Please note: For those who have requested and received a copy of the RFP for Development Partner issued April 17, 2018, there is a correction to Section 4.5 Prequalification Conference, Page 14. kare.noble@wtbyha.org should be Kate.noble@waterburyha.org.
Amendment to Request for Proposals

The Waterbury Housing Authority (WHA) has amended the schedule for responses to its Request for Proposals Development of Real Estate (West Grove Phase I) as previously advertised. The Submittals Due Deadline and all subsequent deadlines as set forth in Section 4.4 of the RFP have been extended by one week. Amended Request for Proposals documents can be obtained by request to the Waterbury Housing Authority ATTN: Kate Noble at kate.noble@waterburyha.org. Proposals must be returned by 12:00 noon on Monday, May 14, 2018 to Maureen Voghel, Waterbury Housing Authority, 2 Lakewood Rd, Waterbury, CT 06704




Issue Date: April 17, 2018
Submission Deadline: May 7, 2018: 12 noon
Submit to: Housing Authority of the City of Waterbury
2 Lakewood Rd, Waterbury CT 06704
Attention: Maureen Voghel



The Waterbury Housing Authority (WHA) is seeking proposals from experienced development teams for the first phase of a multi-phase redevelopment of a city block currently occupied by single family and multi-family homes and commercial / retail buildings, some blighted (West Grove Redevelopment). A portion of the redevelopment area is already fully owned by WHA and demolition efforts are ongoing (Phase I – see Appendix A). The additional portion of the redevelopment area, adjacent to Phase I, has not yet been acquired by WHA, but is part of the City’s plans to transform this area into a downtown gateway and to create a mixed-use Freight Street District in the surrounding area with the proposed site. (Phase II – see Appendix B).

Respondents should therefore, in addition to specific plans for redevelopment of Phase I, include in their proposal, a conceptual plan for the entire redevelopment area.

The West Grove Street neighborhood is located on the west side of the city in Census Tract 3501, one block above West Main Street, Waterbury’s main artery from the west. Property in the area is characterized by residential development (multi-family housing), small retail establishments and some commercial applications. It is located on a bus route, less than one mile from the Waterbury Green and less than ½ mile from the Metro North Station.

Phase I calls for the construction of approximately 30-40 units of single family, attached, garden style units in an open, family friendly green space. WHA has determined that the buildings will reflect the surrounding area’s traditional style and architectural design. It is envisioned that the 30-40 units will be comprised of a mix of project-based Section 8 vouchers and market rate units. Step one of the plan was the acquisition of 26 parcels on Sperry, West Grove, Willow and Johnson Streets. This is complete. Ten of these parcels contain blighted, nuisance properties that still must be demolished. WHA has applied for, and expects to receive, CDBG funds to complete the demolition. Demolition is expected to be complete by June 30, 2019. Environmental testing of the entire site will be required.

The WHA selection process under this Request for Qualifications (RFP) will result in WHA’s selection of a co-developer partner. WHA (hereinafter defined as “WHA and/or its instrumentality or affiliate as designated by WHA”), shall serve as a co-developer together with its developer partner and shall play a significant role in each phase of the Redevelopment.

The Redevelopment proposal shall include all activities required to deliver a built project that is the highest and best use of the sites comprising the Redevelopment and could include mixed-income, mixed-finance and/or mixed-use components.

The successful respondent must demonstrate the ability and experience to implement a large- scale comprehensive mixed-income and possibly mixed-use Redevelopment WHA envisions the Redevelopment being financed in part with equity from federal low income housing tax credits as well as other non-WHA sources of funds (including State of Connecticut resources, such as CHAMP funds) and possibly project based vouchers. WHA will review more favorably proposals that minimize the level of resources being requested from WHA and maximize economic benefits to WHA.

WHA plans to submit an application for the 2019 9% LIHTC funding round in November of 2018.


The Waterbury Housing Authority was originally organized in 1946 for the purpose of building federal affordable housing. It is governed by a five member Board of Commissioners appointed by the Mayor of Waterbury. Commissioners serve five year terms.

The Executive Director and the staff of the WHA are responsible for the administration and management of the Authority. Waterbury Housing Authority currently owns and manages 789 federal public housing units, 155 of which are designated elderly, the rest are family units.

Waterbury Residential, Inc. was created in 2018 and is a 501(c) (3) affiliate of WHA. WHA seeks to use WRI and other entities controlled by or affiliated with WHA as development services entities as determined by WHA to be in the best interests of WHA and in accordance with all applicable legal requirements.


Section 3 is a provision of the Housing and Urban Development Act of 1968 and is intended to ensure that when employment or contracting opportunities are generated through HUD funding that require additional employees to be utilized that preference must be given to low-and very low-income persons or business concerns residing in the community where the project is located.

The firm awarded the contract agrees to use its best efforts to subcontract and employ Section 3 and minority business enterprises and/or women business enterprises, certified and/ or recognized by WHA.

WHA is an equal opportunity employer and requires all of its contractors to comply with policies and regulations concerning equal employment opportunity. It is important for those responding to be aware that Section 3 differs distinctly from Minority and Women Owned Business Enterprises. Section 3 is both race and gender neutral. The preferences provided under the Section 3 regulations are based on income-level and location. The Section 3 Program was designed to encourage residents of public housing neighborhoods and the surrounding areas to direct new employment and contracting opportunities to low income residents and the businesses that employ them. The purpose of Section 3 is not to hinder MBE and WBE participation, but to create opportunities for low and very-low income residents and women and minority owned businesses alike. WHA’s goal for MBE/WBE participation is set at 10%.



The WHA expects the selected developer partner(s) to be a co-developer in conjunction with the Redevelopment. Once selected, the successful respondent will make a good faith effort to enter into a development agreement with WHA in conjunction with the Redevelopment. As noted, above, WHA will work with its selected developer partner to redevelop the West Grove Redevelopment area utilizing single purpose limited partnership or limited liability entities for each phase of the Redevelopment utilizing federal low income housing tax credits (“LIHTCs”), project based vouchers and/or other financing resources. As such, working with WHA, the successful respondent will be required to propose corporate structures that maximize financial benefit and flexibility to achieve the best interests of WHA for each phase of the Redevelopment, to prepare plans for the Redevelopment that are financially feasible, that meet the goals of WHA and will be approved by the U.S. Department of Housing and Urban Development (HUD), CHFA, DOH and other agencies, financiers, funders and investors, as required. The developer partner’s specific responsibilities are set forth in Section 3.2 of this RFP.


WHA shall serve through a related entity as a co-general partner or co-managing member of the owner entity for each phase of the Redevelopment and then become the sole general partner or managing member as early as possible in the initial operating period for each phase. WHA shall receive a significant portion of the developer fee and cash flow for each phase and will view more favorably proposals that structure and budget such fees most beneficially for the WHA. Additionally, each phase budget must include reimbursement of all Authority third-party costs and an Authority administrative fee to cover staff time allocable to that phase of the Redevelopment. All such Authority third-party costs and fees must be included in the redevelopment budget. WHA expects its developer partner to provide the construction, completion and operating deficit guarantees for each phase of the Redevelopment but may, in WHA’s sole discretion, elect to assume guaranteed obligations during the operating deficit period in order to assume control of each phase of the Redevelopment as early as possible in the initial operating period. Additionally, WHA or its designee(s) will at all times own the real property and improvements and envisions ultimately assuming responsibility for property management services as described in Section 2.5 of this RFP.


The selected developer partner must have, as a member of the team, an architect and a general contractor licensed in the state of Connecticut, who may be affiliates, employees or subcontractors of the developer. The selected architect will be responsible for all documents related to design and construction. The general contractor(s) will construct, or procure construction, of all housing units for each corresponding component of the project as identified in the development plan or subsequent revisions agreed upon by WHA. The developer partner will oversee construction; ensure completion in a timely and cost effective manner; and ensure that all required occupancy permits and other necessary approvals are obtained after construction completion.

The construction contract for each phase of the Redevelopment shall set forth either a fixed-price or a guaranteed maximum price, to be pre-approved by WHA and shall provide for assignment to WHA in the event of termination of the relationship with the developer partner.

The community should be designed with the traditional style and architectural design of the region and the City of Waterbury as more specifically described herein. Respondents must demonstrate familiarity with environmental and sustainable practices and must be familiar with the green building design standards and guidelines.


WHA shall ultimately serve as the property manager for each phase in the Redevelopment, but will entertain proposals whereby the developer partner will serve as the property manager through a certain period. That being said, WHA desires to assume control of property management as early as is feasible.



WHA will serve as the liaison for the selected Master Developer with the City of Waterbury, HUD and other governmental agencies. WHA will play the following key roles in the development process:

• Housing Authority Role as Co-Developer, Co-General Partner/Managing Member of LIHTC Owner Entity, and Property Manager. WHA shall participate in each phase as set forth in Section 2.2 of this RFP. Also, WHA shall ultimately serve as the property manager as described in Section 2.4 of this RFP.

• Ground Lessor. The WHA envisions utilizing a ground lease agreement with each LIHTC owner entity for each phase of the Redevelopment.

• Relocation. The WHA will maintain responsibility for all relocation activities. The Housing Authority will work with its selected developer partner to ensure all relocation activities are consistent with all federal, state and local requirements.

• Cooperate with Developer to Obtain Low Income Housing Tax Credits and Other Funding. The WHA will partner with the developer partner to obtain a complete funding package including Low Income Housing Tax Credits, for Phase I of the Redevelopment. The developer partner will be responsible for preparing the LIHTC application for review, comment and approval of the WHA at least thirty (30) days prior to the submission deadline and for obtaining all threshold items and approvals including binding commitments for a complete funding package prior to submission. After receipt of the WHA’s approval of an LIHTC application, the developer partner shall be responsible for making timely application for tax credits to develop each tax credit phase of the Redevelopment.

• Option/Right of First Refusal. WHA shall hold an option and right of first refusal with each LIHTC investor and the developer partner shall use best efforts to eliminate or minimize investor exit taxes due based on the investor projections (as approved by WHA). The Housing Authority shall have a right of first refusal to acquire the property at the minimum price permitted under the then applicable Internal Revenue Code provisions.

• Communications With/Submissions to HUD. WHA will manage and take responsibility for all communication with HUD, and the preparation and submission of program documents and evidentiaries and obtain all HUD approvals. However, to the extent any such documents or evidentiaries are with the particular knowledge or responsibility of the developer partner, WHA will expect the developer to prepare or assist in preparing such documents, at WHA’s direction.

• Legal Counsel. The WHA has retained legal counsel for the Redevelopment for its sole use. The developer partner(s) has the responsibility of providing its own legal services.


The developer partner will work closely with WHA staff, public housing and community residents, stakeholders, and partners. The developer partner will be responsible for ensuring that the plan for the Redevelopment is approved, financed, implemented and successfully completed. The role of the development partner shall include, but not be limited to, the following activities:

• Capacity. Providing the necessary staffing, expertise, supervision and guarantees to implement all aspects of the phased rehabilitation effort fully and expeditiously.

• Development Team. Assembling a team that covers the architectural, environmental review, market analysis, geo-technical studies, civil, mechanical and electrical engineering, construction management, construction and any other activities deemed necessary by the developer and/or WHA. Respondents are strongly encouraged to demonstrate participation on their team of team members with expertise in areas of relevance to the locale’s development process, including LIHTC financing and construction matters.

• Master Planning. Developing a master plan for the Redevelopment in coordination with WHA, key stakeholders and residents. A final master plan shall be completed with designation of development phases and a detailed development schedule. This master plan will create a new, economically-viable mixed-income community.

• Market Analysis and Appraisal. Providing a detailed market study to determine the overall feasibility of Phase I and the conceptual plan of the entire Redevelopment as proposed. The selected developer will also be responsible for any additional market analysis and appraisals to develop and obtain financing for any development phase of the Redevelopment.

• Design/Approvals. Developing design and construction documents in accordance with the design criteria set forth further in this document. The WHA shall have final review and approval of all design and planning activities, as well as the selection of design professionals retained to execute the Program. The development partner shall ensure quality design and construction throughout the process. The development partner shall, to the satisfaction of the WHA, provide third-party construction phase monitoring to further ensure quality and performance. The developer partner will also be responsible for obtaining City permits and approvals and any other approvals that may be required.

• Scheduling/Timing. Establishing a regular schedule of team meetings, in which the WHA will participate. Moreover, the developer partner will be responsible for submitting monthly progress reports to WHA on the project status and schedule, including but not limited to design, permits, financing, resident coordination, etc. Developer partner shall develop and maintain a detailed schedule of events, predicated on financing deadlines, that includes pre-development activities, construction start, project stabilization and permanent loan close. Developer partner shall also create a critical path schedule for all phases of construction, and lease-up and stabilization.

• Ownership Structure. Working with WHA in proposing structures for the ownership entities for each phase of the Redevelopment which meet the needs of WHA in accordance with this RFP and specifically Section 2.2.

• Financing. As determined by WHA in its sole discretion, preparing and reviewing development and operating budgets, undertake feasibility studies and any required financial planning activities necessary. The developer partner will be expected to develop a financing plan that will provide all resources needed for redevelopment of the property (including environmental remediation if required) and to take full responsibility for securing binding commitments for all financing sources in advance of a tax credit application. The development partner will be asked to analyze and evaluate the feasibility and viability of all development strategies and maintain accounting records and ensure redevelopment financing is available at the appropriate times and utilized in the appropriate manner.

• Demolition. Any demolition activities (as necessary). The development partner’s responsibility shall extend to the stabilization and securing of the site after demolition has been completed, if funding for revitalization is not immediately available.

• Guarantees. Providing development, operating, and tax credit recapture guarantees, as required by lenders and equity investors. Also, the developer partner shall provide a performance and completion guaranty to WHA. Developer partner acknowledges and agrees that each phase of the Redevelopment shall be structured such that WHA shall not provide any guarantees to lenders and equity investors prior to WHA becoming the sole general partner or managing member of the LIHTC owner entity for each phase of the Redevelopment (which shall be as soon as possible in the initial operating period of each phase of the Redevelopment). As part of the assumption of guaranty responsibilities once the WHA assumes control of a phase of the Redevelopment by becoming the sole general partner or managing member, the developer partner shall indemnify and hold WHA harmless for any liability that arises related to the development and initial operating periods prior to WHA’s assumption of control.

• Tax Credit Application/Solicitation of Tax Credit Syndicator. Preparing applications to obtain tax credit allocations in accordance with the qualified allocation plan and shall provide the WHA with complete draft applications at least thirty (30) days prior to the submission deadline for WHA’s review and approval.

In the event the developer partner desires to solicit an equity investment proposal from an affiliate, WHA may elect to control the solicitation process (and the developer partner shall recuse itself from the process), or the WHA shall impose other measures that it deems appropriate.

The developer partner with input from the WHA, shall prepare equity solicitations which outline, among other things, the following: the nature of that phase of the Redevelopment; the unit mix; the development budget; the development schedule; the operating assumptions, including the requirements and use restrictions of the various funding sources; the proposed ownership and developer structure (which shall include WHA as co-developer and a WHA-controlled entity as a co-general partner or co-managing member and assuming control as early as possible in the initial operations period); that the developer partner shall be the sole guarantor of obligations to the equity investor until WHA assumes control in accordance with this RFP; and the potential contractor and property management arrangements. Prior to distributing the solicitation for equity proposals, the developer partner and WHA shall jointly compile a list of prospective equity investors to which the solicitation shall be provided. Once the proposals are received, the developer partner will analyze each proposal, compare them, and provide a recommendation to the WHA as to why the WHA should select a particular proposal. The Developer will then negotiate with the prospective equity investor(s) and use its best efforts to maximize the amount of equity provided to each phase of the Redevelopment based on this type of ownership/control/guaranty structure, while also considering, among other things, the timing of the equity payments, the reserve requirements, as well as the liquidity, net worth and guaranty requirements. No proposal which seeks to require guarantees from the Authority, other than those outlined in this Agreement, or as otherwise agreed to in writing by the Authority, will be accepted. The Authority shall have the right to comment on any draft letter of intent, to participate in negotiations of any draft letter of intent, and to make final selection of the Equity Investor.

• Assisting WHA with HUD. While WHA shall be primarily responsible for interactions with HUD, the developer partner, at WHA’s request, shall assist WHA with the preparation of program documents and evidentiaries and obtaining HUD approvals. To the extent any such documents or evidentiaries are with the particular knowledge or responsibility of the developer partner, WHA will expect the developer to prepare or assist in preparing such documents, at WHA’s direction.

• Coordination. Coordinating all development activities, including reporting and budget requirements, with WHA.

• Predevelopment. Implementing and coordinating all predevelopment activities, including site control, hazardous materials testing, funding, abatement and demolition, site improvements, securing all threshold items and approvals required by CHFA and DOH as necessary, and securing a complete funding package including binding commitment from all financing sources prior to application submission,. The developer partner shall also fund and remain solely financially responsible for all predevelopment activities and third party efforts for the Redevelopment unless otherwise agreed to in writing by WHA.

• Submissions/Reporting. Preparing any and all required submissions to HUD, state, local or other agencies and funding sources, as may be required. The submissions are subject to WHA review and approval and WHA shall make any submissions to HUD. Submit monthly status reports to the WHA in areas of design, construction, management, financing, project status and scheduling. The selected developer partner(s) shall also make written and verbal presentations to the WHA as requested. Compliance with the MBE/WBE hiring/training of low-income residents (Section 3) and resident owned businesses must be a part of the monthly status report.

• Resident/Local Employment and Contracting. Developing a strategy in coordination with WHA for fostering the hiring of local businesses and individuals, Section 3 employment, training and contracting opportunities throughout the redevelopment process that are consistent with the requirements of Section 3 of the Housing and Urban Development Act of 1968, as amended (12 U.S.C. 1701u) and aimed at improving the economic circumstances of individuals, households and companies in the City of Waterbury.

• MBE/WBE. Developing a strategy to maximize the contracting opportunities for MBE/WBE firms in accordance with the requirements of this RFP, the policies of WHA, and applicable federal, state and local requirements.

• Construction. Ensuring the Redevelopment is constructed and managed with the highest quality materials and workmanship. The development partner will be required to implement quality assurance and control measures to ensure effective performance by all parties in all aspects of the program. Developer partner shall provide appropriate guarantees for the completion of the project in a timely and cost effective manner and ensure that all occupancy permits and necessary approvals are obtained after construction for timely operation of the development. The developer partner must submit a procurement process that meets the overall Redevelopment goals for review and approval by WHA.

• Coordination. Coordinating, conducting, and documenting all meetings with any and all public housing residents and resident associations in the surrounding neighborhood, city agencies, officials, HUD, WHA staff, businesses in the area, and any other. Developer partner shall facilitate and foster the involvement of public housing residents in the implementation of the Redevelopment effort. In cooperation with WHA, developer partner shall keep residents informed of the status of the Redevelopment effort, plan for providing job opportunities for residents during and after implementation, and assist/encourage resident businesses.

• Supportive Services (if and as needed). Identifying and securing appropriate detailed financial information to support the revitalization and any supportive service initiatives identified.

• Long Term Affordability of Rental Property. The developer must devise a means to ensure the long-term affordability of the rental property used by low to moderate income residents, in conjunction with WHA.

• Marketing Plan. The developer is expected to create an effective lease-up strategy to obtain rapid initial occupancy and maintain ongoing high occupancy of all residential units and commercial space.

• Option/Right of First Refusal. Securing an option/right of first refusal for the WHA with each LIHTC investor and eliminate, minimize investor exit taxes due based on the investor projections (as approved by WHA).

• Maximize Financial Resources to the WHA. The WHA expects the developer partner to detail strategies to maximize the fees to be paid the WHA in unrestricted cash from non-Authority development sources for each phase of the Redevelopment. WHA shall receive a significant portion of the developer fee and cash flow for each phase and will more favorably view proposals that structure and budget such fees most advantageously for the WHA. WHA will favorably review creative proposals that structure ground lease payments or other fees in addition to the WHA’s receipt of a portion of the developer fee and cash flow. Additionally, each phase budget must include reimbursement of all WHA third-party costs and a WHA administrative fee to cover staff time allocable to that phase of the Redevelopment. All such WHA third-party costs and fees must be included in the development budget for each phase of the Redevelopment.

• Compliance with all Laws. Compliance with all applicable federal, state and local laws, rules and regulations applying to the activities required by the Agreement. Developer shall provide evidence that each subcontractor is not debarred, suspended or otherwise prohibited from professional practice by any federal, state or local agency.



WHA is asking developers for proposals to serve as a developer partner of the WHA for the Redevelopment. WHA is requesting specific plans from the respondents as to the Redevelopment of Phase I and a concept for the entire Redevelopment area (Phase I and Phase II) at this time. It is the intent of WHA to select a developer partner, based on qualifications and proposed conceptual plan, and enter into negotiations with the selected developer partner for the Redevelopment of Phase I.

WHA reserves the right to 1) reject any and all proposals in its sole discretion; 2) to decline to offer or withdraw this RFP; or to 3) select a developer for one or more Phases or portions of the Redevelopment in accordance with WHA’s Procurement Policy and other applicable federal and state requirements.


Respondents must submit the following documentation in the order listed, which will serve as the RFP.

1. A narrative statement describing the respondents’ knowledge and/or experience with public housing authority redevelopment efforts, the federal LIHTC program, CHFA, and the respondent’s plans for Phase I in the context of a conceptual proposal for the entire area. This section should include a site plan, unit types and mix, development phases, and estimated overall project budget including total sources and uses…

2. A description of the team’s approach to the development process including identification of key milestones in a typical multiphase LIHTC project and the average timetable for each major task. Identify and analyze one issue that presents the greatest risk in the proposed project and one issue that presents the greatest opportunity. (Limit five pages).

3. A general description of the developer’s organization and current and past development activities (please highlight any developments that involved public housing authorities, any located in Connecticut. If you have participated in a co-developer relationship with a PHA, please provide details on that arrangement with regard to ownership structure, guarantees, developer fee splits, cash flow distributions, etc. Identify projected and actual development schedules as well as projected and actual development budgets highlighting deviations and explaining changes in schedules and budgets. Please provide the same information for each separate entity that comprises the development team.

4. A description of any and all projects that are currently under contract or are anticipated to be under contract during the next 12 months including estimated time, scope, number of units, type and timing of funding applications and anticipated overall cost.

5. A description of the scope and nature of mixed-income residential development experience. Provide a listing of all development projects over the past ten years with the following information: name and location of development; team members directly involved, including corporate and individual; number of residential units; total project development costs; total project construction costs; type of housing; financing methods and funding sources; commencement and completion dates; name and complete contact information of client/owner; and, any ongoing professional relationship that continues to exist with the development.

6. A description of the applicant’s knowledge of, and experience with, real estate financing methods, including the use of funding tools such as low income tax credits, FHA insured mortgages, HOME funds, CDBG funds, development funds, and private mortgages. Include identification of all financing applied for, whether or not secured, from competitive application processes for residential development projects over the past five years, particularly within the State of Connecticut. Include a financing application schedule for the proposed project and a sample financial pro-forma from a similar real or fictional property. In addition, respondents must include a description of their financial expectations specific to this Project and anticipated financial return to WHA.

7. A description of any current, pending or threatened litigation involving the applicant related to any development project or other related business activity. The applicant must attest to having no litigation pending or contemplated with or against WHA or any related entity.

8. Names and resumes of key personnel who will constitute the development team under this request, including the architect, engineer, general contractor, and/or construction manager. This shall include, but not be limited to: an organizational chart providing the identity of interest corporations that will participate in this project; Directors and Officers of each identified corporation; disclosure of any overlapping ownership or directorship interests and/or of any conflicts; subcontractors or other affiliated participants with a description of their relationship; a narrative statement describing previous collaboration and/or interaction of team members; and, the address of the principal office and branch offices, if any. Indicate the percentage of time devoted to this project for each identified individual and their relationship in the Respondent’s organization.

9. Five (5) corporate references containing at least one banking reference, and two current or recent client references, for development projects that the Respondent has successfully completed within the past five years. Three professional references for each legal entity and individual proposed as part of the development team.

10. A plan for Disadvantaged Business Enterprise (DBE) participation that includes a goal of 30% utilization of DBEs in the overall project. Include the specific actions to be taken to achieve this goal and evidence of success in utilization of DBEs in recent contracts in other locations.

11. A Section 3 plan that identifies the specific actions to be taken to offer employment to residents of public housing and evidence of Section 3 success in recent contracts in other locations. The plan should identify specific job classifications and numbers of positions to be offered under the Section 3 Program. In addition, the respondent should also identify specific actions to be taken to insure that Section 3 businesses have the opportunity to contract with the Developer in the implementation of this project. The Developer should also identify specific actions that will be taken to insure that MBE/WBE goals are met.

12. Describe the respondent’s experience in working with municipalities and community-based grass roots organizations. Demonstrate the team’s experience in developing collaborative efforts in partnership with such organizations.

13. Describe respondent’s process for competitively soliciting a tax credit syndicator for the project and whether respondent will seek WHA approval to utilize an affiliated equity investor (note: regardless of the developer partner’s response, the solicitation process must meet the requirements of this RFP – e.g. see Section 3.2). Provide a breakdown of the price per dollar paid by each syndicator for their most recent syndications and copies of the pay out schedules.

14. All forms attached and/or required to be attached to the RFP as throughout this request, including but not limited to: HUD 5370-A; HUD 5369-A; HUD 5369-B; HUD 5369-C; Full Disclosure Statement (Form No. 361); Equal Opportunity Statement; Non- Collusive Affidavit; HUD 50070; HUD 50071 and HUD 5370 C..

15. The most recent audited annual corporate financial statements and unaudited year to date financial statements for the most recent month end for all entities comprising the development team. These documents shall be submitted in a separate, sealed envelope clearly marked “confidential” and carrying the name of the Respondent.

16. Respondents must attest that the responding entity and each and all of its principals are not, and have never been: 1) suspended or debarred from contracting with any federal, state, municipal or quasi-municipal agency or 2) convicted of any crime chargeable as a felony.


All Proposals must be submitted in a three-hole binder with tabbed numbers for each identified section. All materials must be submitted in an 8.5” x 11” format. Respondents must submit an original, clearly marked and containing original signature in blue ink, along with 5 copies in a sealed carton by Friday May 7, 2018 at 12:00 p.m. EST, without exception, at the following address, to be deemed responsive and eligible for consideration:

Maureen Voghel
Executive Director
2 Lakewood Dr.
Waterbury, Connecticut 06704

Proposals sent by overnight delivery service will be considered timely filed if date stamped at least one (1) day before the date set for receipt of proposals and time stamped at a time that should have, pursuant to the express policy of the overnight delivery service used, permitted delivery at the date, time and place set for receipt of proposals. The burden of proof to establish timely filing of a proposal by overnight delivery service shall be solely upon the entity or person submitting the proposal. It is the respondent’s obligation to ensure the required submission arrives in a timely manner at the specified location. Any proposal which is not properly marked, addressed or delivered to the submission place, in the required form, by the required submission date and time will be ineligible for consideration.

To assure that the respondent’s RFP arrives at the proper place, on time, and to prevent opening by unauthorized individuals, cartons containing submissions, must be identified on the outside, as follows:

Request for Proposals
Co-Developer for
West Grove Redevelopment Plan Due: May 7, 2018 at 12:00pm EST

Faxed or electronic submissions of the RFP will not be accepted. Once received by WHA, submissions will not be returned.

A copy of this Request for Proposals is available at www.wtbyha.org

Formal communication, such as requests for clarification and/or information concerning this solicitation shall be submitted in writing to Maureen Voghel, Executive Director, at the above address or via email at maureen.voghel@waterburyha.org with carbon copy to Karen Baldwin Kravetz, Esq. Susman Duffy & Segaloff, P.C. 59 Elm Street New Haven, CT 06510 or kkravetz@susmanduffy.com. No information concerning this solicitation or requests for clarification will be provided in response to telephone calls. All requests for information must be received in writing by Tuesday May 1, 2018 at 3:00 p.m. EST.


The anticipated schedule for this Request for Qualifications, selection of Respondent(s) and contract approval is as follows:


1. RFP Available April 17, 2018
2. Pre-Qualification Conference April 27, 2018 9:30 a.m.
3. Questions Due May 1, 2018 3 p.m.
4. Response to Written Questions May 3, 2018
5. Submittals Due May 7, 2018
6. Selection of Shortlist Candidates May 10, 2018
7. Interviews and Site Visits Completed May 14, 2018
8. Final Selection of Developer Partner May 15, 2018


A pre-qualification conference will be held on April 27, 2018 at 9:30 a.m. at Waterbury Housing Authority 2 Lakewood Rd. Waterbury, CT 06704. Registration is required (please register by sending an email referencing WGRP with company name, and number and name of attendees only to Kate.noble@waterburyha.org). A tour of the site and the surrounding neighborhood will be conducted following the conference. It is strongly recommended that all interested respondents attend the pre-qualification conference. Representatives will be available to answer questions related to this solicitation.


WHA, as part of due diligence in the selection of the Development Team, may conduct site visits of properties previously developed, owned, constructed and/or managed by members of the selected finalists. The purpose of the site visits is to enable the evaluation committee to more accurately assess the factors identified below for selection of the final Development Team. Site visits will be arranged with the finalists. WHA will reserve the right to select the location of site visits from any project submitted by the Development Team in the RFP.

Questions and inquiries regarding this RFP may only be submitted in writing (e-mail is acceptable and preferred) and should refer to the specific paragraph in question. All inquiries must be received by May 1, 2018 at 3:00 p.m. EST and should be submitted by mail to Maureen Voghel with carbon copy to Karen Baldwin Kravetz at the above addresses or email to: maureen.voghel@waterburyha.org cc: kkravetz@susmanduffy.com. The Authority will respond to all questions in writing and those responses will be posted on WHA’s website by 3:00 p.m. EST May 3, 2018.



An initial review process will be conducted by an Evaluation Committee appointed and controlled by WHA. Responsiveness will be confirmed through determining if the Respondent(s) have met all mandatory requirements outlined in this Request. Any submission not in compliance with the mandatory requirements will be deemed “non-responsive”.


The Proposals will be evaluated through consideration of several factors. The Evaluation Committee will review all documents in the submissions and award points in accordance with the following criteria:

Technical Competence 30 Points

• Demonstrated understanding of the real estate development process and quality performance in the development of large residential mixed income communities.

• Capability and experience of the members of the Development Team; and, determination of availability of all required skills necessary for the development process.

• Demonstrated expertise in working with public housing authorities on successful redevelopment efforts.

• Demonstrated conceptual understanding of HUD mixed finance, RAD, the Low Income Housing Tax Credit program, project based vouchers, FHA financing, HOME, CDBG, etc.

• Comprehension of the Waterbury real estate market and goals and objectives of Mixed Income Communities demonstrated through a comprehensive conceptual plan for the Redevelopment.

• Degree of previous successful experience with other state housing finance agency programs (and specifically, CHFA).

• Past performance in terms of compliance with development schedules and adherence to development budgets on other development projects.

• Ability to maximize development opportunity and minimize and/or manage development risk associated with the proposed Redevelopment Plan.

• Proven relationships with resident and/or grass root community organizations which demonstrate participation and partnership.

• List of affordable and mixed-finance projects in the last five years.

• Current capacity of entire design team to prioritize WHA’s funding application for November of 2018.

Financial Capacity and Access to Funding 25 Points

• Financial stability of the Development Team as demonstrated through the corporate financial statements, and prior success in obtaining funding for development projects.

• Demonstrated record of financing multi-tiered projects through a variety of funding sources and knowledge and experience working with the funding providers identified in this Request. Successful syndication of low-income housing tax credits.

Site Design and Concept 20 Points

• Overall quality of conceptual plan for the Redevelopment.

• Design and construction of mixed-income residential housing as demonstrated at site visits.

Site Visits and Interviews 15 Points

• Overall quality of design and construction of residential sites.
• Demonstrated shared understanding of the goals and objectives of WHA.
• Ability to complete the Redevelopment in accordance with the RFP.

DBE and Section 3 10 Points

• Previous success in utilization of DBE’s and effectiveness of DBE plan for this project.
• Previous success with Section 3 requirements and effectiveness of Section 3 plan for this project.



Applicants will be ranked in order of total score for all evaluation factors combining the individual scores of each member of the evaluation team. If for any reason, a contract cannot be negotiated, the applicant with the second highest score will be selected for negotiation of a contract and so forth. WHA will continue to negotiate with applicants in the order of score total until a contract is finalized.


The new community should be designed based on scale, spatial organization, and building types to reflect the surrounding area’s traditional style and architectural design.


The amenity package should be designed in a manner that will allow the development to compete in the market place. Amenities should not only meet the needs of individual residents, but should also respond to the existing conditions of the area’s housing market. Due to the size of the site and its status as publicly owned land, the amenity package has the potential to provide a combination of elements that serve the surrounding neighborhood as well as the specific needs of the development to become the catalyst to anchor the project.



a. The respondent warrants that to the best of its knowledge and belief and except as otherwise disclosed, it does not have any organizational conflict of interest. Conflict of interest is defined as a situation in which the nature of work under this solicitation and the firm’s organizational, financial, contractual or other interests are such that:

1. Respondent may have an unfair competitive advantage; or

2. The respondent’s objectivity in performing the work solicited may be impaired. In the event the respondent has an organizational conflict of interest as defined herein, the respondent shall disclose such conflict of interest fully in the proposal submission.

b. The respondent agrees that if after an award, he, she or they discover an organizational conflict of interest with respect to this solicitation, he, she or it, shall make an immediate and full disclosure in writing to WHA that shall include a description of the action which the respondent has taken or intends to take to eliminate or neutralize the conflict. WHA may, however, disqualify the respondent or if a contract has been entered into with the respondent, terminate said contract, in its sole discretion.

c. In the event the respondent was aware of an organizational conflict of interest before the award of a contract and intentionally did not disclose the conflict to WHA, WHA may disqualify the respondent.

d. The provisions of Section 7.1 shall be included in all subcontracts or other agreements wherein the work to be performed is similar to the service provided by the respondent. The respondent shall include in such subcontracts and other such agreements any necessary provisions to eliminate or neutralize conflicts of interest.

e. No member of or delegate to the U.S. Congress shall be allowed to share any part of the contract awarded under this solicitation or to any benefit that may arise there from. This provision shall be construed to extend to any contract made with the successful respondent.

f. No member, officer, commissioner or employee of WHA, no member of the governing body of the locality in which the project is situated, no member of the governing body in which WHA was activated, and no other public official of such locality or localities who exercises any functions or responsibilities with respect to the project, shall during his or her tenure, or for one year thereafter, have any interest, direct or indirect, in any contract or the proceeds thereof resulting from this solicitation.

g. No member, officer or employee of the respondent selected to perform the services described above shall, during the term of their contract, or for one year thereafter, have any interest direct or indirect, in any contract that they are responsible for procuring, managing or overseeing on in the proceeds of any such contract.

h. WHA reserves total discretion to determine the proper treatment of any conflict of interest disclosed under Section 7.1.


All costs incurred, directly or indirectly, in response to this proposal shall be the sole responsibility of and shall be borne by the respondents.


An award shall be made in accordance with the terms and conditions of this RFP. WHA reserves the right to negotiate and award any one or more element of this RFP, to reject any or all proposals and/or to waive any minor irregularities or technicalities in proposals received.


After the award is made, a list of firms submitting proposals will be posted for review by interested parties on WHA’s website. The list will be furnished upon written request only and will not be provided by telephone. A self-addressed, stamped envelope must be included with the written request. Each unsuccessful vendor will be notified in writing promptly upon award. The notice will identify the successful firm.


The acceptance of the proposed firm’s offer for the services specified herein will be made by issuance of a duly authorized contract prepared by WHA. Vendors are cautioned to make no assumptions or accept any representations by any employee, member, officer or representative of WHA concerning the award until a contract agreement is executed.


In the event any governmental restrictions are imposed, which would necessitate alteration of the material, quality, workmanship or performance of the goods or services offered; it shall be the responsibility of the successful firm to immediately notify WHA in writing specifying the regulation which requires alteration. WHA reserves the right to accept any such alteration, including any reasonable price adjustments occasioned thereby, or to cancel the contract at no expense to WHA.


Services will be inspected for compliance with specifications. Services not conforming to specifications will not be accepted. Services not provided in accordance with the Scope of Services may result in the firm being found in default. In the event of default all procurement costs may be charged against the firm.


The successful firm shall not assign or transfer any interest in the contract, in whole or part, without written approval of WHA. Claims for sums of money due, or to become due from WHA pursuant to the contract may be assigned to a bank, trust company or other financial institution. WHA is hereby expressly relieved and absolved of any and all liability in the event a purported assignment or subcontracting of the contract is attempted in the absence of the firm obtaining WHA’s prior written consent.


The Comptroller General of the United States, the Department of Housing and Urban Development (HUD), WHA and any duly authorized representative of each, shall have full and free access to, and the right to audit and to make excerpts and transcripts from, any and all pertinent books, records, documents, invoices, papers and the like, of the vendor, or in the possession of the firm, which shall relate to, or concern the performance of the contract.


The successful firm shall indemnify and hold harmless WHA and its employees, officers, agents, commissioners, volunteers, instrumentalities and affiliates from liability of any kind, including cost and expenses for, or on account of, any copyrighted, patented, or not patented invention, process or article manufactured or used in the performance of the contract, including its use by WHA. If the vendor uses any design, device or material covered by letters, patent or copyright, it is mutually agreed and understood that the proposal prices shall include all royalties or cost arising from the use of such design, device or materials involved in the work. Further all residual right to Patents, Licenses and Royalties (e.g. software and licenses to use same) purchased shall revert to WHA at the end of the Agreement.


The successful firm shall obtain all permits and licenses that are required for performing its work. The firm shall pay all related fees and costs in connection with required permits and licenses. Proof of ownership shall be made on all software used in the execution of the contract. The firm will hold WHA harmless for any violation of software licensing resulting from breaches by employees, owners and agents of the firm.

7.12 TAXES

The successful firm is responsible for all state and federal payroll and/or social security taxes. The firm shall hold WHA harmless in every respect against tax liability.


In submitting a proposal, the firm and their consultants agree not to use the results as a part of any commercial advertising.


a. Insurance. The selected firm shall maintain at its expense during the term of the Contract the following insurance. The selected firm agrees to procure and maintain at all times during the term of the engagement the types of insurance specified below in order to protect the WHA from the acts, omissions and negligence of the selected respondent, its officers, officials, subcontractors, joint ventures, partners, agents or employees. The insurance carriers used by respondent must be authorized to conduct business in the State of Connecticut and shall have a BEST Rating of not less than an “A” except when agreed in writing by the WHA. The insurance provided shall cover all operations under the Agreement, whether performed by Co-Developer or by its subcontractors. Upon engagement, the WHA shall be endorsed as additional insured on respondent’s policy and respondents’ insurance will be endorsed as primary and non-contributory with any other insurance available to WHA.

(1) Workers’ Compensation and Occupational Disease Insurance in accordance with the laws of the State of Connecticut along with Employer’s Liability in an amount of not less than $1,000,000 each accident; $1,000,000 each disease; and $1,000,000 for each disease/each employee.

(2) Automobile Liability Insurance (covering all owned, hired and non-owned vehicles with personal injury and property protection insurance) in an amount not less than $1,000,000 per occurrence.

(3) Professional Liability Insurance in the amount of $2,000,000 per occurrence.

(4) Commercial Liability Insurance in the amount of $2,000,000 per occurrence and $5,000,000 per project aggregate.

(5) Such other insurance coverage as WHA may reasonably require.

Respondent shall furnish WHA with original certificates and amendatory endorsements effecting coverage required by this clause. All endorsements are to be received and approved by WHA before the respondent’s products or services are delivered. WHA reserves the right to require complete, certified copies of all required insurance policies, including endorsement effecting the coverage required by these specifications at any time.

WHA, WHA affiliated entities, and the City of Waterbury shall all be named as an additional insured on all policies. The selected firm shall comply with any applicable federal, state and local insurance requirements as well as the requirements imposed by WHA, WHA affiliated entities, the City of Waterbury, State of Connecticut and HUD.

a. Indemnity Provision. The selected firm agrees to defend, indemnify and hold harmless WHA, its employees and agents (“Indemnitees”) from and against any and all claims of third parties for physical injury to persons or property to the extent caused by the negligence of the respondent or its subcontractors, employees or agents, or anyone else acting on the respondent’s behalf in connection with the work required by this RFP; provided, however, that respondent shall not be required to indemnify any indemnities against liability for damages caused by or resulting from the sole gross negligence of indemnities. Respondent’s indemnity shall include WHA’s attorneys’ fees incurred in defending any such claim or in enforcing this indemnity. Respondent hereby agrees to require all of its subcontractors or anyone acting under its direction or control or on its behalf in connection with or incidental to the performance of this RFP to execute an indemnity clause identical to the preceding clause, specifically naming WHA as indemnity, and failure to do so shall constitute a material breach of this RFP by respondent.

b. Qualification. The insurance company covering the firm must be licensed to do business in the State of Connecticut.

The successful firm shall furnish to WHA a certified copy of the policy or policies covering the work as required in the specifications evidencing that the insurance required will be maintained in force for the entire duration of the contract with WHA.


The successful firm shall be responsible for maintaining satisfactory standards of its employees’ competence, conduct, courtesy, appearance, honesty, and integrity. It shall be responsible for taking such disciplinary action with respect to any of its employees as may be necessary.


WHA may request the successful firm to immediately remove from assignment any employee for any reason, including but not limited to, any employee found unfit to perform duties due to one or more of the following reasons:

(1) Neglect of Duty;

(2) Disorderly conduct, use of abusive or offensive language, quarreling, intimidation by words or actions or fighting;

(3) Theft, vandalism, immoral conduct or any other criminal action;

(4) Selling, consuming, possessing, or being under the influence of intoxicants, including alcohol or illegal substances while on assignment at WHA.


The successful firm shall provide adequate competent supervision at all times during the performance of the contract. To that effect, a qualified consultant and one or more alternates shall be designated in writing to WHA prior to contract start. The firm or its designated representative shall be readily available to meet with WHA personnel upon request. The successful firm shall provide the telephone numbers where its representative(s) can be reached.


The selected firm shall be readily available to meet with representatives of WHA weekly during the first month of the contract and as often as necessary thereafter. A mutual effort will be made to resolve any and all performance problems identified at these meetings.


a. Issues Causing Protest. Any respondent which disputes the reasonableness, necessity, or competitiveness, of the terms and conditions of this solicitation or who has been adversely affected by a decision concerning a notice of intended or actual award, may file a written notice of protest with the contact person listed in the solicitation.

b. Filing the Protest. The respondent must first advise the contact person listed in the solicitation in writing within 48 hours after receipt of this RFP or intended or actual notice of award of his intent to file a formal written notice with the contact person listed in the solicitation.

c. Content of Formal Written Notice. The formal written notice should be printed, typewritten, or otherwise duplicated in legible form. The formal written notice of protest should contain the information that follows:

(1) The name and address of the respondent filing the protest and an explanation of how his substantial interests have been affected by the bid solicitation or by WHA’s notice of intended or actual award;
(2) A statement of how and when the Respondent filing the protest received notice of the bid solicitation or notice of intended or actual award.

(3) A statement of all issues of disputed material fact. If there are none, the protest must so indicate.

(4) A concise statement of the ultimate facts alleged, as well as WHA’s policies, which entitle the Respondent filing the protest to relief.

(5) A demand for the relief to which the respondent claims they are entitled.

(6) Any other information, which the Respondent contends, is material.

d. Response to Protest. Upon receipt of a timely filed Notice of Protest and meeting the above requirements, the solicitation process, or award process will be stopped until the protest is resolved. The Executive Director may set forth in writing particular facts and circumstances which require continuance of the solicitation process on an emergency basis without the above mentioned delay in order to avoid material increased costs or immediate or serious danger to health, safety or welfare. This written documentation will specifically detail the facts underlying the Executive Director’s decision and will constitute final agency action.

e. Informal Resolution. Upon receipt of the formal written notice of protest or intent to protest, the Review Team must attempt to resolve the protest on an informal basis. The Review Team will have seven (7) days after receipt of the formal written protest to resolve it through mutual agreement. If the protest is not resolved by mutual agreement within the required time, the formal written protest will be referred to the Executive Director.

f. Resolution. The Executive Director may request such information pertaining to the matter, as he deems appropriate. Within seven (7) days of the date that the formal written protest is referred to him, the Executive Director will notify the Respondent making the protest of his decision.


The firm shall provide such financial and programmatic information as required by WHA to comply with all Federal, State and local law reporting requirements.


The firm agrees that it will abide by Federal and State Laws and City ordinances incorporated by reference herein.


Every applicant, recipient, contracting party, contractor, and subcontractor shall incorporate or cause to be incorporated a “Section 3 Clause” in all contracts for work in connection with a Section 3 covered development. All proposals must also include a Compliance Plan for Section 3 requirements.


Except as formally approved by WHA, the key personnel identified in the accepted proposal shall be the individuals who will actually complete the work, at the proposed levels of effort. Changes in staffing must be proposed in writing to WHA and approved.


All written notices required to be given by either party under the terms of the contract(s) resulting from the contract award shall be addressed to the firm at their legal business residence as given in the contract. Written notices to WHA shall be addressed as provided in the contract.

7.26 LAWS

The laws of the State of Connecticut and applicable federal law shall govern this solicitation.

Written contract documents will be prepared by WHA. Modifications may be adopted based on final negotiations and specific requirements of the contract under this particular RFP.


All travel costs and miscellaneous expenses will be borne by the development partner.


Any contract with a selected developer shall be subject to the approval of WHA and the U.S. Department of Housing and Urban Development (if applicable).

Site information– Phase I

Site information– Phase I

Site information– Phase I


Site information – Phase II)

Site information – Phase II

Site information – Phase II

Waterbury Housing Authority

RFP: Development of Real Estate

Questions submitted for clarifications:

A request was made for clarification on the properties to be included in both phases.

Addresses follow:


Phase I
11 Johnson St. 0253-0058-0018 WHA
21 Johnson St. 0253-0058-0019 WHA
319 Grove St. 0253-0054-0040 WHA
323 Grove St. 0253-0054-0041 WHA
327 Grove St. 0253-0054-0042 WHA
331 Grove St. 0253-0054-0043 WHA
335 Grove St. 0253-0054-0044 WHA
336 Grove St. 0253-0058-0034 WHA
339 Grove St. 0253-0054-0045 WHA
342 Grove St. 0253-0058-0033 WHA
345 Grove St. 0253-0054-0046 WHA
346 Grove St. 0253-0058-0032 WHA
351 Grove St. 0253-0054-0047 WHA
352 Grove St. 0253-0058-0031 WHA
355 Grove St. 0253-0054-0048 WHA
356 Grove St. 0253-0058-0030 WHA
359 Grove St. 0253-0054-0049 WHA
360 Grove St. 0253-0058-0029 WHA
364 Grove St. 0253-0058-0028 WHA
365 Grove St. 0253-0054-0051 WHA
88 Sperry St. 0253-0054-0054 WHA