qualification procedures for engineering service …

1 of 97 Qualification Procedures for Engineering ESP’s – August 2021

QUALIFICATION PROCEDURES FOR ENGINEERING SERVICE PROVIDERS Policy and Guidelines


Enquiries regarding amendments, suggestions, comments or the distribution of this document are to be directed to:

Ministry of Transportation Ontario Standards and Contract Branch/Contract Management Office 2nd Floor North Garden City Tower 301 St. Paul Street St. Catharines, Ontario L2R 7R4

Attention: Head, Qualifications and Tendering

For qualification questions and support contact:

Ministry of Transportation Standards and Contract Branch/Contract Management Office Qualification Control (905) 704-2144 [email protected]


Table of Contents Part I. General Information ...................................................................................................................... 5

1. Purpose ...................................................................................................................... 5 2. Governance ................................................................................................................ 5 3. Categories and Specialties of Work .......................................................................... 6 4. Qualification Process ................................................................................................ 9 5. Confidentiality ............................................................................................................ 9 6. Investigation by the Ministry ....................................................................................10 7. Fraudulent, False, Deceptive or Misleading Statements.........................................10 8. Sanctions ..................................................................................................................10 9. Disclaimer .................................................................................................................10 10. No Guarantee of Work ..............................................................................................11

Part II: Qualification Requirements ...................................................................................................... 12 11. Application ................................................................................................................12 12. Company Registration Form ....................................................................................13

12.1 Disclosure and Qualification of Associated or Related Entities .............................................. 14 12.2 Tax Compliance Verification (TCV) ......................................................................................... 15

13. Quality Control Plans ................................................................................................15 14. Specialty Qualification Requirements .....................................................................16

14.1 General Key Personnel Requirements.................................................................................... 17 14.2 Replacement of Key Personnel ............................................................................................... 17

15. Maintaining Qualification ..........................................................................................17 16. Requalification in the Specialty................................................................................18

Part III: Responding to Solicitations .................................................................................................... 19 17. Bid Intent ...................................................................................................................19 18. Joint Venture .............................................................................................................19

Part IV. Performance Appraisals .......................................................................................................... 20 19. Past Performance .....................................................................................................20

19.1 Timing of Performance Appraisals .......................................................................................... 20 19.2 Calculation of a Corporate Performance Rating ..................................................................... 20

Part V: Glossary ..................................................................................................................................... 21

Appendix A: Submission and Qualification Criteria for the Planning Grouping ............................ 23 A1. Environmental Planning Category ............................................................................................ 23 A2. Highway Planning Category ...................................................................................................... 24 A3. Transportation (Systems) Planning Category ........................................................................... 25

Appendix B: Submission and Qualification Criteria for the Engineering Grouping ....................... 29 B1. Advanced Traffic Management Systems Category .................................................................. 29 B2. Bridge Engineering Category .................................................................................................... 31


B3. Drainage and Hydrology Engineering Category ........................................................................ 40 B4. Electrical Engineering Category ................................................................................................ 41 B5. Engineering Materials Testing Category ................................................................................... 44 B6. Environmental Category ........................................................................................................... 52 B7. Foundations Engineering Category ........................................................................................... 57 B8. Highway Engineering Category ................................................................................................. 68 B9. Pavement Engineering Category .............................................................................................. 71 B10. Property Category ................................................................................................................... 75 B11. Rockfall Engineering ............................................................................................................... 77 B12. Surveying Category ................................................................................................................ 78 B13. Traffic Engineering Category .................................................................................................. 80

Appendix C: Submission and Qualification Criteria for the Construction Administration Grouping ................................................................................................................................................. 83

C1. Construction Administration Category....................................................................................... 83

Appendix D: Quality Control Plan Submission Requirements ......................................................... 89 D1. Quality Control Core Plan ......................................................................................................... 90 D2. Quality Control Generic Category Plan ..................................................................................... 92 D3. Quality Control Supplementary Plan ......................................................................................... 95 D4. Quality Control Milestone Reports ............................................................................................ 97


Part I. General Information

1. Purpose Engineering Service Providers (ESPs) seeking to provide Prime Engineering Services on planning, engineering and construction administration assignments must be prequalified by the Ministry of Transportation of Ontario (MTO). This document sets out the policy for the ministry’s qualification process and describes the initial and ongoing qualification requirements for ESPs to be eligible to bid on MTO assignments. These procedures have been developed by MTO and should not be relied upon or used to serve any other purpose. 2. Governance The qualification procedures described in this document are governed by the ministry’s Qualification Committee, appointed by the Minister. The Qualification Committee supports the ministry’s Procurement Process by implementing, applying and enforcing the qualification policies for contractors and ESPs.

Details regarding the Qualification Committee’s role, purpose, mandate, membership and structure are accessible in the most recent edition of the “Qualification Committee Procedures” document. This document is available for download on the Ministry of Transportation Technical Publications website.

MTO Qualification Committee

Corporate Performance

Rating

Qualification Procedures

Administrative Sanctions

https://www.library.mto.gov.on.ca/SydneyPLUS/TechPubs/Portal/tp/CAQViews.aspx?lang=en-US



3. Categories and Specialties of Work ESPs may seek qualification with MTO in one or more Specialties in the following Categories if they are interested in providing services to the ministry as a Prime Engineering Service Provider:

Categories Specialties Planning Group

Environmental Planning 1. Class Environment Assessment Process 2. Individual Environmental Assessment

Process Highway Planning 1. Functional Planning & Design Studies

2. Route Selection Study Transportation (Systems) Planning

1. Transportation Economics 2. Transportation Modelling & Transportation

Demand Forecasting 3. Transportation Network Assessment 4. Transportation Study

Engineering Group Advanced Traffic Management Systems (ATMS)

1. ATMS Product, Process and Strategic Development

2. Central System and Field Controller Software Design

3. Electronic Subsystem Design, Construction Contract Administration, and Specialized Inspection Services

Bridge Engineering

1. Biennial Inspections 2. Condition Surveys 3. Design & Evaluation - Complex Structures

(multi-span) 4. Design & Evaluation - Single Span 5. Rehabilitation - Cathodic Protection 6. Rehabilitation - General 7. Rehabilitation - Structural Coating 8. Wood Bridge Inspection 9. Underwater Inspections

Drainage and Hydrology Engineering

1. Drainage and Hydrology Design for Highways


Electrical Engineering

1. Airport Electrical Work 2. Electrical Development 3. Major Electrical Work 4. Minor Electrical Work

Engineering Materials Testing and Evaluation

1. Aggregate Resources Prospecting and Evaluation

2. Aggregates - High Complexity Testing 3. Aggregates - Low Complexity Testing 4. Bituminous - Hot Mix Asphalt Quality

Assurance Testing 5. Forensic Study of Engineering Materials

Failures 6. Soil and Rock Including Testing for

Foundation Engineering - High Complexity Testing

7. Soil and Rock Including Testing for Foundation Engineering - Medium Complexity Testing

8. Soil and Rock Including Testing for Foundation Engineering - Low Complexity Testing

Environmental 1. Acoustics & Vibration 2. Air Quality Assessment 3. Archaeology/Heritage 4. Class Environmental Assessment Process 5. Contaminant/Waste Management 6. Environmental Inspection During

Construction 7. Fisheries Assessment 8. Fisheries Contracts 9. Landscape Architecture 10. Natural Sciences 11. Socio-economics/Agriculture

Foundations Engineering

1. Geotechnical (Structures and Embankments) - High Complexity

2. Geotechnical (Structures and Embankments) - Medium Complexity

3. Geotechnical (Structures and Embankments) - Low Complexity

4. Hydrogeological - High Complexity 5. Hydrogeological - Medium Complexity 6. Hydrogeological - Low Complexity 7. Rock Engineering- High Complexity 8. Rock Engineering - Medium Complexity


9. Rock Engineering - Low Complexity 10. Tunnelling - High Complexity 11. Tunnelling - Medium Complexity 12. Tunnelling - Low Complexity

Highway Engineering 1. Detailed Design - Major Reconstruction and/or Widening

2. Detailed Design - Minor Reconstruction and Resurfacing

3. Detailed Design - Multi-lane Arterial & Expressway - Major Reconstruction and/or Widening

4. Detailed Design - Multi-lane Arterial & Expressway - Minor Reconstruction and Resurfacing

5. Preliminary Design - Functional Planning & Design Studies

6. Value Engineering Pavement Engineering 1. Pavement Evaluation - Flexible

2. Pavement Evaluation - Rigid 3. Soils and Pavement Investigations - Routine 4. Soils and Pavement Investigations -

Complex 5. Pavement Design - Low Complexity 6. Pavement Design - Medium Complexity 7. Pavement Design - High Complexity

Property 1. Property Appraisal Rockfall Engineering 1. Rockfall Hazard Inspection, Evaluation and

Design Specialty Surveying 1. Control Surveys

2. Legal Surveys 3. Photogrammetric Mapping 4. Engineering Survey

Traffic Engineering 1. Traffic Data Collection 2. Traffic Data Processing/Analysis 3. Traffic Impact Analysis 4. Traffic Management 5. Traffic Operational Performance Processes 6. Traffic Operations Studies 7. Traffic Signals 8. Traffic Signing Policies/Traffic Control

Devices


Construction Administration Group Construction Administration

1. Administration - High Complexity 2. Administration - Medium Complexity 3. Administration - Low Complexity 4. Quality Oversight, Audit & Inspection –

Prestressed/Precast Concrete Production Facilities

ESPs shall demonstrate, to the satisfaction of the ministry, previous experience, education, and capability relevant to the Category and Specialty for which the ESP is seeking qualification. 4. Qualification Process Qualification is a precondition to an ESP participating in the procurement process conducted by the ministry. ESPs may only participate in the procurement process if they are prequalified in the relevant Category and Specialty and have an approved Company Registration Form (CRF) prior to the Bid Intent closing date as specified in the Solicitation document. ESPs seeking qualification with the ministry in any of the Specialties and Categories shall successfully complete the following steps through the ministry’s Registry, Appraisal and Qualification System (RAQS) ESP portal, an electronic tendering solution.

*These steps are mandatory annual requirements for the ESPs to maintain their qualification. 5. Confidentiality The qualification of ESPs is solely for the benefit of MTO. Information provided for this purpose will be retained by MTO and not disclosed to any other party unless legally required to do so in accordance with Freedom of Information and Protection

Application1. Submit an Application Form and full copies of the articles of incorporation or master business license

General Prequalification Requirements

2. Complete Tax Compliance Verification process*3. Submit a Company Registration Form*4. Submit a corporate quality control core plan

Specialty and Generic Category Prequalification Requirements

5. Submit a quality control generic category plan for each Category of work being applied for 6. Submit Key Personnel and ESP firm prequalification requirements for each Specialty being applied for7. Ongoing review of Key Personnel*

https://www.raqsesp.merx.com/



of Privacy Act (FIPPA) requirements and procedures. If there is an access request made under the FIPPA, an important criterion for providing information is whether it was submitted explicitly in confidence. Therefore, it is recommended that highly sensitive information is submitted with the caption ‘provided in confidence’ included in the document. 6. Investigation by the Ministry The ministry may at any time carry out investigations relating to the information submitted by an ESP. These investigations may include communication with references, other firms or key personnel related to awarded assignments. ESPs found to have misrepresented their qualifications may be subject to administrative sanctions imposed by the Qualification Committee as described in clause 8 of this document. 7. Fraudulent, False, Deceptive or Misleading Statements Any ESP or ESP’s employee or agent that makes or causes to be made any fraudulent, false, deceptive or misleading statement under these procedures or on any documents relating to a Solicitation or to a contract with the ministry, or a contract in which the ministry has some direct or indirect financial interest, may be prohibited from bidding on assignments for a period of time determined by the ministry. 8. Sanctions At the discretion of the Qualification Committee, a sanction, disqualification, suspension, limitation or revocation from bidding may be applied to an ESP. A sanction will normally be imposed when the ministry’s assessment reveals that the ESP has not met one or more of the procurement process requirements including:

• Breached conditions for qualification • Breached contractual obligations on ministry contracts • Unsatisfactory performance on the ministry’s contracts • An account of any fraudulent, false, deceptive or misleading statement made

to the ministry • Demonstrated inability to work in a cooperative manner with ministry’s

representatives and other ministry’s ESPs Before a sanction is imposed, Qualification Committee will advise the ESP of the matters prompting the proposed action and will give the ESP the opportunity to explain its conduct. 9. Disclaimer


The decision to approve or reject any submission for qualification is at the absolute discretion of the ministry.

The ministry is not liable for any costs or damage incurred in the exercise of such discretion.

The qualification process for ESPs was developed for the ministry’s internal purposes. The ministry does not represent or warrant that Prequalified ESPs are technically capable to perform work for others.

10. No Guarantee of Work The ministry does not guarantee, warrant or otherwise represent that work of any kind or quantity will be offered to any Prequalified ESP. Qualification only determines an ESP’s eligibility to participate in a procurement process.


Part II: Qualification Requirements

11. Application New Applicants are required to initiate their registration on RAQS ESP portal by completing and submitting an online Application Form containing the following information:

• Business information: o Legal name o Business address o Contact information

• Business verification information: o Incorporated Applicants are required to attach a full copy of the Articles

of Incorporation or Amalgamation o Non-incorporated Applicants are required to attach a Master Business

License

Applicants will also be required to select their desired username and password to access RAQS ESP portal upon the ministry’s approval of their Application Form. Correspondence will be sent to the email address provided in the Application Form, advising the Applicant of the results of the ministry’s review of their Application Form. Only ESPs with an approved Application Form will be able to log into RAQS ESP portal using their username and password to proceed with the qualification process. ESP firms with multiple offices shall submit one Application Form per firm. Additional Application Forms for different offices for the same firm will not be approved by the ministry. ESP firms that are part of an associated or related group of entities can apply for a separate registration and qualification in RAQS ESP portal subject to the following requirements:

• Two or more related or associated ESP firms shall not be qualified in the same Category of work;

• They shall abide the conflict of interest requirements set out in subsection 12.1 of these procedures; and

• Each related or associated ESP firm with a separate RAQS ESP portal registration shall maintain individual Corporate Performance Rating in accordance with Part IV of these procedures.








12. Company Registration Form Applicants who received an email confirmation of their approved Application Form can log into RAQS ESP portal to complete an online Company Registration Form (CRF), which consists of the following sections:

An ESP, upon submission of the CRF, certifies as to the truth and accuracy of all statements made and shall, upon request, submit any information in support of such statements as the ministry may require. An approved CRF is valid for up to one calendar year based on the ESPs annual CRF renewal date. ESPs will receive 31-day reminder notice prior to their CRF renewal date and shall review and update their CRF and qualification information (specialty and Quality Control applications) in advance of the renewal date to avoid having their qualification status being changed to expired or rejected.

Company Information Section

•Select all applicable Categories of work commensurate with the Applicant's experience (Note: these do not have to be the Categories for which the ESP will be seeking prequalification)

•Attach a copy of the Certificate of Authorization, if required •Provide general business information (e.g. GST/HST number, # of employees, annual revenue, fiscal year-end, etc.)

Company Contacts Section

•List the company contacts and upload their resumes (e.g. CEO/President, Operations Manager, Fiannce Manager, Quality Manager, RAQS Administrator, etc.)

Banking Information Section •Provide contact information for the firm's financial institution

Liability Insurance Section

•Provide current policy details for professional and general liability insurance

Associated/Related Companies Section

•List associated/related companies and identify the relationship type (e.g. parent, subsidiary, common ownership, other)

Quality Management Section

•Attach the Corporate Quality Control Core Plan (Note: not applicable for the Property Category)

Tax Compliance Section

•Input the Tax Compliance Verification number and upload the Filling and Baclance Confirmation (FBC) letter

Business Work Experience Section

•Provide project reference for a minimum of three (3) relevant projects completed by the ESP within the past five (5) years



A CRF will not be approved by the ministry if an ESP:

• Did not complete the CRF annual renewal; • Did not complete the annual Tax Compliance Verification (TCV) process; or • Did not submit a corporate Quality Control Core plans meeting the

ministry’s requirement; or • Is not approved in at least one Specialty.

The ministry will not approve Bid Intents for ESPs who do not have an approved CRF and are not approved in the Prime Specialty, with an approved Quality Control Generic Category plan where the Specialty resides. CRF will not be approved for an ESP who has not completed an annual TCV process even if all other prequalification requirements have been met. ESPs will not be able to submit a Bid Intent for a Solicitation in a required Category and Specialty without the approved CRF.

12.1 Disclosure and Qualification of Associated or Related Entities ESPs shall disclose the associated or related entities on the CRF and update this list on an annual basis. For qualification purposes, the associated or related entities are defined as:

• Entities that, directly or indirectly, control or are controlled by the ESP; • Entities that are subject to Common Ownership; • Entities that, directly or indirectly, have shared control over or are subject to

shared control of the ESP; and • Entities that, directly or indirectly, have significant influence over or are

significantly influenced by the ESP.

ESPs who are bidding on ministry Solicitations shall not have a conflict of interest. An ESP who submitted a Bid Intent for a Solicitation is considered to have a conflict of interest, if it is directly or indirectly controlled, is controlled by or is under Common Ownership with another ESP who has also submitted a Bid Intent for the same Solicitation. All ESPs who are deemed to be in a conflict of interest by the ministry will have their Bid Intents rejected.


12.2 Tax Compliance Verification (TCV) ESPs are required to confirm compliance with provincial tax obligations, including those federally administered for Ontario, on an annual basis. Instructions on how to complete a TCV process and receive a TCV number from the Ministry of Finance can be downloaded from the Ministry of Transportation Technical Publications website. 13. Quality Control Plans ESPs are fully responsible for the quality control of all services in accordance with the Quality Control (QC) plans that have been approved by the ministry. The Prime Engineering firm shall be responsible for the QC plans of all Specialties including the plans of Subcontractors and take the appropriate corrective measures to ensure the quality of the provided services to the MTO. QC plans shall be submitted through RAQS ESP portal for the ministry’s approval in the following components:

Core Plan• Outlines the ESP’s corporate policy and

procedures on quality control• One core plan is required per ESP

Generic Category Plan

• Outlines the processes which an ESP will follow to ensure the required quality of work for the Categories/Specialties, for which an ESP has been approved to perform the work

• One generic category plan is required for each Category regardless of the number of Specialties for which an ESP has been approved to perform the work



Exceptions for the QC plan submission requirements are illustrated below:

Category of Work QC Core

Plan Required

(Y/N)

QC Category

Plan Required

(Y/N) Advanced Traffic Management Systems Y Y

Bridge Engineering Y Y

Construction Administration Y Y

Drainage and Hydrology Engineering Y Y

Electrical Engineering Y Y

Engineering Materials Testing and Evaluation* Y Y*

Environmental Y Y

Environmental Planning Y Y

Foundations Engineering Y Y

Highway Engineering Y Y

Highway Planning Y Y

Property N N

Pavement Engineering Y Y

Rockfall Engineering Y Y

Surveying Y Y

Traffic Engineering Y Y

Transportation (Systems) Planning Y N * Engineering Materials Testing and Evaluation quality control generic category plan only applies to the Aggregate Resources and Prospecting (EMT) Specialty. All other Specialties under the EMT category does not require a QC generic category plan. Details regarding the core plan and generic category plan requirements can be found in Appendix D. 14. Specialty Qualification Requirements Applicants shall demonstrate the experience, knowledge and capabilities of each Key Personnel relevant to the Specialty being applied for. Specialty criteria and qualification


requirements for the ESP firm and its Key Personnel are listed in the Appendices A to C under a relevant Specialty.

14.1 General Key Personnel Requirements An individual identified as the Key Personnel shall be an employee of the ESP firm. This individual may represent several Specialties for the ESP, but he/she cannot be a Key Personnel for another Prequalified ESP firm. It is not a requirement for Key Personnel to be listed as project team members when responding to Solicitations. ESPs can seek prequalification for a maximum of five (5) * Key Personnel for each applicable Specialty, with the exception of the Property Appraisal, Fisheries Contracts, and Fisheries Assessment Specialties.

14.2 Replacement of Key Personnel The qualification status of the ESPs is contingent on the availability of the approved Key Personnel. It is the responsibility of the ESP firm to notify the ministry when the approved Key Personnel is no longer working for the firm. ESP firms shall recruit a qualified replacement within 120 calendar days from the date the Key Personnel has left the firm. Failure to do so will result in a change in the ESP’s qualification status to non-qualified in the Specialty where the only approved Key Personnel is no longer employed by the firm. 15. Maintaining Qualification All Prequalified Prime Engineering Service Providers intending to bid on ministry work shall annually review and submit a CRF in RAQS ESP portal and must demonstrate tax compliance with their provincial tax obligations before being permitted to submit a Bid Intent. In addition, Prequalified ESPs are required to review their specialty qualifications as well as Quality Control Core and Generic Category plans on an annual basis to ensure that they are current and submit updated QC plans in RAQS ESP portal. If updates are submitted, ministry review and approval is required



An ESP who fails to renew their CRF for more than three (3) consecutive years will be required to reapply as a new Applicant. If a CRF update is required before the ESP’s original CRF renewal date, an interim CRF may be submitted for ministry’s approval. The submission of an interim CRF does not change the original CRF renewal date. 16. Requalification in the Specialty Requalification of the ESPs in the Specialty will be required in the following circumstances: • Addition or replacement of Key Personnel*; • Additional Specialty request; and • Reinstatement request from an ESP who failed to maintain its qualification status

for more than three (3) consecutive years. *ESPs can add, replace or remove Key Personnel, as required.

Annual Renewal of the ESPs Qualification

Complete the TCV process (mandatory)

Submit the CRF (mandatory)

Submit updated Specialty and QC plans (as required)


Part III: Responding to Solicitations

17. Bid Intent A Prequalified ESP wishing to bid on a Solicitation shall submit a Bid Intent electronically in RAQS ESP portal. Upon receipt of a Bid Intent from an ESP, the ministry’s Qualification Control Unit shall verify the Bid Intent and, if such verification indicates that the ESP was prequalified in the advertised prime Specialty and has the required approved Quality Control Core and Generic Category Plan, the ministry shall approve the Bid Intent and advise the ESP. Bid Intents will not be accepted after 12:00 noon of the last business day of the preceding week prior to the Solicitation closing date (generally the Friday before Solicitation Closing). 18. Joint Venture Prequalified ESPs may be permitted to bid on Solicitations as a Joint Venture. Each participant in a Joint Venture shall be a Prequalified ESP firm and shall indicate their intent to form a Joint Venture prior to submitting a Bid Intent by emailing a letter on a joint or individual basis to the Ministry’s Qualification Control Unit at [email protected] identifying each participant in a Joint Venture and the lead ESP firm. This letter shall be signed by a binding authority for each participant in a Joint Venture. The lead ESP firm shall:

• Meet the prequalification requirements for the prime Specialty and Quality Control Generic Category plan where the Specialty resides in the solicitation notice; and

• Coordinate and submit response, bid and all documents on behalf of the Joint Venture.

Upon approval from the Ministry’s Qualification Control Unit, the lead ESP firm is responsible to submit the Bid Intent on behalf of the Joint Venture. All participants in a Joint Venture must, on a joint and several bases, absolutely, unconditionally and irrevocably be responsible for all obligations under the agreement. If participants do not form a corporation, all the participants must sign the agreement upon execution. Corporate Performance Rating (CPR) and or sanctions imposed by the Qualification Committee in accordance with Section 8, Sanctions, will be applied equally to all participants of the Joint Venture.

mailto:[email protected]


Part IV. Performance Appraisals

19. Past Performance Prequalified ESPs who provides services to the ministry will have their performance appraised. Past performance shall be measured by a CPR that is the weighted-average of approved performance appraisals over the last three (3) years. An ESP’s past performance is included in the selection score at the Expression of Interest/Phase I, Request for Proposal (RFP)/Phase II, and Request for Quotation (RFQ) stages of the Procurement Process.

19.1 Timing of Performance Appraisals The ministry will typically evaluate an ESP’s performance within 60 days of substantial completion. An interim/annual appraisal will be conducted by the ministry for RFP/RFQ assignments greater than 2 years and it will reflect the performance evaluation from the start of the assignment to the date the appraisal is issued.

19.2 Calculation of a Corporate Performance Rating The CPR is calculated on a quarterly basis, at the end of the first business day of January, April, July and October.

A starter CPR is made available to ESPs with no performance appraisals approved in the last three (3) years.

For more information on the performance appraisal and CPR process please refer to the RAQS Performance Appraisals Procedures Guide. This document is available for download on the Ministry of Transportation Technical Publications website.



Part V: Glossary

The following definitions apply for the purposes of these procedures: Applicant: An ESP seeking qualification with the ministry in any of the Specialties and Categories. Application: The process of registering with RAQS ESP portal for electronic bidding with the ministry. Application Form: The electronic form which shall be completed by Applicants to initiate the Application process in the ministry’s RAQS ESP portal. Bid Intent: The electronic form in RAQS ESP portal used by ESPs to prequalify for ministry issued solicitations. Only ESPs with approved bid intent will be able to submit a bid on a ministry issued solicitation. Category: a class or division of work types that ESPs are required to prequalify in order to be considered for Solicitations in that type of work. Company Registration Form (CRF): The electronic form in RAQS ESP portal which shall be completed by new Applicants seeking qualification with the ministry or prequalified Applicants seeking annual renewal of their qualification status. Common Ownership: Corporations that are controlled by the same person; or corporations that are controlled by individuals who are related to each other; or a corporation that is controlled by an individual who is related to a member of a related group that controls the other corporation; or corporations that are controlled by related groups and a member of one of the related groups is related to a member of the other related group; or the employers are partnerships and there are persons who are general partners of both partnerships and those persons are entitled to share in at least 50 per cent of the profits of each partnership. Engineering Service Provider (ESP): For the purposes of these procedures, an ESP is a corporation, partnership or other legal entity that is entitled to practice engineering or other related services in Ontario and are registered in good standing with the applicable professional organizations (e.g. Professional Engineers of Ontario, Ontario Association of Landscape Architects, etc.) and possess a Certificate of Authorization from the applicable professional organization (e.g. Professional Engineers of Ontario, Association of Professional Geoscientist of Ontario, Association of Ontario Land Surveyors, etc.).


Joint Venture: A business arrangement in which two or more Prequalified ESP firms agree to pool their resources to work on a ministry’s project. The participants in the Joint Venture are not associated or related by Common Ownership and are jointly responsible for the performance on the assignment. Key Personnel: Professional primary or senior-level staff employed by an ESP firm who, upon approval by the ministry, will assume professional/project responsibility for ministry assignments.

Qualification Committee: A committee appointed by the ministry’s Deputy Minister comprising of MTO Provincial Highways Management Division executives, managers, and at least two (2) members from the Ontario Public Service whom are not MTO employees. Prequalified: An ESP prequalified in at least one or more Category and Specialty with an approved CRF. Prime Engineering Service Provider: An ESP who proposes to be the lead Engineering Service Provider on an assignment. Procurement Process: A request for tender, request for proposal, expression of interest, request for quotation or any other request for offer issued by the ministry. Professional Engineer: An individual who is licensed by Professional Engineers of Ontario and is listed on the ESP’s valid Certificate of Authorization from this organization or holds a valid Certificate of Authorization from this organization if self-employed. Professional Geoscientist: regulated by the Professional Geoscientists Ontario (PGO) to practice professional geoscience in Ontario and reporting to the Minister of Energy, Northern Development and Mines. Geoscience is the acquisition and application of knowledge about the earth, its properties and processes. Specialty: A sub-category of work type that ESPs are required to be prequalified under, in order to be considered for Solicitations in that type of work. Solicitation: A project or assignment tendered by the ministry. Subcontractors: An ESP contracted by a Prime Engineering Service Provider for services related to completing work for the ministry. The Prime ESP is solely responsible for the quality of work performed by their Subcontractors.


Appendix A: Submission and Qualification Criteria for the Planning Grouping

A1. Environmental Planning Category

Qualification Criteria 1. Class Environmental Assessment Process Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions in Canada or USA involving a class environmental assessment.

2. Individual Environmental Assessment Process Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions in Canada or USA involving an individual environmental assessment.

Submission Requirements Submission for the individual Specialties shall include: • A resume of the Applicant’s Key Personnel outlining education, credentials and

work experience relative to the applied Specialty; and

• At least three (3) references for projects completed within the last five (5) years along with project appraisals. *

* References shall include the following information: • Project synopsis with dates;

• Key Personnel’s specific role on the project; and

• Client reference contact information for each project.

The ministry may request additional specific information related to the applied Specialty as deemed necessary to carry out its evaluation.


A2. Highway Planning Category

Qualification Criteria The following qualification requirements are applicable to all Specialties within Highway Planning Category: • Applicant shall hold a valid Certificate of Authorization from the PEO; and • Applicant’s Key Personnel shall be licensed with PEO, shall be listed on the

ESP’s Certificate of Authorization and shall have a minimum of five (5) years of relevant experience.

Additional qualification requirements for each Specialty are outlined below.

1. Functional Planning & Design Studies Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving: • Preliminary highway design including, geometrics, staging and drainage design;

• Knowledge of the Environmental Assessment Act; • Formal presentations, public contact, public relations, report writing and

stakeholder consultation; • Traffic and collision analysis and Level of Service calculations; • Prioritized Contract Content (PCC); and • Project management, scheduling and cost control techniques.

2. Route Selection Study Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving: • Knowledge of the Environmental Assessment Act (within or outside of MTO) at

the MTO Class EA Group B level or higher (at least one Key Personnel shall have been an individual EA);

• Transportation planning, design, project costing, economics and transportation networks;


• Road design including alignment, geometrics, grade, cross-section, intersection

and/or interchange design; • Formal presentations, public contact, public relations, report writing and

stakeholder consultation; and • Project management, scheduling and cost control techniques.


work experience relative to the applied Specialty;

• At least three (3) references for projects completed within the last five (5) years along with project appraisals; * and

• Scanned copies of the licensing and accreditation requirements as specified in

the individual Specialties. * References shall include the following information: • Project synopsis with dates;




A3. Transportation (Systems) Planning Category

Qualification Criteria 1. Transportation Economics Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing at least one project in the past five (5) years involving:


• Knowledge of socio-economic and transportation theories, roles of government, consumer and private sector;

• Experience conducting cost-benefit analysis, business plan assessment, market analysis, transportation capital investment planning and analysis;

• Knowledge of multi-modal transportation inter-action, industry characteristics, toll

highway operation / economics; and • Technical transportation economics knowledge.

2. Transportation Modelling & Transportation Demand Forecasting Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing at least one project in the past five (5) years involving: • Knowledge and experience in mathematical modelling as applied to

transportation planning;

• Knowledge and experience in calibration and validation of transportation planning models (transportation modelling);

• Knowledge and experience in application of transportation planning models

(transportation demand forecasting); • Familiarity with current MTO standard modelling software packages; • Knowledge of geographic areas and ability to work with custom geographic

areas; • Knowledge and manipulation of data base; • Knowledge of demographic trends (socio-economic indicators); • Understanding of future direction and environments; and • Knowledge of demand diversion (under tolling conditions).

3. Transportation Network Assessment Specialty



• Assessment of ancillary impacts;

• Understanding of future direction and environments; • Information and analysis on transportation (roadway and transit) capital

investment; • Priority setting and policy decisions; • Cost-benefit analysis; • Business plan assessment; and • Technical transportation economics knowledge.

4. Transportation Study Specialty


• Understanding and anticipating future transportation directions and requirements;

• Understanding of land use growth and future directions and resulting

transportation implications; • Strategic scanning of socio-economic, technical and environmental issues and

trends; • Cost-benefit analysis; • Empirical and analytical research skills; • Co-ordinate and integrate transportation issues; • Knowledge of technical transportation requirements; • Knowledge of political / jurisdictional responsibility; • Knowledge of the Environmental Assessment Act as applied to transportation;

and • Knowledge of modal characteristics.



work experience relative to the applied Specialty; * and

• References along with project appraisals, if applicable. **

* It is not necessary for a Key Personnel to have had experience in all points listed within the respective Specialty. ** References shall include the following information: • Project synopsis with dates; • Key Personnel’s specific role on the project; and • Client reference contact information for each project.

The client(s) for the above referenced project(s) shall include at least one of the following: • Federal government, partner agency, or task force;

• Provincial government ministry, partner agency, or task force;

• Regional or local government, partner agency, or task force; and

• Academic institution (university, partner agency, or task force).



Appendix B: Submission and Qualification Criteria for the Engineering Grouping

B1. Advanced Traffic Management Systems Category

Qualification Criteria 1. Advanced Traffic Management Systems (ATMS) Product, Process and

Strategic Development Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing at least one project for MTO in the past five (5) years involving: • Advanced knowledge of Ontario's Advanced Traffic Management Systems;

• ATMS electronic subsystem design; ATMS electronic subsystem construction

contract administration; and • ATMS preliminary design, concept design, or feasibility study.

2. Central System and Field Controller Software Design Specialty

Applicant’s Key Personnel shall: • Demonstrate experience in successfully completing at least two (2) software

development projects in the past five (5) years as a project manager involving integration of ATMS electronic subsystems with a central computer; and

• Possess a computer science or computer engineering degree or equivalent. Applicant shall have at least one computer programmer with three (3) years experience in real time process control.

3. Electronic Subsystem Design, Construction Contract Administration, and Specialized Inspection Services Specialty

Applicant’s Key Personnel shall: • Demonstrate experience as a project manager in successfully completing at least

two (2) ATMS electronic subsystem detail design projects and two (2) ATMS electronic subsystem construction contract administration projects in the past five (5) years;

• Be licensed or eligible to be licensed with the PEO;


• Be familiar with MTO standards, guidelines, and specifications relating to Ontario

based ATMS systems or with equivalent experience on standards, guidelines, and specifications of other jurisdictions similar to MTO; and

• Be familiar with MTO construction contract preparation and administration

procedures and practices or equivalent experience on construction contract preparation and administration procedures and practices with other jurisdictions similar to MTO.

Applicant shall have at least one inspector with Construction and Maintenance Electrician Certification or eligibility for Certification in Ontario (309A) or Electronic Technician Diploma or Electronic Technologist Diploma and possessing at least five (5) years of proven experience and thorough knowledge in broadband fibre optics, co-axial, and wireless communications design, implementation, maintenance and construction. * * Applicant cannot use an electrical contractor to perform electrical and electronic inspection tasks.



• References for projects along with appraisals; * and • Scanned copies of the licensing and accreditation requirements as specified in

the individual Specialties.

* References shall include the following information: • Project synopsis with dates; • Key Personnel’s specific role on the project; and • Client reference contact information for each project.



B2. Bridge Engineering Category

Qualification Criteria The following qualification requirements are applicable to all Specialties within Bridge Engineering Category:

• Applicant shall hold a valid Certificate of Authorization from the PEO; and • Applicant’s Key Personnel shall be a Professional Engineer in Ontario.

• Experience shall be demonstrated by successfully completing projects in

Ontario or other similar jurisdictions in Canada or the USA. • Refer to the International Experience section for experience outside of

Canada or the USA. Additional qualification requirements for each Specialty are outlined below.

1. Biennial Inspections Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving:

• Conducting bridge inspection assignments to assess and report material

conditions and structural performance in accordance with established severity and extent procedures (e.g. Ontario Structure Inspection Manual);

• Preparing reports which summarize the inspection findings, including

maintenance needs, suspected performance deficiencies, and overall structure inspection comments;

• Providing recommendations on bridge needs, and develop general

strategies for rehabilitation of the existing bridge structures and components when requested by the bridge owner; and,

• Inputting and updating inspection data into a database (e.g. Ontario’s

Bridge Management System, BMS). The following technical documents must be submitted for each reference project at minimum which clearly shows the Key Applicant’s involvement and experience in meeting the above requirements:


• Structure inspection assignment report, including full OSIM reports,

demonstrating a variety of structure types and complexities; • Summary reports or lists demonstrating the full scope of structures

inspected; and, • Summary reports of recommendations pertaining to maintenance and/or

rehabilitation work (if available).

2. Conditions Surveys Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving:

• Inspecting bridge decks and other components, collecting field samples and

observing material conditions and structural integrity and performance in accordance with established procedures (e.g. MTO Rehabilitation Manual and procedures);

• Conducting field measurements, assessing material defects and

organizing laboratory testing of samples collected in the field; and • Preparing condition survey reports and presenting the factual condition of the

structure based on the results of the field investigation and laboratory testing, including any additional commentary or recommendations that may be required.

The following technical documents must be submitted for each reference project at minimum which clearly shows the Key Applicant’s involvement and experience in meeting the above requirements: • A copy of the complete condition survey report, including all appendices.

3. Design & Evaluation – Complex Structures (multi-span) Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving:

• Practicing engineering from inception to completion, including planning,

analysing, and designing of new multi-span continuous bridges; • Designing the substructure and superstructure for both concrete (rigid


frame, concrete deck on prestressed girders, post-tensioned decks etc.) and steel (concrete deck on steel girders, trusses, arches etc.) bridges;

• Preparing contract drawings, Structural Design Reports, design calculations,

specifications, special provisions, non-standard special provisions, and applicable standard drawings to be used for contract bidding and construction; and

• Coordinating and integrating multi-discipline functions in a total

project management setting. The following technical documents must be submitted for each reference project at minimum which clearly shows the Key Applicant’s involvement and experience in meeting the above requirements:

• Complete set of contract drawings for the bridge; • Engineering calculations or notes for the bridge components in the

contract drawings; • Structural Design Report and/or technical memo showing how the detailed

design was approached; and • Specifications, special provisions, non-standard special provisions and

applicable standard drawings. At least one concrete and one steel bridge project are required. Culverts, pre-engineered temporary modular and pedestrian bridges, and superstructure replacements are not considered for this specialty. Up to one complex single span bridge (e.g. Arch) may be considered for this specialty. * Applicant’s Key Personnel shall be prequalified in the Design & Evaluation –

Single Span Specialty to be eligible for qualification in this Specialty. Please note that Applicant’s Key Personnel with temporary qualification in the Design & Evaluation – Single Span Specialty based on the experience outside of Canada and USA is not eligible for qualification in this Specialty unless they can demonstrate successful completion of Ontario projects.

4. Design & Evaluation – Single Span Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving: • Practicing engineering from inception to completion, including


planning, analysing, and designing of single span bridges; • Designing substructure and superstructure for both concrete (rigid frame,

concrete deck on prestressed girders etc.) and steel (concrete deck on steel girders, simple trusses etc.) single span bridges;

• Preparing contract drawings, Structural Design Reports, design calculations,

specifications, special provisions, non-standard special provisions, and applicable standard drawings to be used for contract bidding and construction; and

• Coordinating and integrating multi-discipline functions in a total

project management setting. The following technical documents must be submitted for each reference project at minimum which clearly shows the Key Applicant’s involvement and experience in meeting the above requirements:

• Complete set of contract drawings for the bridge; • Engineering calculations or design notes for the bridge components in the

contract drawings; • Structural Design Report and/or technical memo showing how the Key

Person approached the detailed design; • Specifications, special provisions, non-standard special provisions and

applicable standard drawings. At least one concrete and one steel bridge project are required. Culverts, pre-engineered temporary modular and pedestrian bridges, and superstructure replacements are not considered for this specialty.

5. Rehabilitation – Cathodic Protection Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving:

• Reviewing the inspection reports and making recommendations to ascertain

the needs and developing strategies for cathodic protection of the existing bridge structure rehabilitations;

• Preparing the full rehabilitation designs of impressed current cathodic protection

systems; and


• Preparing contract drawings including specifications, special provisions, non- standard special provisions and applicable standard drawings to be used for the contract bidding process and construction of the structures.

The following technical documents must be submitted for each reference project at minimum which clearly shows the Key Applicant’s involvement and experience in meeting the above requirements: • A Structural Design Report or project memo outlining the methodology and

reasoning for the use of cathodic protection; • Engineering calculations or notes showing the design process used for the

cathodic protection system; • Complete contract drawings related to cathodic protection; • Contract specifications related to the cathodic protection system, prepared by

the Key Applicant. Reference projects up to 20 years old may be submitted for this specialty. 6. Rehabilitation – General Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving: • Reviewing the condition survey reports, making recommendations on the

bridge’s needs, developing strategies for major rehabilitation, and reporting on findings;

• Practicing engineering to evaluate, modify or improve the existing condition

of single and multi-span bridges for a variety of project scopes; and • Preparing contract drawings including specifications, special provisions, non-

standard special provisions and applicable standard drawings to be used for the contract bidding process and construction of the structures.

The following technical documents must be submitted for each reference project at minimum which clearly shows the Key Applicant’s involvement and experience in meeting the above requirements: • A Structural Design Report or technical memo, including how the scope of

rehabilitation was determined. • This should include discussion of alternatives and clear reasoning as

to why certain options were selected related to the rehabilitation


scope; • Complete contract drawings related to the rehabilitation design; • Complete contract specifications related to the rehabilitation work, prepared by

the Key Applicant. A maximum of one project type from the list below may be included in the submission:

• Culvert rehabilitation • Non-highway (e.g. Rail, Pedestrian, etc.) bridge rehabilitation • Scope limited to patch-waterproof-pave (which may include expansion joint

replacement)

7. Rehabilitation – Structural Coating Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving:

• Reviewing the inspection reports and making recommendations on the

bridge’s needs, and develop strategies for the complete coating of existing steel bridge structures;

• Preparing full contract requirements for coating of the entire steel

superstructure including environmental constraints; and • Preparing contract drawings, including specifications, special provisions, non-

standard special provisions and applicable standard drawings, to be used for contract bidding and construction.

The following technical documents must be submitted for each reference project at minimum which clearly shows the Key Applicant’s involvement and experience in meeting the above requirements: • A Structural Design Report or project memo showing how the Key Applicant

determined the need for coating and associated strategy, including type of coating to be used.

• This should include discussion on how the coating type was selected, and results from any field investigations performed to support this decision;

• Complete contract drawings related to the coating aspect of the project; and, • Complete contract specifications related to the coating work, prepared by the

Key Applicant.


Reference projects up to 20 years old may be submitted for this specialty. 8. Wood Bridge Inspection

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving:

• Undertaking or directing investigations, such as coring, boring, etc., of timber

bridges or timber bridge components; • Reviewing investigation reports and test results; and

• Making sound judgement to ascertain the material condition and structural

performance in accordance with the recommended procedures (e.g. OSIM Part 4: Material Condition Surveys).

The following technical documents must be submitted for each reference project at minimum which clearly shows the Key Applicant’s involvement and experience in meeting the above requirements:

• Detailed wood bridge investigation report or summary documents

demonstrating inspection procedures, methods, findings and recommendations for the structure.

Reference projects up to 20 years old may be submitted for this specialty.

9. Underwater Inspections Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving:

• Deploying and directing professional divers to perform inspection of bridge

substructures located under water to assess and report material conditions, structural integrity, and performance in accordance with the procedures (e.g. MTO’s Ontario Structure Inspection Manual and procedures);

• Preparing reports and making recommendations to ascertain the needs and

develop strategies for rehabilitation of the bridge substructures and components under water;

The following technical documents must be submitted for each reference project


at minimum which clearly shows the Key Applicant’s involvement and experience in meeting the above requirements:

• Detailed underwater inspection report summarizing the procedures,

methods, findings and recommendations of underwater inspections. Reference projects up to 20 years old may be submitted for this specialty.

Submission Requirements Submission for the individual Specialties shall include: • An organizational chart listing the Applicant’s Key Personnel who be

carrying out the requirements of the Specialty; • A resume of the Applicant’s Key Personnel outlining education, credentials

and work experience relative to the applied Specialty; * • At least three (3) references projects, completed within the last 10 years

(unless noted otherwise), as described for the specific specialty. All documents shall be prepared or checked by the Key Person and appropriately signed and/or sealed as applicable;

• At least one client reference and project appraisal per reference project;

** • Scanned copies of the licensing and accreditation requirements for

the Applicant and its Key Personnel;

* Include projects with inter-jurisdictional experience relevant to the Specialty, if applicable.

** Client References shall include the following information:

• Project synopsis with dates; ** • Key Personnel’s specific role on the project; and


The ministry may request additional specific information related to the applied Speciality as deemed necessary to carry out its evaluation.


International Experience

Applicant with international experience outside Canada and USA may be granted a temporary qualification in the Specialty on a trial basis, for a period not exceeding two (2) years provided that: • the Applicant holds a valid Certificate of Authorization from the PEO;

• the Applicant’s Key Personnel is a Professional Engineer in Ontario; and

• the Applicant’s Key Personnel has an equivalent international experience. During the trial period, the Applicant may procure no more than one MTO assignment from each Region. At the end of the trial period, the Applicant may request a qualification in the Specialty based on the acquired experience in Ontario or may request an extension for a period not to exceed two (2) years if the Applicant is in the process of providing services to the ministry related to the Specialty in which they received a temporary qualification. Failure to requalify upon an expiry of the ministry’s approved extension will result in a change in the ESP’s Key Personnel qualification status to non-qualified in that Specialty.


B3. Drainage and Hydrology Engineering Category

Qualification Criteria 1. Drainage and Hydrology Design for Highways Specialty

Applicant shall hold a valid Certificate of Authorization from the PEO. Applicant’s Key Personnel shall: • Be a Professional Engineer; and

• Have demonstrated experience in successfully managing projects in Ontario or

other similar jurisdictions involving drainage management practices within a regulatory framework as well as highway planning and design. *

* Applicant’s Key Personnel shall demonstrate that they have signed and sealed the design documents in their capacity as a professional engineer for the following projects:

• Preliminary hydraulic design of a bridge;

• Detail hydraulic design of a bridge;

• Preliminary design of stormwater quantity/quality control; and

• Flood plain mapping, flood control or stream realignment works.

Submission Requirements

Submission for the individual Specialties shall include: • A resume of the Applicant’s Key Personnel outlining education, credentials and


• At least four (4) references for projects completed within the last five (5) years along with project appraisals; * and

• Scanned copies of the licensing and accreditation requirements.



• Key Personnel’s specific role on the project; and • Client reference contact information for each project.


B4. Electrical Engineering Category

Qualification Criteria The following qualification requirements are applicable to all Specialties within Electrical Engineering Category: • Applicant shall hold or be eligible to hold a valid Certificate of Authorization from

the PEO; • Applicant’s Key Personnel shall be licensed or eligible to be licensed with PEO;

and • Applicant’s Key Personnel shall have a degree in electrical engineering from a

recognized university with five (5) years of relevant electrical engineering work experience.


1. Airport Electrical Work Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing at least three (3) projects similar in scope to the Airport Electrical Work Specialty in the past five (5) years in Ontario or in other similar jurisdictions. Projects consisting of the electrical design and the policy and standards development work for airports.

2. Electrical Development Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing a minimum of:

• Eight (8) electrical design projects in the past five (5) years for the Ministry.

These projects shall include a minimum of:


Two (2) full illumination high mast lighting design projects Two (2) full illumination conventional lighting design projects Two (2) traffic signal design projects • Two projects involving the development of policies and standards similar in

scope to the Electrical Development Specialty for a government agency in Ontario or in other similar jurisdictions or for a technical organization (CSA, IES, TAC, IMSA, etc.)

* Applicant’s key personnel shall be qualified for the Major Electrical Work specialty to be eligible for qualification in this Specialty

Projects involving the development of design, material, construction, and maintenance policies, guidelines and standards for electrical work (except for airport electrical work). Other tasks may include but are not limited to reports, studies, pilot/demonstration projects and specialized inspections.

3. Major Electrical Work Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing a minimum of three (3) electrical design projects similar in scope to the Major Electrical Work Specialty in the past five (5) years in Ontario or in other similar jurisdictions. These projects shall include a minimum of: • One (1) highway lighting design project and;

• One (1) traffic signal design project. Projects involving electrical design of higher complexity, including but not limited to: • Full illumination, • Tunnel illumination, • Embedded work on structures, • Truck inspection stations; and • Interconnected traffic signals.

4. Minor Electrical Work Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing a minimum of three (3) electrical design projects similar in scope to the Minor Electrical Work Specialty in the past five (5) years in Ontario or in other similar jurisdictions.


These projects shall include a minimum of: • One (1) roadway lighting design project and;

• One (1) traffic signal design project. Projects involving electrical design of low complexity, including but not limited to: • Partial illumination, • Underpass illumination; and • Traffic signals.




• References for completed projects along with project appraisals; * • Copy of the design deliverables produced by the Key Personnel and bearing

their engineering stamp for non-MTO projects or a list of the work project number and the contract number for MTO projects;

• Scanned copies of the licensing and accreditation requirements.






B5. Engineering Materials Testing Category

Qualification Criteria The following general qualification requirements are applicable to the Specialties within Engineering Materials Testing Category: • Applicant shall have their own laboratory or demonstrated access to a

laboratory(s) meeting the requirements in the specific discipline and the general requirements given below.

• Work and testing shall be under the direction of a Professional Engineer, with the

following exceptions: Petrographic examination of concrete, aggregates and rock cores shall be

performed by a person with demonstrated experience satisfactory to MTO in the topic.

Aggregate resource prospecting and evaluation shall be performed by or under the supervision of a licensed professional geoscientist, or by a Professional Engineer possessing demonstrated experience satisfactory to MTO in aggregate resource prospecting and evaluation.

Chemical analysis of materials shall be performed under the supervision of a

qualified analytical chemist • The supervising professional shall have a minimum of three (3) years of

experience in the material category in which the work is to be undertaken.

The general requirements for laboratories are: • Laboratories shall have participated previously in the MTO correlation/proficiency

sample-testing program or a ministry recognized equivalent such as the American Association of State Highway and Transportation Officials (AASHTO) Materials Reference Laboratory or Canadian Council of Independent Laboratories (CCIL) for the subject material/test.

• Laboratories shall hold applicable certification or accreditation from appropriate

bodies as detailed in the specific discipline. Certification should be valid for the period when the work is done. Where equivalent certifications are allowed, equivalency shall be determined by the ministry.

• Certain testing services, as noted below, require inspection and acceptance of

the laboratory by MTO. It is the responsibility of the Applicant to arrange for such


inspection with MTO’s Materials Engineering and Research Office located at 145 Sir William Hearst Avenue, Downsview, Ontario M3M 0B6.

• Laboratories shall have a Quality Control Manual describing as a minimum the

following quality control practices, policies and operational procedures:

A quality policy statement and commitment; Management structure and responsibility; Job descriptions of key staff; Training policies, health and safety practices; Housekeeping practices, Procedures for control of documentation, including updating testing

manuals, and reporting results; Procedures for protecting confidentiality of data; Sample handling, storage and identification; Instrument and equipment maintenance, calibration practices and

schedules; Testing of duplicate, blind samples or both; Testing of reference materials; Participation in internal/external proficiency sample testing programs; Procedures for review of sample data and taking corrective action whenever

testing discrepancies are detected; and Procedures for dealing with complaints.

• The Quality Control Manual shall be updated at least annually and shall be made

available for review at ministry’s request. Additional qualification requirements for each Specialty are outlined below.

1. Aggregate Resources Prospecting and Evaluation Specialty

Applicant’s Key Personnel shall demonstrate experience in aggregate resources prospecting and evaluation by submitting a list of previous investigations.

2. Aggregates – High Complexity Specialty

Applicant’s Key Personnel shall demonstrate experience in the high complexity aggregate testing listed below and shall hold a current certificate from CCIL indicating their proficiency in these tests. Applicant’s laboratories shall: • Have a valid Type D CCIL certification in Superpave Aggregate Consensus

Properties;


• Participate in the MTO proficiency sample testing program for aggregates; • Be a subject to inspection and acceptance by MTO; • Obtain a satisfactory laboratory rating as determined by MTO; and • Be capable of conducting all the tests that are covered in the Aggregates – Low

Complexity Testing Specialty as well as the following tests: MTO LS-604 Relative Density and Absorption of Coarse Aggregates; MTO LS-605 Relative Density and Absorption of Fine Aggregates; MTO LS-606 Soundness of Aggregates by Use of Magnesium Sulphate; MTO LS-609 Procedure for the Petrographic Analysis of Coarse Aggregate; MTO LS-616 Procedure for the Petrographic Analysis of Fine Aggregate; MTO LS-613 Determination of Acid Insoluble Residue of Aggregates; MTO LS-614 Freezing and Thawing of Coarse Aggregate; MTO LS-615 Determination of Potential Alkali-Carbonate Reactivity of

Carbonate Rocks by Chemical Composition (CSA A23.2); MTO LS-617 Determination of Percent Crushed Particles with Two or More

Crushed Faces and Uncrushed Particles in Processed Coarse Aggregate; MTO LS-618 The Resistance of Coarse Aggregate to Degradation by

Abrasion in the Micro-Deval Apparatus; MTO LS-619 The Resistance of Fine Aggregate to Degradation by Abrasion in

the Micro-Deval Apparatus; MTO LS-620 Accelerated Detection of Potentially Deleterious Alkali-Silica

Reactive Aggregate by Expansion of Mortar Bars; MTO LS-623 One Point Proctor Test (OPT); MTO LS-630 Determination of Amount of Contamination of Coarse

Aggregate; MTO LS-631 Determination of Presence of Plastic Fines in Aggregates; MTO LS-632 Determination of Amount of Contamination in Recycled Asphalt

Pavement and Recycled Shingle Tabs; MTO LS-706 Moisture-Density Relationship of Soils Using 2.5 kg Rammer

and 305mm Drop; AASHTO T 176 Plastic Fines in Graded Aggregates and Soils by Use of the

Sand Equivalent Test; * MTO LS-629 Uncompacted Void Content of Fine Aggregate; * ASTM D476 Flat Particles, Elongated Particles, or Flat and Elongated

Particles in Coarse Aggregate; * ASTM D5821 ASTM D5821 Determining the Percentage of Fractured

Particles in Coarse Aggregate; * MTO LS-603 Resistance to Degradation of Coarse Aggregate by Abrasion

and Impact in the Los Angeles Abrasion Machine; or MTO LS-610 Organic Impurities in Concrete Sands; or MTO LS-626 Detection of Alkali-Reactive Coarse Aggregate by Accelerated

Expansion of Concrete Prisms (Tang Test); or


MTO LS-627 Open Graded Drainage Layer (OGDL) Core Porosity Test. * Laboratories providing these Superpave aggregate consensus property testing shall be capable of performing all applicable tests using the applicable AASHTO protocols.

3. Aggregates – Low Complexity Specialty Applicant’s Key Personnel shall demonstrate experience in the aggregate testing listed below and shall hold a current certificate from CCIL indicating their proficiency in these tests. Applicant’s laboratories shall: • Have a valid Type C CCIL certification; • Participate in the MTO proficiency sample testing program for aggregates; • Be a subject to inspection and acceptance by MTO; • Obtain a satisfactory laboratory rating as determined by MTO; and • Be capable of conducting the following tests: MTO LS-600 Dry Preparation of Aggregates for the Determination of Physical

Constants; MTO LS-601 Materials Finer than 75 m Sieve in Mineral Aggregates by

Washing; MTO LS-602 Sieve Analysis of Aggregates; MTO LS-607 Determination of Percent Crushed Particles in Processed

Coarse Aggregate; MTO LS-608 Determination of Percent Flat and Elongated Particles in Coarse

Aggregate; and MTO LS-621 Determination of Amount of Asphalt Coated Particles in Coarse

Aggregate.

4. Bituminous – Hot Mix Asphalt Quality Assurance Testing Specialty

Applicant’s Key Personnel shall demonstrate experience in the hot mix asphalt quality assurance testing listed below and shall hold a current certificate from CCIL indicating their proficiency in these tests. Applicant’s laboratories shall: • Have a valid Type A CCIL certification in Superpave Mix Design testing or

ministry recognized equivalent such as the AASHTO protocols; • Participate in the ministry's monthly scheduled hot mix correlation program;


• Be a subject to inspection and acceptance by MTO; • Obtain a satisfactory laboratory rating as determined by MTO; and • Be capable of conducting the following tests: MTO LS-262 Bulk Relative Density of Compacted Bituminous Mixtures; MTO LS-264 Theoretical Maximum Relative Density of Bituminous Paving

Mixtures; MTO LS-287 The determination of Percent Compaction of Compacted

Bituminous Paving Mixture (MRD Method) MTO LS-265 Determination of Percent Air Voids in Compacted Dense

Bituminous Pavement Mixtures; and MTO LS-282 Quantitative Extraction of Asphalt Cement and Analysis of

Extracted Aggregate from Bituminous Paving Mixtures; or MTO LS-292 Quantitative Determination of Asphalt Cement Content by

Ignition and Analysis of Remaining Aggregate from Bituminous Paving Mixtures;

MTO LS-294 Measuring Pavement Lift Thickness; MTO LS-604 Relative Density and Absorption of Coarse Aggregate; MTO LS-605 Relative Density and Absorption of Fine Aggregate; AASHTO T166 Bulk Specific Gravity (Gmb) of Compacted Hot Mix Asphalt

(HMA) Using Saturated Surface-Dry Specimens; AASHTO T 283 Resistance of Compacted Asphalt Mixtures to Moisture-

Induced Damage; LS-310 Determination of Draindown Characteristics in Uncompacted Asphalt

Mixtures; ls-313 Preparing and Determining the Density of Hot-Mix Asphalt (HMA)

Specimens by Means of the Superpave Gyratory Compactor; and AASHTO R 35 Superpave Volumetric Design for Asphalt Mixtures.

5. Forensic Study of Engineering Materials Failures Specialty

Applicant’s Key Personnel shall: • Demonstrate a minimum of 10 years of experience in supervising or successfully

completing the forensic work and testing; * and

• Be a Professional Engineer, or an engineer licensed to practice in the USA or other provinces in Canada, or geologist, or a qualified analytical chemist. **

The Applicant shall have access to facilities meeting the requirements for Engineering Materials Testing and Evaluation assignments. * This experience shall be demonstrated by:


• Providing a list of client reports showing examples of forensic work supervised or completed; and/or

• A significant record of relevant refereed publications.

** The report or findings shall be co-signed by a Professional Engineer when the services in this Specialty are provided by an engineer who is not licensed in Ontario.

6. Soil and Rock Including Testing for Foundation Engineering – High Complexity Specialty

Applicant’s Key Personnel shall demonstrate experience in the soil and rock testing listed below and shall hold a current certificate from CCIL indicating their proficiency in these tests.

Applicant’s laboratories shall:

• Have a valid Type D CCIL certification in Soil Tests; • Participate in the ministry’s proficiency sample testing program for soils; • Be a subject to inspection and acceptance by MTO; • Obtain a satisfactory laboratory rating as determined by MTO; • Be capable of conducting all the tests that are covered in the Soil and Rock –

Medium Complexity Testing Specialty as well as the following tests: ASTM D 2850 Unconsolidated undrained compressive strength of cohesive

soils in triaxial compression; ASTM D 4767 Consolidated-undrained triaxial compression with pore

pressure measurement during shearing; ASTM D 3080 Direct shear test of soils under consolidated drained conditions; LS-709 Determination of Permeability of Granular Soils; ASTM D 2434 Permeability of granular soils by constant head method; ASTM D 5084 Hydraulic Conductivity of Low Permeable Soils Using a Flexible

Wall Permeameter; ASTM D 2938 Uniaxial Compression; and ASTM D 5607 Joint Shear Strength.

7. Soil and Rock Including Testing for Foundation Engineering – Medium

Complexity Specialty

Applicant’s Key Personnel shall demonstrate experience in the soil and rock testing listed below and shall hold a current certificate from CCIL indicating their proficiency in these tests.


Applicant’s laboratories shall:

• Have a valid Type D CCIL certification in Soil Tests; • Participate in the ministry’s proficiency sample testing program for soils; • Be a subject to inspection and acceptance by MTO; • Obtain a satisfactory laboratory rating as determined by MTO; • Be capable of conducting all the tests that are covered in the Soil and Rock –

Low Complexity Testing Specialty as well as the following tests: ASTM D 2166 Unconfined Compressive Strength of Cohesive Soil; and ASTM D 2435 One-dimensional Consolidation Properties of Soils.

8. Soil and Rock Including Testing for Foundation Engineering – Low

Complexity Specialty

Applicant’s Key Personnel shall demonstrate experience in the soil and rock testing listed below and shall hold a current certificate from CCIL indicating their proficiency in these tests. Applicant’s laboratories shall: • Have a valid Type D CCIL certification in Soil Tests; • Participate in the ministry’s proficiency sample testing program for soils; • Be a subject to inspection and acceptance by MTO; • Obtain a satisfactory laboratory rating as determined by MTO; • Be capable of describing rock for engineering purposes (e.g., rock core

description, % recovery, and RQD), and carrying out index tests on rock core samples; and

• Be capable of conducting the following tests: MTO LS-701/ASTM D 2216 Moisture Content of Soils; MTO LS-702 Particle Size Analysis of Soils MTO LS-703 & 704/ASTM D 4318 Liquid Limit, Plastic Limit and Plasticity

Index of Soils; MTO LS-705 Specific Gravity of Soils; and MTO LS-706 Moisture-Density Relationship of Soils Using 2.5 kg Rammer

and 305mm Drop.


Submission Requirements Submission for the individual Specialties shall include: • List of the laboratories owned by the Applicant;

• A statement as to which testing, and evaluation categories are being applied for;

• A copy of the appropriate CCIL certificates for laboratory or ministry recognized

equivalent (where applicable); • A copy of the individual test and laboratory ratings reports from proficiency

sample testing programs for the past two (2) years (where available); * • A copy of the description of the quality management/audit process the Applicant

has in place to ensure that testing done by others is satisfactory; • A statement and demonstration that the registrant has qualified engineers,

geologists, geoscientists and chemists to perform the required work; • A statement that qualified/certified technicians, when required for certain

activities, will conduct the work (and if possible, a copy of the appropriate certificates);

• In the case of aggregate and soil testing specialties, as well as aggregate

resources prospecting and evaluation, statement of experience and two (2) references; **

• In the case of forensic study of engineering materials failures, statements of

experience, and access to providers of engineering materials specialty testing services and three (3) references; **

• A list of previous works done, within each Specialty, directly or indirectly for

MTO in the past three (3) years; ***

* In the cases where a laboratory received a rating of two or less for a particular test and material, Applicants are required to provide a letter or memoranda describing the investigative action that the laboratory management took to identify and correct the problem and what action has been taken to prevent reoccurrence. ** References shall include the following information: • Project synopsis with dates;


• Key Personnel’s specific role on the project; and • Client reference contact information for each project.

*** List the contract number (if it exists), region; type of work performed, and time when work was done. The ministry may request additional specific information related to the applied Specialty as deemed necessary to carry out its evaluation.

B6. Environmental Category

Qualification Criteria 1. Acoustics & Vibration Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions in Canada or USA involving: • Highway noise analysis and highway noise control and mitigation; * and/or • Vibration analysis and vibration control and mitigation. *At least one of the Key Personnel shall have knowledge of and experience with the United States Federal Highway Administration (FHWA) noise prediction model (STAMINA 2.0 and Stamson 5.0) or an equivalent experience in other similar jurisdictions.

2. Air Quality Assessment Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions in Canada or USA involving air quality modelling and impact assessment for operating highways or high-order municipal roads.

3. Archaeology/Heritage Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions in Canada or USA involving: • An archaeological assessment (Stages 1-3), or archaeological site mitigation

(Stage 4), or an equivalent experience in other jurisdictions similar to Ontario; * and/or


• The identification and assessment of heritage (cultural and architectural)

resources, or heritage impact assessment or development of heritage resource mitigation measures.

*At least one of the Key Personnel shall have or be eligible for Ontario archaeological consulting licence.

4. Class Environmental Assessment Process Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions in Canada or USA involving a class environmental assessment.

5. Contaminant/Waste Management Specialty

Applicant shall hold or be eligible to hold a valid Certificate of Authorization from the Association of Professional Geoscientists of Ontario (APGO) or from the Professional Engineers Ontario (PEO).

Applicant’s Key Personnel shall be licensed or eligible to be licensed with APGO or with PEO and shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions in Canada or USA involving: • Phase One ESA’s and Phase Two ESA’s, or an equivalent experience; and/or

• Site remediation and monitoring (Phase Three ESA’s), or an equivalent

experience; and/or

• Analytical laboratory services. * *Applicant’s laboratory shall have Canadian Association for Environmental Analytical Laboratories (CAEAL) Accreditation or equivalent or an equivalent experience in other similar jurisdictions in Canada or USA.

6. Environmental Inspection During Construction Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions in Canada or USA involving environmental inspection of construction sites.


7. Fisheries Assessment Specialty As a minimum the Fisheries Assessment Specialist shall possess the following:

Education: • Graduation with a degree or diploma from a recognized university or college in a

natural or physical science with specialization in fisheries biology, aquatic biology, ecology, or another related discipline; and

• Successful completion of MTO fisheries Protocol Training. Experience: • Demonstrated related work experience;

• Demonstrated experience in conducting fisheries inventories and habitat

assessments;

• Demonstrated experience in conducting impact assessments;

• Demonstrated experience and/or knowledge of the application of DFO’s Pathways of Effects and the Fisheries Act authorization process, gained through project experience;

• Demonstrated experience in planning and designing fish and fish habitat mitigation measures; and

• Demonstrated knowledge of federal and provincial legislation, policies and procedures for fish and fish habitat in Ontario.

8. Fisheries Contracts Specialty As a minimum the Fisheries Assessment Specialist shall possess the following:

Education: • Graduation with a degree or diploma from a recognized university or college in a

natural or physical science with specialization in fisheries biology, aquatic biology, ecology or another related discipline;

• Successful completion of MTO Fisheries Protocol Training;

• Valid Ontario Electrofishing Certification; and


• Completion of Erosion and Sediment Control Monitoring Training*. *Proven completion of a training course on Erosion and Sediment Control monitoring (e.g. Certified Inspector Sediment and Erosion Control (CISEC), International Erosion Control Association (IECA), or equivalent). Experience: • Demonstrated related work experience;

• Demonstrated experience in monitoring construction activities in and around fish

habitat, (e.g. identifying risk situations, recommending corrective actions/solutions);

• Demonstrated experience in the application of erosion and sediment control measures;

• Demonstrated experience in the application of fish and fish habitat mitigation measures;

• Demonstrated experience in the construction/installation of fish habitat enhancement/offsetting measures; and

• Demonstrated knowledge of federal and provincial legislation, policies and procedures for fish and fish habitat in Ontario.

9. Landscape Architecture Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving landscape work on provincial highways or high order municipal road projects. At least one of the Key Personnel shall have valid full membership or be eligible for the full membership with Ontario Association of Landscape Architects.

10. Natural Sciences

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions in Canada or USA involving: • The identification and assessment of aquatic species and habitat, or aquatic


impact assessment, or development of aquatic mitigation measures, or an equivalent experience in other jurisdictions similar to Ontario; and/or

• The identification and assessment of terrestrial species and habitat, or terrestrial

environmental impact assessment, or development of terrestrial environmental mitigation measures or an equivalent experience in other jurisdictions similar to Ontario; and/or

• The identification of erosion/sedimentation potential of a construction site, the

assessment of potential erosion and sedimentation impacts and the application of appropriate erosion protection and sedimentation control measures.

11. Socio-economics/Agriculture Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions in Canada or USA involving: • Land use impact analysis and mitigation; and/or

• Social impact assessment and mitigation; and/or

• Economic impact assessment and mitigation; and/or

• Agricultural impact analysis and mitigation.



• At least three (3) references for projects completed within the last five (5) years along with project appraisals; * and

• Scanned copies of the licensing and accreditation requirements as specified in





For the two Fisheries Protocol specialties, it is mandatory that ESP’s complete the appropriate Fisheries Protocol table, either the Fisheries Assessment table of the Fisheries Compliance During Construction Contracts table. Applications will not be reviewed without these tables being submitted. The ministry may request additional specific information related to the applied Specialty as deemed necessary to carry out its evaluation.

B7. Foundations Engineering Category

Qualification Criteria The following qualification requirements are applicable to all Specialties within Foundations Engineering Category: • Applicant shall hold or be eligible to hold a valid Certificate of Authorization from

PEO;

• Applicant shall hold or be eligible to hold a valid Certificate of Authorization from the APGO for the Hydrogeology and for the Rock Engineering Specialties; and

• Applicant’s Key Personnel shall be licensed with PEO, or, for the Hydrogeology

and for the Rock Engineering Specialties, be licensed with APGO and shall be listed on the Applicant’s Certificate of Authorization.

The complexity level of the Specialties requirements is defined as follows: Low Complexity:

• Must retain or own a laboratory that is registered in RAQS ESP portal- Soil and Rock Including Testing for Foundation Engineering - Low Complexity

• Scope Foundation Engineering and Foundation Construction Quality Management Subsurface/Groundwater/Site Conditions are simple and of low complexity Foundation Investigation commensurate with low complexity of work Foundation Engineering simple analysis and reporting commensurate with

complexity of work. Typical Low Complexity Projects


• Short span culverts (< 3 m) • Embankment fills/cuts < 4.5 m at sites with competent subsurface

conditions and simple construction considerations – no major dewatering/unwatering; temporary shoring, etc.

• Swamp crossings with depth to swamp firm bottom less than 4 m • Light standards • Toe retaining walls

Medium Complexity:

• Must own a laboratory that is registered in RAQS ESP portal- Soil and Rock Including Testing for Foundation Engineering - Medium Complexity

• Scope Foundation Engineering Foundation Construction Quality Management Foundation Investigation commensurate with medium complexity of work Foundation Engineering analysis and reporting commensurate with complexity

of work Typical Medium Complexity Projects

• Tunnels and Trenchless projects with favourable cover and diameters less than 1 metre

• Hydrogeological – simple horizontal and vertical hydraulic connections • Rock Engineering – rock mechanics for foundations built in or on rock

and rock mass stabilization • Geotechnical (Structures and Embankments)

Bridges Retaining Walls Culverts with spans > 3 m and also for spans < 3 m with

challenging subsurface/groundwater conditions Embankment fills/cuts > 4.5 m high Swamp crossing where depth of swamp to firm bottom is >4 m

and < 6 m) High Mast Light Poles Overhead Signs Noise Barriers Temporary Protection Systems

High Complexity:

• Must own a laboratory that is registered in RAQS ESP portal- Soil and Rock Including Testing for Foundation Engineering - High Complexity

• Scope Foundation Engineering Foundation Construction Quality Management


Foundation Investigation commensurate with high complexity of work Foundation Engineering analysis and reporting commensurate with high

complexity of work

• Typical High Complexity Projects Tunnels and Trenchless projects with low cover and diameters > 1 metre Hydrogeological – complex horizontal and vertical hydraulic connections Rock Engineering – complex rock mechanics for foundations built on or in

rock and complex rock mass stabilization Geotechnical (Structures and Embankments)

Bridges (long spans, multiple) in complex subsurface conditions Retaining Walls Culverts with spans > 3 m and also for spans < 3 m with complex

subsurface/groundwater conditions Embankment fills/cuts > 4.5 m high in soft, compressible soils

and where stability/settlement analyses are rigorous Critical Swamp crossings (depth of swamp to firm bottom is > 6

m) High Mast Light Poles Overhead Signs Noise Barriers Temporary Protection Systems

. Additional qualification requirements for each Specialty are outlined below:

1. Geotechnical (Structures and Embankments) – High Complexity Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing high complexity projects in Ontario or other similar jurisdictions in Canada or USA involving designing foundations for structures and embankments including:

• Extensive stability or settlement analysis • Large scale and/or large scope projects • Severe subsurface conditions • Requirement for complex engineering analysis or innovative

recommendations • Potential legal implications • Potential Construction Problems, Delays and Claims

Typical Projects Large/Complex Bridges and Culverts Bridges and culverts in complex subsurface conditions. Multiple (more than 3) span


bridges. Project with significant scope and scale such as multiple bridges. May require analyses for:

• Seismic Condition • Downdrag and Lateral Forces on Deep Foundations • Effect of settlement on adjacent structures • Foundation Design in Artesian Condition • Foundation Design in Highly Sensitive Clays • Large diameter caissons in water and non-cohesive soil • Pile Load capacities with Static and Dynamic methods • Cofferdam in unfavourable conditions

Critical Embankment Designs Cut or fill embankments >4.5m high in complex subsurface conditions where requirements for stability and settlement analyses are extensive. May involve the following:

• Critical Stability and Settlement analyses • Ground improvement • Preloading and Surcharging • Stage Construction • Instrumentation and Monitoring • Wick Drain Design

Critical Swamp Crossings Depth of swamp to firm bottom >6m

• Embankment Design in full swamp excavation • Embankment Design in partial swamp excavation • Embankment Design without any swamp excavation

2. Geotechnical (Structures and Embankments) – Medium Complexity Applicant’s Key Personnel shall demonstrate experience in successfully completing medium complexity projects in Ontario or other similar jurisdictions in Canada or USA involving designing foundations for structures and embankments including:

• Requirement for engineering analysis and recommendations • Limited stability or settlement analysis


Typical Projects Routine Bridges Single span and multiple (less than three) span bridges in routine, competent subsurface conditions Complex Culverts Routine, competent subsurface conditions with opening size more than 3m equivalent diameter Embankment Designs Cut or fill embankments more than 4.5m high in medium complexity subsurface conditions where requirements for stability and settlement analyses are limited Swamp Crossings Depth of swamp to firm bottom more than 4m but less than 6m

3. Geotechnical (Structures and Embankments) – Low Complexity Applicant’s Key Personnel shall demonstrate experience in successfully completing medium complexity projects in Ontario or other similar jurisdictions in Canada or USA involving designing foundations for structures and embankments including:

• Limited requirement for engineering analysis and recommendations. • Minimal requirement for stability or settlement analysis

Typical Projects:

• High Mast Lighting Foundation • Noise Barrier Foundation • Simple Culverts: Routine, competent subsurface conditions, opening size less

than 3m equivalent diameter • Simple Embankment Designs: Cut or fill embankments <4.5m high in routine,

competent subsurface conditions where requirements for stability and settlement analyses are minimal

• Swamp Crossings: Swamp treatments specified by MTO standards (usually depth to firm bottom less than 4m) and where specialized removal and replacement are not required (for example, engineered fills, earth reinforcement or specialized geometric design treatments)


4. Hydrogeological – High Complexity Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing high complexity projects in Ontario or other similar jurisdictions in Canada or USA involving geo-environmental engineering including groundwater management. General Guidelines High risk of influence: Complex hydrogeological regime; sensitive site conditions; existing structures and utilities, high risk and severe consequences, legal implications. Extensive investigation and monitoring with consideration of quantitative aspects. Requirements of analysis and reporting Specific Guidelines Projects involve groundwater investigation, analyses of distribution and movement of groundwater, management, control and monitoring for design and construction of foundations and geotechnical systems, including structure foundations, cut slopes, excavations, drainage and filters, cofferdams, ‘wick drains’, construction dewatering and groundwater taking permits. Groundwater quantity and high impact assessment to determine the hydrogeological effect and – potential of settlement of existing structures and utilities due to drawdown of water and resulting settlements, drawdown in areas of compressible soils.

5. Hydrogeological – Medium Complexity Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing medium complexity projects in Ontario or other similar jurisdictions in Canada or USA involving geo-environmental engineering including groundwater management. General Guidelines Low to medium risk of influence: Moderate site investigation required such as borehole investigation, borehole permeability testing etc. Analysis and reporting required. More focus on quantitative than qualitative aspect. Specific Guidelines Projects involve groundwater quantity and moderate impact assessment to determine the hydrogeological effect and feasibility of mitigation, (e.g. groundwater drawdown due to artesian penetration during pile installation, groundwater drawdown due to excavation cut adjacent to private wells, decommissioning of MTO patrol yards. PTTW related to dewatering for structural and non-structural works.

6. Hydrogeological – Low Complexity Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing


low complexity projects in Ontario or other similar jurisdictions in Canada or USA involving geo-environmental engineering including groundwater management. General Guidelines Low to negligible risk of influence – minimal consequences: Limited site investigation and analysis (desktop study, site reconnaissance) and reporting; no hydrogeological in situ testing; no analysis Specific Guidelines Projects involve groundwater quantity assessment only (e.g. levels & flow in soil/rock, dewatering for small culverts etc.); no water quality issues; site is in the remote area; no well water users in vicinity; no impact assessment required.

7. Rock Engineering– High Complexity Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing high complexity projects in Ontario or other similar jurisdictions in Canada or USA involving complex rock mechanics engineering to assess the mechanical behaviour of rock and rock masses; and to provide engineering solutions for the design, construction and maintenance of structures built in or on rock and for complex rock mass stabilization such as those involving rock anchors, rock bolts, shotcreting, rock drains and concrete buttresses General Guidelines Project specific Term of Reference will outline the required investigation and assessment, scope of the work and reporting requirements within the specified study area and shall govern where any conflict exist with this guideline. Specific Guidelines Rock Engineering investigation shall characterize the physical and mechanical properties of the rock. The characterization shall consider anisotropy, heterogeneity and discontinuity. The method of investigation shall consider the site conditions and project requirements. Methods of investigation include visual observation, geological, geophysical, Lidar, Sonar and rock coring. Detailed rock description of rock mass structure that includes the intact rock and the nature and occurrence of discontinuities, in-situ stresses, groundwater, durability, weathering and erosion shall be provided. The Rock Engineering Design Report shall include, identification of basic failure mechanisms, Stability assessment and Foundation Assessment.

A Rock Engineering Design Report shall provide a summary of remedial options in a


tabular format which identifies and presents overview assessments of the advantages, disadvantages, risks/consequences and relative costs of the different options. Options to be considered include “Do Nothing”, “Monitoring” and “Rock Removal” (OPSS 202) to remove unstable or potentially unstable rock including manual scaling, machine scaling, trim blasting, recommendations for the limits and method of rock removal shall be provided; and high-resolution images of each rock mass requiring rock removal. Rock Stabilization (OPSS 203): Establish the limits of the existing rock slope (i.e. offset distance from edge of pavement to face of cut, rock slope height, length and width at the site location, limits to be recommended, colour images of locations to be stabilized; rock bolts, spacing and inclination of rock bolts; size and properties of the bolts if different from the bolts specified in OPSS 203; dimensions of the holes to be drilled for grouted rock bolts; grout material to fill annular space between drilled hole and rock bolt, testing requirements including acceptance criteria; rock drains, shotcrete, or concrete buttresses; the size, properties, and installation pattern and depths of dowels and reinforcing steel, and properties of concrete. Special provisions to be included in the contract package for all related aspects of the work shall be provided.

8. Rock Engineering– Medium Complexity Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing medium complexity projects in Ontario or other similar jurisdictions in Canada or USA involving rock mechanics engineering to assess the mechanical behavior of rock and rock masses; and to provide engineering solutions for the design, construction and maintenance of structures built in or on rock. General Guidelines Project specific Term of Reference will outline the required investigation and assessment, scope of the work and reporting requirements within the specified study area and shall govern where any conflict exist with this guideline. As a guideline see “Rock Engineering – High Complexity”

9. Rock Engineering – Low Complexity Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing low complexity projects in Ontario or other similar jurisdictions in Canada or USA involving limited rock mechanics engineering and the application of standard designs applicable to foundations built in or on rock.


General Guidelines Project specific Term of Reference will outline the required investigation and assessment, scope of the work and reporting requirements within the specified study area and shall govern where any conflict exist with this guideline. As a guideline see “Rock Engineering – High Complexity”. Tunnelling - General

The Scope of Work includes:

• Planning and conducting foundation investigations to determine the subsurface model and groundwater conditions at proposed tunnelling/trenchless crossings;

• Assessing and evaluating the subsurface model/groundwater conditions and providing and comparing alternative tunnelling/trenchless methods for new, replacement, insertion, closed fit based on advantages, disadvantages, costs, risks and consequences;

• Recommending a preferred option with the understanding that the MTO does not prescribe a method but rather transfers the selection to the contractor;

• Provide recommendations for construction considerations related to the

tunnelling/trenchless activity such as entry/exit portals, temporary shoring, dewatering;

• Specify any restrictions/requirements regarding tunnelling/trenchless methods for inclusion in the contract documents depending on the excavation diameter, highway traffic volumes and subsurface/groundwater conditions;

• Produce project specific risk registers that identifies risks in the context of

likelihood, impact and mitigation;

• Produce project specific subsurface conditions baseline reporting;

• Provide recommendations for roadway settlement monitoring; and • Provide Foundation Engineering Construction Oversight.

The complexity ratings of Foundations Engineering services are defined in Table 1.

10. Tunnelling – High Complexity Specialty


High Complexity Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing high complexity projects in Ontario or other similar jurisdictions in Canada or USA involving tunnelling in soil and rock.

• Provide a Foundation Investigation and Design Report;

• Include SP’s/NSSP’s in the contract package;

• Settlement monitoring is a requirement; and

• Oversight to be provided by Foundation Engineering Specialist.

11. Tunnelling – Medium Complexity Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing medium complexity projects in Ontario or other similar jurisdictions in Canada or USA involving tunnelling in soil and rock.

• Provide a Foundation Investigation and Design Report; • Include SP’s/NSSP’s in the contract package; • Settlement monitoring is a requirement; and • Oversight to be provided by Foundation Engineering Specialist.

12. Tunnelling – Low Complexity Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing low complexity projects in Ontario or other similar jurisdictions in Canada or USA involving tunnelling in soil and rock.

• Provide a Foundation Investigation and Design Report on an exemption

basis;

• Include SP’s/NSSP’s in the contract package; and

• Settlement monitoring is a requirement unless risk assessment demonstrates otherwise.


Table 1: Complexity ratings for tunnelling specialty services

Excavation

Diameter (ø) < 300 mm 1 m > ø > 300 mm 2 m > ø > 1 m ø > 2 m

Design Cover* (m) > 1.5 m < 1.5 m

> 3 ø and

> 1.5 m

< 3 ø or

< 1.5 m > 3 ø < 3 ø N/A

King’s Highway Low Medium Low Medium Medium High High

400 Series Freeway Low High Medium High High High High

* Design cover is the proposed vertical distance measured from the lowest ground elevation to the crown of the tunnel


B8. Highway Engineering Category

Qualification Criteria The following qualification requirements are applicable to all Specialties within Highway Engineering Category: • Applicant shall hold a valid Certificate of Authorization from the PEO; and • Applicant’s Key Personnel shall be a Professional Engineer with a minimum of

five (5) years of experience related to the Specialty. Additional qualification requirements for each Specialty are outlined below.

1. Detailed Design – Major Reconstruction and/or Widening Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving: • Detailed highway design including geometrics, staging, and drainage design of

projects of medium to high complexity;

• Current ministry standards, policies and practices in preparing contract packages and documentation;

• Quantity estimating; • Computer software compatible with ministry standards; • Environmental assessment and mitigation measures; and • Project management, scheduling and cost control techniques.

2. Detailed Design – Minor Reconstruction and/or Widening Specialty * Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving: • Detailed highway design including geometrics and drainage design of projects of

low complexity;

• Standards, policies and practices in preparing contract packages and documentation;


• Quantity estimating; • Computer software related to design and contract preparation; • Environmental assessment and mitigation measures; and • Project management, scheduling and cost control techniques. * If the Applicant has applied for this Specialty and is approved for Detailed Design - Major Reconstruction and/or Widening Specialty, the Applicant is also approved for this Specialty, but must submit the lower complexity Specialty along with the higher complexity Specialty.

3. Detailed Design – Multi-lane Arterial and Expressway - Major Reconstruction and/or Widening Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving: • Detailed highway design including geometrics, staging, and drainage design of

projects of medium to high complexity;

• Current ministry standards, policies and practices in preparing contract packages and documentation;

• Quantity estimating; • Computer software compatible with ministry standards; • Environmental assessment and mitigation measures; • Project management, scheduling and cost control techniques.

4. Detailed Design – Multi-lane Arterial and Expressway - Minor

Reconstruction and/or Widening Specialty * Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving: • Detailed highway design including geometrics, staging, and drainage design of

projects of low complexity;

• Current ministry standards, policies and practices in preparing contract packages


and documentation;

• Quantity estimating; • Computer software compatible with ministry standards; • Environmental assessment and mitigation measures; • Project management, scheduling and cost control techniques. * If the Applicant has applied for this Specialty and is approved for Detailed Design - Multi-lane Arterial and Expressway - Major Reconstruction and/or Widening Specialty, the Applicant is also approved for this Specialty.

5. Preliminary Design – Functional Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving: • Preliminary highway design including, geometrics, staging and drainage design;

• The Environmental Assessment Act;

• Formal presentations, public contact, public relations, report writing and

stakeholder consultation; • Traffic and collision analysis and level of service calculations; • Prioritized Contract Content (PCC); and • Project management, scheduling and cost control techniques.

6. Value Engineering Specialty

Applicant’s Key Personnel shall demonstrate a completion of the Society of American Value Engineers (SAVE) Value Methodology Fundamentals 1 Course and shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving: • Coordinating value engineering studies, including study logistics, information

models and orientation meetings;


• Participation in value engineering workshops; • Writing of value engineering study reports and presentation of results to senior

management; • Planning and design of highway engineering projects; and • Project management, scheduling and cost control techniques as demonstrated

by the co-ordination of multi-disciplined engineering teams.




• At least three (3) references for projects completed within the last 5 years along with project appraisals; * and

• Scanned copies of the licensing and accreditation requirements for the

Applicant and its Key Personnel. * References shall include the following information: • Project synopsis with dates; **




B9. Pavement Engineering Category

Qualification Criteria The following qualification requirements are applicable to all Specialties within Pavement Engineering Category: Qualification Requirements:


• Applicant shall hold a valid Certificate of Authorization from PEO; and

• Applicant’s Key Personnel as the employee of the firm to hold a valid

Professional Engineers Ontario (PEO) license. • Applicant’s Key Personnel is capable to oversee fieldwork operations, analyze

fieldwork data, and to provide the products signed and sealed by the Professional Engineer(s) licensed in Ontario and registered with the ministry in the designated Specialty.

• Wherever possible, ministry staff will use past ministry performance evaluations

to evaluate Applicant Key Personnel for each specialty category and corresponding project complexity.

Submission Requirements: • Preferred ministry related experiences; however, other project experiences may

also be considered.

• The material supplied must include an explanation of the work carried out under the project, and the role of the Applicant Key Personnel. Simply listing a project is insufficient. Details as to the type of work that was conducted by the Applicant Key Personnel as it pertains to the category must be provided in order for a submission to be evaluated.

• Past work listed should have been completed/carried out within the last five (5)

years. • Past performance in the specialty and level is also required. • All information submitted for evaluation under a particular field of expertise

should be grouped together and labelled to assist in the evaluation of the correct information for each specialty.


1. Pavement Evaluation – Flexible Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving visual pavement condition surveys and subjective ride determination for condition rating of pavements, for gravel, surface treated, or hot mix asphalt pavements, and development of


preferred, deferred and holding strategies.

2. Pavement Evaluation – Rigid Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving visual pavement condition surveys and subjective ride determination for condition rating of pavements, for exposed concrete or composite pavements, and development of preferred, deferred and holding strategies.

3. Soils and Pavement Investigations - Routine Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing field work in Ontario or other similar jurisdictions involving: • Traffic control;

• Utility clearance; • Borehole, test pit and pavement coring investigations; • Sampling, logging and description of materials; • Swamp sounding; • Sampling of undisturbed samples; • Determining the suitability of material as fill; and • The collection, reporting and presentation of data. There is a significant requirement for field analysis, which may require to modify investigations and assign appropriate materials testing.

4. Soils and Pavement Investigations - Complex Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving: • Routine soils and pavement investigations;

• Evaluation and analysis of specialized pavement test data such as falling weight


deflectometer (FWD) testing, ground penetrating radar (GPR), etc.; and • Detailed distress mapping and interpretations.

5. Pavement Design – Low Complexity Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing flexible pavement design of parking lots, tapers, intersection improvements, and minor resurfacing projects in Ontario or other similar jurisdictions involving: • The use of experience-based design methods such as standard sections, design

charts, Granular Base Equivalency GBEs, and basic life cycle costing (LCC) concepts for treatment of surficial or localized structural deficiencies; and

• Routine resurfacing/preservation activities such as hot mix overlays, surface

treatments, frost heaves, subdrain retrofits, shoulder retrofits, rout and seal.

6. Pavement Design – Medium Complexity Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing low complexity pavement design as well as major widening, new alignment, detour construction, new interchanges and passing lane projects in Ontario or other similar jurisdictions involving: • Pavement design methods such as AASHTO, Ontario Pavement Analysis of

Cost (OPAC) and Portland Cement Association (PCA);

• CC concepts; • Advanced resurfacing/recycling activities for flexible pavements (hot in-place

recycling, cold in-place recycling, full depth reclamation, multi-lift resurfacing); and

• Routine preservation activities for exposed concrete and composite pavements

including re-texturization, localized full and partial depth repairs, joint/crack resealing/sealing.

7. Pavement Design – High Complexity Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing medium complexity pavement design as well as major widening or new alignment projects in Ontario or other similar jurisdictions involving:


• Mechanistic-empirical design methods such as AASHTOWare Pavement ME Design for flexible and rigid pavements;

• Advanced rehabilitation/ preservation strategies including subsealing, restoration of load transfer, extensive full and partial depth repair, whitetopping, rubblizing, bonded and unbonded overlays; and

• Analysis of the FWD testing results to determine the structural capacity of

pavement components.

B10. Property Category

Qualification Criteria

1. Property Appraisal Specialty Applicant’s Key Personnel shall: • Be an accredited member in “good standing” with the Appraisal Institute of

Canada (AIC) or equivalent professional organization; * and

• Have demonstrated professional expertise in property valuation that will be accepted by an Ontario Court of Law or Tribunal as an expert opinion.

* The ministry may recognize the professional qualifications of a Key Personnel belonging to another professional organization provided this organization meets all of the following criteria, and provided the Key Personnel is a member in “good standing” as defined by the regulating body:

• Members are required to adhere to a recognized appraisal standard such as

Canadian Uniform Standards Professional Appraisal Practice (CUSPAP) or Uniform Standards Professional Appraisal Practice (USPAP).

• Members are required to successfully complete a comprehensive program of education including the completion of at least one demonstration appraisal, and the completion of articling or experience that includes an evaluation of appraisal knowledge and expertise.

• Members are required to comply with a Code of Ethics that governs rules of

conduct, conflict of interest, etc. • Complaints against the professional conduct of members are investigated by an

impartial and objective committee with the power to impose sanctions against


members for transgressions of the organization’s code of ethics. • Members are covered by professional liability insurance. • Members are offered continuing education opportunities to remain current with

professional standards and emerging trends.




• At least three (3) references for projects completed within the last 5 years along with project appraisals; * and

• Scanned copies of the licensing and accreditation requirements for the

Applicant and its Key Personnel. * References shall include the following information: • Project synopsis with dates; **





B11. Rockfall Engineering

Qualification Criteria 1. Rockfall Hazard Inspection, Evaluation and Design Specialty

• Applicant shall hold a valid Certificate of Authorization from the PEO;

• Applicant’s Key Personnel shall be licensed with PEO;

• Applicant’s Key Personnel shall be a qualified rock mechanics engineer with a

minimum ten (10) years professional engineering experience in rockfall hazard assessment and rock slope remediation. Applicant’s Key Personnel shall demonstrate that they have signed and sealed design documents in their capacity as a professional engineer for relevant rock mechanics projects;

• Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving rockfall hazard rating systems such as the Ontario Rockfall Hazard Rating System (RHRON) or equivalent.

Submission Requirements Submission for the Specialty shall include: • A resume of the Applicant’s Key Personnel outlining education, credentials and

work experience relative to the applied Specialty.

• At least four (4) references* for relevant projects completed within the last ten (10) years. Ministry related experience is preferred; however, other project experiences may be considered.

*References shall include the following information:

• Project synopsis with dates;





B12. Surveying Category

Qualification Criteria 1. Control Surveys Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing large-scale, high-accuracy geodetic control surveys in Ontario or other similar jurisdictions using GPS and analysing and adjusting the same with least-squares software.

2. Legal Surveys Specialty Applicant’s Key Personnel shall: • Be licensed for cadastral surveys and in good standing with the Association of

Ontario Land Surveyors (AOLS);

• Operate under an AOLS Certificate of Authorization; and • Demonstrate experience in successfully completing projects involving field

surveys and the preparation of legal plans in digital format (e.g. Reference Plans, Expropriation Plans, Crown Land Plans, Jurisdictional Plans).

3. Photogrammetric Mapping Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving: • Establishing horizontal and vertical photo control; • Performing aerial triangulation; • Collecting 3D terrain data from stereo models; • Processing the collected data; and • Experience in aerial lidar surveys may be considered for registration at the

discretion of the Geomatics Review panel

4. Engineering Survey Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects involving: • Establishing horizontal and vertical photo control; • Least squares adjustment of survey data;


• Digital collection of 3D feature data; • Creation of a Digital Terrain Model; and • Creation of highway alignments, cross-sections, profiles, and base plans.




• At least three (3) references for projects completed within the last 5 years. * References shall include the following information: • Project synopsis with dates; and the value of the survey component**



The ministry may request additional specific information related to the applied Specialty as deemed necessary to carry out its evaluation, such as:

• Adequate field and office staff, equipment and software to allow work to be completed in a timely manner


B13. Traffic Engineering Category

Qualification Criteria 1. Traffic Data Collection Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving the pre-planning and collection of traffic data through a variety of studies (e.g. delay studies; gap studies, origin and destination studies, queuing studies, travel time studies, etc.) and using automatic traffic recorders (ATR) or other approved methodologies.

2. Traffic Data Processing/Analysis Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving the analysis of traffic data, including the identification of changes in traffic pattern types, trends, and operational concerns.

3. Traffic Impact Analysis Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving traffic impact assessments of the proposed developments.

4. Traffic Management Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving strategic high-level planning of traffic events, such as emergency management, incidents, and broad ranging events (i.e. lengthy construction staging and scheduling impacts), that impacts all road users.

5. Traffic Operational Performance Processes Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving the development, application and updating of traffic operational processes by explicit, formal and quantitative means.

6. Traffic Operations Studies Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving:


• The identification, analysis and monitoring of highway segments with operational concerns to assess viable and cost-effective options for reducing these concerns; and

• The development of a comprehensive technical report detailing all relevant analysis, including site investigations, collision summaries, driver and human factors, innovative solutions to unique operational problems, etc., to support the report findings and recommendations.

7. Traffic Signals Specialty Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving: • Preparation of traffic signal design packages;

• Development of traffic signals policy, manuals and exploring new technology; • Conducting signal capacity and progression analysis; • Collecting data for traffic signal operations; • Implementing new traffic signal technologies; and

• Conducting traffic signal field operation studies.

8. Traffic Signing Policies/Traffic Control Devices Specialty

Applicant’s Key Personnel shall demonstrate experience in successfully completing projects in Ontario or other similar jurisdictions involving the development of: • Policies and procedures relevant to highway operational performance and traffic

management to promote uniformity of treatment in design, application and operation of traffic signing/control devices and systems; and

• Training packages required for the policies and procedures implementation.





• At least three (3) references for projects completed within the last 5 years along with project appraisals.

* References shall include the following information: • Project synopsis with dates; **





Appendix C: Submission and Qualification Criteria for the Construction Administration Grouping

C1. Construction Administration Category

Qualification Criteria 1. Administration – High Complexity Specialty

Applicant shall hold or be eligible to hold a valid Certificate of Authorization from the PEO. Applicant’s Key Personnel shall: • Shall be a licensed Professional Engineer in good standing with the Professional

Engineers Ontario (PEO) or a Certified Engineering Technologist with the Ontario Association of Certified Engineering Technicians and Technologists (OACETT);

• Demonstrated experience in the last five (5) years in administration of the complex construction projects in Ontario or other similar jurisdictions in Canada or USA; *

• Have the knowledge in highway engineering, highway construction specifications

and standards, construction methods, managing change orders, defective material, schedule changes, public complaints and payment processes;

• Have a background in construction surveys, quantity measurements and

materials testing methods and techniques; and • Have writing skills and the ability to chair progress meetings.

Applicants that have completed three (3) projects of medium complexity with the ministry with the overall performance appraisal rating of satisfactory or better and/or can demonstrate that the Key Personnel have equivalent or greater experience in another jurisdiction or with another ESP will be considered for high complexity status. * High complexity projects may include but are not limited to:

• Bituminous, concrete, grading, soils and aggregates • Rural or urban multi-lane facilities • Highway reconstruction and new construction • Foundation engineering • Bridge rehabilitation and new construction


• Electrical work (illumination and signals) • Advanced traffic management system work, electrical work (illumination,

signals and FTMS) • Aerial and buried utilities such as gas, oil & water mains • Storm sewer systems • Substantial traffic management and detour required • Contact with several adjacent property owners and external agencies • Extensive environmental administration

2. Administration – Medium Complexity Specialty



• Demonstrated experience in the last five (5) years in administration of the medium complexity construction projects in Ontario or other similar jurisdictions in Canada or USA; *




materials testing methods and techniques; and • Have writing skills and the ability to chair progress meetings.

Applicants that have completed three (3) projects of low complexity with the ministry with the overall performance appraisal rating of satisfactory or better and/or can demonstrate that the Key Personnel have equivalent or greater experience in another jurisdiction or with another ESP will be considered for medium complexity status. * Medium complexity projects may include but are not limited to:

• Bituminous, concrete, grading, soils and aggregates • Rural or urban multi-lane facilities


• Highway reconstruction and new construction • Foundation engineering • Bridge rehabilitation • Electrical work (illumination and signals) • Civil provisions for advanced traffic management system • Aerial and buried utilities such as hydro and bell • Storm sewer systems • Moderate traffic management and detour required • Routine environmental treatments

3. Administration – Low Complexity Specialty



• Demonstrated experience in the last five (5) years in administration of the low complexity construction projects in Ontario or other similar jurisdictions in Canada or USA; *




materials testing methods and techniques; and • Have writing skills and the ability to chair progress meetings

* Low complexity projects may include but are not limited to:

• Bituminous, concrete, grading, soils and aggregates • Rural or urban two-lane facilities • Highway reconstruction • Mill and pave • Minor intersection improvements • Electrical work (illumination) • Aerial utilities


• Storm sewer systems • Minor traffic management and detour required • Few routine environmental treatments

4. Quality Oversight, Audit & Inspection – Prestressed/Precast Concrete

Production Facilities Specialty Applicant shall hold or be eligible to hold a valid Certificate of Authorization from the PEO. Applicant’s Key Personnel shall be a: • Professional Engineer; and

• Certified Lead Auditor in ISO 9000 – Quality Management from a credible

certification agent. In addition, Applicant’s Key Personnel shall have: • A minimum of five (5) years of demonstrated experience auditing quality

management systems related to infrastructure projects in Ontario or other similar jurisdictions in Canada or USA;

• A minimum of five (5) years of demonstrated experience managing inspection of

bridge/ precast concrete projects in Ontario or other similar jurisdictions in Canada or USA;

• Demonstrated familiarity with current ministry policies, procedures, standards,

specifications, manuals and computer software (such as OPSS.PROV 909, SSP999S31 and OPSS.PROV.1350, etc.);

• Demonstrated awareness of the requirements of different precast concrete plant

certification programs (CPCI, CSA and PCI) and associated standards; * • Demonstrated experience with quality assurance systems, materials engineering

and testing, oversight of precast concrete production (or comparable concrete construction activities);

• Excellent verbal and written communication skills to produce professional and

technically sound reports and other written materials, in a timely manner; and • At least three (3) inspectors meeting the following requirements:


Have a minimum of five (5) years of demonstrated experience overseeing and performing inspection of structural precast components (prestressed and non-prestressed), such as precast concrete girders, deck panels and structural culverts, for bridge projects, including new construction or rehabilitation, in Ontario or other similar jurisdictions in Canada or USA;

Are Professional Engineers or are Certified Engineering Technologists with

the Ontario Association of Certified Engineering Technicians and Technologists (OACETT);

Have demonstrated familiarity with current ministry policies, procedures,

standards, specifications and manuals and computer software related to precast concrete construction; and

Have demonstrated awareness of the requirements of different precast

concrete plant certification programs (CPCI, CSA and PCI) and associated standards. *

At least one inspector shall be certified with PCI Level II Quality Control Technician/Inspector at the time of qualification, and the Applicant must demonstrate capability and plan for having its entire inspector staff to be certified within six (6) months.

* May include the following standards:

• CSA A23.4 - Precast concrete - Materials and construction, PCI MNL 116 - Manual for Quality Control for Plants and Production of Precast and Prestressed Concrete Products.

• CSA A23.1/A23.2- Concrete materials and methods of concrete construction / Test methods and standard practices for concrete.

• PCI MNL 116 - Manual for Quality Control for Plants and Production of Precast and Prestressed Concrete Products.

• PCI MNL 135 – Tolerance Manual for Precast and Prestressed Concrete Construction

Submission Requirements Submission for the individual Specialties shall include: • A resume of the Applicant’s Key Personnel and inspectors outlining education,

credentials and work experience relative to the applied Specialty; • At least three (3) references for projects completed within the last five (5) years

along with project appraisals; *


• In the case of Quality Oversight, Audit & Inspection – Prestressed/Precast Concrete Production Facilities Specialty, at least three (3) different sets of recent inspection reports carried out in Ontario, including complete reports and diaries (from pre-production to post-production) for a project, signed and sealed by the Key Personnel as well as at least three (3) samples of recent onsite inspection/audit reports prepared by each inspector.

• A list of previous works done, within each Specialty in the past five (5) years;

and • Scanned copies of the licensing and accreditation requirements as specified in






Appendix D: Quality Control Plan Submission Requirements

The purpose of the Quality Control Plan is to outline the ESP’s corporate policy, best practices and procedures on Quality Control. Only one Core Plan is required for an ESP firm registered in RAQS ESP portal. The ESP firm is required to submit Quality Control Plans through their RAQS ESP portal for the following three components:

• QC Core Plan; • QC Generic Category Plan; and • QC Supplementary Specialty Plan (project specific)

The Generic Category Plan will outline the process, which the ESP firm follows to ensure the quality of work for the Categories and Specialties, for which the ESP firm has been qualified by the Ministry. A Generic Category Plan is required for each Category where an ESP firm is registered under one or more Specialties. The Ministry requires that ESP firm / Subcontractor’s staff directly involved in the work will not be checking their own work for the purposes of Quality Control. The quality control checks for all Specialties, including the work of Subcontractor(s), shall be conducted by staff within the firm who have not been directly involved with that component of the work. A senior level staff (Auditor) within the firm will be responsible to oversee the process of checking, resolving all problems, ensuring that all provisions of the QC Plans have been adhered to and providing timely audit report to the Ministry Project Manager. During the assignment, at the dates agreed and at completion, the Auditor shall certify that the Quantity Control process has been duly executed. The performance of the ESP will be tracked on the adherence to the accepted Quality Control Plan, the timely delivery of Milestone Reports and any follow up clarifications or additional information requested by the Ministry Project Manager. The areas of conformance / non-conformance will be documented. The ESP firm is fully responsible to correct areas of non-conformance. The Ministry will inform the ESP firm in writing to correct major violations of the Quality Control Plans. If after written notice, the major violations are not corrected, the Ministry may at its own discretion, issue Infraction Report / Penalty (ies) including for stoppage of work, until conformance is demonstrated or appropriate revisions to the plans are approved, such that any additional work to obtain conformance shall not constitute a Scope Change under the Assignment. The Ministry reserves the right to reasonably undertake to recover costs which result



from errors, omissions or other actions or inaction of the ESP firm, pursuant to the construction administration of the assignment. During the assignment and at completion, the ESP’s Auditor shall submit reports on quality control (Milestone Quality Report(s)) to the Ministry Project Manager. The Milestone Quality Reports are subject to acceptance by the Ministry Project Manager. The Ministry Project Manager may request clarification(s) or additional information as deemed necessary. Only upon the acceptance of the Supplementary Specialty Plan by the Ministry Project Manager by the date specified and by the duly signed / executed Legal Agreement, the ESP shall proceed with the assignment. A Supplementary Specialty Plan, which is project specific, is required from the successful ESP firm at the Award of an assignment. A Supplementary Specialty Plan is project specific and outlines how the ESP firm shall ensure quality control of the individual Phases / Tasks for all Specialties included in an assignment. During the assignment and at completion, the ESP firm’s Auditor shall submit reports on quality control (Milestone Quality Report(s)) to the Ministry Project Manager. The Milestone Quality Reports are subject to acceptance by the Ministry Project Manager. The Ministry Project Manager may request clarification(s) or additional information as deemed necessary. D1. Quality Control Core Plan The Core Plan shall contain the following sections as a minimum requirement:

I. Company Policy in Quality Control This section shall contain a statement of the ESP’s policy regarding quality control of the work, including acknowledgement that the ESP is responsible for all services and deliverables including those of any Subcontractors .

II. Document and Data Control This section shall outline the procedures to be followed to ensure that all documents and data impacting the quality of the product are approved by authorized personnel prior to their use and are made available to the appropriate individuals. It shall also describe how the use of obsolete or inappropriate documents and data will be avoided. The process outlined shall address origin, access, review, status, handling and filing,


storage, currency, approval and issue. All processes and procedures to be followed by the ESP’s team shall be detailed in the documentation developed and made available to all team members. All documents to be used by or created by the project team in performance of the work shall be controlled throughout the duration of the project. Upon request, the Ministry shall be given access at any time to all records produced in the performance of the Services including inspection records, test results and testing facilities, and to conduct sampling, direct observation of testing as necessary, to enable the Ministry to track adherence to the Quality Control Plans for Services and other requirements of the Assignment. The documentation shall detail the processes, procedures and documentation requirements at each stage of the project including the activities, approvals and acceptance referred to in the “Quality Control Plan”. Quality review reports and supporting documents shall be maintained by the ESP and shall include, but not be limited to: • An index of all documents arranged in a chronological order; • A copy of the initial QC plan or approved modified versions; • Minutes of all meetings between the ministry and ESP's milestone auditor(s); • Confirmation of peer reviews and outcome of findings; • All internal audit reports, including all supporting forms, comments,

recommendations and decisions by senior officials of the firm; • Itemized list of deficiencies and non-conformances with clearly detailed description

of corrective action taken. It is necessary, within reason and cost effectiveness, for the fundamental cause of the problem to be identified and removed to prevent recurrence;

• The names, role(s) and position(s) of the ESP's quality control team including auditor(s) responsible for the corrective action;

• All non-conformance reports generated by the ministry, including evidence of ESP's corrective action and subsequent compliance with the legal agreement;

Documentation Requirements: • Documents to be provided in hard copy format but available in digital form where

possible; • Pertinent dates, signatures and seals shall be shown on documents where required; • Name of ESP's staff responsible for retrievals of manuals and any support

documents when requested by the ministry; and • A clear audit trail shall be maintained by the quality auditor(s) and documentation

made available to the ministry staff, throughout the life of the project.


III. Control of Subcontractors Work This section shall describe the procedures the ESP will use to monitor and verify the quality of the work performed by Subcontractors. It shall also include the specific measures the ESP will take to rectify deficiencies in the work performed by Subcontractors. The Service Provider is to acknowledge they are fully responsible for the quality control of all services and deliverables including plans of Sub-Contractors. IV. Control of Non-Conforming Work

This section shall describe in detail the methods to be used by the ESP in dealing with non-conforming work, include those of the Subcontractor. As a minimum, describe: • How a corrective action shall be implemented in the case of non-conforming work;

and • Identify what proof of remedial action taken to ensure that non-conforming work is

not incorporated into the deliverables.

V. Other Related Items to Quality Control This section shall describe any other related items that the ESP has in place within their organization which are relevant to the quality control during the execution of an assignment. D2. Quality Control Generic Category Plan A Generic Category Plan outlines the processes which an ESP firm will follow to ensure the required quality of work for the Categories and the Specialties for which an ESP firm has been qualified to perform the work. The following sections of this document specify the minimum requirements for the Quality Control Generic Category Plan, for the completion of an assignment. The requirements approved under these sections will form a part of the overall QC plan for an assignment.

I. Process Control

The process control shall be in place to ensure the delivery of quality products (reports, documentation, paper trail). Each task shall be broken down into discrete and sequential components, separated by milestones at which sign-off on the deliverables of the process component takes place. The process control shall apply to one or more of the following Categories (and the corresponding Specialties) the ESP has been approved for.


• Advanced Traffic Management Systems • Bridge Engineering • Construction • Drainage and Hydrology Engineering • Electrical Engineering • Engineering Materials Testing and Evaluation (Aggregate Resources

Prospecting and Evaluation Specialty Only) • Environmental • Environmental Planning • Foundations Engineering • Highway Engineering • Highway Planning • Pavement Engineering • Rockfall Engineering • Surveying • Traffic Engineering

The description of the process control for each Category shall include, but is not necessarily limited to, the breakdown into the phases/tasks similar to identified in the table below. Each phase/task will be complemented by: Methodology: Discuss the type of work carried out during the Phase / Task identified. Project Deliverables: Documentation / Recommendations for the Task / Phase in the project, both interim as would be required for presentation at progress meetings and final deliverables at the completion of the task. Reference Manuals: Indicate the manuals, which shall be used for the proper performance of the tasks (list only significant items) Independent Technical Reviews: Include both the Procedure(s) for the technical reviews / checking and the corresponding Documentation (activity checklists, memos, paper trail, etc.)

Generic Q.C. Staff Assigned: Identify the generic staff position(s) to complete the tasks / phases and to perform QC audit(s) of the tasks (check the work & provide QC documentation).

Milestone Quality Reviews: Each Generic Category Plan will identify Milestone Quality Reviews at the intervals specified. The ESP shall deliver the Quality Reports at the identified milestone unless modified by the Supplementary Specialty Plan. Quality Review Reports shall include the documentation of Independent Technical Reviews


(Procedures used and the corresponding Documentation), Quality Audit Memos / Reports of the Auditor.

II. Internal Reviews and Checking Project Technical Reviews / Acceptance This section shall identify all technical reviews and acceptance checking to be undertaken by the ESP, including the milestones when technical reviews will be undertaken and basis of technical acceptance by the ESP. The ESP shall establish a sequence of activities and approval/acceptance steps in order to establish technical accuracy (including constructability) of the services and conformance to the technical standards and specifications being used for a Category. The ESP shall use competent and trained staff to carryout independent checks of the critical tasks, as required. The ESP shall ensure that the checks, when required, are to be independent and the staff assigned to check have not been directly involved in the project. The checks shall provide traceable documentation in: • Methodology or approach to doing the work; • Policies, procedures, standards and specifications used; and • Accuracy and completeness of data, reports, measurements and calculations. Prior to issuing the deliverables to the ministry, the ESP shall conduct a final review of the completed work to ensure that all requirements of the TPMA have been met. Milestone Quality Reviews This section shall detail all identified milestone quality reviews to be undertaken by the ESP throughout the duration of the assignment. The quality reviews are independent examinations to determine whether the quality measures and related results comply with the quality objectives of the agreed QC plan. The comparison is therefore between the recorded activities against those specified in the plan. The ESP shall conduct all milestone quality reviews agreed upon, at the milestone deliverable completions or whenever there are perceived deviations from the QC plan. Quality auditor(s) who shall be a responsible individual(s) in the ESP’s organization with sufficient authority to impact the performance of the services and enable a successful implementation of the plan shall carry out the quality reviews.


The quality review findings shall be documented in quality reports provided solely for that purpose. The quality auditor(s) shall notify the ESP of the non-conformities to the QC plan. The ESP shall act to resolve the non-conformities in a timely manner. These non-conformities, their resolution and corrective action shall also be recorded in the quality review report(s). The ESP shall provide the ministry with the quality review reports within seven (7) business days after each quality review completion. These reports shall also be easily retrievable and available for perusal by MTO staff or its agents upon request. Quality Control Records The generic category plan shall identify the format to be used for reporting results under the headings identified below: • Project Technical Reviews/Acceptance • Milestone Quality Reviews For each type of review, a checklist shall be provided, listing what will be checked and how it will be reported, and how actions taken as result of the reviews will be documented.

Sample templates for the generic QC Category Plan are available on the Ministry of Transportation Technical Publications website. Please note that these templates are provided for illustrative purposes only. D3. Quality Control Supplementary Plan A Supplementary Specialty Plan is prepared in keeping with the project delivery schedule, identifying the quality checks / reviews and the Quality / Audit Staff. • Each specialty identified in the assignment requires a fully completed

Supplementary Plan Table. (Sample templates for the generic QC Category Plan are available on the Ministry of Transportation Technical Publications website.

• Project specific variations from Generic Category Plan for a Phase / Task and

Internal Reviews and Checking are covered in the Table. • It is the responsibility of the ESP firm to ensure the submission, implementation and

administration of Quality Control Plans for all Specialties in the assignment including any Subcontractor’s Quality Control Plans and to take the appropriate corrective measures, to ensure the required quality of services to be provided by the Subcontractors.





• The ESP firm shall ensure that different staff is utilized to complete the work associated with each Phase/Task, Quality Reviews/Checks and Audits.

• The completion dates for the Project Specific Supplementary Plans shall reflect the overall project plans and schedule for the assignment.

• The ESP firm shall commit to the timely delivery of quality / audit documentation (Milestone Quality Reports) by the staff and dates identified in the Supplementary Specialty Plan. The ESP firm is responsible for the timely delivery of the Milestone Quality Reports, any related documentation, any clarification(s) and / or additional information as requested by the Ministry Project Manager.

• The Supplementary Specialty Plan is subject to acceptance by the Ministry staff.

• Consider the following in completing the Template for Supplementary Plan for a Specialty:

• When preparing the Project Specific Supplementary Plans, utilize the same row numbering and Phases / Tasks as listed in the approved Generic Category Plan where applicable.

• The number of Milestone Quality Reviews shall be based on the type and complexity of an assignment. Depending on an assignment, the Phases / Tasks and Milestone Quality Reports in the Supplementary Specialty Plan may be similar or vary compared with a registered Generic Category Plan in RAQS.

• If a Phase / Task in the Project Specific Supplementary Plan is the same as in the

approved Generic Category Plan in RAQS, utilize the same row number as in the Generic Category Plan. Do not repeat the information in columns 3 through 5. Add the phrase “same as in Generic Category Plan”.

• Depending on the assignment, new Phases / Tasks may be created or existing

combined. For these Phases / Tasks complete all cells in the row, from columns 1 through 9.

• The following information is required in columns 6, 7,8 and 9. Staff that will prepare the work associated with each Phase/Task; Staff that will conduct the Quality Review / Check for each Phase/Task; Auditor for each Milestone Review; and Dates for quality review / check for each Phase/Task and Milestone Quality

Reports


D4. Quality Control Milestone Reports A Milestone Quality Report provides the audit trail of the quality control conducted during an assignment. A Milestone Quality Report is submitted through RAQS at the date identified in the Supplementary Specialty Plan. One or more Milestone Quality Reports may be required as indicated in the Supplementary Plan accepted. (Sample templates for the generic QC Category Plan are available on the Ministry of Transportation Technical Publications website). • The ESP firm whom is signatory to the Legal Agreement is responsible for the

submission and correctness of the Milestone Quality Reports for all of the Specialties in an assignment including the work to be performed by Subcontractors.

• The number of Milestone Reports shall be based on the type and complexity of the project. The number of Milestone Quality Reports to be submitted may vary with the scope of an assignment.

• The Ministry Project Manager may request clarification / documentation / additional information on the quality checks / audits and checklist sheets, as deemed necessary.

• Use the following in completing the Template for a Milestone Quality Report:

• The Numbers and Phase/Tasks in columns 1 and 2 should be the same as listed in approved Project Specific Supplementary Plan.

• In column 4, list the checklists completed.

• In column 5 and 6 identify the Quality staff. Please note that the Quality Staff should be the same as identified in the Supplementary Specialty Plan. Replacement Quality staff must have prior acceptance by the Ministry Project Manager.

