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Network Rail Standards

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NR/L2/INI/02009 Issue 5

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NR/L2/INI/02009/F0042
NR/L2/INI/02009/F0043
NR/L2/INI/02009/F0044
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4 June 2011
3 September 2011

Issue record
Issue

Date

Comments

March 1996

First Issue

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.

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.

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.

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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3 September 2011

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
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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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Ref:
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NR/L2/INI/02009
5
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3 September 2011

Contents
1 Purpose

2 Scope

3 Roles and responsibilities

Figure 1 Engineering Team Relationships

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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3 September 2011

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.
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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Contractors Engineering Manager (CEM)

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3 September 2011

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.

Ref:
Issue:
Date:
Compliance date:

Design

NR/L2/INI/02009
5
4 June 2011
3 September 2011

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

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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Construction

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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.

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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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Phrase or Title

Definition

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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Phrase or Title

Definition

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.

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

As defined in NR/L3/RSE/0002.

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Project EMPs shall be approved by the Departmental


Engineering Manager and the Project Manager and form
part of the Project Management Plan.

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Phrase or Title

Definition

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 As defined in NR/L2/RSE/015.


Panel (NRAP)
Project
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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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Phrase or Title

Definition

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;
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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b) be made aware of their responsibilities;

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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:

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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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.

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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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3 September 2011

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 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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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;

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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4) details of residual risks (whether to the transportation system or


to occupational safety) related to previous design stages and
any proposed control measures.

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NR/L2/INI/02009
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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
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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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3 September 2011

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 noncompliance 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

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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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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:
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.

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:
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;
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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

6.2.2.2 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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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.

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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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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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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:
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;

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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.

6.3.3.3 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.

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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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correctly with the design produced by other interfacing engineering


disciplines.

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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;

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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c) having been reviewed for constructability and maintainability.

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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)

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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.

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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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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 coordinate 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
appropriate and verifies that co-ordination and integration takes place.
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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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Figure A.1 Design Integration Option 1 Single Organisations CEM


Manages and Integrates Design
A.1.3 Design Integration Option 2 DPE Integrates Design
A.1.3.1 Design Option 2 is where Network Rail allocate direct responsibility to a
number of Design Organisations for the Design associated with a project.
The PM is accountable for co-ordinating the output from and managing cooperation between all Design Organisations producing design for the
project.
A.1.3.2 The DPE for the project is accountable for the implementation of the
process that integrates all the design for a project; this includes the
facilitation of the IDC (or a joint IDC / IDR) process. All Design
Organisations attend the IDC (or joint IDC / IDR) arranged as applicable to
the design under consideration.
A.1.3.3 Each CEM retains full accountability for the design including its capability to
interface correctly with other designs and its submission to Network Rail for
Acceptance in accordance with Section 8.

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Single Delivery Group Model

Pan Delivery Group Model

Figure A.2 Design Integration Option 2 DPE Integrates Design

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A.1.4 Design Integration Option 3 A Lead Design Organisation is appointed


to Integrate Design
A.1.4.1 Design Option 3 is where Network Rail allocate responsibility to a number
of Design Organisations for the Design associated with a project. One
Design Organisation is appointed as a Lead Design Organisation and the
CEM in that Design Organisation is therefore accountable for co-ordinating
the output from and managing co-operation between all Design
Organisations producing design for the project.
A.1.4.2 If this option is implemented then the appointment as a Lead Design
Organisation is recorded and included in the specification issued for the
works and therefore included in any Contract.
A.1.4.3 The CEM for the Lead Design 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 appropriate and undertakes IDR to review that co-ordination and
integration takes place.
A.1.4.4 The CEM and 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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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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Single Delivery Group Model

Pan Delivery Group Model

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Figure A.3 Design Integration Option 3 A Lead Design Organisation is


appointed to Integrate Design

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Ref:
Issue:
Date:
Compliance date:

NR/L2/INI/02009
5
4 June 2011
3 September 2011

A.2 Integration of Construction Works


A.2.1 Introduction
NOTE 1: The CDM Regulations require a Client to make sure that arrangements are in place for all
parties involved in the construction works to co-operate and co-ordinate in order to complete the
works safely and without risk to health.
NOTE 2: The CDM Regulations also require a Client to appoint a single Principal Contractor (PC) for
each notifiable project. This will usually be an external contractor but Network Rail may also
undertake the role of PC when specifically authorised to do so.

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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Ref:
Issue:
Date:
Compliance date:

NR/L2/INI/02009
5
4 June 2011
3 September 2011

Single Delivery Group Model Single Contractor

Single Delivery Group Multiple Contractors

Pan Delivery Group Model

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Figure A.4 Construction Integration Option 1 External Contractor is


appointed as PC
Page 42 of 44

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Ref:
Issue:
Date:
Compliance date:

NR/L2/INI/02009
5
4 June 2011
3 September 2011

A.2.3 Construction Integration Option 2 Network Rail is appointed as PC


A.2.3.1 As the principal engineering representative of the Network Rail project
team; the DPE leads on all engineering issues associated with Network
Rails execution of that role on the project. Particular attention needs to be
paid to the engineering co-ordination of the works of all construction
organisations during the construction phase.
A.2.3.2 All CEMs and CREs co-operate and support the DPE in undertaking these
duties.

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Ref:
Issue:
Date:
Compliance date:

NR/L2/INI/02009
5
4 June 2011
3 September 2011

Single Delivery Group Model

Pan Delivery Group Model


DPE leads on technical issues on
behalf of the PC Network Rail

Organisation 1 CEM leads on construction


technical issues on behalf of Organisation 1 and
liaises with DPE as required to enable PC to
meet role requirements

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

Network Rail Contract


Relationship

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

Organisation 3 CEM leads on


construction technical issues on
behalf of Organisation 3 and liaises
with DPE as required to enable PC to
meet role requirements

Figure A.5 Construction Integration Option 2 Network Rail is appointed as


PC

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07/04/2011
Version 1

Standards Briefing Note


Ref:

NR/L2/INI/02009
Title: Engineering Management for Projects

Issue: 5

Publication Date: 04/06/2011


Standard Owner: Head of Programme Systems Engineering
Non-Compliance rep (NRNC): Head of Programme Systems Engineering
Further information contact: David Shipman

Compliance Date: 03/09/2011

Tel: 07825 258429

Scope:

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.

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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Purpose:

Whats New/ Whats Changed and Why:


This is a revised standard which:

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.

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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

S&E, B&C, Enhancements,


Thameslink, Crossrail, FTN

Investment Projects

SP&C, B&C, Track

Asset Management

S&E, B&C, Enhancements,


Thameslink, Crossrail, FTN

Investment Projects

SP&C, B&C, Track

Asset Management

S&E, B&C, Programme


Management
Track
Programme Systems
Engineering
S&E, B&C
Track
Programme Systems
Engineering
Strategic Sourcing
Track

Investment Projects

Post

(A-Awareness/
T-Technical)

T
T
T
T
T
T

Project / Programme Engineering Manager


Principal Programme Engineer
Senior Project / Programme Engineer
Project / Programme Engineer
Assistant Project / Programme Engineer
Programme Manager
Senior Project Manager
Project Manager
Scheme Project Manager
Engineering / Discipline Resource Manager
Programme Engineering Manager
(Resources)
Senior Programme Engineering Manager
Head of Track Design
Head of Programme Systems Engineering
Director, Contracts and Procurement
Assistant Design Engineer
Design Engineer
Engineering Interface Manager
Formation Design & Specification Engineer
Quality Manager
Renewal & Enhancement Engineer [Track]
Senior Design Engineer
Track Bed Engineer
Track Design Engineer [Alignment]
Track Design Manager
Track Survey & Specification Engineer
Principal Engineer System Design
Senior Track Design Engineer
Track Design Engineer
Principal Schemes Design Specialist
Engineer
Signaling Engineering Design Manager
Signalling Principles Designer
Senior Signalling Design Engineer
Asset Design Engineer
Signalling Design Engineer
Senior Designer
Design Engineer
Level Crossing Design Manager
Senior Level Crossing Design Engineer
Level Crossing Design Engineer
Principal Design Engineer
Senior Design Engineer
Design Engineer
Lead Transmission Design Engineer
Senior Design Engineer

Asset Management
Investment Projects
Investment Projects
Asset Management
Investment Projects
Finance
Asset Management

Track Discipline posts within


Crossrail

Investment Projects

S&E Signalling Design


Group

Investment Projects

S&E E&P Design Group

Investment Projects

S&E Telecoms Design

Investment Projects

--`,`,````,`,,,``,,`,`,,``,`,,,-`-`,,`,,`,`,,`---

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No reproduction or networking permitted without license from IHS

Licensee=AECOM User Geography and Business Line/5906698001, User=Vardaro, Enrica


Not for Resale, 10/29/2014 04:13:11 MDT

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

B&C Design Group

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

Director SP&C / Track


Route Asset Manager
Contractors and Suppliers

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)

Route Infrastructure Maintenance Director

Infrastructure Maintenance Delivery Manager

Infrastructure Maintenance Engineer

Infrastructure Maintenance Programme


Manager

Infrastructure Maintenance Project Manager

Track / S&T / E&P Maintenance Engineer

Works Delivery Manager

T
T
T*

Route Asset Manager


Maintenance Support Engineer
Contractors Responsible Engineer
Contractors Engineering Manager

A
A

All Posts
All Posts

Works Delivery
HSE / HSEA

All Posts

Contracts & Procurement

Professional Head [Electrical Power]


Professional Head [S&T]
Professional Head [Track]
Professional Head [Plant & T&RS]
Professional Head [Buildings & Civils]
Head of Engineering [Buildings & Civils]
Head of Engineering [Track & Plant]
Head of Engineering [SPC]

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

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