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Request for Project Closeout Certification Form
ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE
1. PROJECT GOVERNANCE
PROJECT NAME
PROJECT SHORT
NAME(S)
National Background Check Program
DATE
November25, 2014
LEAD AGENCY
Department of Health / Division of Health Improvement
OTHER AGENCIES
Department of Public Safety
EXECUTIVE SPONSOR
AGENCY HEAD
GAYLE NASH, TERRY REUSSER CIO Dept. of Health,
RONALD BURTON CIO Dept. of Public Safety
RETTA WARD, Secretary Dept. Of Health
AGENCY CIO/IT LEAD
TERRY REUSSER CIO Dept. of Health
PROJECT MANAGER
Scot W Moye
2. PROJECT ABSTRACT
(PROVIDE A BRIEF DESCRIPTION AND PURPOSE FOR THIS PROJECT.)
The National Background Check Program project reflects the next steps to improve New
Mexico’s ability to the prevent abuse, neglect and exploitation of care recipients.
Established by statute in 1998 [section 19-17-1-5 NMSA 1978], the Caregivers Criminal
History Screening Program (CCHSP) required caregivers to undergo a nationwide criminal
history screening to ensure to the highest degree possible the prevention of abuse, neglect or
financial exploitation of care recipients.
Since the inception of the CCHSP program, however, application volume increased from
3,864 in State FY 1999 to 35,000 in FY 2010. Resource demands have been high on
providers, the Department of Health (DOH) and the Department of Public Safety (DPS) to
keep up with the pace and still maintain the accuracy of screening. Improvements in
technologies for scanning and reporting (Live Scan finger printing and FBI Rapback
integration) as well as training and compliance processes are pivotal to ensuring continued
protection of care recipients.
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The National Background Check project was designed to update and modify the CCHSP 1.0
system while addressing increased volumes and demands from program providers
The finished product was designed to:
• Increase the speed and accuracy of information flow greatly providing enhanced and
timely inter-agency communication.
• Integrate searchable registries are expected to increase providing a one-stop repository
for care providers to quickly ascertain employment suitability.
• Add supporting tools and processes will also improve provider audits and compliance.
• Support the integration and migration exclusively to digital fingerprint records that
have been analyzed and vetted by the DPS and the FBI
All of these improvements support DOH Strategic Plan FY12-FY13 Health System
Objectives. See project charter for details.
3A. Scope Verification
REQUIREMENTS REVIEW
Were the project objectives (expected
outcomes) accomplished?
Were all Deliverables submitted and
accepted?
Did the IV&V vendor verify that all
deliverables met the requirements?
Yes
Y
No
Explanation/Notes
There were 4 Business objectives
and 5 Technical Objectives, all of
which have been successfully
completed
Y
Y
Have all contracts been closed?
Y
Have all final payments been made (i.e.,
invoices paid)
Y
Reference last IVV report 6/30/14
Innovative Architects has a
contract for CY2014 is in place for
Sustaining Operational support
and 3rd party hosting and support.
All project related payments to
outside vendors have been paid
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Have all project documents/records been
appropriately stored for future reference?
Has adequate knowledge transfer been
completed?
Y
DOH ITSD Project SharePoint
ITSD ASB is trained up on
application support. DHI users
group has been trained and third
party provider users group
continues sustaining training.
Y
3B. MAJOR PROJECT DELIVERABLES AND PERFORMANCE MEASURES MET
Major Project Deliverable and Performance
Measure
(Include an explanation if deliverable or
performance measure was not met.)
Budget
Date
Project Phase
IV&V FY13 & 14
$ 58,028
06/30/14 Planning, Impl, Close
CCHSP functional requirements
$ -
01/25/12 Initiation, Planning
CCHSP vendor RFI
$ -
01/19/12 Initiation
CCHSP design/dev./testing
$ -
10/29/13 Planning/Impl
NBCP Testing Resource
$ 225,000
03/31/14 Implementation
LiveScan functional requirements
$ -
03/06/13 Initiation, Planning
LiveScan vendor RFP process
$ -
10/01/12 Planning
Rapback functional requirements
$ -
12/31/13 Planning
Rapback design/dev./testing
$ 300,000
06/10/14 Implementation
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Matcher hardware purchase/ AFIS Changes
$ 191,774
07/15/13 Planning, Impl
Provider training
$ -
07/31/14 Implementation
CCHSP deployment
$ -
11/19/13 Implementation
Facilitation rollout planning
$ 79,626
12/31/13 Implementation
LiveScan service deployment
$ -
12/31/13 Implementation
Rapback deployment
$ -
06/10/14 Implementation
Total
$ 854,428
Cert. Date
Sept 2011
4A. CERTIFICATION HISTORY
Funding Source(s) – Funding Total Amount
Cert. Amount
(Cite the specific laws, grants, etc. and total amount.)
$150,000 Initiation Phase
CMS Federal FY2010-12 National Background Check
program under Sec 6201 Affordable Care Act
CMS Grant #1A1CMS330813-01-01
Non-federal match funds will be generated from NM State
Licensing fees, State civil monetary penalties and fees
collected to perform criminal background checks.
Feb 2012
$165,000 Planning – CMS Grant #1A1CMS330813-01-01
May 2013
$904,650 Implementation – CMS Grant #1A1CMS330813-01-01
Dec 2013
$0 Grant Extension request for 2014 – no new funds
requested only duration.
Nov 2014
$0 CLOSEOUT
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4B. RFP / Contract History
(LIST ALL RFP’S AND CONTRACTS ISSUED FOR THE PROJECT.)
List RFP and Contract
(Purpose and/or Description)
3M Cogent Inc. Professional
Fingerprint scanning services for DPS
Contract
Number
20-790-00-01007
Compensation
Amount or NA
$50,000
Innovative Architects LLC for
Ongoing Support & Hosting of
CCHSP2.0 tool
30-665-13-08623
$124,500
90%
POD Inc. for IV&V support
SPD#10-000-0000043A
$50,000
100%
%
Complete
100%
5. Schedule and Budget
Planned Start Date
January 1, 2011
Actual Start Date
January 1, 2011
Planned End Date
December 31, 2013
Actual End Date
June 30, 2014
Planned Cost:
(Budget)
 Professional
Services
 Hardware
$2,000,000
$1,187,100
$387,200
Actual Cost:
(Total)
 Professional
Services
$797,250
 Hardware
$170,081
 Software
 Software
 Network
 Network
 Other
$425,700
$1,592,166
 Other
$624,835
6A. Independent Verification & Validation
(INCLUDE SUMMARY OF THE LAST IV&V REPORT OR RISK MANAGEMENT SUMMARY REPORT.)
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The DOH National Background Check Project has ended. Only project closeout activities
remain. Project Manager Scott Moye is working on closeout documentation and the PCC
presentation. Mr. Moye indicated that the closeout presentation to the PCC will occur in June
2014.
This report is the final project closeout report by POD. .
• Accomplishments
 The DOH NBC Project has been successfully completed, and the project team has
fielded the CCHSP 2.0 system for production use within budget.
 On 3/25/2014, Mr. Gilbert Mendoza, DOH NBC Grant Point of Contact and CCHSP
Program Manager, completed the Acceptance of Software letter for the CCHSP.
 Project objectives and critical success factors
• Objectives and critical success factors were achieved in regard to CCHSP 2.0,
but not in regard to the Rapback.
• DOH’s Rapback services are complete and ready to deploy. DOH has not yet
deployed Rapback, because the Department of Public Safety (DPS) wants to
launch its Rapback services simultaneously with DOH’s.
• DOH’s Rapback deploy is on hold. DPS is coordinating with Cogent for a
“live” portal test and will evaluate its results. DPS has indicated that it will
authorize deployment before 6/30/2014 (DOH 5/10 DoIT Report).
• When Rapback becomes operational, DOH objectives and critical success
factors will have been fully achieved.
• In the 5/10/2014 DoIT report, DOH reported that more than 7,000 applicants had
been cleared for hire and 300+ providers were actively and exclusively using
CCHSP 2.0.
6B. LESSONS LEARNED
• Continuity of project personnel – with projects of this complexity and duration require
a level of consistency to preserve the integrity and efficiency of the work being done.
NBCP had 4 PMs, 2 App Support Dev and an intermittent UAT/QA analyst.
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• Multi Agency/Multi-Vendor challenges – Multi Agency projects require an elevated
level of communication and attention in order to keep the project priority consistent
between the two agencies.
• Quality Test Tracking required better coordination and tools as fixes, changes,
enhancements were measured and monitored via freeware and excel spreadsheets
• UAT required better planning and management. UAT was not initially tested against
user requirements or technical requirements.
• Projects of this scale require better Test Database tools like Team Foundation Server
which was not available at the time but has since been introduced into the dev.
environment.
• DPS opted for cost considerations not to build out/ request a Test environment for one
of their key integration points, the AFIS database. All Integration development and
testing was conducted with manual intervention of data from one test system to
another. True integration testing was only accomplished once the other systems were
deployed and connected to AFIS. Had the development code not worked properly the
system could have failed and required a back out. Fortunately we got lucky.
• The project was heavily reliant on DPS deployment schedules and priorities which
occasionally posed delays on deployments, particularly in the Rap Back deployment.
• Some finance challenges were experienced which sidelined several key professional
services resources during the projects due to expiring contracts or insufficiently
encumbered monies. A better planning effort is needed to avoid these unnecessary
lapses in availability of key resources.
7. TRANSITION TO OPERATIONS
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Yes
Are there recurring maintenance/operational
costs for the product/service?
Are there any recommended enhancements
or updates?
No
Y
Explanation/Notes
$124,500 per Year – single
source exception contract
for CY14 with Innovative
Architects for support &
hosting
N
Summary of agency plan to support project solution in production.
The Department of Health’s ITSD Application Support Bureau will support the CCHSP2.0
tool through its traditional Help Desk process. Since the tool currently resides on third party
hosted servers, the Application Support Bureau will serve as triage team for the tool and
determine when in the workflow the issues are occurring and reporting the problem to the
appropriate vendor for resolution.
Summary of agency plans to fund the Maintenance and Operations of this project.
The DOH DHI program will fund the ongoing operations and maintenance through its own
internal funding stream and revenues received from the fees associated with processing the
CCHSP2 applications
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