Request for Project Closeout Certification Form s1

Closeout Request for Project Closeout Certification Form

ALL CERTIFIED PROJECTS MUST FOLLOW NM STATE POLICIES AND PROCUREMENT CODE

1. PROJECT GOVERNANCE

PROJECT NAME National Background Check Program PROJECT SHORT NAME(S)

DATE November25, 2014

LEAD AGENCY Department of Health / Division of Health Improvement

OTHER AGENCIES Department of Public Safety GAYLE NASH, TERRY REUSSER CIO Dept. of Health, EXECUTIVE SPONSOR RONALD BURTON CIO Dept. of Public Safety AGENCY HEAD RETTA WARD, Secretary Dept. Of Health

AGENCY CIO/IT LEAD TERRY REUSSER CIO Dept. of Health

PROJECT MANAGER Scot W Moye

1. 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. 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

Revision: 6/18/13 Page 1

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 Yes No Explanation/Notes There were 4 Business objectives Were the project objectives (expected and 5 Technical Objectives, all of Y outcomes) accomplished? which have been successfully completed Were all Deliverables submitted and Y accepted? Did the IV&V vendor verify that all Y Reference last IVV report 6/30/14 deliverables met the requirements? Innovative Architects has a contract for CY2014 is in place for Have all contracts been closed? Y Sustaining Operational support and 3 rd party hosting and support.

Have all final payments been made (i.e., All project related payments to Y invoices paid) outside vendors have been paid Have all project documents/records been Y DOH ITSD Project SharePoint appropriately stored for future reference? Has adequate knowledge transfer been Y ITSD ASB is trained up on

3A. Scope Verification application support. DHI users group has been trained and third completed? party provider users group continues sustaining training.

3B. MAJOR PROJECT DELIVERABLES AND PERFORMANCE MEASURES MET Major Project Deliverable and Performance Measure Budget Date Project Phase (Include an explanation if deliverable or performance measure was not met.)

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 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

4A. CERTIFICATION HISTORY Funding Source(s) – Funding Total Amount Cert. Date Cert. Amount (Cite the specific laws, grants, etc. and total amount.) Sept 2011 $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 col- lected 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

4B. RFP / Contract History (LIST ALL RFP’S AND CONTRACTS ISSUED FOR THE PROJECT.)

List RFP and Contract Contract Compensation % (Purpose and/or Description) Number Amount or NA Complete 3M Cogent Inc. Professional Finger- 20-790-00-01007 $50,000 100% print scanning services for DPS

Innovative Architects LLC for 30-665-13-08623 $124,500 90% Ongoing Support & Hosting of CCHSP2.0 tool

POD Inc. for IV&V support SPD#10-000-00- $50,000 100% 00043A

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: $2,000,000 Actual Cost: $1,592,166 (Budget) (Total) . Profes $1,187,100 . Pr $797,250 sional Services ofessional Services . Hard $387,200 . Ha $170,081 ware rdware . Softw . So are ftware . Netw . Ne ork twork . Other $425,700 . Ot $624,835 her

6A. Independent Verification & Validation (INCLUDE SUMMARY OF THE LAST IV&V REPORT OR RISK MANAGEMENT SUMMARY REPORT.)

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.

• 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 Yes No Explanation/Notes

$124,500 per Year – single source exception contract for Are there recurring maintenance/operational CY14 with Innovative Y costs for the product/service? Architects for support & hosting

Are there any recommended enhancements N or updates? 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