nr-l2-ini-02009

Supplementary Information

Network Rail Standards

The following information is associated with Network Rail Standard: NR/L2/INI/02009 Issue 5

Additional Content Access Click the links below to access non PDF related content associated with this standard. Word Document

NR/L2/INI/02009/F0037

NR/L2/INI/02009/F0038

NR/L2/INI/02009/F0039

NR/L2/INI/02009/F0040

NR/L2/INI/02009/F0041

NR/L2/INI/02009/F0042

NR/L2/INI/02009/F0043

NR/L2/INI/02009/F0044

NR/L2/INI/02009/F0045

NR/L2/INI/02009/F0046

NR/L2/INI/02009/F0047

NR/L2/INI/02009/F0048

NR/L2/INI/02009/F0049

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Ref: NR/L2/INI/02009 Issue: 5 Date: 4 June 2011 Compliance date: 3 September 2011

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Issue record Issue Date Comments 1 March 1996 First Issue 2 October 2001 Supersedes RT/E/P/02009, Issue 1

This revision was necessary in order to include new definitions and responsibilities for key roles (Asset Engineer, DEM, PM, DPE and Sponsors Agent), the requirements for design Approval and inclusion of the method statement review and acceptance process.

3 December 2008 Supersedes RT/E/P/02009, Issue 2 This revision was necessary in order to bring this standard up to date to conform to the current organisational structure of Network Rail, Company Procedures, Group Standards and current legislation.

4 December 2009 Supersedes NR/L2/INI/02009 Issue 3 This revision extends the scope of the standard to all Network Rail projects and makes amendments to the definition of Acceptance, Contractors Engineering Manager and Contractors Responsible Engineer. It also changes the term Approval to Technical Approval with a new definition. It brings alignment with NR/L2/INI/CP0047 Application of the Construction, Design and Management Regulations to Infrastructure Investment Projects. It amends Figure 1 Engineering Team Relationships and includes clarifications requested during the cascade briefing process most notably to define the project engineering interface management processes.

5 June 2011 Supersedes NR/L2/INI/02009 Issue 4 This revision aligns the standard with changes to assurance processes as a result of the Efficient Project Governance transformation workstream, which focuses on the management of engineering risk, clearer accountability for assurance activities and improvements in the engineering management of suppliers. It also incorporates minor changes to support new and modified standards such as GRIP and transfers responsibility for assessment of contractor processes from project teams to the Director Contracts and Procurement. Appendices contained within Issue 4 have been transferred into Forms; details of individual forms are located with the Reference documentation section.

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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Engineering Schemes and Services

NR/SP/ERG/24020 Incorporating Ergonomics Within Engineering Design Projects: Requirements

NR/L2/INI/02009/F0037 Appointment of Departmental Engineering Manager

NR/L2/INI/02009/F0038 Appointment of Designated Project Engineer

NR/L2/INI/02009/F0039 Appointment of Contractors Engineering Manager

NR/L2/INI/02009/F0040 Appointment of Contractors Responsible Engineer

NR/L2/INI/02009/F0041 Identification of Network Rail Project Team Engineering Requirements

NR/L2/INI/02009/F0042 Register of Network Rail Project Engineering Team

NR/L2/INI/02009/F0043 Declaration of the Appointment of Competent Network Rail Staff

NR/L2/INI/02009/F0044 Document Review Notice

NR/L2/INI/02009/F0045 Certificate of Interdisciplinary Review

NR/L2/INI/02009/F0046 Certificate of Interdisciplinary Check

NR/L2/INI/02009/F0047 Combined Certificate of Interdisciplinary Review and Interdisciplinary Check

NR/L2/INI/02009/F0048 Certificate of Compliance

NR/L2/INI/02009/F0049 Technical Query Form 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 6 2 Scope 6 3 Roles and responsibilities 7 Figure 1 Engineering Team Relationships 9 4 Definitions and Abbreviations 10 5 Requirements Network Rail Roles 15 5.1 Appointment and Delegation of Roles 15 5.2 Senior Engineer 15 5.3 Discipline Lead (DL) and Discipline Resource Manager (DRM) 16 5.4 Director Contracts and Procurement (DCaP) 16 5.5 Departmental Engineering Manager (DEM) 17 5.6 Project Manager (PM) 18 5.7 Designated Project Engineer (DPE) 20 6 Requirements Other Roles 26 6.1 Appointment and Delegation of Roles 26 6.2 Contractors Engineering Manager (CEM) 26 6.3 Contractors Responsible Engineer (CRE) 29 7 Project Engineering Interface Management 31 7.1 Integration of Engineering Management 31 8 Network Rail Design Acceptance 32 8.1 Elements of Design Acceptance 32 8.2 Acceptance Review 32 8.3 Interdisciplinary Review (IDR) 34 8.4 Technical Approval 34 8.5 Approved for Construction Design 35 Appendix A Guidance on Project Engineering Interface Management 36 Figure A.1 Design Integration Option 1 Single Organisations CEM Manages and Integrates Design 37 Figure A.2 Design Integration Option 2 DPE Integrates Design 38 Figure A.3 Design Integration Option 3 A Lead Design Organisation is appointed to Integrate Design 40 Figure A.4 Construction Integration Option 1 External Contractor is appointed as PC 42 Figure A.5 Construction Integration Option 2 Network Rail is appointed as PC 44



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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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3 Roles and responsibilities NOTE 1: Generic terms have been defined for persons with roles in accordance with this standard. The appointment of staff to roles is made on the basis of competence and availability to undertake that role and is therefore independent of Job Description, Job Title or Delivery Group. Such terms are used to provide a generic procedure that can be applied to any organisational structure.

NOTE 2: Graphical details as to how the roles defined below interact on a typical project, are provided in Figure 1.

Checker Person accountable for the Design Check of the design for permanent or temporary works to be utilised on a specific project. Contractors Engineering Manager (CEM) 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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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. 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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Network Rail Contract

Relationship

Network Rail Project

Manager

Contractor Project

Manager

Contractors Responsible

Engineer (CRE)

(Discipline 1)


Engineer (CRE)

(Discipline 2)

Project Engineer

(PE)(Discipline 1)

Project Engineer

(PE)(Discipline 2)

Formal Contractual Communication and Documentation Flow

Formal Engineering Documentation Flow and

Information Exchange

Designated Project

Engineer (DPE)

Contractors Engineering

Manager (CEM)

Departmental Engineering

Manager (DEM)

Checker(Discipline 2)

Designer(Discipline 2)

Engineering Information Exchange

Design


Engineer (CRE)

(Discipline 1)


Engineer (CRE)

(Discipline 2)

Site / Construction Engineer or

Manager(Discipline 2)

Construction

Site / Construction Engineer or

Manager(Discipline 2)

Figure 1 Engineering Team Relationships NOTE 1: Although separate Design and Construction areas have been depicted on the diagram; a single CRE may cover both areas for a single engineering discipline on a particular project. NOTE 2: The number of disciplines may vary according to the multidiscipline nature of the project and may have design and construction legs as shown above. NOTE 3: The term Network Rail Contract Relationship and Formal Contractual Communication includes arrangements between Network Rail organisations where no formal Contract exists.



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4 Definitions and Abbreviations For the purpose of this standard, the following terms and definitions apply.

Phrase or Title Definition

Acceptance Acknowledgement by Network Rail that, following a risk based review, the submission appears to be satisfactory. Acceptance by Network Rail:

indicates that the submission appears to comply with the specified requirements including applicable standards and legislation;

indicates that the submission appears to have been produced in accordance with the relevant engineering assurance processes;

does not remove or alter any duties or responsibilities placed on the party making the submission by the Contract, standards or statutory regulations.

Acceptance Review A review, undertaken by Network Rail, of a sample of Engineering Deliverables submitted to Network Rail for Acceptance.

Approved For Construction (AFC) Design

Design that has been prepared, checked and approved by competent persons in accordance with all applicable Contract requirements and standards AND successfully completed an Interdisciplinary Check (IDC) process AND successfully completed the Network Rail Acceptance process.

Asset All Infrastructure owned by Network Rail, including Infrastructure, depots and property.

Certificate of Compliance

A statement by the CEM confirming that all Engineering Deliverables comply with the appropriate technical specifications for the works, or confirming partial compliance and detailing all non-compliances. See also Design Compliance Certificate.

Competent Independent Person (CIP)

As defined in NR/L3/RSE/0001.

Contract Any form of agreement which creates and defines obligations between a project and a design and / or construction organisation.

Contractor Any design and / or construction organisation providing services to a project.



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Delivery Group A defined Network Rail department or functional group accountable for the delivery of a single or multiple projects (programmes of work).

Design Organisation Any organisation that prepares or modifies a design or arranges for or instructs any person under their control to do so. It includes: -

Contractors Single or Multi-Discipline; Design Consultants Single or Multi-Discipline; Network Rail Design Organisations; Network Rail Design and Construction Organisations.

Design Check Documented examination, by a person independent of the designer, that confirms that the engineering deliverable complies with the specification for the works, applicable project standards, legislation, operational, technical and safety principles.

Design Compliance Certificate

A statement by the DPE, required by GRIP (see NR/L2/INI/PM/GRIP/101), confirming that all Engineering Deliverables comply with the Project Requirements Specification, or confirming partial compliance and detailing all non-compliances. See also Certificate of Compliance.

Discipline A particular area of engineering practice; for example signal engineering, civil engineering, track engineering etc.

Discipline Management A process applied within certain Network Rail functions to provide consistent management of the people, process and performance aspects of a discipline.

Engineering Deliverable A design, specification or document which contains engineering details.



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Engineering Management Plan (EMP)

The EMP defines the accountabilities, responsibilities, roles and processes applicable to engineering staff working within a particular Delivery Group or project. An EMP may be published as a Level 3 Network Rail Company Standard or controlled locally within the programme or project. Delivery Group EMPs shall be approved by the Delivery Group Director or equivalent. Project EMPs shall be approved by the Departmental Engineering Manager and the Project Manager and form part of the Project Management Plan.

Entry into Operational Service

As defined in NR/L2/INI/CP0075.

Governance for Railway Investment Projects (GRIP)

As defined in NR/L1/INI/PM/GRIP/100.

Infrastructure Track, Signalling (including safety related communications systems), telecommunication, electrical (plant), traction energy equipment, structures, earthworks and stations where operated and maintained directly by Network Rail. For integration purposes this also includes compatibility with rolling stock declared to operate within any area affected by the Project.

Interdisciplinary Check (IDC)

An assessment undertaken by the Design Organisation to confirm that the information included in the design is compatible and conforms to the requirements of all other design with which the design is expected to interface. The assessment is multidisciplinary and includes all engineering disciplines with which the design is expected to interface. Each design is assessed in its entirety.

Interdisciplinary Review (IDR)

A review undertaken by the DPE to confirm that the information included in the design submitted for Acceptance appears to be compatible and conform to the requirements of all other design with which the design is expected to interface. The review is multidisciplinary and includes all engineering disciplines with which the design is expected to interface. Individual designs are reviewed on a sample basis only.

Interoperability Regulations




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Monitoring Observation, assessment, measurement, testing, review or audit of engineering activity.

National Specialist Team (NST)

A national team set up to provide specialist advice and engineering deliverables in a specific area for example electromagnetic compatibility, ergonomics, acceptance services, etc.

Network Rail Acceptance Panel (NRAP)


Project Any planned work resulting in a material change to Network Rails asset including new construction, relocation and alteration, refurbishment, renewal, decommissioning and recovery and demolition. This excludes maintenance activities. Work to protect Network Rails asset when an Outside Party carries out work, on, over or under such asset. A project can consist of a number of similar or different individual work items that are independent from each other as may be detailed in the appropriate EMP.

Project Requirements Specification

As defined in NR/L2/INI/CP0069.

Programme A group of related projects which are completed with some relationship to one another to obtain a defined business benefit.

Principal Contractor (PC)

As defined by CDM Regulations 2007.

Risk Log A management tool, which may be a spreadsheet, database, document or specific software, used for identifying, analysing and managing risks on a particular project. It contains details of design and construction hazards and records the control measures implemented to manage the residual risk to an acceptable level. It is initially produced prior to the first design decision being made and is maintained through the life cycle of a project. Upon completion of the project it forms part of the Health and Safety File.

Safety Verification As defined in NR/L3/RSE/0001 and the Network Rail Safety Management System

Sponsor A Network Rail person who acts as the single point of contact between the Client and the PM (or Development Manager).



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Sponsors Instruction As defined in NR/L2/INI/CP0069.

Technical Approval Agreement by Network Rail, based on a review by professionally competent people or bodies specified in standards as having a role to approve particular Engineering Deliverables. For the submission in question they consider that:

the specified requirements appear to have been met;

appropriate standards and / or design criteria appear to have been used;

competent persons appear to have used reasonable professional care in designing and / or executing the scheme;

the safety of railway operations and safe interworking appear to have not been compromised.

Technical Approval does not remove or alter any duties or responsibilities placed on the party making the submission by the Contract, standards or statutory regulations. Details of the processes and requirements for Technical Approval are described in the discipline-specific standards for engineering assurance.



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5 Requirements Network Rail Roles 5.1 Appointment and Delegation of Roles 5.1.1 Those appointing persons to positions with responsibilities in accordance

with the roles in the standard shall satisfy themselves that appointees are competent and available to carry out their duties and have both understood and accepted their responsibilities.

5.1.2 All appointments shall be documented; particular attention shall be given to such appointments where a project includes multi-disciplinary activities. In some cases support may need to be sought from engineering specialists, such as a member from a National Specialist Team (NST).

5.1.3 A person may be appointed to one or more roles for a project, subject to them demonstrating the competence and availability to carry out all of the required duties.

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;

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.

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.

5.2 Senior Engineer 5.2.1 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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5.3 Discipline Lead (DL) 5.3.1 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 The competency assessment process shall be appropriate to the scale and complexity of the activities the person is carrying out (e.g. staff undertaking small and straightforward works need only be assessed to the extent of their scope of work).

5.3.3 Application of the competency assessment process within each delivery group shall be documented in the applicable EMP.

5.3.4 For a given discipline, the DL shall provide acceptance review guidance for the Engineering Deliverables.

5.3.5 Within Discipline Management, the Discipline Lead shall: a) Implement the process to document the level and scope of individual

competency for members of their discipline. Where appropriate, mentoring and other support arrangements shall be recorded in this documentation.

b) Establish robust processes to identify and brief all changes to engineering standards and processes to all members of their discipline, and those members of other disciplines who maintain appropriate engineering competencies.

5.4 Discipline Resource Manager (DRM) 5.4.1 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.

5.5 Director Contracts and Procurement (DCaP) 5.5.1 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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should take account of current supplier capability and an ongoing assessment of performance. This process shall provide information to support the DPE in the decision to rate the risk level appropriate for the review of engineering deliverables produced by that supplier.

5.6 Departmental Engineering Manager (DEM) 5.6.1 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 The DEM shall, when requested, provide feedback on suppliers to the DCaPs team to support the assessment and rating process.

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 Project Manager (PM) 5.7.1 The PM is accountable for the implementation of this standard on their

project. 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 co-ordinator (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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method of implementing the IDC, between all appropriate Design Organisations, and include in all Contracts as appropriate;

c) verify that appointed design and / or construction organisations have been provided with the technical documentation that supports the Pre Construction Information Pack (CDM 2007) for the Contract, or that such documentation is otherwise available. This shall include but not be limited to:

1) records of assets required for the detailed design; 2) sufficient information as regards known hazards and hazards

likely to be encountered in connection with the Project; 3) details of the entities that may need to be consulted on, or be

required to accept, the proposed designs and subsequent construction;

4) details of residual risks (whether to the transportation system or to occupational safety) related to previous design stages and any proposed control measures.

5.7.5 The PM shall secure the provision of the Network Rail engineering resources required for the engineering management and the implementation of the Project.

5.7.6 The PM is accountable for implementing all appropriate change control processes to incorporate any applicable changes to standards into the project based on a recommendation from the DPE.

5.7.7 The PM shall, based on a recommendation by the DPE, produce a change request to obtain financial and programming authorisation from the Sponsor to implement changes to the project arising from new or revised mandatory standards applicable and issued during the project.

5.7.8 The PM shall consult the DPE in respect to the following matters: a) verifying 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;

b) confirming the appointment of the CEM and the CREs for each relevant engineering discipline;

c) reviewing the Sponsors Instruction from a technical perspective; d) determining the timing of and implementing the process by which the

project will be taken into operational use (e.g. Safety Verification in accordance with NR/L3/RSE/0001, or an authorisation under the Interoperability Regulations NR/ L3/RSE/0002;

e) monitoring the scope and risk profile of the project in accordance with Safety Verification processes, and in the event of any changes seeking guidance from the Network Rail Acceptance Panel (NRAP) to confirm whether the agreed process by which the project is taken into operational use is still appropriate;



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f) the progress of the engineering aspects of the agreed programme; g) engineering advice regarding all necessary consents from internal

and external parties. 5.7.9 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 Designated Project Engineer (DPE) 5.8.1 Appointment of DPEs 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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5.8.2 Standards and Changes to Standards 5.8.2.1 The DPE in conjunction with the PM shall establish and implement an

effective technical change control process through out the life of the project. 5.8.2.2 The DPE shall establish a process that identifies and briefs the PM, PEs

and other members of the project team on changes to engineering standards affecting the project.

5.8.2.3 The DPE shall establish the effect of changes to engineering standards on a project, and shall advise the PM of the effect of relevant changes in standards. In the event of any inability of the PM and the DPE to agree whether a changed standard should have an effect on a project, the matter shall be referred to the DEM for consideration. The DEM shall, if required, take advice from the relevant, Senior Engineer, Professional Heads or NSTs before making their determination.

5.8.2.4 Where a potential non-compliance with standards is identified, the DPE shall review the applicable information, and if considered justified make an application in accordance with NR/L2/EBM/STP001 Network Rail Standards Management Process Requirements for temporary non-compliance or derogation as applicable; advising the DEM and PM 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 written 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.

5.8.3 Appointment of Engineering Resources 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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CREs where they meet the requirements described in either Form NR/L2/INI/02009/F0040 or an equivalent as specified by the applicable EMP. NOTE: The DPE may consider withdrawing CEM and / or CRE acceptance if, based on their performance on the project, it becomes apparent that they are not competent to undertake their appointed role.

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.



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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.



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6 Requirements Other Roles 6.1 Appointment and Delegation of Roles 6.1.1 Those appointing persons to positions with responsibilities in accordance

with the roles in the standard shall satisfy themselves that appointees are competent and are available to carry out their duties and have both understood and accepted their responsibilities.

6.1.2 All appointments shall be recorded; particular attention shall be given to such appointments where a project includes multi-disciplinary activities.

6.1.3 A person may be appointed to one or more roles for a project, subject to them demonstrating the competence and availability to carry out all of the required duties.

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:



necessary for safety reasons; e) have recorded their acceptance of their delegation.

6.2 Contractors Engineering Manager (CEM) 6.2.1 CEM Appointment 6.2.1.1 There shall only be one CEM per Contract or package of work for Network

Rail delivered work elements at any one time and they shall have appropriate demonstrable competence.

6.2.1.2 The CEM shall normally have Chartered Engineer status with the Engineering Council and be registered with an appropriate professional institution. Other auditable qualifications appropriate to the work being undertaken may be acceptable subject to agreement with the DPE.

6.2.1.3 The CEM may also act as the CRE in a specific engineering discipline. 6.2.1.4 Where a Network Rail organisation undertakes design and / or construction

phase activities and a member of staff has been appointed to undertake the duties of a CEM; that member of staff shall:



necessary for safety reasons;



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e) have recorded their acceptance of the role using Form /L2/INI/02009/F0043 or an equivalent as specified by the applicable EMP.

6.2.1.5 The duties of the CEM may be allocated to the DPE when a single Network Rail Delivery Group undertakes all project management and design and / or construction phase activities for the same project. This shall be documented in the Delivery Group EMP.

6.2.2 Standards and Changes to Standards 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.

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. 6.2.3 CRE Appointment 6.2.3.1 The CEM is accountable for assessing the competence and the

appointment of all Contractor Responsible Engineers (CRE) required to work for or on behalf of the design and/or construction organisation. The CEM shall satisfy themselves that appointees are competent and able to undertake the workload required and have both understood and accepted their responsibilities.

6.2.3.2 The CEM shall clearly identify and document the interfaces between all discipline CREs.

6.2.3.3 It is acceptable to have multiple CREs within a single engineering discipline on a Contract, for example a CRE (Design) and CRE (Construction).

6.2.4 Accountabilities and Responsibilities 6.2.4.1 The CEM is accountable for all design and / or construction as applicable to

the specified works; specifically its ability to integrate with all other design,



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construction and existing infrastructure, and its compliance with all applicable standards, legislation, Contract requirements and specifications.

6.2.4.2 Where separate CRE (Design) and CRE (Construction) are appointed for the same discipline the CEM is accountable for defining and documenting the split of responsibilities between the two interfacing CREs. The CEM shall pay particular attention to the management of interfaces between design, installation and testing activities.

6.2.4.3 The CEM shall implement an IDC process or utilise an IDC process implemented by another organisation as agreed for the project for all design documentation which has an interface with other engineering disciplines. The CEMs accountability for their design remains unchanged where the IDC process is to be implemented by another organisation. NOTE: Sample forms relating to Interdisciplinary Check are provided in NR/L2/INI/02009/F0046 (IDC only) and NR/L2/INI/02009/F0047 (combined IDC and IDR).

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).



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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; c) state where they are not compliant defined as an Exception to the

technical specification issued for the works including any amendments. All Exceptions shall be supported by evidence of their Acceptance by Network Rail in accordance with appropriate standards and processes;

d) reference all documentation that supports a compliance declaration. For example a multi-disciplinary Certificate of Compliance for a GRIP 4 development contract would refer to the engineering deliverables for the Civils, Signalling, E&P, Track etc produced and approved under that Contract;

e) state the supplier details for the contracted organisation or for the Network Rail office producing the deliverables;

f) be submitted to Network Rail using Form NR/L2/INI/02009/F0048 for Acceptance by the DPE.

6.3 Contractors Responsible Engineer (CRE) 6.3.1 CRE Appointment 6.3.1.1 The CRE shall have appropriate demonstrable competence. 6.3.1.2 The CRE shall normally be a member of the relevant professional

institution. 6.3.1.3 There shall be at least one CRE per engineering discipline required to

undertake works on a Contract. 6.3.1.4 Where a Network Rail organisation undertakes design and / or construction

phase activities and a member of staff has been appointed to undertake the duties of a CRE; that member of staff shall:


b) be made aware of their responsibilities; c) have sufficient resources and time to undertake their duties;



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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 using Form /L2/INI/02009/F0043 or an equivalent as specified by the applicable EMP.

6.3.1.5 The duties of the CRE may be allocated to the appropriate PE when a single Network Rail Delivery Group undertakes all project management and design and / or construction phase activities for the same project. This shall be documented in the Delivery Group EMP.

6.3.2 Staff Appointment 6.3.2.1 The CRE shall implement a process that confirms the competence and

availability of resources to be employed on the project, by that organisation, in order to carry out all required engineering and technical responsibilities safely and in the agreed timescales e.g. designers, checkers, site managers, site engineers, construction / installation staff, construction managers etc.

6.3.2.2 Where Network Rail standards specify the nomination and appointment of Checkers the CRE shall propose a suitable competent person for acceptance by the relevant Project Engineer.

6.3.3 Accountabilities and Responsibilities 6.3.3.1 The CRE is responsible for confirming that that the discipline design and /

or construction complies with all applicable standards, legislation, Contract requirements and specifications.

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.

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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correctly with the design produced by other interfacing engineering disciplines.

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 It is a requirement of the CDM Regulations that all organisations working on

a project co-operate and co-ordinate their activities. It is therefore essential that the engineering activities are integrated together; this requirement spans all stages of a project from development through design and construction, and concludes with commissioning.

7.1.2 There is no absolute requirement to integrate engineering management in the same manner during the different stages of a project. The methodology employed to integrate the engineering activities shall be clearly documented in the Project Management Plan (or equivalent document) and be understood by all organisations undertaking works on a project.

7.1.3 The engineering management arrangements shall be based on the guidance and options provided in Appendix A.



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8 Network Rail Acceptance 8.1 Elements of Acceptance 8.1.1 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;

c) having been reviewed for constructability and maintainability. 8.1.2 Acceptance may consist of up to three elements:

a) Acceptance Review; b) Interdisciplinary Review (IDR); c) Technical Approval.

NOTE: Sample forms relating to Acceptance Review and Interdisciplinary Review are provided in NR/L2/INI/02009/F0044 (DRN), NR/L2/INI/02009/F0045 (IDR only) and NR/L2/INI/02009/F0047 (combined IDC and IDR).

8.1.3 The Document Review Notice confirming Acceptance of design in accordance with 5.8.6.7 shall not be issued until all of the applicable elements, a) to c) above, have been achieved.

8.2 Acceptance Review 8.2.1 An Acceptance Review is required for all Engineering Deliverables

produced by contractors contracted to Network Rail or contractors contracted to another party under an agreement with Network Rail.

8.2.2 An Acceptance Review is required for all Engineering Deliverables produced by Network Rail design resources or design resources managed by a Network Rail CEM unless specified otherwise in the EMP of the Delivery Group accountable for delivery of the project. Where an EMP specifies that an Acceptance Review is not required the requirements of the discipline Engineering Assurance standards shall be met. Additionally the DPE and the Network Rail member of staff undertaking the duties of the CEM shall liaise throughout the production of the design to confirm that it meets the requirements of the Project Requirements Specification issued for the works.

8.2.3 The Acceptance Review is facilitated by the DPE and undertaken by the appropriate engineering discipline PE.

8.2.4 The Acceptance Review shall be recorded using Form NR/L2/INI/02009/F0044 or a suitable equivalent as specified by the applicable EMP.

8.2.5 Where appropriate a single Acceptance Review may encompass a number of related Engineering Deliverables, and the sample review may consider



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only a percentage of those Engineering Deliverables in accordance with the overall risk categorisation and the review guidance provided by the Discipline Lead.

8.2.6 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 The review categorisation shall be recorded on the Document Review Notice.

8.2.9 The DPE shall retain the results of all Acceptance Reviews on the project file.

8.2.10 The results of the Acceptance Review shall be communicated by the DPE to the appropriate CEM.



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8.3 Interdisciplinary Review (IDR) 8.3.1 An IDR is required for all design produced by contractors contracted to

Network Rail or contractors contracted to another party under an agreement with Network Rail. It is permissible for the IDR to be undertaken as a joint IDC / IDR exercise in conjunction with the contractors IDC subject to all appropriate contractor and Network Rail staff being in attendance.

8.3.2 A separate IDR is not required where Network Rail design resources or design resources managed by a Network Rail CEM are utilised to produce a design. This is only permitted when the DPE and appropriate engineering discipline PEs have been involved in the IDC process undertaken as part of the overall design process i.e. a combined IDC / IDR has been held.

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 The results of the IDR shall be communicated by the DPE to the

appropriate CEM. 8.4 Technical Approval 8.4.1 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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8.5 Approved for Construction Design 8.5.1 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 Approved for Construction design shall be signed by the Designer, Checker and Approver. The CRE may act as approver for the relevant engineering discipline.

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.

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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Appendix A Guidance on Project Engineering Interface Management A.1 Design Integration and Designer Co-operation A.1.1 Introduction A.1.1.1 NR/L2/INI/02009 requires that design produced by any designer integrates

correctly with that of all other designers and the design of all existing infrastructure. NR/L2/INI/02009 requires that all Design Organisations co-ordinate their design and co-operate with each other in order to achieve this and to eliminate incompatibilities.

A.1.1.2 A key part of the integration process is the Interdisciplinary Check (IDC). NR/L2/INI/02009 requires that the method of design integration including the method of implementing the IDC is agreed and documented between all appropriate Design Organisations and included in all Contracts as appropriate.

A.1.1.3 The CDM Regulations recognise that a Client may appoint several designers; this appendix details the principal options available to projects in order to achieve an integrated design; however further options may be considered subject to all parties coming to a complete understanding of the methodology to be employed. The three principal options are:

a) Design Integration Option 1 Single Organisations CEM manages and integrates design;

b) Design Integration Option 2 DPE integrates design; c) Design Integration Option 3 A Lead Design Organisation is

appointed to integrate design. A.1.1.4 In Figures A.1, A.2 and A.3 the term Network Rail Contract Relationship

includes arrangements between Network Rail organisations where no formal Contract exists.

A.1.2 Design Integration Option 1 Single Organisations CEM Manages and Integrates Design A.1.2.1 Design Option 1 is where a single organisation is allocated responsibility by

Network Rail for management of all design associated with a project therefore that organisation is accountable for co-ordinating the output from and managing co-operation between all Design Organisations producing design for the project.

A.1.2.2 The CEM for the single organisation is accountable for the implementation of the process that integrates all the design for a project. This includes the management of the IDC process. The DPE supports the process as

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