Roles and responsibilities are assigned in accordance with legislation, policy, best practices, skills and expertise and ministry mandates. As alternatively financed procurements are highly integrated, knowledge of all disciplines (technical, legal, financial) and how they are related are key components to developing a successful project.
A single ministry needs to be accountable for leading the project, but other ministries fill critical functions. All participants in the project must work cooperatively to achieve the optimal result. There are key entities that have a stake in the P3 process, and their primary roles and responsibilities are:
A. Cabinet approves the ministries to enter into a P3 project agreement with the Preferred Proponent.
B. Treasury Board Committee receives recommendations from the Advisory Committee on Alternative Capital Financing, approves P3 projects to proceed to procurement and provides recommendations to Cabinet on approving ministries to enter into a P3 project agreement.
C. Treasury Board Capital Planning Committee (TBCPC) is a committee that consists of members of Treasury Board Committee. (See Appendix C.1 for the TBCPC Terms of Reference.) The TBCPC's primary responsibility relating to P3s is to assess the Deputy Ministers' Capital Planning Committee recommendations regarding the strategic direction of the capital plan, including alternative capital procurement options.
D. Deputy Ministers' Oversight Committee (DMOC) oversees the delivery of significant capital projects, including all potential and approved P3 projects. The committee includes a minimum of three deputy ministers from ministries with significant capital requirements plus the deputy ministers of Justice and Finance and Enterprise. The committee is chaired by the Deputy Minister of Treasury Board (see Appendix C.2 for the DMOC Terms of Reference).
E. Deputy Ministers' Project Steering Committee (DMPSC) is required for Cross Ministry Projects (projects involving more than 1 ministry or a ministry and a SIO). The committee is not required for Single Ministry Projects; at the discretion of the deputy minister responsible for the project the function of the DMPSC can be filled by that deputy minister. The chair of the DMOC determines whether a project is a Cross Ministry or a Single Ministry project. The DMPSC is comprised of a minimum of 3 Deputy Ministers from program departments with infrastructure interests and must include the deputy ministers of Justice and Finance and Enterprise. The DMPSC (see Appendix C.3 for the Terms of Reference) provides detailed project oversight and guidance on all approved and potential P3 projects. The DMPSC reports to the DMOC.
F. Assistant Deputy Ministers' Project Review Committee (ADMPRC) is required for all P3 projects and provides guidance and assistance to the Project Manager and project team on the technical requirements of significant capital projects and supports the DMPSC (see Appendix C.4 for the Terms of Reference).
G. The Ministry of Treasury Board establishes and oversees the overall P3 framework and budgeting for the GOA. The ministry is responsible for developing recommendations for a multi-year alternative capital financing plan, establishing criteria and processes to evaluate capital projects for P3 potential, maintains the P3 standards and guidelines and works with other ministries to deliver P3 projects.
H. Advisory Committee on Alternative Capital Financing (ACACF) advises the Ministry of Treasury Board on alternative capital financing options, and the feasibility and desirability of proposed P3 projects (see Appendix C.5 for the Terms of Reference).
I. GOA P3 Committee provides recommendations and guidance on P3 policy and processes including the development of new types of P3 projects, potential project selection, consultant engagement policies and standards and value for money approach (see Appendix C.6 for the Terms of Reference).
J. Program Ministries within the GOA are responsible for determining their individual program needs and the infrastructure required to support those program needs. Program Ministries are responsible for sponsoring a P3 project and ensuring it addresses their specific program needs, liaising with SIOs (when applicable), leading the communications strategy and working with the project team led by the Service Delivery Ministries to deliver the project. Program Ministries also work on P3 evaluations with the Service Delivery Ministries and the Ministry of Treasury Board.
Program Ministries collaborate with Service Delivery Ministries in relation to:
o Developing the Business Case; o Bringing the project forward for approvals; o Signing the project agreement; and o Developing the hand-off requirements for operations and maintenance to ensure the contracted risk transfer is enforced by monitoring performance measures and applying payment adjustments as set out in the agreement. Some Program Ministries provide programs through SIOs. The SIOs require capital infrastructure to deliver these programs. Where a project will be used by an SIO to deliver programs the SIO, working with the Program Ministries, will be involved in the project. | Ministries with Supported Infrastructure Organizations (SIOs) Advanced Education and Technology Education Health and Wellness Housing and Urban Affairs Municipal Affairs Culture and Community Spirit Seniors and Community Supports Agriculture and Rural Development |
K. Service Delivery Ministries lead the procurement process, and provides the Project Manager that will lead the project team. The Service Delivery Ministries also engage any consultants/advisors required for the project; lead the technical aspects of the project; develop expected project costs; lead development of the business case; maintain all project documentation; recommend the Preferred Proponent (with the Program Ministries); lead development of the Value for Money Assessment and Project Report; manage the project implementation; coordinate the transition to the operations and maintenance phase (to ensure contracted risk transfer is effected through monitoring of performance measures and application of payment adjustments); and lead the resolution process of any contract issues. The project team includes Program Ministries and SIOs (where applicable). Service Delivery Ministries also provide input into the P3 assessment criteria.
The Service Delivery Ministries are the Ministries of Infrastructure, Transportation, and Service Alberta, and have the responsibility for, respectively, vertical, Infrastructure horizontal infrastructure, and information management and technology projects. | Infrastructure |
Service Delivery Ministries collaborate with Program Ministries in relation to:
o Advising on project costs;
o Preliminary engineering and design work to define project scope and cost sufficiently to tender the project;
o Determining project potential for alternative financing, such as P3s;
o Leading the project team to deliver the capital projects;
o Submitting to Treasury Board Committee any requests for approvals to proceed to procurement; and
o Submitting to Cabinet any requests for approvals to enter into the agreement.
All members of the project team that are GOA employees must be formally advised of the sensitivity of the information related to a P3 project and reminded of their confidentiality and other obligations under the Public Sector Act oath and relevant Code of Conduct and Ethics provisions. Other project team members not obligated under the Public Sector Act oath and relevant Code of Conduct and Ethics provisions must sign a confidentiality agreement with the Service Delivery Ministries prior to accessing confidential information.
L. Supported Infrastructure Organizations (SIOs) are organizations which receive grants from the GOA for their infrastructure needs. SIOs are responsible for evaluating and determining their infrastructure needs. There are two types of SIOs. The first type of SIO (where the GOA has assumed responsibility for new construction, maintenance and the renewal of existing facilities) includes: School Boards, the Alberta Health Services Board and Post-Secondary Institutions. | Supported Infrastructure Organizations School Boards Alberta Heath Services Board Post-Secondary Institutions Municipalities Housing Authorities Some Not-for-Profit Organizations |
The second type of SIO (where the SIO is responsible for the development and implementation of capital projects and the GOA has no ongoing commitment or responsibility for the capital maintenance or renewal of SIO infrastructure they have funded) includes: municipalities, housing authorities, and other not-for-profit organizations. For these SIOs, the GOA would not lead a P3 project but would encourage the SIO to follow the guidance in this framework.
SIOs work with the Program Ministries to define the program requirements and will be involved with the project team led by the Service Delivery Ministries to develop and procure the project. SIO responsibilities include:
o contributing to project technical requirements that will meet the program needs;
o communicating project requirements and progress within the SIO;
o participating on evaluation and other teams to facilitate the procurement; and
o executing any agreements required to complete the project.
M. The Ministry of Finance and Enterprise provides input into P3 standards and guidance documents and participates in evaluating and delivering P3 projects. The ministry advises on the financing and risk management aspects of the projects and participates in the preparation of the business case, agreement development, procurement evaluations and leading responses on finance and credit matters.
N. The Ministry of Justice also provides input into P3 standards and guidance documents, participates in evaluating projects and leads the legal requirements for delivering P3 projects. The ministry also advises on procurement matters and leads the process to achieve commercial and financial close on the projects. The Ministry of Justice also advises on project agreement interpretation and enforcement.
O. External Consultants/Advisors. The project team must include expertise in all aspects of the procurement. The project team may retain external consultants and advisors to provide any expertise that is not readily available within the GOA. All external consultants should be retained immediately following approval to proceed with the P3 procurement and before the issuing of any project specific procurement documents. It is likely that some or all of the following external consultants will be retained.
Technical Consultants (Engineering/Architect) assist the Service Delivery Ministries in preparing the project specific documentation and participating in the P3 process. The Technical consultant will provide expert assistance to the project team regarding all phases of the work, from reviewing the draft documentation to assisting in the final preparation of the project specific documentation and assisting in the evaluation process.
Process Consultant assists the Service Delivery Ministries in successfully preparing the final procurement documents and assisting in the procurement stages. The Process Consultant will provide expert assistance to the project team regarding all phases of the work, including creating project specific P3 procedures, assisting in the review of the submissions, assisting in the review, managing the question and answer process and other documentation and reporting.
Financial Consultant assists in the risk identification and assessment and in providing advice to the team for the preparation of a financial model to assess value for money. The Financial Consultant also assists in the procurement, attends agreement meetings to address items of a financial nature, contributes to the Project Agreement on matters relating to project financing and value for money, and assesses the financial capacity of respondents to the request for qualifications (RFQ) and proponents involved in the Request for Proposals (RFP) process.
Capital Markets Advisor advises on the mix of public and private financing, attends agreement meetings to assist GOA in addressing items of a capital and financing market nature, and provides input into the Project Agreement on matters relating to capital markets and value for money.
As a result of a consultants' involvement on the project, the consultants, their affiliates and sub-consultants are not eligible to participate as members of any respondent or proponent team.
All members of the consultant teams must sign a confidentiality agreement with the Service Delivery Ministries. If a member of a consultant team leaves the employment of the firm, that member will not be allowed to work with any respondent or proponent team from the time of departure to the signing of the Project Agreement.
A Fairness Auditor is retained by the GOA through a competitive procurement and is appointed by and reports to the project's DMPSC (or equivalent). The Fairness Auditor must be independent of the GOA. The Fairness Auditor observes the GOA's conduct of the procurement process, considers whether the GOA is complying with the process set out in the procurement documents, and provides advice and recommendations to the GOA regarding the fairness of the procurement process. The Fairness Auditor should be retained as early as possible in the procurement process and must be retained prior to the issuance of the RFQ. The Fairness Auditor must have a professional designation (e.g. professional engineer, chartered accountant, lawyer, etc).
Additional details on the roles and responsibilities outlined above are provided in Appendix B.1