CONNECTICUT HOUSING FINANCE AUTHORITY REQUEST FOR PROPOSAL FOR Development of Strategic Information Technology Plan

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1 Overview The Connecticut Housing Finance Authority (CHFA) was created in 1969 as a public instrumentality by the State Legislature. As a quasi-public agency and political subdivision of the State of Connecticut, CHFA s purpose is to help alleviate the shortage of affordable housing for low and moderate-income families and persons in Connecticut by providing both single family mortgage and rental housing for the purchase, development and construction of housing. For additional information, please reference CHFA s website at Project Summary The Connecticut Housing Finance Authority ( the Authority ) is seeking to engage a qualified firm to assist the Authority in the development of a strategic Information Technology plan after conducting an evaluation of the Authority s current technology infrastructure. The primary objectives of this effort would be to: Develop an understanding of the Authority s overall technology needs in light of its business goals and operational plans Conduct an assessment of the Authority s systems environment in relation to emerging trends and developments Assess CHFA s current business application needs and develop a recommendation for the future technology utilization Assess the current security capabilities and practices in light of industry standards Develop a three to five year strategic information technology plan Business Drivers The major business drivers that require the development of the strategic Technology plan are: Achieve CHFA strategic and tactical business goals through use of technology The desire for new and improved technologies to support business lines within in CHFA departments The need for enhanced information access, management and analytics to drive business strategy The need for established priorities and budget forecasts The need for a long-term Technology Roadmap Identified need for data integration and interface Benchmarking technology as against peer organizations to identify best practices for technology utilizations in support of housing finance agencies The desire to identify opportunities for cost reduction and growth management Technology Environment The Connecticut Housing Finance Authority manages a multi-server network that provides application, file and print services for the Organization s users (approximately 140). The Authority s standard Page 1 of 8

2 network operating system is Windows TM Server 2003 and the standard desktop operating system is Windows TM XP. The servers are RAID configured for hard drive mirroring and on-line redundancy, and are protected by uninterruptible power supply (UPS) devices which provide emergency backup power. There is currently no back up generator on-site. The CHFA Network consists of several internal virtual LANs (VLANs) and associated IP Subnets. A Firewall Cluster provides access controls and connectivity over the organization s redundant Internet architecture utilizing BGP peering. The Information Systems function for CHFA is managed by the Administrator of Information Systems who directs a staff of seven, including Support Specialists, System Analysts and Network Specialists. The IT staff is responsible for all technical and administrative issues relating to CHFA s PCs, network and applications, including and password maintenance, user support, data backup and information systems policies and procedures. Scope of Services The Connecticut Housing Finance Authority is seeking a consultant with experience in information technology strategic planning in order to develop a technology strategic plan which will guide the Authority s investments in information technology over the next three to five years. Working under the direction of the Administrator of Information systems, the selected consultant will be responsible for creating and delivering a written and documented three to five year technology strategic plan which will: Document Current State of Technology Utilization The IT strategic plan should include a high level overview documentation of the current CHFA systems environment and data flows across all divisions and department, including automated-supported workflow and systems integration. This work will include a review and assessment of IT documentation, current hardware and software the current level of system integration and automation utilization, and should include an assessment and input from a review of documents, discussions with IT staff, and CHFA IT users, and current IT vendors. Document Desired State of Technology Utilization Recommend and document the vision and objectives for technology utilization and deployment for CHFA including the selected consultant s perspective on industry vision and objectives, state of the art utilization and integration through The desired state should foster CHFA getting closer to its customers, integrating data across the organization, leveraging data as a competitive advantage and rationalizing business processes and the supporting infrastructure. The desired state should identify projected technology needs and identify gaps between current state and desired state technology utilization and deployment. The recommended vision should identify the options for IT advancement on the spectrum from CHFA current state to most wired state. Page 2 of 8

3 This work should include interviews with key staff; discussion with other state housing finance agencies, the selected consultant s independent research and knowledge of future business technology innovations in the industry, including banking financial systems, investments management systems, regulatory reporting, mortgage financing and loan servicing systems, front-in (customer) and back-end administrative and operations management and reporting, data research and analysis support, human resources and general financial services. The goal is that technology change will raise operational efficiency and management oversight, lower costs, increase compliance with changing regulations and provide new capabilities to address external and internal customer needs based on best practices for the industry. Documentation of three to five year information technology strategy for CHFA should include systems in support of the following: Loan serving Mortgage processing Regulatory reporting Financial management and reporting Infrastructure Security Website management Administrative services Compliance Operations Budgeting Database management Research and analysis IT Strategic Plan and Roadmap The combination of this work should lead to the development of a written three to five year plan which articulates the strategic vision and objectives, the rationale for the strategic investments, a prioritized technology strategy roadmap (by year) for proposed systems including projected costs and timeline. The selected consultant must provide a statement of technology projects/initiatives (by year and rationale) and capital funding plan by year. The plan must also include recommendations for staffing, governance and organizational changes necessary to enable and support the full implementation of the strategic plan recommendations. The strategic plan should describe the functionality of the proposed systems and address the prioritized sequence and timing of systems implementations, integration of systems with current/proposed systems. An estimated cost range for each system should also be included inclusive of development, installation, capital investment and on-going system support and maintenance. The benefits of each proposed system should be briefly described, including compliance, improvements in efficiency, as well as an assessment of monetary or non-monetary return on investment for each. Page 3 of 8

4 An assessment of the risks and critical success factors should be a component of the plan. The recommendations should address: 1. Technology vision and guiding strategies for CHFA 2. IT staffing and governance needs 3. IT prioritization 4. Future state technology trends Major Deliverables A project plan with clear milestones Questionnaires, interview protocols and other data collection tools Report on current technology (software and hardware) including: o IT Organizational Assessment o Current state of affairs (IT organization) o Recommendations for improving value and service delivery Report assessing technology needs and related business practices, projected over the next three to five years An evaluation of the current infrastructure with a tactical plan for correcting and/or strengthening identified weaknesses A three to five year strategic plan with an executive summary addressing the scope of services and any other critical issues identified in the process of stakeholder discussions A yearly prioritized roadmap of specific software and hardware recommendations An assessment of the required IT organization and staffing levels, position types, and skill requirements necessary to support full implementation of the strategic plan recommendations Priority list of programs / projects with timeline, estimated cost for completion and quantified ROI Matrix/decision tree to facilitate future project prioritization Presentation to senior management staff and the Board of Directors which will include an executive summary of the technology plan Desired Qualifications An ideal applicant will have the following qualifications, and will be able to show examples of high quality prior work in each of the following areas: Demonstrated experience conducting information and technology assessments and strategic planning Demonstrated experience writing multi-year strategic technology plans Demonstrated experience documenting organizational information flows and business processes Strong knowledge of data collection and management solutions currently on the market Strong knowledge of security standards and regulations Experience developing processes for organizations to successfully implement technology plans Page 4 of 8

5 Experience working with public agencies Capacity to maintain responsibility for all deliverables, associated activities and deadlines Project Plan Administration The Vendor will maintain progress/schedule documentation for all tasks under this Contract. This documentation will include Gantt charts and/or other appropriate report formats as needed to properly track and report progress and activity. 1. All documentation prepared by the Vendor must be submitted in printed hard copy and in Microsoft Word TM, electronic format. The Authority and the Vendor must mutually agree upon alternative electronic formats. 2. The Vendor must submit written monthly summaries or progress reports that outline work accomplished, hours expended, work to be accomplished during the subsequent reporting period, issues/problems, risks and significant deviation from previously agreed upon work plans. The monthly progress report will contain the following: i. Activities of the past month summarizing the actions taken and progress made on the project during the past month ii. Planned activities for the following month summarizing activities scheduled to meet the project delivery and performance requirements iii. Deliverables provided to the Authority in the past month and deliverables planned for provision in the following month iv. Issues, problems and/or difficulties encountered or anticipated and suggested solutions v. Risks identified during the past month and plans or activities to mitigate the risks vi. Resolution of previously identified issues vii. Percent completion for each task defined in the work plan viii. Assumptions or constraints identified by the Vendor Evaluation Criteria Firms will be evaluated on the basis of their response to this RFP, additional written information as requested by the Authority and oral interviews, if any, but not limited to the following criteria: 1. Reputation and experience of the firm 2. Relevant experience 3. Organization and approach of firm to complete project 4. Qualifications of assigned personnel 5. Cost, including the vendor s willingness to provide price protection 6. Equal employment opportunity and affirmative action 7. Conflicts or potential conflicts The Authority reserves the right to reject any and all proposals received for any reason including but not limited to 1. Accept a proposal based on considerations other than fees Page 5 of 8

6 2. Negotiate the fees contained in any proposal 3. Waive or modify any irregularities in proposals received 4. Award a contract in any manner necessary to serve the best interest of the Authority (and the State of Connecticut) 5. Request additional information as determined necessary or request some or all firms responding to make oral presentations Any organization submitting a proposal must be prepared to work with other firms. Please be advised that responses are a matter of public record. Requested Information All firms must provide the following information in their proposal: 1. A work plan describing the development of the strategic plan including a description of the planning process, timeline, and participants to be engaged in the planning process. 2. A brief description of your organization and previous experience in providing consulting services as described in this Request for Proposal. Indicate the total number of staff in your organization and the number of staff that you expect to assign to this project. 3. A brief description of the background of the individual staff who would be assigned to work with the Authority. Please indicate their areas of responsibility and the percentage of their time which would be allocated to the Authority. Include through a resume, education and experience including but not limited to the technologies and skill-sets, which are required for this project. 4. Sample Strategic Technology Plan completed for a previous client that demonstrates some or all of the qualifications described in the Desired Qualifications section. 5. Statement of Qualifications of no more than five (5) pages explaining how you meet the qualifications. This statement should refer to information provided in your resume(s), sample technology plan and should provide additional information about prior contracts. 6. The cost for professional services plus out of pocket costs (such as surveys, report reproduction, typing, postage, travel, copies, etc.) including your estimated total cost of this project. Unit costs should be provided where appropriate. Please indicate any specific price reductions or discounts made available to government agencies. 7. This will be a fixed-price, deliverables-based contract where the selected consultant will be paid a predetermined price for the deliverables provided. The consultant will assume any risk from contract or project delays. Costs should be estimated based on the deliverables and the budget should be created based upon the assumptions set forth in this RFP. 8. References from a minimum of three (3) clients for whom your organization has performed similar consulting services. For each reference, please provide a contact person and his or her telephone number. Page 6 of 8

7 9. Company Contact information with the following information: Company Name Contact Name Address Address Telephone Number Tax Identification Number (TIN) 10. The proposal should include a project schedule, identification of a project manager, team members and key personnel involved. 11. Your firm s equal employment opportunity and affirmative action policy. 12. Current documentation regarding your firm s liability insurance. 13. Selected firms must comply with CHFA and CT State Ethics requirements, laws and regulations. 14. Firms selected must comply with statutory provisions attached hereto. Schedule The following schedule has been established by the Authority, however, the ultimate timing and sequence of events resulting from this RFP will be determined by the Authority. Event Date May 02, 2011 May 24, 2011 May 31, 2011 June 2011 July 2011 Event RFP Issued Vendor Questions Due 4:00 PM EST Proposal Submissions Due 4:00 PM EST Vendor Selection and Contract Signing Estimated Project Start Date Statutory Provisions All respondents agree to be subject to and comply with the attached federal and state statutes, regulations, procedures, provisions and Executive Orders and to file required affirmations, affidavits, disclosures and certifications. Submission of Proposal The following requirements must be observed in the preparation and submission of a proposal: 1. All inquiries and questions should be directed to Suresh Menon (suresh.menon@chfa.org). Firms submitting a proposal should not contact members of the Board of Directors or other staff of CHFA. 2. The entire proposal must not exceed 25 single-sided pages (excluding brochures, manuals, work samples, resumes and other support documentation) Page 7 of 8

8 3. Respondents must submit in a signed, sealed, and dated envelope; one original and four (4) copies of their proposal no later than 4:00 p.m. on 05/31/2011 to: Administrator, Information Systems Connecticut Housing Finance Authority 999 West Street Rocky Hill, CT Proposals received after this date and time will not be considered. 4. Faxed or responses will not be considered. 5. CHFA shall not be liable for any pre-contract costs incurred by any organization participating in the selection process. 6. All proposals received are final. All proposals submitted become the property of CHFA. Designation of a firm does not guarantee a firm any percentage or other allocation of business from CHFA. CHFA will allocate its business as determined necessary and appropriate and in accordance with statutory requirements for minority participation as applicable, including but not limited to the provisions of Connecticut General Statutes Section 4a-60g et. seq. regarding set-aside programs for small contractors and minority business enterprises. Minority and Small Business Set-Aside firms are encouraged to apply. Thank you for your interest in the Connecticut Housing Finance Authority. Page 8 of 8