NR L2 Ini 02009
NR L2 Ini 02009
NR L2 Ini 02009
Supplementary Information
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Issue record
Issue
Date
Comments
March 1996
First Issue
October 2001
December 2008
December 2009
June 2011
Compliance
This Network Rail standard is mandatory and shall be complied with by Network Rail
and its contractors if applicable from 3 September 2011.
When this standard is implemented, it is permissible for all projects that have
formally completed GRIP Stage 3 (Option Selection) to continue to comply with the
issue of any relevant Network Rail standards current when GRIP Stage 3 was
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completed and not to comply with requirements contained herein, unless stipulated
otherwise in the scope of this standard.
Reference documentation
Construction (Design and Management) Regulations 2007
Railways and Other Guided Transportation Systems (Safety) Regulations 2006
Network Rail Health and Safety Management System
NR/L3/RSE/0001 Safety Verification
NR/ L3/RSE /0002 Interoperability
NR/L2/RSE/015 Network Rail Acceptance Panel
NR/L2/INI/CP0047 Application of the Construction, Design and Management
Regulations to Network Rail Construction Works
NR/L2/INI/CP0069 Route Requirements Management and Production of Project
Requirements Specifications
NR/L2/INI/CP0075 Procedure for the Entry into Operational Service of Railway
Infrastructure
NR/L1/INI/PM/GRIP/100 Governance for Railway Investment Projects (GRIP)
Policy Manual
NR/L2/INI/PM/GRIP/101 Governance for Railway Investment Projects (GRIP)
Project Management
NR/L2/EBM/STP001 Network Rail Standards Management Process
Requirements
NR/L3/MTC/ RCS0216 Risk Control Manual
NR/L2/SIG/30003 Engineering Assurance Arrangements for Signalling Engineering
Schemes and Services
NR/L2/CIV/003 Engineering Assurance of Design and Construction of Building and
Civil Engineering Infrastructure
NR/L2/TRK/2500 Engineering Assurance Arrangements for Track Engineering
Projects
NR/L2/ELP/27311 Technical Approval of Electrical Power Asset Design
NR/L2/TEL/30022 Engineering Assurance Arrangements for Communications
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Disclaimer
In issuing this document for its stated purpose, Network Rail makes no warranties,
express or implied, that compliance with all or any documents it issues is sufficient
on its own to ensure safe systems of work or operation. Users are reminded of their
own duties under health and safety legislation.
Supply
Copies of documents are available electronically, within Network Rails organisation.
Hard copies of this document may be available to Network Rail people on request to
the relevant controlled publication distributor. Other organisations may obtain copies
of this document from IHS. Tel: 01344 328039.
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Contents
1 Purpose
2 Scope
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1 Purpose
The purpose of this standard is to describe the processes and roles and
responsibilities of staff responsible for the management of the technical and
engineering requirements of projects for and on behalf of Network Rail.
2 Scope
This standard applies to all projects and the organisations working on those projects
that change, renew, enhance or remove Network Rail infrastructure assets except for
the circumstances defined below where the project is undertaken by Infrastructure
Maintenance.
Where the type, complexity and scale of the whole of the project is covered by the
Risk Control Manual (NR/L3/MTC/RCS0216) and the complete works are managed
and undertaken by Infrastructure Maintenance then Infrastructure Maintenance may
undertake projects relying on those controls and need not apply this standard.
This standard applies to all phases of a project as applicable, including, but not
limited to:
a) feasibility studies;
b) design;
c) construction;
d) testing and commissioning;
e) de-commissioning and demolition.
This standard applies to projects which protect Network Rails asset when a party
other than Network Rail carries out work on, over or under Network Rail property.
The requirements defined within this standard detail responsibilities aligned to
elements of the CDM Regulations. NR/L2/INI/CP0047 defines the full responsibilities
to achieve compliance with the CDM Regulations.
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Checker
Person accountable for the Design Check of the design for permanent or temporary
works to be utilised on a specific project.
Person within every design and/or construction organisation contracted to Network
Rail, (or to a party other than Network Rail where agreed with Network Rail) with
overall accountability for all engineering activities applicable to that specific Contract
including those undertaken by sub-contracted organisations.
A person within the appropriate Network Rail organisation shall be appointed to
undertake the duties of the CEM when Network Rail undertakes design and / or
construction phase activities.
The CEM may act as the Contractors Responsible Engineer (CRE) for a single
engineering discipline.
Contractors Responsible Engineer (CRE)
Person within a design and/or construction organisation contracted to Network Rail,
(or to a party other than Network Rail where agreed with Network Rail) with
accountability for the day-to-day management and co-ordination of the technical and
engineering activities within a specific engineering discipline for a specific Contract.
A person within the appropriate Network Rail organisation shall be appointed to
undertake the duties of the CRE when Network Rail undertakes design and / or
construction phase activities.
Departmental Engineering Manager (DEM)
Person appointed by Network Rail in accordance with this standard who has
accountability for the overall compliance of projects (in a defined area) with the
applicable processes, standards and legislation.
The DEM may act as the Designated Project Engineer (DPE) for a project.
Designer
Person responsible for the design associated with permanent or temporary works for
a specific project.
Designated Project Engineer (DPE)
Person appointed by Network Rail accountable for the co-ordination and integration
of technical and engineering aspects of a specific project particularly where the
project includes multi-disciplinary activities. The DPE may also act as the Project
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It is acceptable for the person undertaking the DPE role to change during the lifetime
of the project although it is preferable to have continuity of the DPE role throughout
wherever possible.
Director Contracts and Procurement (DCaP)
The most senior member of the organisation accountable for the Contracts and
Procurement activity.
Discipline Lead (DL)
Person appointed through the Discipline Management process to lead on the people,
process and performance aspects of the discipline.
Discipline Resource Manager (DRM) / Engineering Resource Manager (ERM)
Person appointed by Network Rail within the Discipline Management process to
handle resource requirements and competency management for that discipline. The
term DRM shall be used throughout this document to refer to either Discipline or
Engineering Resource Managers.
Project Engineer (PE)
Person appointed by Network Rail accountable to the DPE for day-to-day
management and co-ordination of technical and engineering aspects of a project for
a single engineering discipline.
Project Manager (PM)
Person appointed by Network Rail who is accountable for the overall project
management and co-ordination of all project activities on behalf of Network Rail for a
specific project.
It is acceptable for the person undertaking the PM role to change during the lifetime
of the project although it is preferable to have continuity of the PM role throughout
wherever possible. The job title of the person undertaking this role may change as
the project progresses through development into implementation.
Senior Engineer
The most senior person with an engineering competency undertaking an engineering
role within a Delivery Group.
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Engineer (PE) for a single engineering discipline. The DPE may delegate
responsibilities defined by this standard but shall remain accountable for their
execution on their project.
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Design
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Formal Engineering
Documentation Flow and
Information Exchange
Designer
(Discipline 2)
Formal Contractual
Communication and
Documentation Flow
Network Rail
Contract
Relationship
Site /
Construction
Engineer or
Manager
(Discipline 2)
Checker
(Discipline 2)
Contractors
Responsible
Engineer
(CRE)
(Discipline 2)
Contractors
Responsible
Engineer
(CRE)
(Discipline 2)
Project
Engineer
(PE)
(Discipline 2)
Contractors
Responsible
Engineer
(CRE)
(Discipline 1)
Contractors
Responsible
Engineer
(CRE)
(Discipline 1)
Project
Engineer
(PE)
(Discipline 1)
Contractors
Engineering
Manager (CEM)
Contractor
Project
Manager
Engineering Information
Exchange
Designated
Project
Engineer (DPE)
Site /
Construction
Engineer or
Manager
(Discipline 2)
Departmental
Engineering
Manager (DEM)
Network Rail
Project
Manager
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Construction
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Definition
Acceptance
Acceptance Review
Approved For
Construction (AFC)
Design
Asset
Certificate of
Compliance
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Competent Independent
Person (CIP)
As defined in NR/L3/RSE/0001.
Contract
Contractor
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Phrase or Title
Definition
Delivery Group
Design Organisation
Design Check
Design Compliance
Certificate
Discipline
Discipline Management
Engineering Deliverable
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Phrase or Title
Definition
Engineering
Management Plan
(EMP)
As defined in NR/L2/INI/CP0075.
As defined in NR/L1/INI/PM/GRIP/100.
Infrastructure
Interdisciplinary Check
(IDC)
Interdisciplinary Review
(IDR)
Interoperability
Regulations
As defined in NR/L3/RSE/0002.
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Phrase or Title
Definition
Monitoring
National Specialist
Team (NST)
Project Requirements
Specification
As defined in NR/L2/INI/CP0069.
Programme
Principal Contractor
(PC)
Risk Log
Safety Verification
Sponsor
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Phrase or Title
Definition
Sponsors Instruction
As defined in NR/L2/INI/CP0069.
Technical Approval
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5.1.2
5.1.3
5.1.4
The duties specified for the roles in this standard may be delegated to
competent deputies provided that all persons appointed to carry out
delegated duties shall:
a) have the skill, knowledge and experience needed to undertake their
duties commensurate with the type and complexity of the project;
c) have sufficient resources and time to undertake their duties;
d) understand and be able to judge when urgent or immediate action is
necessary for safety reasons;
e) have recorded their acceptance of their delegation.
5.1.5
The Network Rail roles and responsibilities defined in this document may be
subject to further clarification / application in the appropriate EMP and
therefore this standard should be read in conjunction with the appropriate
EMP.
The Senior Engineer shall appoint DEM(s) for defined areas of their
Delivery Group. All areas of a Delivery Group shall have a DEM assigned.
5.2.2
The Senior Engineer shall produce an EMP for their Delivery Group.
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For a given discipline, the DL shall have a process for defining the
requirements for and assessing the competence of all staff requiring a
Project Engineering competency. This process, and the defined
competency requirements, shall be agreed with the appropriate
Professional Head and shall align with applicable corporate competence
management systems.
5.3.2
5.3.3
5.3.4
For a given discipline, the DL shall provide acceptance review guidance for
the Engineering Deliverables.
5.3.5
The DRM shall support the DEM as required to enable mentoring and other
support arrangements deemed necessary under the competence
assessment process to be implemented.
5.4.2
The DRM, where necessary in conjunction with DRMs for other disciplines,
shall support the PM and DEM in the identification of competent resource to
undertake the DPE role.
5.4.3
The DRM shall, where requested, assist the PM, DEM and DPE in the
identification of competent resources to undertake the PE role for their
discipline.
5.4.4
The DRM shall, where requested, assist internal Network Rail design and /
or construction organisations in the identification of competent resources to
undertake applicable engineering roles for their discipline.
The DCaP shall have a process in place to qualify suppliers for specified
categories of supply. So far as is reasonably practicable this process
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The DEM shall be appointed by the Senior Engineer within each Delivery
Group in accordance with the appropriate Delivery Group EMP. The
appointment shall be recorded using either Form NR/L2/INI/02009/F0037 or
an equivalent specified by the applicable EMP.
5.6.2
In conjunction with the DEM, the PM shall appoint a competent DPE for
each project and shall take account of specialist advice as is necessary
(including the applicable Senior Engineer (discipline specialist) and/or
NSTs) to assess the competence of the appointees to undertake their
responsibilities and duties. The appointment shall be recorded using either
Form NR/L2/INI/02009/F0038 or an equivalent as specified by the
applicable EMP.
5.6.3
The DEM shall assist the DPE in identifying the requirement for Network
Rail engineering resources for the management and implementation of a
project. When the resource requirement is agreed the DPE shall inform the
PM. The resource requirement shall be recorded using either Form
NR/L2/INI/02009/F0041 or an equivalent as specified by the applicable
EMP. Where engineering resources are not available the DEM shall
contact the DRM for the discipline concerned to determine how the
resource requirements will be met.
5.6.4
The DEM shall establish that robust processes to identify and brief all
changes to engineering standards and processes are in place for all staff
within their area of responsibility.
5.6.5
The DEM shall implement briefing processes for staff within their area of
responsibility, requiring an engineering competency, who are not covered
by an appropriate Discipline briefing process as defined in clause 5.4.1.
This shall be either by the staff attending the brief arranged by the DEM or
by arranging for other engineering staff of the relevant engineering
discipline to provide the briefing.
5.6.6
5.6.7
The DEM shall satisfy themselves that all staff joining their specific area of
responsibility, that require an engineering competency, have received an
appropriate technical induction. Where this is not provided by the relevant
Discipline Leads the DEM shall establish a technical induction process.
5.6.8
The DEM shall make sure that the engineering competency level of each
member of staff within their area of responsibility is recorded in accordance
with the requirements of the relevant Discipline Leads and the applicable
EMP.
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5.6.9
The DEM shall monitor the compliance of projects in their defined area with
applicable processes, standards and legislation.
5.6.10
The project sponsor will remit a Lead Delivery Group to deliver a project.
Sometimes the Lead Delivery Group may remit Supporting Delivery
Groups to deliver elements of that project. If there are Supporting Delivery
Groups there will be multiple DEMs with accountability for their individual
Delivery Groups activities on the project. In this instance the following shall
apply:
c) there shall only be a single DPE appointed for the entire project at
any one time. The DEM for the identified Lead Delivery Group shall
assist the PM in appointing the DPE for the project in accordance
with clause 5.6.2 subject to the agreement of the Supporting
Delivery Group DEMs as applicable to the project;
d) the DEM for the identified Lead Delivery Group, consulting with
Supporting DEMs as required, shall lead in identifying and
appointing competent engineering resources for the project in
accordance with clause 5.6.3.
NOTE: Subject to the above it is acceptable for the person undertaking the DPE role to
change during the lifetime of the project although it is preferable to have continuity of the
DPE role throughout wherever possible. The job title of the person undertaking this role
may change as the project progresses through development into implementation.
5.7.2
In conjunction with the DEM the PM shall appoint a DPE for their project. A
record of appointment and acceptance of that appointment by the individual
concerned shall be recorded on the project file using either Form
NR/L2/INI/02009/F0038 or an equivalent as specified by the applicable
EMP.
5.7.3
In conjunction with the DPE and DEM the PM shall identify and appoint
competent engineering staff to undertake all identified engineering roles. A
record of each appointment and acceptance of that appointment by the
individuals concerned shall be recorded on the project file using either Form
NR/L2/INI/02009/F0042 or an equivalent as specified by the applicable
EMP.
5.7.4
The PM shall undertake the following in supporting the role of the CDM coordinator (note that Network Rail Infrastructure Limited is normally
appointed to the role of CDM co-ordinator):
a) with the support of the DPE make sure that a Risk Log is created
and maintained, and incorporates or makes reference to all
applicable design and construction organisation risk documentation;
b) establish arrangements for co-operation and co-ordination between
design and construction organisations throughout the project, agree
and document the method of design integration, including the
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5.7.6
5.7.7
5.7.8
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The PM shall not close out any project until all as-built records, testing
records, spares, health and safety files, asset data, operational and
maintenance manuals and all other necessary engineering deliverables
have been given to and accepted by the relevant representatives of the
Network Rail departments concerned, which could include NSTs.
5.8.1.1 A person may be appointed to act as the DPE for one or more projects.
The limits of all appointments, shall be clearly recorded, understood and
agreed between the persons concerned.
5.8.1.2 Where multiple Delivery Groups are involved in delivering a project there
shall only be a single DPE appointed for the entire project at any one time.
It is acceptable for the person undertaking the DPE role to change during
the lifetime of the project although it is preferable to have continuity of DPE
throughout wherever possible. The appointed DPE for the project shall
clearly define and record the responsibilities and interface points between
each of the Delivery Groups.
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5.8.3.1 The DPE shall identify, in conjunction with the DEM and the PM, the
Network Rail engineering resources required for the management of a
Project. When a requirement is identified and agreed by the DEM, the DPE
shall advise the PM. The resource requirement shall be recorded using
either Form NR/L2/INI/02009/F0041 or an equivalent as specified by the
applicable EMP.
5.8.3.2 Following identification of the resources required; the DPE shall, in
conjunction with the DEM and PM, identify competent staff to undertake all
identified engineering roles. The PM shall, based on the recommendation
by the DPE, appoint the identified staff to undertake the roles. A record of
each appointment and acceptance of that appointment by the individual
concerned shall be recorded on the project file using either Form
NR/L2/INI/02009/F0042 or an equivalent as specified by the applicable
EMP.
5.8.4 Prior to Contract Award
NOTE: This section also applies to arrangements with a Network Rail design and / or construction
organisation i.e. it refers to the period before the Network Rail design and / or construction
organisation commence work on the project.
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5.8.4.1 The DPE shall prepare the relevant technical requirements for a Contract in
accordance with Network Rail company processes.
5.8.4.2 The DPE shall agree and record the technical requirement for works to be
undertaken with any Network Rail design and or construction organisation
required to undertake work on the project.
5.8.4.3 The Delivery Group EMP may set the requirements for the documentation
required to specify the technical requirements for works to be undertaken
by Network Rail design and / or construction organisations.
5.8.4.4 The DPE shall assist the people appointed to represent the Company in its
role as CDM co-ordinator, as required, to verify that potential design and
construction organisations have adequate and competent engineering
resources to undertake the project.
5.8.4.5 The DPE shall be satisfied that any external Design and/or Construction
Organisation has been assessed in accordance with the DCaPs
qualification process and is appropriately rated in the area that the contract
covers. If there is any doubt about the status of the supplier rating the
DCaP shall be consulted.
5.8.4.6 The DPE shall be satisfied that persons nominated to carry out the roles of
the CEM, and the CRE for each relevant engineering discipline are
competent to carry out the roles. Consideration shall be given to:
a) management / engineering competence;
b) requirement and arrangements for mentorship;
c) relevant experience and performance on similar projects;
d) previous competence assessments for other projects;
e) previous competence assessments undertaken by other
organisations;
f) a commitment to carry out the project safely.
5.8.4.7 Where a Network Rail design and / or construction organisation undertakes
work on a project; acceptance of the persons undertaking the duties of the
CEM and CREs shall be limited to the completion of either Form
NR/L2/INI/02009/F0043 or an equivalent as specified by the applicable
EMP by the Network Rail design and / or construction organisation to
recognise the appointments made. No competency assessments are
required by the DPE. The form shall be issued to the DPE and retained on
the project file. The DPE and the CEM / CRE shall reach a clear,
documented understanding of the scope of work to which the appointment
applies.
5.8.4.8 Where any design and / or construction organisation external to Network
Rail is Contracted to Network Rail to undertake work on a project the DPE,
in conjunction with the Network Rail PM, shall accept the appointment of a
CEM for that organisation where they meet the requirements described in
either Form NR/L2/INI/02009/F0039 or an equivalent as specified by the
applicable EMP. Additionally the DPE shall accept the CEMs proposed
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5.8.4.9 In conjunction with the DEM, the DPE shall be satisfied that PEs proposed to
undertake specific work in a project have the required competence and
availability to carry out their duties. When specialist knowledge is required
the DPE shall consult the DEM, DRMs or NSTs as applicable.
5.8.4.10 The DPE shall recommend to the PM that the programme proposed by the
design and / or construction organisation:
a) complies with the technical and engineering requirements of the
Contract, including milestones for the completion of designs and
engineering activities, e.g. IDCs;
b) is sufficiently detailed to identify the work to be undertaken;
c) is based on an adequate allowance for resources, methods of
manufacture or construction, installation, testing and commissioning
and supports compliance with requirements of relevant standards;
d) may be used by the DPE to determine requirements for monitoring of
the engineering aspects of the Project.
5.8.5 Post Contract Award General Requirements
NOTE: This section also applies to arrangements with a Network Rail organisation undertaking
design/implementation / construction / testing and commissioning activities i.e. it refers to the period
when the Network Rail organisation is undertaking those activities on the project.
5.8.5.1 The DPE shall, in conjunction with the PM, verify that an effective method is
implemented for receiving, recording and answering technical and
engineering queries raised by the Design and/or Construction
Organisations.
NOTE: A sample Technical Query form is provided in NR/L2/INI/02009/F0049.
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5.8.5.2 The DPE shall confirm at each applicable stage gate that the project
Engineering Deliverables at that stage comply with the Project
Requirements Specification through completion of a Design Compliance
Certificate (DCC) as required by the GRIP Process (see
NR/L1/INI/PM/GRIP/100 and related documents). The DPE shall use any
specialists necessary to support them in confirming that the requirements
have been satisfied, and shall collate all Certificates of Compliance from the
CEMs (see 6.2.4.8) that are required to support the project DCC.
5.8.5.3 The DPE shall review all Certificates of Compliance from the CEMs and
where appropriate Accept them on behalf of Network Rail.
5.8.5.4 The DPE shall support the PM in relation to NR/L3/RSE/0001 Safety
Verification, NR/L3/RSE/0002 Interoperability and the Network Rail
Acceptance Panel (NRAP), in accordance with 5.6.8 (d) and (e).
5.8.6 Post Contract Award Design Phase
NOTE: This section also applies to arrangements with a Network Rail design organisation i.e. it refers
to the period when the Network Rail design organisation is undertaking design work on the project.
5.8.6.1 The DPE shall review evidence that the design produced by any designer
undertaking design activities on the project integrates correctly with that of
all other designers and the design of all existing infrastructure. Guidance
and possible options for achieving such integration are provided in
Appendix A1.
5.8.6.2 The DPE shall verify that for a multi-disciplinary project, each CEM has a
robust process for carrying out IDCs during design development and prior
to the issue of design information for acceptance and ultimately for
construction; and that the process is applied to the project.
5.8.6.3 The DPE shall support the PM in progress monitoring of the design
elements of the project against the accepted programme.
5.8.6.4 The DPE shall implement Acceptance Reviews in accordance with this
standard on their project.
5.8.6.5 The DPE shall implement IDRs in accordance with this standard on their
project.
5.8.6.6 The DPE shall obtain Technical Approval where required from the defined
competent persons within Network Rail having authority to grant same in
accordance with the appropriate standards.
5.8.6.7 The DPE shall issue Acceptance of Engineering Deliverables on behalf of
Network Rail via a Document Review Notice using Form
NR/L2/INI/02009/F0044 or a suitable equivalent as specified by the
applicable EMP.
5.8.7 Post Contract Award Implementation Phase
NOTE: This section also applies to arrangements with a Network Rail organisation undertaking
implementation / construction activities i.e. it refers to the period when the Network Rail organisation
is undertaking implementation / construction work on the project.
Page 24 of 44
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5
4 June 2011
3 September 2011
5.8.7.1 The DPE shall confirm that construction issues emerging during the
implementation phase do not invalidate the Accepted design, and the
associated risk control measures.
5.8.7.2 The DPE shall confirm the Acceptance of construction on behalf of Network
Rail through Acceptance of relevant engineering deliverables.
5.8.8 Post Contract Award Testing and Commissioning Phase
NOTE: This section also applies to arrangements with a Network Rail organisation undertaking
implementation / testing and commissioning activities i.e. it refers to the period when the Network Rail
organisation is undertaking implementation / testing and commissioning works on the project.
5.8.8.1 Prior to the commencement of testing and commissioning activities the DPE
shall be satisfied that all necessary testing and commissioning
documentation and personnel have been Accepted by a competent
engineer appointed for that purpose.
5.8.8.2 The DPE shall support the PM in undertaking the Entry into Service process
in accordance with NR/L2/INI/CP0075.
5.8.9 Project Completion
5.8.9.1 The DPE shall undertake Acceptance of As Built records to review whether
they appear to accurately reflect the status of the infrastructure taken into
operational use by Network Rail. This can be achieved by undertaking a
sample review of the As Built records and determining that based on the
evidence of the sample review it appears that the records have been
updated to accurately reflect the infrastructure taken into operational use.
5.8.9.2 The final Design Compliance Certificate shall not be completed by the DPE
until the As Built records are Accepted and returned to Network Rail.
Page 25 of 44
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5
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3 September 2011
6.1.2
6.1.3
6.1.4
The duties specified for the roles in this standard may be delegated to
competent deputies provided that all persons appointed to carry out
delegated duties shall:
a) have the skill, knowledge and experience needed to undertake their
duties commensurate with the type and complexity of the project;
b) be made aware of their responsibilities;
c) have sufficient resources and time to undertake their duties;
d) understand and be able to judge when urgent or immediate action is
necessary for safety reasons;
e) have recorded their acceptance of their delegation.
Ref:
Issue:
Date:
Compliance date:
NR/L2/INI/02009
5
4 June 2011
3 September 2011
6.2.2.2 The CEM shall establish and implement an effective technical change
control process through out the life of the project.
6.2.2.3 The CEM shall establish a process that identifies and briefs the project
team on changes to engineering standards affecting the Project.
6.2.2.4 Where a potential non-compliance with standards is identified, the CEM
shall review the applicable information, and if considered justified submit an
application in accordance with NR/L2/EBM/STP001 Network Rail
Standards Management Process Requirements to the DPE for temporary
non-compliance or derogation as applicable; advising their project team that
such a step is necessary. No action to implement a non-compliance shall
be taken until the relevant authority issues a temporary non-compliance or
derogation, except with the documented authority from the standards
owner or nominated representative.
NOTE: The review and approval of temporary non-compliances or derogations can take a
considerable length of time. Applications made outside of the recommended timescales are unlikely to
be progressed and this is likely to lead to a delay in a project being able to be taken into operational
use.
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6.2.2.1 The CEM shall confirm that all CREs have a process in place to identify and
brief changes to engineering standards and processes to their engineering
team and any other team members required to implement such standards.
This includes the briefing of all relevant staff and sub-contract staff or
contractors.
Ref:
Issue:
Date:
Compliance date:
NR/L2/INI/02009
5
4 June 2011
3 September 2011
6.2.4.4 Any design issued to Network Rail for Acceptance shall be approved by the
CEM confirming that such design:
a) has been produced by competent designers;
b) has been subject to a Design Check by competent checkers to verify
that the information accords with the Contract and the applicable
standards communicated in the Contract;
c) has been subject to the agreed mentorship processes subject to
such arrangements being required;
d) has been translated from the design onto any copy documents
without error;
e) has had all necessary IDCs carried out, and such IDCs have been
reviewed by the DPE;
f) is acceptable to the relevant CREs;
g) includes evidence that the designer has considered design risk as
required by the Construction (Design and Management) Regulations
and eliminated such risks, where reasonably practical to do so, or
communicated the residual risk in the design documents;
6.2.4.5 The CEM shall not allow any products, materials, equipment, infrastructure
and other systems to be utilised that are not approved for use in
accordance with current Network Rail product acceptance standards.
6.2.4.6 The CEM shall approve all design as Approved For Construction following
completion of the Acceptance process detailed in Section 8, confirming that
such design meets, or has met all requirements as defined in Section 8.
6.2.4.7 The CEM shall implement a risk management process that:
a) identifies and mitigates risk;
b) communicates details of unmitigated risk;
c) supports the NR project Risk Log as required in 5.6.4(a).
Page 28 of 44
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5
4 June 2011
3 September 2011
6.2.4.8 The CEM shall produce one or more Certificates of Compliance with the
applicable technical specifications for the works (Design and / or
Construction as appropriate), using Form NR/L2/INI/02009/F0048.
6.2.4.9 It is acceptable to use another document in lieu of a Certificate of
Compliance where such a document, as defined in Network Rail standards,
includes a statement of compliance.
6.2.4.10 Certificates of Compliance shall:
a) state the technical specification against which compliance is being
declared;
b) state where the technical specification issued for the works has been
amended by change control;
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5
4 June 2011
3 September 2011
6.3.3.3 Where multiple CREs are proposed for a single engineering discipline each
CRE shall have a clear understanding of their responsibilities. They shall
pay particular attention to the management of interfaces between design,
installation and testing activities.
6.3.3.4 The CRE accountable for design shall co-operate with other designers i.e.
participate in IDCs, provide information on any significant risks associated
with their design and avoid exposing those involved in constructing and
maintaining the designed infrastructure (including demolition) to any
foreseeable risks.
6.3.3.5 The CRE accountable for design shall implement all design production and
checking, including mentorship arrangements where applicable, processes
applicable to their specific engineering discipline. The CRE shall approve
and endorse all design to confirm this has been achieved.
6.3.3.6 The CRE accountable for design shall participate in IDCs including those
implemented by another organisation which encompass their engineering
discipline, as appropriate to the work being undertaken. The IDC shall be
considered complete when the CRE confirms that their design interfaces
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6.3.3.2 Where a single CRE has been appointed for an engineering discipline they
are responsible for managing the interface between design, installation and
testing activities.
Ref:
Issue:
Date:
Compliance date:
NR/L2/INI/02009
5
4 June 2011
3 September 2011
6.3.3.7 CREs (including those that are specifically allocated for the construction of
the works) shall participate in all applicable IDCs of other engineering
disciplines to confirm that their design and construction interfaces correctly
with the design produced by their own engineering discipline. CREs shall
endorse all such design documentation to confirm their acceptance of the
design documentation under consideration from the perspective of its
acceptability to interface correctly with the design produced by their own
engineering discipline. Alternatively where no interfaces exist the CRE may
give a positive indication that there is no impact on the design produced by
their own engineering discipline.
6.3.3.8 The CRE responsible for design shall not, without the agreement of the
DPE, include any products, materials, equipment, infrastructure or other
system in their design that are not approved for use in accordance with
current Network Rail product acceptance standards.
7 Project Engineering Interface Management
7.1 Integration of Engineering Management
7.1.1
7.1.2
7.1.3
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All proposed design shall be submitted by the CEM to the DPE for
Acceptance in order that the proposed design for a project can be
confirmed as:
a) compliant with the technical and engineering requirements of the
Contract, product acceptance requirements, and applicable
standards;
b) correctly integrated with all other design, construction and existing
infrastructure;
8.1.3
8.2.2
8.2.3
8.2.4
8.2.5
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The DPE shall categorise the level of the review of engineering deliverables
based on the following risk based criteria:
a) supplier rating, in accordance with information provided by the DCaP
(see section 5.5.1);
b) complexity of the system and its interfaces with other disciplines and
/ or projects;
c) potential risks;
d) quality of engineering deliverables previously provided by the
supplier;
e) adequacy of the specification and deliverables provided by Network
Rail to the supplier.
8.2.7
The discipline PEs shall apply review guidance issued by the Discipline
Lead appropriate to their discipline, taking into consideration the overall
categorisation specified by the DPE.
8.2.8
8.2.9
The DPE shall retain the results of all Acceptance Reviews on the project
file.
8.2.10
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8.3.1
8.3.2
8.3.3
The DPE is responsible for the implementation of the IDR process on their
project.
8.3.4
The DPE shall arrange for the attendance of all interfacing engineering
discipline PEs at the IDR.
8.3.5
The DPE shall define and record the extent and results of the IDR.
8.3.6
The DPE shall retain the results of all IDR or joint IDC / IDR on the project
file.
8.3.7
Where applicable to the design under consideration the DPE shall arrange
for Technical Approval to be obtained from the identified competent
person(s) or body in accordance with the appropriate engineering discipline
standards including, but not limited to:
a) NR/L2/SIG/30003;
b) NR/L2/CIV/003;
c) NR/L2/TRK/2500;
d) NR/L2/ELP/27311;
e) NR/L2/TEL/30022;
f) NR/SP/ERG/24020.
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Ref:
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5
4 June 2011
3 September 2011
Once the design has been Accepted as defined in sections 8.1 8.4, the
Design Organisation shall prepare Approved for Construction copies of the
designs, either identical to those Accepted, or amended solely to address
any required actions identified during the Acceptance process. Any
amendments to designs other than those amendments identified during the
initial Acceptance process or minor clerical errors shall be resubmitted for
further Acceptance. Where an updated Approved for Construction design
is issued but Acceptance is not required then a copy of the updated
Approved for Construction design shall be provided to the DPE for their
information.
8.5.2
8.5.3
Once design to be issued for construction has been signed by the Designer,
Checker and Approver it shall finally be approved and endorsed as
Approved for Construction by the CEM.
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NOTE: It is permissible for the issue of Approved for Construction design to be given through the use
of an Approvals and Issue Record (AIR) Sheet bearing the original signature of the CEM.
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Ref:
Issue:
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NR/L2/INI/02009
5
4 June 2011
3 September 2011
A.1.2.3 The CEM and all CREs retain full responsibility for their design including its
capability to interface correctly with other designs and submit to Network
Rail for Acceptance in accordance with Section 8.
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5
4 June 2011
3 September 2011
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A.1.4.5 This option will also apply where Network Rail appoint a Design Coordinating Organisation who are not producing any design. In this instance
Discipline A will be considered as one of the other Design Organisations in
Figure A.3.
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Provided by IHS under license with Network Rail
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5
4 June 2011
3 September 2011
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NR/L2/INI/02009
5
4 June 2011
3 September 2011
A.2.1.1 In Figures A.4 and A.5 the term Network Rail Contract Relationship
includes arrangements between Network Rail organisations where no
formal Contract exists.
A.2.1.2 There are 2 options available to a project for the engineering management
of construction co-operation and co-ordination:
a) Construction Integration Option 1 External Contractor is appointed
as PC;
b) Construction Integration Option 2 Network Rail is appointed as PC.
A.2.2 Construction Integration Option 1 External Contractor is appointed as
PC
A.2.2.1 The PC CEM, as the principal engineering representative of the PCs
organisation, leads on all engineering issues associated with the execution
of the PC role. Particular attention needs to be paid to the engineering coordination of the works of all construction organisations during the
construction phase. All CEMs and CREs co-operate and support the PC
CEM in undertaking these duties.
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A.2.2.2 The DPE verifies that appropriate co-ordination and integration takes place.
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5
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3 September 2011
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5
4 June 2011
3 September 2011
Organisation 1
Sub-Contract
Discipline B
CRE
Network Rail
Lead
Programme
(DPE)
Organisation 1
Discipline A
CEM / CRE
Organisation 1
Sub-Contract
Discipline C
CRE
Organisation 2
Discipline D
CEM / CRE
Network Rail
Supporting
Programme
PE
Discipline E
Network Rail
Project Team
Organisation 3
Discipline E
CEM / CRE
Relationship for
Construction Integration
Organisation 2 CEM leads on
construction technical issues on
behalf of Organisation 2 and liaises
with DPE as required to enable PC to
meet role requirements
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Page 44 of 44
07/04/2011
Version 1
NR/L2/INI/02009
Title: Engineering Management for Projects
Issue: 5
Scope:
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Purpose:
Aligns with changes to the Engineering Assurance process in accordance with the Efficient Project Governance
(EPG) workstream to support management of risk through carrying out engineering assurance where
appropriate with clear accountabilities and with review levels determined by risk profile;
Improves consistency and quality of project delivery processes and outputs in accordance with EPG and other
objectives;
Supports efficiencies in project delivery claimed through the EPG workstream;
Transfers responsibility for assessment of contractor processes from project teams to the Director Contracts and
Procurement.
Aligns terminology with the recent introduction of GRIP as a Network Rail Standard (NR/L1/INI/PM/GRIP/100
and NR/L2/INI/PM/GRIP/101), updates to NR/L2/INI/CP0069 and other recent standards changes;
Aligns with the implementation of Discipline Management within parts of Network Rail and centralises
competence management for Project Engineering roles with the Discipline Management structure; and
Transfers forms from appendices into the Investment Projects Forms Index and provides additional template
forms.
This revision has resulted in new and changed responsibilities for the following roles:
Discipline Lead;
Discipline Resource Manager;
Director, Contracts and Procurement;
Departmental Engineering Manager;
Project Manager;
Designated Project Engineer;
Project Engineer;
Contractors Engineering Manager.
07/04/2011
Version 1
Affected documents:
Reference:
Impact:
NR/L2/INI/02009 ISSUE 4
Superseded.
Briefing requirements: Where Technical briefing (T) is required, the specific Post title is indicated. These posts have specific responsibilities
within this standard and receive briefing as part of the Implementation Programme. For Awareness briefing (A) the Post title is not mandatory.
Please see http://ccms2.hiav.networkrail.co.uk/webtop/drl/objectId/09013b5b804504da for guidance.
Briefing
Team
Function
Investment Projects
Asset Management
Investment Projects
Asset Management
Investment Projects
Post
(A-Awareness/
T-Technical)
T
T
T
T
T
T
Asset Management
Investment Projects
Investment Projects
Asset Management
Investment Projects
Finance
Asset Management
Investment Projects
Investment Projects
Investment Projects
Investment Projects
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07/04/2011
Version 1
Briefing requirements: Where Technical briefing (T) is required, the specific Post title is indicated. These posts have specific responsibilities
within this standard and receive briefing as part of the Implementation Programme. For Awareness briefing (A) the Post title is not mandatory.
Please see http://ccms2.hiav.networkrail.co.uk/webtop/drl/objectId/09013b5b804504da for guidance.
Briefing
Post
Team
Function
Investment Projects
Director Infrastructure
Maintenance
Director Infrastructure
Maintenance
Route Infrastructure
Maintenance Director
Infrastructure Maintenance
Infrastructure
Maintenance Delivery
Manager
Infrastructure
Maintenance Delivery
Manager
Infrastructure
Maintenance Delivery
Manager
Infrastructure
Maintenance Delivery
Manager
Infrastructure
Maintenance Delivery
Manager
Infrastructure Maintenance
Infrastructure Maintenance
Infrastructure Maintenance
Contractors and Suppliers
Engineering
Infrastructure Maintenance
Investment Projects
Asset Management
Investment Projects
Asset Management
Engineering
Engineering
Engineering
(A-Awareness/
T-Technical)
T
T
T*
A
A
All Posts
All Posts
Works Delivery
HSE / HSEA
All Posts
Infrastructure Maintenance
Infrastructure Maintenance
Infrastructure Maintenance
Infrastructure Maintenance
Infrastructure Maintenance
Infrastructure Maintenance
*NOTE: Contractors are responsible for arranging and undertaking their own Technical and Awareness Briefings in accordance with their own processes and procedure
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Design Engineer
Programme Engineering Manager
Senior Civils Design Engineer
Senior Architect
Senior Buildings Surveyor
Works Delivery Director