as part of the tender solution -
     all identified, estimated and peer reviewed
 solution is based on COTS packages requiring configuration rather than code creation (no
     part of the solution requires development of bespoke PIP-specific modules)
 third party development partners have been part of the project team developing the bid;
     resource requirements for project delivery are known and a full project plan specified
 some of the design and early development work will be started before the contract award
     is made – this de-risks the overall delivery timescales, and
 we have a tried and tested delivery model for large scale projects.
c) Integrating Referrals
The most efficient integration points would be the transfer of referrals from PIP CS into
HeART. We will initially manually re-key referrals, and work together with DWP over the first
year of the contract in order to facilitate the automated transfer of referrals.




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     Generic - Quality question
 [7.2] For the IT systems that will be used, developed or changed to support PIP, please
describe:

a) the IT environments covering all test, training and model office environments as well as the
   production estate, and whether these are dedicated to the PIP process or shared.

  Please supply appropriate service block diagrams in support of your narrative.

b) list the hardware & software products and versions used by your IT systems, and include
   whether these are supported or not;

Please supply this as a separate Microsoft Excel spreadsheet. (This will not count towards the
page limits below). Please name this separate document as follows: ‘Supplier Name’_
7.2_IT Systems.doc
c) the process for how you will implement changes to your IT as a result of for example, a
change in legislation, and the typical time it would take to implement changes. Your narrative
response should be supported by an indicative milestone plan showing high level phases only.

This should be presented in Microsoft Excel format. Please name this separate document as
follows: ‘Supplier Name’_ 7.2_IT changes.doc
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 5 sides of A4 including diagrams and including the question text and these
instructions.
a) IT Environments
We have specified production, user acceptance test/pre production and systems test
environments and included the hardware and network components as well as describing
which software modules are supported on each of them. Pre-Production/UAT and Production
are equally sized in order that performance tests can be accurately performed and are in line
with the Lot activity volumes as described in the cost model. The Pre-Production environment
will also be used for training and penetration testing.
Development and test environments have been sized to support the development team
described in the resource model.

All of the environments are dedicated to PIP.

The diagram below provides a high level view of the infrastructure that supports our proposed
solution: including the central hardware, distributed hardware, interfaces with the DWP/DSD
and security domains.

All code will be stored in a Microsoft TFS repository, which will allow careful tracking of every
version of every component of software in each release. TFS will allow branching and merging
of code for multi-phased development. Automated TFS builds on check-in will ensure the
integrity of code.
There will be daily integration of code into the System Test environment followed by
automated testing. On a 3-4 weekly cycle, fully tested components of functionality will be

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delivered to the secure Pre-Production environment for UAT. A set of test scripts will be
created and executed against all delivered functionality. Prior to go live, there will be a longer
period of end-to-end UAT with particular emphasis on business processes and full regression
testing of all system functionality. A complete “image” of the preceding live version of the
system will be retained to de-risk upgrades, by allowing reversion to the previous version in
the event of a major problem occurring.
At an agreed phase of the solution, penetration, performance, volume and resilience testing
will be performed. To minimise disruption, production deployments will be scheduled outside
normal working hours. Full system backups will be taken.
b) Hardware & Software Products
A full list of Hardware & Software is provided in a separate document as specified (7.2 IT
Systems), The following summarises the functionality provided by the main software
components of the solution:
 Microsoft Dynamics CRM 2011 – case management
 Additional CRM entity definitions and forms, created using the Dynamics CRM
     customisation user interface (to ensure forward compatibility of these with new CRM
     Versions)
 Workflows - CRM workflows used to automate tasks on Cases. Created using the
     Dynamics CRM workflow user interface
 Reports - used by managers to control staff utilisation and capacity planning. Created via
     SQL Server Reporting Services / RDL and configuration in the CRM UI
 SharePoint Document Management - document management software for storing
     correspondence, and case-related documents
 Knowledge Lake Imaging Server - third party application that inserts scanned documents
     into SharePoint. Developed and maintained by Knowledge Lake
 Web Access - provides the external access to CRM and SharePoint, via a web application
     (the portal) and various web services
 Expert Administration System (EAS) - rich client application used by HPs to indicate their
     availability, view calendar of appointments, download/review medical records, mark
     appointments as attended / FTA and write, submit and correct reports (will not be
     deployed for PIP reports except during “clerical period”). Uses a local SQL Express
     database that is stored in a secure location (see below). .NET 3.5, Windows Forms, and
     SQL 2008 CE
 CAPITA Portal - portal allowing CAPITA and Prognostic Health customers to create
     Cases, upload documentation (e.g. LOAs and medical records), and view the progress of
     cases. ASP.NET 3.5.
All software will be supported and we will ensure that all software versions are upgraded as
required during the contract to ensure they remain within the supplier’s support window. This
will avoid any remediation activities.
Hardware is based on Wintel architecture. IBM Tivoli is used to monitor this estate and
VMWare to manage server partitions. Again all hardware will be fully supported and
maintained accordingly.
Components’ capacity have been sized to meet the projected DWP volumes plus 50% for
servers and 30% for storage.
c) IT Change Processes

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Change Requests may be initiated by nominated DWP contacts, a system supplier or Capita.
The Project Manager will capture and document it in the project repository. Change Requests
raised by a 3rd party supplier will be immediately brought to the attention of DWP.
The Change Management process includes an initial impact assessment, a technical impact
assessment, a build and test plan, a back-out plan and associated costs and resources
required, all of which will be agreed during the impact assessment stage. We will prepare a
recommendation for each change request (in conjunction with any other party if appropriate)
and present it to the DWP for approval via a Change Request Form. The project team will
implement, close, or defer the change request based upon the decision to approve,
disapprove, or defer the request. The decision to approve, disapprove or defer will be
communicated back to all interested parties. For approved change requests, the work will be
reflected in an updated release plan.
It is envisaged that any change project will be implemented in one of two modes:
   Agile development mode - whereby functionality is developed in 3-4 week sprint
    increments. Sprint may be grouped for deployment to production on a 4 to 12 week cycle.
    The development team will be sized with 4-9 members depending on the size of the
    development workload.
 Small Enhancement Mode - is a controlled Project Change Management Process. This is
    a process by which requests for modifications to the established scope, schedule, or cost
    are controlled and managed.
A project repository will be agreed and used to capture, track, and communicate status of
change requests. Indicative milestones for changes: <50 man days, 50-1000 man days and
>1000 man days are as requested illustrated in 7.2 IT Changes document.
Changes will be categorised and allocated one of the following release slots:
 Emergency Change - to be scheduled out of hours the same day. This is by exceptional
   process. Where possible these are deferred to the weekly patch cycle below.
 Weekly Minor Patch/Operating System Maintenance – when sufficient changes are
   accumulated these would be deployed in an agreed weekly out of hours support slot. The
   intention is that is not the norm but all changes are deployed on the same day of the week
   and time
 1-3 Month Minor Development Releases – depending on the level of development change
   these would be planned on a 1-3 month basis
 Major releases – where possible these would be broken down into sprints/phases and
   deployed on a 1-3 month cycle. Where this is not possible deployment timescales would
   be included as part of the planning phase:
    a replica of the supported software will be maintained in a test environment at all times.
      Periodically there are released hot fixes and roll ups of the Microsoft applications. As
      part of the support service, the supported software would be tested against standard
      hot fixes and service packs within the test environment. We would then agree a
      schedule for the application of these to the other pre-production and production
      environments
    it is expected that patches / updates are categorised based on the following levels each
      of which have specific SLA’s, required documentation and levels of authorisation.
      These are: P1 – Planned; P1 – Retrospective Emergency (Use of this is strictly
      controlled); P2 – High Priority; and P3 – Normal Change.

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      Generic - Risk question
[7.3] Explain how your IT systems will be capable of supporting and processing the forecast
business volumes for PIP across your service hours, specifically covering;

a) how you will determine the appropriate sizing of your IT systems and how much
   contingency is built in as standard;

b) how capacity thresholds are monitored and managed;

c) how you would meet the challenge of either increasing or decreasing the capacity
   of your IT systems and what timescales this can be achieved in;

d) what percentage level of availability you propose for your IT systems and how you could
   extend availability to support peaks / backlogs.

NB: DWP would expect a normal standard to be 99.6% over any commercial period.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 3 sides of A4 including the question text and these instructions.
a) System Sizing
We have based the sizing of our IT infrastructure on the following:
 our expertise in operating large and complex IT infrastructures, including those in support
     of critical Public Services that are often subject to close public or media scrutiny
 our experience as the UK’s largest provider of medical opinion to insurers and solicitors,
     carrying out more than 1 million assessments per annum, and operating the necessary IT
     systems and infrastructure to support this (which have significant similarities with those we
     are using to support the PIP Assessment Process)
 a detailed analysis of the volumetric information provided to us by the Authority including
     an assessment of the:
      storage requirements for this number of assessments
      likely user base of our web portal and number of calls placed into our contact centres
      the volume of payments (expenses, FME etc) that will need to be made
      number of contact centre, assessor and back office staff and the IT that they require
      the likely usage profile, to plan for peaks and troughs in system demand, and
 advice from the principal software vendors, where necessary, to allow for any specific
     sizing their requirements their application may have.
We will use automated application load testing of claims throughput, simulating peak loads
and monitoring all aspect of the application to ensure satisfactory performance; including
workflows, and measuring times taken to complete key tasks. Furthermore, 3 years’ worth of
test data will be loaded into the system and volume tests performed and timings of key tasks.
Microsoft Dynamics CRM has been widely installed and has a proven scalability well in excess
of the PIP requirements. There are no other known hardware or software constraints which
inhibit scalability.
A level of contingency is included to cope with the unexpected. The exact level of contingency
does vary across the individual components deployed. This is dependent on each individual

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components tolerance to variations in capacity and the effort and time that would be required
to deploy additional capacity in the future. Based on our current assessment of the required
capacity, we have included:
 between 50% and 100% surge capacity in server processing power, and
 around 30% immediate extra capacity in primary storage (based on the total required over
     5 years) although we are rapidly able to increase this to 50% and beyond if required.
We have scoped sized infrastructure models with associated hardware/software lists for each
lot, as well as multi-lot combinations.
b) Capacity Management
We will use our proven capability in Capacity Management to ensure that the required
capacity is available to support the PIP Assessment process, at all times.
We will achieve this by:
 planning and ensuring sufficient capacity exists to process the current and anticipated
     workloads at the required performance, quality and quantity
 monitoring actual services used versus those provided to ensure the right profile is used at
     all times
 checking performance levels are within the bounds of our SLA targets, and recommending
     corrective action if not
 proactively identifying work and or levels of service available on existing and planned
     capacity, supported by engaging with the Authority to understand their demand profile
 using capacity to its optimum
 ensuring the right performance is delivered by using performance testing as required for
     new or updated software releases, and
 providing a Capacity Plan that details future known capacity demand based on anticipated
     workload forecasting taking into account both identified business growth for existing
     services as well as capacity requirements for new services, and against each major new
     release.
Our Capacity Manager will produce reports that will be reviewed as part of standard monthly
service reporting or on an ad-hoc frequency if there are pressing capacity related issues that
need resolution.
In addition all aspects of the infrastructure are fully instrumented and a wide range of
performance and capacity metrics are captured, including server percentage use and spare
storage capacity. This falls within the scope of our Systems Management solution and is
based on the IBM Tivoli suite at the core. We install instrumentation agents on all major
hardware components including servers, storage and networking. Data captured and
processed through Tivoli is presented to the operations team through a dashboard display that
shows the overall level of system health via a “Traffic Lights” metaphor. This will provide early
warning of any component nearing capacity limits to allow early action. Should capacity be
needed then we can allocate additional virtual servers or storage partitions within a few days.
We will also work proactively to continually improve the scalability and performance of the
service where required, through:
 proactive analysis and trending with modelling tools to determine consumption of future
     growth levels and subsequently propose remedial actions / projects
 discovery of bottlenecks in time to correct before business services are adversely affected,


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     and
 consistent capacity reporting, providing the right information at the right time.
We will develop a Capacity Plan that looks to the future with the aim of understanding the
business drivers for 12, 18 and 24 months into the future. This will be reviewed monthly as
part of the Service Management Review, to ensure business ideas are being factored in at the
right time and with the right end goals in mind. Any suggestions will then be discussed in the
appropriate forums and with key stakeholder groups, to consider how to make the best use of
new technology, infrastructure, applications, methods and processes.
c) Flexing Capacity
We understand that there may be unexpected requirement for additional capacity on the IT
systems. This may be as a result of:
 a sudden influx of new applicants for PIP
 requirement to move people from DLA to PIP more quickly
 or just through the pattern of assessments in the working week being compressed into a
     shorter time period than planned.
In order to be able to accommodate this we will deploy a robust and scalable technology multi-
tiered architecture that has a degree of spare capacity built in and is able to increase capacity
in a modular way with the right tools to provide accurate information on current utilisation and
the ability to model future operational scenarios.
Additional processing capacity can easily be added 'horizontally' by adding extra servers into
each tier (data, application, presentation). This approach vastly reduces the time required to
add additional capacity, over scaling 'vertically', meaning that we can often add additional
processing capacity within just a few days if necessary.
Due to the relatively low cost of storage in comparison to the cost of installing and configuring
the storage the IT platform will initially be provisioned with a full 5 years worth of primary
storage capacity.
d) System Availability
Good availability of the IT systems that support the assessment process will help ensure a
consistently high quality service is delivered to all PIP Applicants. All aspects of IT must be
reliable and secure, right through from Laptops that our assessors will use when working face
to face with applicants through to the central IT systems that manage the scheduling of
appointments and power the self service portal that we have included in our solution.
We will ensure that all service levels are consistently achieved by monitoring end user
services, as well as the availability of individual IT components, in order to minimise the risk of
service failures and also understand the true 'end user' impact of any failure, should one
occur.
Our approach to availability management encompasses all aspects of the service, including
implementing corrective action to meet agreed availability, reliability and maintainability levels.
These actions will be identified by reactive processes such as Incident Management and any
failed Changes or Releases, as well as proactive processes in line with Problem Management,
trend analysis and service improvement initiatives. Maintenance schedules will be defined in
agreement with our service stakeholders, and these will be agreed well in advance to ensure
there is no operational or business impact, especially around business critical periods.
We will be working to a system availability target of 99.8% to underpin any Operating Level
Agreements that are in place.

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    Generic - Risk question
[7.4] Describe the resilience of your IT systems which are being used to support PIP. This
should explain;

a) what event monitoring tools are used and how they are configured to prevent any detriment
   in performance;

b) the level of resilience of your systems such that a fault in any one component does not
   cause an uncontrolled system failure. Please supply an appropriate service block diagram
   in support of your narrative.

c) how databases are backed up and restored to ensure data integrity;

d) your provision for Disaster Recovery including time to resume normal service.

NB: The Department normally contracts for an application to be operable within 24 hrs
and in certain circumstances e.g. data corruption a further 24 hrs.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 3 sides of A4 including 1 page for diagram and including the question text and these
instructions.
a) System Monitoring
As per the Production Architecture diagram above, we have architected the infrastructure to
provide hardware redundancy so that single server or storage component failure will not affect
the service and have ensured the configuration has inbuilt load balancing and failover. The
proposed system monitoring tools (IBM Tivoli) have been used by Capita for a number of
years and our configurations ensure no performance degradation is incurred.
CheckPoint F5 Big IP
CheckPoint F5 Big IP is deployed as the hardware load balancer. This is capable of
monitoring the health of the CRM and SharePoint web applications and is deployed to provide
HA and scalability for the web front-ends.
IBM Tivoli Monitoring (ITM)
ITM provides monitoring for essential system resources, to detect bottlenecks and potential
problems and to automatically recover from critical situations. ITM avoids our system
administrators having to manually scan extensive performance data prior to remedial action.
ePolicy Orchestrator Agent
The ePO Agent will be installed on every CRM server to ensure protection from various
network security threats. The agent is responsible for deploying software components such as
VirusScan Enterprise and Anti-Spyware Enterprise and keeping them up to date with current
AntiVirus signatures.
The ePO Agent communicates with the central Anti-Virus server, to obtain details of what
software components should be installed. It will then transfer and install any policy changes or
software updates that need to be applied.
McAfee VirusScan Enterprise + Anti-Spyware Enterprise
McAfee VirusScan Enterprise protect the CRM system from viruses, worms, Trojan horses, as
well as potentially unwanted code and programs. There are daily registry-signature updates.

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In addition Anti-Spyware Enterprise finds and blocks both known and unknown spyware using
behavioural-based methods.
netForensics Agent
A NetForensics agent will be installed on every CRM server to send security related events to
the central Security Information Manager (SIM) system. The SIM will collect logs/ events,
aggregating them and forwarding them to the central management system. Here they are
correlated, analysed, and compared with current known vulnerabilities. The resulting
information is used to generate alerts and provide a security dashboard visualisation.
Tripwire
Tripwire is a configuration control solution that provides file integrity monitoring together with a
compliance policy management to protect, detect and correct IT systems security.
b) Resilience
Local resilience is built into the virtual servers with multiple fans, CPUs, power supplies,
network connections etc.
The CRM virtualised server infrastructure makes use of VMWare High Availability (HA) and
Dynamically Allocate System Resources (DRS) features that will enable windows server
images to be rapidly moved or restarted on a different physical platform in the event of a
hardware failure.
Resilience is included in the production physical server cluster by using Microsoft Clustering
Services (MSCS).
The production environment will be hosted at Capita's primary data centre at West Malling in
Kent, with a mirrored environment at our DR Data Centre at Laindon in Essex. Data will be
replicated between the centres using a dedicated 1GB fibre link to ensure we are able to meet
the RTO and RPO targets in case of a complete loss of the primary data centre.
The SQL databases are mirrored to a running SQL server at the DR Data Centre. Microsoft
support SQL mirroring for CRM, SharePoint, WARP and CleanseData. It is possible to
configure CRM and SharePoint with a secondary SQL server such that in the event that the
primary SQL server is down the secondary may be invoked quickly, subject to breaking the
mirror and enabling write access to these mirror backup SQL databases. This method of
providing DR availability for CRM and SharePoint SQL databases is a fully Microsoft
supported and documented DR method.
c) DataBase Backup
In addition to mirroring transactions to the DR configuration, overnight an offline copy of the
database will be created to provide a source for MI/BI reporting. The database will also be
backed up onto offline media and will be stored offsite as part of an agreed periodic regime to
ensure sufficient history is maintained in the event of any requirement to retrieve data over an
agreed period. This supplements the audit log which provides the definitive log of events and
data changes.
d) Disaster Recovery
We have configured the DR systems so that, in the event of a complete loss of the primary
data centre, the service can be resumed within 24 hours using the mirrored configuration at
the DR data centre. During the day completed transactions are shipped across the fibre link
between the Production and DR Data Centres, and are stored on a Storage Area Network
(SAN) device, that will mirror that of the production database. In the event of a complete loss
of the primary data centre, then virtual servers (on existing physical hardware in the DR data
centre) will be configured, using the "image build" from the production instances. After testing

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the entire configuration, the users will be able to log onto this environment within 24 hours and
will have data that reflects the last completed transactions prior to the outage. Part of the DR
plan will include IP address and DNS changes to direct clients to the servers running at the
DR Data Centre. We propose to carry out DR tests on an annual basis to ensure they will be
operable in an emergency.




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    Generic - Risk question
[7.5] Describe what industry standards / best practice you follow for your IT Development &
Operations i.e. ITILv3 Framework, ISO20000, PRINCE II, Agile and CMMI (this is not an
exhaustive list).
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 1 side of A4 including the question text and these instructions.
Capita operates using industry standards for the delivery and management of IT including:
 ITILV3 (used since 2009)
 Prince2 (used for more than 10 years)
 CMMI (largely internal to Capita)
 certified to ISO27001:2005 Information Security Management System (ISMS)
 certified to ISO9001:2008 Quality Management System (QMS)
 certified to BS25999:2006 Business Continuity Management System (BCMS)
 accredited to PCI DSS as a Hosting Service Provider
 operating to Impact Level 3 - Restricted
 BACS approved bureau, and
 registered EU Code of Conduct Data Centres Energy Efficiency.
Each of these disciplines is used consistently throughout our client base. The transition from
ITIL V2 to ITIL V3 occurred in 2009 and ITIL V3 is now fully integrated in our Service
Management offerings.
The PIP solution is based on existing systems already utilised within a number of Capita
businesses. The prime system has been developed by Capita Health & Wellbeing in
conjunction with CIBER, our long term development partner (8,500 employees and turnover >
$1bn).
CIBER utilise a number of methodologies and best practices across its operations for software
delivery, project management and customer service which conform to the same international
standards adhered to by Capita and which have been successfully dovetailing with Capita
practices for many years.
CIBER's Project Management Methodology (CPMM), combines best practices from the fields
of Project Management and Quality Assurance with practical insights gained from CIBER’s
extensive delivery experience. The approaches are consistent with themes advanced by such
internationally known organizations as the Project Management Institute (PMI), the Software
Engineering Institute (SEI), and the International Organization for Standardization (ISO).
CIBER utilise a comprehensive delivery methodology that, when coupled with our Project
Management Methodology, enables the delivery of solutions effectively, in accordance with
industry best practices. CIBER’s Software Delivery Methodology (CSDM) is a set of
repeatable, measurable processes that guide software development and manage all facets of
the software delivery process. CSDM fits within CIBER’s larger ISO 9001quality framework of
policies and procedures that direct business processes. This framework incorporates a
number of industry recognised development approaches including Agile.




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    8. Estates
    Lot Specific – Quality question
[8.1] Please describe in detail how you would source sufficient, appropriate and accessible
premises for conducting PIP Assessments across all the Lots you are bidding for.

You should include within your response consideration of both the availability of car parking
facilities (especially for blue badge holders) and public transport routes facilities at or near the
premises for PIP delivery.
Present your response (per Lot) at the top of a new page, within these preset margins in Arial
font size 12 up to 4 sides of A4, per lot including the question text and these instructions.
Each response must be individually labelled for the Lot to which it refers, by completing the
heading below:
"LOT" SPECIFIC RESPONSE FOR LOT 2 – Wales and Central England
We will deploy a flexible, accessible premises solution which will be able to rapidly respond to
fluctuations in demand within Lot 2. It combines the best of our own existing, and our partners'
existing facilities, as well as newly sourced venues as required to meet the PIP service
specification. A number of our centres will provide the capability for added value services, this
will be particularly true of those provided by our partner Assist UK who will allow us to make
use of their Independent Living Centres which are today focused on helping disabled people
or people with debilitating illnesses to become more independent. Capita’s Health & Wellbeing
business currently has a combination of 112 owned and managed consultation centres and a
further 47 partner centres within our current supply chain in the region.
Understanding what is sufficient and appropriate
We recognise that the Authority has stated that approximately 8% of face to face consultations
are likely to be required to take place in the claimant’s home due to individual circumstances
and conditions. However, as a result of the focus groups that we have undertaken with people
with health conditions and disabled people, and through further consultation with their
representative groups, we plan to offer flexibility in whether a claimant is assessed in a centre
or alternatively in their home.
Our findings from the focus groups we conducted (London: visual impairments, Bridgend:
difficulties with physical mobility, Newcastle: difficulties with mental health, Glasgow: learning
difficulties) suggest that around 60% on average would prefer to be assessed at home.
(However, we fully appreciate that we need to make sure, through appropriate training, that we
do not overstate someone's independence because they are in more comfortable and familiar
surroundings.) Our solution, therefore, currently aims to deliver in the order of 40% centre
based consultations and 60% at home, however is designed to be highly flexible around these
percentages and can alter the blend based on claimant feedback. On this basis, the number of
centres required to deliver the solution is clearly less than at the 8% DWP home visit
assumption level. Claimant Representative Groups we have engaged with feel our approach
has a high likelihood of achieving the best assessment as it is based on what an individual
feels is right for them.
Based on these parameters, we have identified the optimal locations for our consultation
centres across Lot 2 by modelling the following factors:
 the concentration (and disability type) of current DLA claimants from publically available
     information and the volume of PIP assessments to be carried out across Lot 2 over the
     period of the contract as provided by DWP

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    GIS mapping of claimants and demand to ensure the right number of centres / rooms in
     the right places, and ensuring public transport travel times for claimants are minimised
     using sophisticated tools from our Capita Symonds property experts (ArcGIS and Network
     Analyst), and
 we then assessed the highest density areas across the Lot 2 geography, factored in the
     home versus centre percentages, assessed this according to the volume profile supplied
     by the DWP and then worked out the number of rooms required to meet this demand over
     time (within the constraints of the 90 minute travel by public transport rule).
Based on this work, we have identified the need for centres in 16 densely populated locations
offering 76 consultation rooms (at peak) across Lot 2 (detailed in the diagram below). Our
analysis shows average travel times to one of our centres within Lot 2, for those claimants
living within 90 minutes of a centre by public transport, will be just under 35 minutes. 91% of
all claimants will be within 90 minutes of a centre by public transport, with 78% being within 60
minutes. Those who live outside the 90 minute travel times by public transport will always be
offered a home consultation meaning in effect 100% of claimants who will be offered a centre
based consultation will live within 90 minutes travel time by public transport. All of our centres
will incorporate at least one ground floor consultation room and have appropriate car parking
facilities.
Our solution leverages our current estate as well as some new property in high density areas
in order to meet the required public transport travel time. In some cities / towns we have
multiple centres from which we could deliver the service. In these cases we have provided
more than one address in the financial model and will choose the most appropriate centre(s)
during delivery. We have created a wider network of properties through our local partnerships
to deliver a location strategy that is flexible and able to scale according to specific local
requirements. Capita has strategic partnerships in place with:
 Assist UK – who have a UK wide network of 35 Disabled Living Centres (with 2
     assessment centres available to us in Lot 2 and a further 9 which we are in discussions
     with or which could act as contingency), which will additionally provide claimants with
     signposting to assistive services and technologies
 Remploy – who have 36 Employment Services branches throughout the UK, with 15 within
     Lot 2 with ground floor access to provide contingency for unexpected demand. Where a
     claimant is searching for work, this may also provide them with a relationship and a
     contact to assist them if this is appropriate (depending on individual circumstances). We
     will also signpost Remploy services as part of our solution as appropriate, and
 Reed in Partnership - who will provide contingency in recruitment, consultations and
     consultation centres. They have 34 offices across the UK (5 in Lot 2) with ground floor
     access, which could be used as assessment centre venues to provide contingency for
     unexpected demand. Again, where a claimant is searching for work, this may also provide
     them with a relationship and a contact to assist them if this is appropriate.
Consultation Centre Venue Locations
Our proposed locations for Lot 2 are illustrated in the graphic below, with 30, 60 and 90 minute
travel times shown:




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                                                                      No of 
                                                  Location            rooms     Supplier(s) 
                                                                    (at peak)
                                                  Birmingham            11      Capita Leased 
                                                  Newcastle‐UL          6       Capita Leased 
                                                  Ollerton              5       Capita Leased 
                                                  Merthyr  Tydfil       5       Capita Leased 
                                                  Shrewsbury            3       Capita Leased 
                                                  Swansea                5      Third Party Leased 
                                                  Wolverhampton         5       Third Party Leased & Assist UK 
                                                  Nottingham            5       Third Party Leased  & Assist UK
                                                  Northampton           5       Third Party Leased
                                                  Coventry              5       Third Party Leased 
                                                  Cardiff               4       Third Party Leased 
                                                  Derby                 4       Third Party Leased 
                                                  Walsall               4       Third Party Leased 
                                                  Leicester             4       Third Party Leased 
                                                  Newport               3       Third Party Leased 
                                                  St Asaph              2       Third Party Leased 



In addition to the above we will also deploy two accessible mobile consultation centres to
address low population areas such as mid Wales. This can provide extra flexibility during
times of high demand for service. An example configuration is shown in the image below:




We will appoint a Consultation Centre Manager who will be responsible for fulfilling venue
demand for each consultation type, continuing the use of property tools from within our
property division such as the GIS location mapping tool we have used during solution design.
He/she would be responsible for refining our local portfolio of premises including liaising with
SMEs who might have the most suitable accommodation for a particular locality, based on the
randomised volume of requirements that are presented by DWP.
Understanding what is accessible
Our property criteria have been designed based on the DWP’s estates requirements in terms
of size, facilities and accessibility. Our aim is to provide an environment that is usable by
everyone by tasking our inclusive environment specialists to select sites which meet best

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practice for access including nearby public transport, accessible car parking, clear signage,
access, egress, circulation and accessible facilities including reception, WC and baby
changing facilities. We are working with Disability Rights UK and exclusively with Assist UK,
(two charities that work with disabled people with all types of impairment and long term health
conditions) and have already jointly created a draft Estates Charter that defines what is
appropriate in terms of individual customer experience and all premises used will have to
adhere to this. With PIP’s focus on independent living we will also use some of Assist UK’s
network of assistive equipment centres to deliver consultations (as detailed above) within the
region of Lot 2 to provide a comprehensive service where claimants (where appropriate) can
learn more about what is available to help them live independently in addition to being
assessed. In Lot 2, w this includes Neville Garrett Independent Living Centre in
Wolverhampton.
Our scheduling tool is able to filter locations by accessibility criteria to make sure individuals
are matched to an environment they will find accessible for their particular needs, as part of
the initial triage process. We also recognise that in some instances a home visit will be the
most ‘accessible’ option due to either complex reasonable adjustments, or the geography, and
will therefore promote this as part of our solution.
Parity of access
Once our premises have been uploaded on to our system, we will use technology to undertake
a mapping exercise at the individual level which takes into account travel preferences (such as
route to work and home, mode of transport and provision of access, logistics and geographical
parameters) and availability to find the most appropriate local venues for each claimant.
Having a broad network of centres allows for effective micro-scheduling. Through this we can
ensure the applicant is least inconvenienced and feels that their individual needs are met.
We believe that our sourcing strategy is effective because:
 it is focused on the individual’s requirements and preference
 it is hugely scalable and flexible, supported by our property management team who
    currently manage many commercial properties within the Lot 2 region
 it supports local SMEs in a sustainable way
 it leverages a large existing footprint covering the existing full geographic coverage, but
    with few committed costs
 there is a supply chain of the most appropriate and capable partners in place, and
 it has the support of key stakeholder groups.




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       Generic - Risk question
 [8.2] Explain how you will manage your estate provision over the duration of the contract
period specifically covering;

a) availability and duration of availability of premises;

b) how capacity thresholds are monitored and managed;

c) how you would meet the challenge of either increasing or decreasing the capacity of your
estate and what timescales this can be achieved in;

d) details of any service contracts for cleaning, maintenance, security including whether these
are/will be sub-contracted (detailing any lot specific differences);

e) what percentage level of availability you propose for your estate and how you could extend
availability to support peaks / backlogs;

f) what are your business continuity/disaster recovery arrangements in relation to access to
estate;

g) what mechanisms are in place to maintain service.
Present your response at the top of a new page, within these preset margins in Arial font size
12 up to 3 sides of A4, including the question text and these instructions.
Overall Property Strategy – Our property solution delivers the optimum combination of using
primarily existing, and some new, permanent consultation centres (primarily in urban areas),
temporary centres (for the peak periods), mobile centres (in some rural areas) and the
flexibility of home based consultations as required. We have also developed an Estates
Charter in conjunction with Disability Rights UK (DRUK) including accessibility criteria such as
locations (near public transport links), car parking, signage (in Braille for things such as toilets
and lifts), lift dimensions, reception features, and refreshments being available for claimants.
Availability and Duration of Premises – We will therefore meet the needs of claimants that
require a consultation centre assessment through a combination of: leased premises, serviced
offices, partner sites (Assist UK, and potentially Remploy and Reed) and mobile units (for
contingency or rural areas) as follows:
Leased Premises - Our objective has been to deliver the maximum coverage and flexibility.
We have analysed the DLA population densities across the UK and for the major cities and
towns we will leverage the current Capita estate to manage the assessments in these
locations. These cities and towns include: Manchester, Edinburgh, Glasgow, Newcastle,
Liverpool, Leeds, Bootle, Birmingham, Central London, Bristol and Belfast. We will also secure
new leases in the following locations: Grimsby, Warrington, Falkirk, Newcastle-Under-Lyme,
Ollerton, Merthyr Tydfil, Shrewsbury, Croydon, Southall, Dorchester, Salisbury, Penzance,
Londonderry/Derry, Enniskillen, Coleraine and Armagh. This means in 27 of the 80 locations
where we need a centre, these will be Capita leased. Our leases and available space at these
locations will cover the peak demand of claimants requiring a centre based consultation.
During ramp up and steady state, where the number of rooms required will be less than during
the peak periods, we will utilise the space to service other contracts from our Health and
Wellbeing business. Thus the DWP (and DSD) is only paying for the space it needs, based on
the volume profiles provided. However, the DWP requirements will take precedence so if there

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are unexpected fluctuations in volume we will always be able to manage these demands.
Serviced Offices & Partner Sites - For the remaining 53 locations, we will use a combination
of serviced offices, supplied by our sub-contractors Regus and Instant Offices, and partner
sites, delivered in partnership with Assist UK. We will also have contingency sites provided by
our partners Remploy and Reed in Partnership who have 36 and 34 venues available to us
across the UK respectively. These locations are completely flexible and the rooms we need for
assessments will flex with demand. Our property decisions are based upon how we can best
deliver the service and in particular the suitability of the properties. In terms of serviced offices,
lease agreements will be flexible, will include key SLA requirements to support the contract,
and will be of sufficient length whilst including break clauses should the accommodation be no
longer required. Typically we would expect that in either the first two or three years the lease
would contain no break provision, followed by the ability to break on three or six month notice.
To provide further consultation rooms if required we have entered into agreements with Assist
UK, Remploy and Reed in Partnership. We have teamed exclusively with Assist UK, a national
charity network focused on independent living, with 35 Independent Living Centres across the
UK. We have factored 14 of these centres in to our modelling. Others can be called upon in
times of unexpected demand. These centres have agreed in principle to provide such services
so that individuals can, if they choose to do so, spend time learning about assistive equipment
that might help them to become more independent before or after their consultation. (If
claimants subsequently decide to invest in technology or other equipment that reduces their
dependency on carers, for example, it may also reduce their longer term dependency on
government support.) These locations will also provide a friendly and familiar environment to
claimants, improving the user experience.
Mobile Units - The final element to our solution is mobile units. We will implement 9 vehicles
across the UK 2 in Lot 2, which will be used for contingency, and for delivering assessments in
rural areas where claimants want a centre based consultation, but live too far away to attend
one of our fixed centres.
Example Implementation Plan – Below is a summary of the key activities we will undertake
to secure and set up a centre (where we or our partners don’t already have the centre today):
 a search for a property is made in the chosen location by issuing a search to the local
    market – this takes around 2-3 weeks. We will filter the properties in accordance with the
    specifications (as provided by DWP). Arrangements are made to view the properties to
    assess the venue against the requirements
 once the property is chosen, the Heads of Terms are negotiated – this can take up to 4
    weeks to secure agreement. Once agreed solicitors are instructed which can take up to 12
    weeks depending on the property
 the tender process then begins for the fit out – this takes approximately 2 weeks. Bids are
    assessed and the successful Contractor chosen. Once legal work is completed, the
    contractor is instructed and fit out commences – this takes 4-6 weeks. During this time BT
    is instructed, IT, furniture and medical kit is ordered
 recruitment of the centre co-ordinator is carried out and staff start 2-3 weeks before the go
    live date for the centre. Centre set up is also completed 2-3 weeks before go live when
    training is also given
 full works packages for cleaning and maintenance are then put in place to commence on
    the go live date. A final health and safety and accessibility inspection is carried out before
    go live date, and


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    full performance testing of the venue prior to go-live is then carried out, scheduling some
     test cases, ensuring scheduling and receiving processes work as well as the IT systems
     that support them and lessons learned are fed back for go-live.
Managing and Monitoring Capacity Thresholds – Our HeART IT solution will be uploaded
with all of the consultation centre locations and data such as address, contact details and
number of rooms available. As part of our automated first stage triage solution, the system will
allocate cases to the nearest venues as appropriate. Capacity management will be
automatically monitored and flagged via management information and dashboard views if
there are spikes in demand in particular locations. We will maintain a forward rolling capacity
plan that will plan the level of accommodation on a 3-month rolling basis. Where capacity
thresholds are being reached in a particular locale due to unexpected volume fluctuations,
more home visits will take place, mobile units will be deployed or extra room in serviced office
or partner locations (as described above) will be put in place.
Meeting the Challenge of Increasing / Decreasing Estate Capacity and Timescales – Our
choice of property solution has been specifically chosen to allow flexibility. We fully expect that
during the delivery of the service there will be variations in the level of use of buildings, such
that we may need to either reduce or increase our footprint. The use of serviced offices means
that we can take additional space as required. This will depend on availability, but through the
monitoring of occupancy and maintenance through a forward capacity plan, we will highlight at
an early stage such a requirement, and discuss the need to increase accommodation with the
provider. The release of accommodation is a much more straight forward process as release
of space will be permitted under the terms of the property agreement. Such changes will be
implemented within approximately 2 weeks.
Service Contracts – We will provide security, maintenance and cleaning services to agreed
SLAs to ensure the service can operate smoothly and effectively. We have a facilities
management contract with Mitie providing FM services on a national basis. We will use the call
off arrangements that are in place to service any centre as required.
Percentage of estate availability and how this could be extended for peaks / backlogs –
We have planned in more space than required (based on the volume profiles issued by DWP)
for the delivery of the contract to give us a contingency across the term of 5% in case of
unexpected change. In addition, for new leased space, options for growth will be part of our
selection criteria. Furthermore, we will also be able to deploy mobile units and finally we also
an ability to call upon further partner sites as described above. A combination of proactive
monitoring of service delivery and usage, and our flexible sourcing solution, as described
above, will ensure that implementing changes will take no longer than 2 weeks.
Business Continuity (BC) and Disaster Recovery (DR) Mechanisms to Maintain Service
We have robust BC and DR policies and plans in place in and we will work with DWP to
design and test a BC/DR plan for the service as part of our solution. The plan will be tested at
least annually, including the estates element. Also each site will develop its own BC/DR plan,
consider how to immediately respond to a disaster or other event, and what needs to happen
in order that the site can be brought back into use. At a local level we will have a number of
options including carrying out more home visits in that area, directing claimants to alternative
centres or setting up alternative temporary serviced offices in the same locale.




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    9. Security
    Generic - Risk question
[9.1] Please describe, in detail, your plans for managing and securing PIP data (especially
sensitive personal data records - aggregated and unaggregated), in line with departmental
(ISSS) and Cabinet Office security standards (Security Policy Framework).

Your response should include, accommodation (physical), electronic (IT systems) and
process elements of the service.
Please also complete and upload your draft Security plan (see Document 4 Part 16) as a
separate document. Please name this separate document as follows: ‘Supplier Name’_
Draft Security Plan.

 This should also clearly identify (via separate Lot Annexe) where any of your security
 arrangements will differ, dependant on the Lot you are bidding for
Please name these separate Annexes (if appropriate) as separate documents as follows:
‘Supplier Name’_ Draft Security Plan_Lot 1 Annex_(Lot 2 Annex …..etc)
Present your response at the top of a new page, within these preset side margins in Arial font
size 12 using up to 2 sides of A4 per Lot including the question text and these instructions.
“LOT” SPECIFIC RESPONSE FOR LOT 2 - Central England and Wales
We recognise that the security of the solution is of critical importance to both the DWP and the
individual applicants who entrust us with their personal data. As the Assessment Provider we
will handle large amounts of data from personal, sensitive, to aggregated, all of which needs to
be handled and protected in a robust, appropriate and consistent manner. Furthermore we
recognise that the DWP operate in a highly regulated environment and face numerous
compliance regimes relating to the provision of Information Assurance (IA), Security and Data
Protection. In order to address these challenges, a strategic approach is required, using a risk
based methodology. Our SME and Lot 2 partners such as Assist UK members, WIRED and
Equal Approach will achieve and adhere to security and audit requirements supported by our
Infosec practice.
Capability
Capita is experienced in addressing security within a geographically diverse environment and
have highly skilled security and support personnel located across the UK able to offer
additional support as and when required. Our extensive experience includes the design and
implementation of bespoke solutions for HMG clients, including the provision of secure
infrastructures and the handling of Protectively Marked information. These secure solutions
include IL2 (PROTECT), IL3 (RESTRICTED) & IL4 (CONFIDENTIAL) infrastructures within
Local Authorities, Non-Departmental Government Bodies and Central Government, and IL5
(SECRET) and IL6 (TOP SECRET) environments in the Defence sector.
Security Policy
The security requirements for PIP are aligned to several HMG and DWP policies, manuals of
security and International Standards such as The HMG Security Policy Framework (SPF),
ISSS and the IS027000 series. We will ensure that our solution is fully compliant with all
relevant DWP and HMG security requirements, policies and guidelines in accordance with the
business Impact Levels (IL) and/or the Protective Marking of the information assets. This will
ensure the continued security assurance in terms of Confidentiality, Integrity and Availability
relating to the systems and data of both the DWP and the AP. Any changes required due to

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change of policy under potential Welsh devolution will be incorporated within policy and plans.
Approach
Our overarching security approach is based on a risk management core. Technical Security
for our solution will be assessed using the HMG IS1 methodology, and recorded in the
RMADS. This risk posture will be reassessed quarterly for personal data assets, and annually
for other assets or following a substantive change. Equally Physical Security will be assessed
using the ISSS specified Minimum Baseline Measures Matrix (MBMM). We will continuously
work with DWP in relation to risk management, including the formal recording and notification
of identified current or emerging risks and vulnerabilities.
Security Manager & Security Management Plan
A Capita Security Manager will be assigned, responsible for managing all the day-to-day
security governance, compliance and IA related activities with the DWP SIRO and Accreditor.
This role will also be responsible for the management of audits, personnel security and on-site
physical security where appropriate, and will be based in our Lot 2 service centre Birmingham.
The Security Manager will create, own and implement the Security Management Plan; a draft
of which is included with this proposal. We will present an updated Security Management
Plan to DWP within one calendar month of Transition commencement. This will be a living
document that is maintained under strict version control throughout the contract term.
Security Zones & Data Aggregation
We are also aware that the solution must be architected and managed based on a security
zone approach whereby data, assets and environments carrying differing impact levels are
segregated. An example of this would be the additional security controls applied to areas of
data aggregation which raises the impact level from IL2 to IL3 for confidentiality.
One such area would be the hosting of applicant data in our CRM system where we would
expect the aggregation of these records, which include sensitive personal information, to raise
the impact level up to IL3. Procedural controls will be established to prevent the accidental
aggregation of data outside an approved security zone. For example, we will place a limit on
the number of completed assessment forms that an assessor can carry at any one time.
The physical and logical controls that we will put in place around any single Security Zone will
be commensurate with the impact level of the data managed within that Zone. For example;
biometric verification to gain access to the data centre that is hosting the PIP CRM platform,
but would not require the same level of control to enter an assessment centre.
Information Management & Training
We will provide training and awareness to all staff enabling them to apply Information
Management practices operationally, including Information Security controls. Quality
Information Management practices will be adopted and integrated with IAMM requirements to
ensure that all DWP or applicant data handled by Capita is understood, recorded, protected in
accordance with its protective marking/IL and associated storage environment such as
servers, portable electronic devices or paper-based information held within cabinets.
Future Enhancements
We are aware that the delivery of the PIP programme is operating on an accelerated timeline.
Therefore, through the design of our solution it is our intention to minimise the scope of any
initial accreditation activity that may be required. As the service matures, we will most likely
seek opportunities to make it more efficient, and reduce any ongoing burden on the DWP,
which may lead to further accreditation activity.


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