2009 Rev8

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NR/L2/RSE/02009 Issue 8
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OFFICIAL
Ref: NR/L2/RSE/02009
Issue: 8
Date: 4 March 2023
Compliance date: 3 June 2023
Level 2
Business Process
Engineering Management for Projects
Approvals
Content approved by:
......................................................................................................
Daniel Recchia,
Standards Change Lead
Content approved by:
Brian Tomlinson,
Standard and Control Document Owner
Approved for publication by:
......................................................................................................
Kerry Marchant
Standards and Controls Management Team
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This document is the property of Network Rail. It shall not be reproduced in whole or part nor disclosed to a third
party without the written permission of Network Rail.
© Copyright 2023 Network Rail.
Uncontrolled copy once printed from its electronic source.

Published and Issued by Network Rail, 2nd Floor, One Eversholt Street, London, NW1 2DN.

OFFICIAL
Issue: 8
Date: 4 March 2023
User information
This Network Rail document contains colour-coding according to the following
Red–Amber–Green classification.
Red requirements – no variations permitted

• Red requirements are to be complied with and achieved at all times.
• Red requirements are presented in a red box.
• Red requirements are monitored for compliance.
• Non-compliances will be investigated and corrective actions enforced.
Amber requirements – variations permitted subject to approved risk analysis

and mitigation
• Amber requirements are to be complied with unless an approved variation is in
place.
• Amber requirements are presented with an amber sidebar.
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• Amber requirements are monitored for compliance.

• Variations can only be approved through the national variations process.
• Non-approved variations will be investigated and corrective actions enforced.
Green guidance – to be used unless alternative solutions are followed
• Guidance should be followed unless an alternative solution produces a better
result.
• Guidance is presented with a dotted green sidebar.
• Guidance is not monitored for compliance.
• Alternative solutions should be documented to demonstrate effective control.
Page 2 of 49

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Issue: 8
Date: 4 March 2023
Compliance
This Network Rail standard/control document is mandatory and shall be complied
with by Network Rail Infrastructure Limited and its contractors if applicable from 3
June 2023.
Where it is considered not reasonably practicable1 to comply with the requirements in
this standard/control document, permission to comply with a specified alternative
should be sought in accordance with the Network Rail standards and controls
process, or with the Railway Group Standards Code if applicable.
If this standard/control document contains requirements that are designed to
demonstrate compliance with legislation they shall be complied with irrespective of a
project’s Governance for Railway Investment Projects (GRIP) stage or Project
Acceleration in a Controlled Environment (PACE) phase. In all other circumstances,
projects that have formally completed GRIP Stage 3 (Option Selection) or PACE
strategic development & project selection phase may continue to comply with any
relevant Network Rail standards/control documents that were current when GRIP
Stage 3 or PACE phase 1 was completed.
NOTE 1: Legislation includes National Technical Specification Notices (NTSNs)
NOTE 2: The relationship of this standard/control document with legislation and/or
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external standards is described in the purpose of this standard.
Disclaimer
In issuing this standard/control document for its stated purpose, Network Rail
Infrastructure Limited makes no warranties, expressed or implied, that compliance
with all or any standards/control documents it issues is sufficient on its own to
provide safety or compliance with legislation. Users are reminded of their own duties
under legislation.
Compliance with a Network Rail standard/control document does not, of itself, confer
immunity from legal obligations.
Where Network Rail Infrastructure Limited has granted permission to copy extracts
from Network Rail standards or control documents, Network Rail Infrastructure
Limited accepts no responsibility for, nor any liability in connection with, the use of
such extracts, or any claims arising there from.
This disclaimer applies to all forms of media in which extracts from Network Rail
standards and control documents might be reproduced.
Supply
Copies of standards/control documents are available electronically, within Network
Rail’s organisation. Hard copies of this document might be available to Network Rail
people on request to the relevant controlled publication distributor. Other
organisations can obtain copies of this standard/control document from an approved
distributor.
1
This can include gross proportionate project costs with the agreement of the Network Rail Assurance
Panel (NRAP).
Page 3 of 49
OFFICIAL
Issue: 8
Date: 4 March 2023
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 Sponsor’s 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’, ‘Contractor’s Engineering
Manager’ and ‘Contractor’s 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 work stream, 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
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Forms; details of individual forms are located with the

“Reference documentation” section.
Page 4 of 49
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Issue: 8
Date: 4 March 2023
6 September 2015 Supersedes NR/L2/INI/02009, Issue 5

This revision strengthens the statements of responsibility
for safety in design, for management of interfaces and
interoperability between project outputs and the railway
system. It incorporates specific updates to design
responsibilities under CSM-RA, and Designer
competence under CDM. In addition, the methods of
defining, assessing and storing records of competence,
including generic engineering management competence,
are revised. Various minor modifications are made to
demonstrate compliance with GRIP and January 2014
revision to Clienting Guidelines. Explicit consideration to
the allocation of roles for Projects discharged under
Alliance arrangements.
Standard split into modular format; each module has
been allocated Issue number 01.
7 March 2021 Supersedes NR/L2/INI/02009 issue 6.
This revision incorporates a complete review and
restructuring of the standard. The restructuring elements
include the disposition of requirements from previous
modules into logical areas within the main standard. A
clear separation is made between competency
assessment and role suitability for appointment to
project specific role. The management of engineering
deliverables is included as part of the modular format.
Included is the identification of Lead Discipline
Engineers and Design Engineers. All project engineering
roles have revised competency assessment
requirements. Direction is clear for all elements of
Network Rail acceptance and the processes required to
achieve this.
This revision fundamentally addresses the requirement
for it to contain the level 2 ‘what’ engineering
requirements within the standard; whilst allowing the
‘how’ methodology, with respect to those requirements,
to be decided at delivery group level.
8 March 2023 Supersedes NR/L2/RSE/02009 issue 7.
This revision is a result of a post implementation review
of issue 7 and incorporates comments and feedback
received. The key changes are the removal of the DE01
competency and references to this, allowing the
expansion of Contractor’s Engineering Manager /
Contractor’s Responsible Engineer roles within alliances,
allowing the Departmental Engineering Manager to also
be appointed to the Designated Project Engineer role,
additional clarification on the use of technical queries
when the Approved for Construction design is affected,
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Issue: 8
Date: 4 March 2023
update references from GRIP to PACE and update of

iELC to Engineering Milestone Reviews.
Reference documentation
NR/L2/RSE/100/01 Network Rail Assurance Panel
NR/L2/RSE/100/02 Application of the Common Safety Method for Risk
Evaluation and Assessment
NR/L2/RSE/100/03 The application of the interoperability regulations for
infrastructure projects
NR/L2/INI/CP0075 Entry into Operational Service
NR/L2/P3M/201 Project Acceleration in a Controlled Environment
(PACE)
NR/L2/P3M/102 Investment Decision Framework and Programme
Delivery Lifecycle
NR/L2/INI/P3M/104 Network Rail requirements
NR/L3/INI/P3M/123 Governance for Railway Investment Projects
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(GRIP) - Controlling a Project Stage

NR/L1/INI/P3M/100 Project, programme and portfolio management
(P3M) framework policy
NR/GN/INI/P3M/150 Sponsor’s Handbook
NR/L2/CSG/STP001/04 Managing Variations to Network Rail Standards and
Control Documents and Railway Group Standards
NR/L2/OHS/0047 Application of the Construction (Design and
Management) Regulations to Network Rail
Construction Projects
NR/L1/CIV/094 National Asset Protection and Optimisation Delivery
Framework
NR/L3/MTC/RCS0216 Risk Control Manual
NR/L2/SIG/30035 Signalling and Level Crossing Scheme Technical
Approval Process
NR/L2/CIV/003 Engineering and Architectural Assurance of
Building and Civil Engineering Works
NR/L2/TRK/2500 Engineering Assurance Arrangements for Track
Engineering Projects
NR/L2/ELP/27311 Engineering Assurance Requirements for Design
and Implementation of Electrical Power
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Date: 4 March 2023
NR/L2/TEL/30022 Engineering Assurance Arrangements for

Communications Engineering Schemes and
services
NR/SP/ERG/24020 Engineering assurance requirements for
Ergonomics within design and development
projects
NR/L2/RSE/02009/01 Appointment to Project Specific Roles
NR/L2/RSE/02009/02 The Management and Review of Engineering
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Deliverables
NR/L2/RSE/02009/BRIEFING Engineering Management for Projects Briefing
NR/L2/MTC/089 Guidance for the exchange of asset data and the
continuing maintenance of assets undergoing
change
Legislation
This standard/control document has been reviewed to confirm it complies with the
following legislation:
a) Health and Safety at Work etc. Act 1974

b) Management of Health and Safety at Work Regulations 1999
c) Railways and Other Guided Transport Systems (Safety) Regulations 2006
d) Workplace Health and Safety Welfare Regulations 1992
e) Construction (Design and Management) Regulations 2015
f) Common Safety Method for Risk Evaluation and Assessment Regulation (EU)
and The Railways (Interoperability) Regulations 2011
HSE Publications
For guidance purposes only (other legislation may be relevant from time to time).
HSG85 Electricity at work: Safe working practises

HSG150 Health and safety in construction
L153 Managing Health and safety in construction
Compliance with this standard/control document does not, on its own, provide
compliance with the legislation listed.
Page 7 of 49
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Contents
1 Purpose ......................................................................................................................... 9
2 Scope............................................................................................................................. 9
3 Roles and responsibilities........................................................................................... 11
4 Definitions.................................................................................................................... 11
5 Relationship with Other Key Standards and Legislation........................................... 16
6 Links between programme management / engineering ........................................... 18
7 Technical integration................................................................................................... 19
8 Identification of engineering resources for projects .................................................. 19
9 Arrangements for Alliances ........................................................................................ 20
10 Appointment of project engineering roles ................................................................ 21
11 Engineering and Construction Management Plans ................................................ 29
12 Managing non-compliances to engineering and technical standards .................... 30
13 Technical Query and Request for Information ........................................................ 30
14 Impact of new and updated standards .................................................................... 31
15 Network Rail Acceptance ......................................................................................... 32
16 Production of Engineering Compliance Certificates (ECC) .................................... 41
17 Briefing of Standards ................................................................................................ 42
Appendix A –Technical Integration arrangement models ............................................ 43
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1 Purpose
This standard aligns engineering management practices with elements of legislative
instruments, including the Construction (Design and Management) Regulations 2015,
Common Safety Method for Risk Evaluation and Assessment Regulation (EU) and
The Railways (Interoperability) Regulations 2011, where work is undertaken on the
Network Rail Infrastructure.
The benefit of the standard is that it provides clear and consistent engineering
management requirements for specific:
• accountabilities and responsibilities;
• competence requirements; and
• processes.
It provides a framework of processes and requirements that are appropriate for the
scope and complexity of the project, programme or portfolio being managed.
Adherence to this standard will help increase the successful delivery of Network
Rail’s Project Portfolio and reduce associated reputational, financial and safety risks.
2 Scope
2.1 Applicability
This standard applies to the following key areas:
a) key engineering roles including accountabilities and responsibilities;
b) relationship and links to key standards and legislation;
c) engineering interface management arrangements;
d) appointment processes for key engineering roles;
e) engineering and construction management plans;
f) managing non-compliances to standards;
g) technical approval and technical acceptance processes;
h) production of engineering compliance certificates;
i) competence assessment requirements; and
j) management and review of engineering deliverables.
It applies to all organisations working on projects; including Network Rail Alliances,

Joint Ventures and Capital Delivery and maintenance teams responsible for the
design, delivery and assurance of the engineering requirements of Projects,
Programmes and Portfolios impacting Network Rail infrastructure, that:
• change, renew, enhance or remove the operational railway;
• are defined in NR/L1/CIV/094 as Third Party works, unless an agreed and
documented arrangement is in place with Network Rail;
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• are defined in NR/L1/CIV/094 as Outside Party works that require incidental

changes to the Network Rail Infrastructure, unless an agreed and documented
arrangement is in place with Network Rail.
NOTE: More information on Project, Programme and Portfolio Management can be found in
NR/L1/INI/P3M/100 and relevant level 2 supporting standards NR/L2/INI/P3M/101 and
NR/L2/INI/P3M/102.
2.2 Exclusions
The requirements contained in this standard do not apply:
a) where the work is managed and undertaken by a Network Rail Region/Route
and the complexity and scale of the work are covered entirely under the
controls in NR/L3/MTC/RCS0216 – Risk Control Manual;
b) to Outside Party work where there is no potential to impact Network Rail
infrastructure or operations; or
c) early stage development of a Programme, specified in NR/L2/INI/P3M/102 as
stage A, Concept Development.
2.3 Associated Modules

Issue Publication
Reference Title
No. Date
NR/L2/RSE/02009/01 Assessment for Project Engineering 03 04/03/2023
Roles
NR/L2/RSE/02009/02 The Management and Review of 02 06/03/2021
Engineering Deliverables
2.4 Associated Forms

Reference Title
NR/L2/RSE/02009/F0037 Appointment of Departmental Engineering Manager (DEM)
NR/L2/RSE/02009/F0038 Appointment of Designated Project Engineer (DPE)
NR/L2/RSE/02009/F0039 Appointment of Contractor’s Engineering Manager (CEM)
NR/L2/RSE/02009/F0040 Appointment of Contractor’s Responsible Engineer (CRE)
NR/L2/RSE/02009/F0041 Identification of Network Rail Project Team Engineering
Requirements
NR/L2/RSE/02009/F0042 Register of Network Rail Project Engineering Team
NR/L2/RSE/02009/F0042A Appointment of Project Engineer (PE)
NR/L2/RSE/02009/F0044 Document Review Notice
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NR/L2/RSE/02009/F0045 Certificate of Interdisciplinary Review

NR/L2/RSE/02009/F0045A Interdisciplinary Review Guidance - Things to Consider
NR/L2/RSE/02009/F0045B IDR Issues & Action Tracker
NR/L2/RSE/02009/F0046 Certificate of Interdisciplinary Check
NR/L2/RSE/02009/F0047 Combined Interdisciplinary Check/Interdisciplinary Review
Certificate
NR/L2/RSE/02009/F0048 Engineering Compliance Certificate (ECC)
NR/L2/RSE/02009/F0049 Technical Query Form
NR/L2/RSE/02009/F0050 Appointment of Lead Discipline Engineer (LDE)
NR/L2/RSE/02009/F0051 Delegation of 02009 Role Responsibilities
NR/L2/RSE/02009/F0052 Request for Information Form
NR/L2/RSE/02009/F0053 Appointment Register for Design Engineers and Competent
Technical Staff
NR/L2/RSE/02009/F0054 Appointment of PE (Expansion of CEM/CRE role)
3 Roles and responsibilities

See sections 10 and 15 for RACIs for the clarity of specific requirements.
4 Definitions
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For the purpose of this standard, the following terms and definitions apply.
Term Definition
Appointed Assessor Someone who has been appointed to undertake the
assessment of an individual’s competence against a defined
approved framework.
Approved for Construction An engineering deliverable that has been:
(AFC) Design • prepared, checked and approved by competent persons
in accordance with the contract (or equivalent),
requirements and all standards;
• successfully completed the Interdisciplinary
Coordination;
• where applicable, successfully completed Network Rail
Technical Approval;
• successfully completed the Network Rail Technical
Acceptance process; and is endorsed as ‘Approved for
Construction’ by the CEM.
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Term Definition
Approved Framework A competence framework that forms part of an organisation’s
competence management system, as a means of
demonstrating an individual’s competence in a specific area.
Approved Process A process that is recorded as part of an organisation’s
management system and/or documentation. The process
should be formally endorsed and auditable.
Check The independent act of examining in detail the work done to
determine that all statutory, mandatory and client functional
process and technical requirements have been applied to a
deliverable to the expected level of quality.
Competence Review A review of required competency for a project specific role that
includes:
• project engineering role specific competence
assessment; and
• discipline technical competence assessment (where the
project engineering role requires it).
Construction As interpreted as ‘Construction Work’ in The Construction
(Design and Management) Regulations 2015.
Contractor/Supplier A person or organisation providing deliverables, products or

services for any part of the project works.
Contract Requirements – A form of agreement and specification for Works, appended to
Technical (CR-T) a Contract, which creates and defines obligations between a
project and a design and / or construction organisation, in the
form of technical requirements.
NOTE: In this standard this may be applied to any scope or agreement for
the provision of requirements, deliverables, products or services to the
project.
Contractor’s The appointed person within each design and/or construction
Engineering Manager organisation contracted to Network Rail, (or to a party other
(CEM) than Network Rail where agreed with Network Rail) with overall
accountability for all that organisation’s engineering activities
applicable to that specific CR-T; including those undertaken by
subcontracted organisations.
Contractor’s The appointed person within a design and/or construction
Responsible Engineer organisation contracted to Network Rail, (or to a party other
(CRE) 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 CR-T.
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Delivery Group A body within a Network Rail function (e.g. Regions, Routes,
Capital Delivery, Works Delivery) accountable for the delivery of
single or multiple projects (programmes of work).
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Term Definition
Departmental Engineering A professional engineer appointed, at Delivery Group level, to
Manager act as the proxy for the Senior Engineer on a Project or
Programme of Projects and who is responsible for appointing
the Designated Project Engineer.
Design An approved plan or convention for the construction/
manufacture/assembly of an object or system/parts of a system.
This includes all plans, elevations, schematics, calculations,
software, quality, safety, materials and other key elements
which verify that requirements have been met.
Design Engineer An appointed person responsible for creating, preparing,
modifying or contributing to designs or arranging for, or
instructing others to do such 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:
• Design Consultants – Single or Multi-Discipline
• Network Rail Design Organisations
• Network Rail internal delivery teams
Design Risk Assessment Risk assessment carried out by the Designer on all construction
aspects, phasing and the proposed use of the finished works by
all proposed construction operatives, installers and end user
groups. This includes stakeholders, operators, maintainers,
passengers, third parties etc. The focus is to identify, develop
and document engineered controls; to control risks to an ‘as low
as reasonably practicable’ (ALARP) level. (For ALARP See the
“Risk management: Expert guidance” section of HSE website
(https://www.hse.gov.uk/managing/theory/index.htm))
Designated Project A professional engineer, appointed to a Portfolio, Programme or
Engineer Project, accountable for the technical assurance of all
engineering, design and construction activities.
Designer(s) An organisation, or individual, who prepares or modifies a
design for a project (including the design of temporary works);
or arranges for, or instructs someone else to do so.
Engineering Deliverable An Engineering deliverable is the evidence submitted to
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Network Rail to support the acceptance reviews undertaken by

the DPE at key stages of the project as defined in the CR-T.
NOTE: Deliverables may include designs, specifications, reports,
certificates, data and other information that fulfil the outcomes of the Project
Requirements.
Engineering Milestone Engineering Milestone Reviews tie together the projects
Review (EMR) engineering activities, and acts as the integration, assurance
and control layer between the project management
methodology in use and the individual engineering discipline
activities as shown in NR/L2/P3M/201.
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Term Definition
Entry into Operational As defined in NR/L2/INI/CP0075
Service (EIS)
Hazard Record/Log A management tool, which may be a spreadsheet, database,
document or specific software, used for identifying, analysing
and managing safety risks on a project.
It may contain 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
before the first design decision is made. It is maintained through
the life cycle of a project. On completion of the project it forms
part of the Health and Safety File.
Interdisciplinary Check An assessment to confirm that the information included in the
(IDC) engineering deliverable is compatible and conforms to the
requirements of all other engineering deliverables with which it
is expected to interface. The check confirms that all permanent
works, temporary works and all existing systems are fully co-
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ordinated and integrated
Interdisciplinary Review A review to confirm that the information included in the

(IDR) engineering deliverable appears to be compatible and conform
to the requirements of all other engineering deliverables with
which it is expected to interface. The review should confirm that
all permanent works, temporary works and existing systems
have been co-ordinated and integrated.
Lead Design Organisation The organisation with the accountability and responsibility for
(LDO) integrating the design, sub-systems and existing infrastructure
at project and/or at program level.
Lead Discipline Engineer A person appointed through the Discipline Management
(LDE) process to lead on the people, process and performance
aspects of the discipline, within a specific Delivery Group.
National Specialist Team A national team established to provide specialist guidance and
(NST) advice on engineering deliverables in a specific area (e.g.
electromagnetic compatibility, ergonomics, acceptance services
etc).
Network Rail Assurance As identified in NR/L2/RSE/100/01
Panel (NRAP)
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Term Definition
Outside Party An individual, member of the public or organisation other
than Network Rail which promotes, funds, designs,
constructs, owns and maintains the works but will not
physically change the operation of railway infrastructure
and will interface with the railway infrastructure (e.g. an
over-line structure that may also require incidental
changes to NR infrastructure such as bonding, changes to
lineside fencing, overhead line equipment modifications,
changes to signalling etc.).
Outside Parties may include Local Authorities, Statutory
Undertakers, builders and private owners.
Project Acceleration in a PACE describes how Network Rail manages and controls
Controlled Environment projects on the national rail network.
(PACE) It forms part of the project, programme and portfolio (P3M)
framework as described in NR/L2/P3M/201.
Portfolio A collection of projects and programmes of infrastructure work
on the network.
Programme A temporary structure which has been created to coordinate,
direct and oversee the implementation of a set of
interdependent projects and activities in order to enable
outcomes and benefits related to the organisation’s strategic
commitments.
Project A unique set of coordinated activities with definite starting and
finishing points, undertaken to meet specific objectives within
defined time, cost and performance parameters.
Project Manager (PM) The appointed person who is accountable for
the overall project management and co-ordination of all
project activities on behalf of Network Rail for a specific
project.
Railway (Interoperability) The commissioning regulations on the authorisation for the
Regulations (RIR) placing in service of structural subsystems and vehicles. (As
identified in NR/L2/RSE/100/03).
Risk Effect of uncertainty on objectives or an uncertain event

which, should it occur, could impact positively or
negatively on the outcome of defined objectives.
Review The independent act of examining a sample of the work done to
ensure that it appears to have been undertaken competently
and appears that all statutory, mandatory and client functional
process and technical requirements have been applied to a
deliverable to the expected level of quality.
Senior Engineer (SE) The most senior person, within the engineering function,
undertaking an engineering role within a Delivery Group.
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Term Definition
Technical Compatibility Technical compatibility means an ability of two or more
structural subsystems or parts of them which have at least one
common interface, to interact with each other while maintaining
their individual design operating state and their expected level
of performance.
Third Party An organisation other than Network Rail intending to
undertake works which will physically change and
potentially benefit the operation, assets, design or other
functionality of Network Rail’s infrastructure.
Third Parties may include Train and Freight Operation
Companies and Station Operators, Local Passenger
Transport Executives, the Department for Transport,
commercial developers etc.
Table 1 - Definitions
5 Relationship with Other Key Standards and Legislation

5.1 Relationship with Construction (Design and Management) Regulations 2015
5.1.1 The requirements specified within this standard should be read in conjunction
with Construction (Design and Management) (CDM) Regulations 2015 and
NR/L2/OHS/0047.
5.1.2 NR/L2/OHS/0047 is the business process which sets out the requirements and
principles to be implemented by Network Rail to support compliance with the legal
requirements of the CDM Regulations.
5.1.3 The requirements specified in this standard are part of Network Rail’s means of
control, so that duty holder responsibilities in the CDM Regulations are implemented
to achieve a positive safety outcome. This standard and its requirements alone do
not enable Network Rail to comply with the CDM Regulations 2015 and
NR/L2/OHS/0047.
5.1.4 This Standard sets out arrangements that the project should put in place to:
a) document suitable control of technical hazards and associated risks;
b) define the arrangements for co-operation and co-ordination between design
and construction organisations throughout the project / programme;
c) manage integration of the design and construction activities;
d) assess and record the technical capability of designers and contractors; and
e) provide sufficient support for technical documentation that contributes to pre-
construction information.
NOTE: Complying with the CDM Regulations does not remove the need for a business unit to comply
with other health and safety legislation appropriate to the hazards and work activity, including, for
example, hazard identification and undertaking risk assessments according to the Management of
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Health and Safety at Work Regulations 1999, and to provide a safe system of work according to the
Health and Safety at Work etc. Act 1974.
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5.2 Relationship with the Common Safety Method for Risk Evaluation and
Assessment (CSM-REA)
5.2.1 Under the Railways and Other Guided Transport Systems (Safety) Regulations
2006, Network Rail is required to apply the Common Safety Method for Risk
Evaluation and Assessment (Commission Implementing Regulation (EU) 402/2013)
(CSM-REA) so that a 'suitable and sufficient' risk assessment is undertaken on
technical, operational or organisational changes made to the railway that could
significantly affect safety.
5.2.2 Network Rail’s arrangements for complying with CSM-REA technical and
operational requirements are specified in NR/L2/RSE/100/02. This standard requires
that CSM-REA risk management process is applied for both significant and non-
significant changes. The CSM-REA accountabilities and responsibilities for each role
(actor) are detailed in the RACI of NR/L2/RSE/100/02.
5.2.3 The Engineering roles defined within this standard (NR/L2/RSE/02009) may
assist the Sponsor and Project Manager (PM) with the execution of their duties under
CSM-REA.
5.2.4 A Hazard Record shall be used for Hazard Management.
5.3 Relationship with the application of the railway interoperability regulations

for infrastructure changes
5.3.1 Network Rail is required to comply with The Railways (Interoperability)
Regulations 2011 (RIR) when placing new, upgraded or renewed infrastructure into
service. One of the core requirements of the RIR is that no applicable structural
subsystem can be put into use unless the Office of Rail and Road (ORR) has given
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an interoperability authorisation for the placing in service of that subsystem.

5.3.2 Network Rail has specified the process to be followed by projects to obtain an
authorisation under the RIR in NR/L2/RSE/100/03. The roles which are actors within
this process are detailed in the RACI of NR/L2/RSE/100/03.
5.3.3 The Engineering roles specified within this standard may assist the Sponsor
and Project Manager (PM) with the execution of their duties.
5.3.4 The project shall determine which National Technical Specification Notices
(NTSNs) are relevant and to what extent they apply.
5.3.5 The Designated Project Engineer (DPE) shall:
a) put in place a suitable means of documenting the essential requirements of
the NTSN(s); and
b) provide the technical assurance process that provides the evidence that these
requirements have been met.
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6 Links between programme management / engineering

6.1.1 The Project Manager (PM) shall, based on recommendations from the DPE,
implement all change control processes to incorporate any applicable technical or
standard changes within the project.
6.1.2 Where technical or standard changes result in financial or programme impacts,
the DPE shall notify the PM.
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6.1.3 The PM shall consult the DPE when:
a) determining the level of Network Rail engineering resource required to
manage the project;
b) endorsing the appointment of the Contractor’s Engineering Manager (CEM) for
each supplier/package of work;
c) determining the timing of and implementing the process by which the project
will be entered into operational service; and
d) monitoring the scope of the project in accordance with the Sponsors
instructions and Client Requirements.
6.1.4 The DPE, supported by construction management, where applicable, shall
inform the PM if the schedule 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. Interdisciplinary Checks (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) is suitable to monitor all engineering aspects of the project; and
e) provides engineering data on completion for successful hand back, operation
and subsequent maintenance of the assets.
6.1.5 The DPE shall:
a) attend all stage gate/phase reviews;
b) advise the PM whether:
i. there is evidence that the engineering deliverables are sufficiently
complete; and
ii. any residual risks are identified and clearly documented.
6.1.6 The DPE shall support the PM for technical issues in relation to
NR/L2/RSE/100/02 and NR/L2/RSE/100/03.
6.1.7 The DPE, assisted by the construction manager, where appointed, through
construction assurance activities, shall support the project manager in accepting the
constructed asset quality, in line with the deliverable specification.
6.1.8 The DPE shall support the PM in undertaking the Entry into Service process in
accordance with NR/L2/INI/CP0075.
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7 Technical integration
7.1 The DPE is accountable for the technical integration of the works.
NOTE: Appendix A identifies possible arrangement models.
7.1.1 The principal options for technical integration are:
7.1.1.1 Design Integration:
a) A single organisation’s Contract Engineering Manager (CEM) integrates
design (Design Integration Option 1);
b) A Lead Design Organisation (LDO) is appointed to integrate design (Design
Integration Option 2);
c) A bespoke design integration arrangement is applied (Design Integration
Option 3).
7.1.1.2 Construction Integration:
a) An external Contractor organisation integrates construction and is appointed
as Principal Contractor (PC) (Construction Integration Option 1);
b) Network Rail integrates construction and is appointed as PC (Construction
Integration Option 2).
7.1.2 The DPE shall identify the principal option(s) or the bespoke arrangement to be
used for the technical integration of the works.
7.1.3 The DPE shall document the technical integration requirements in the CR-T (or
equivalent) for all packages of work and include the arrangement details in the
Project Engineering and Construction Management Plan (ECMP).
NOTE: For Delivery Groups with multiple smaller scale projects the Senior Engineer may specify a
‘default’ integration arrangement within the Delivery Group ECMP. Any variation from this would
require a project specific ECMP to identify the specific integration requirements.
8 Identification of engineering resources for projects
8.1 Network Rail project engineering resources

8.1.1 The DPE shall, with the support of the relevant Departmental Engineering
Manager (DEM) (and when required, discipline specialists), identify the type, quantity
and timing of Project Engineering (PE) and non-PE (technical advisor) discipline
resources required for the management and implementation of a project.
8.1.2 Where engineering resources are unavailable, the DEM shall work with the
respective Lead Discipline Engineer (LDE) to determine how the resource
requirements will be met.
8.1.3 The project engineering resource identification shall be recorded using
NR/L2/RSE/02009/F0041.
8.1.4 The PM shall review and endorse the identified engineering resources using
NR/L2/RSE/02009/F0041.
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8.2 Design/construction organisation resources

8.2.1 The CEM for a contracted organisation, internal or external to Network Rail,
shall, with the support of discipline specialists where required internally, identify the
discipline CRE design and/or construction resources and other non-appointed
supporting discipline engineering resources required for the delivery of a project with
respect to the contracted organisation’s scope of works.
8.2.2 Discipline CREs for a contracted organisation, internal or external to Network
Rail, shall identify the competent discipline design and/or construction resources
required for the delivery of a project.
8.2.3 The contracted organisation, internal or external to Network Rail, shall
implement a process that identifies and confirms the availability of competent
engineering resources to be employed on the project by that organisation.
NOTE: This is to confirm to Network Rail that the organisation has resources available who will carry
out all required design and/or construction activity responsibilities safely and in the agreed timescales.
9 Arrangements for Alliances

9.1 General
9.1.1 The DEM in an Alliance shall be employed and appointed by Network Rail.
NOTE: This is to maintain overall oversight and governance of the arrangements.
9.1.2 The specific governance arrangements for the Alliance shall:
a) be documented in the Engineering and Construction Management Plan
(ECMP);
NOTE: This could be either the delivery group or project engineering and construction management
plan as appropriate.
b) be approved by the Senior Engineer (SE); and
c) include as a minimum:
i. the escalation route for safety and technical risks;
ii. details of how individuals undertaking multiple roles will be briefed on
all relevant standards and processes;
iii. arrangements for risk based independent checking required by the
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DEM/SE; and
iv. any specific engineering assurance or management activities
additional to this standard.
9.2 DPE and PE arrangements
9.2.1 DPEs and PEs shall be appointed by Network Rail. DPEs and PEs shall be
appointed for all projects.
NOTE: The requirement is for DPEs and PEs to be appointed by Network Rail, they may be non-
Network Rail employees.
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9.2.2 If the appointed DPEs are non-Network Rail employees, they shall:
a) maintain technical and commercial independence from the contracted
organisation; and
b) demonstrate the ability to meet the non-technical skills and technical
competence requirements required for the role in NR/L2/RSE/02009/01.
9.2.3 The appointed DPE shall not undertake the role of CEM or CRE.
9.2.4 Where the project proposes formal expansion of the CEM/CRE role to
undertake compliance and assurance duties normally undertaken by a Network Rail
PE, this shall be as defined in clause 10.4.5.
10 Appointment of project engineering roles

R – Responsible is the person or people who are
Departmental Engineering
responsible for performing a certain task or action.
Lead Discipline Engineer
Contractors Engineering
Contractor Responsible
A – An Accountable person is one who has overall
Project Engineer (PE)
Project Manager (PM)
Design Engineer (DE)

Senior Engineer (SE)
accountability to make sure that a task or action is
Designated Project
completed.
Engineer (CRE)
Manager (DEM)
Engineer (DPE)
Manager (CEM)
C – Consulted people have an input into the task
or action, this can be providing information,
reviewing documents or attending workshops etc.
I – Inf ormed people are those who receive the
(LDE)
output of a task or process.
10.1 General requirements for engineering role
A R C C I I R C
appointments
10.2 Delegation of duties for appointed engineering
A R C R C
roles
10.3.1 Senior Engineer appointment A I
10.3.2 Departmental Engineering Manager appointment A/R C
10.3.3 Lead Discipline Engineer appointment A/R I I I C
10.4.1 Designated Project Engineer appointment A/R C I C I I
10.4.2 Network Rail project engineering team

C A/R C I C
appointments
10.4.3 CEM appointment I A/R I C
10.4.4. CRE appointment C C I A/R C
10.4.5. Expansion of CEM/CRE roles A C C I C R R
10.4.6 Design Engineer appointment I A R C
10.4.7 Contractors additional technical appointments I C I A R
Table 2 - RACI for appointment of project specific engineering roles
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10.1 General requirements for engineering role appointments
10.1.1 An individual shall only be appointed to a project specific engineering role if

they can demonstrate their competence to carry it out.
10.1.2 An individual shall only be appointed to more than one role if they can
demonstrate their competence and availability to carry out all the required duties.
10.1.3 Persons appointing individuals to positions with responsibilities in accordance
with the roles in this standard shall confirm that appointees:
a) are competent;
b) demonstrate the correct non-technical skills;
c) are available to carry out their duties;
d) understand their responsibilities; and
e) have accepted their responsibilities.
10.1.4 A record of role appointment and acceptance shall be maintained for all the
appointed roles identified in this standard.
10.1.5 Project role appointments and any associated changes in roles shall be
recorded in an approved list.
NOTE: An approved list could include a project status list or electronic register of the ‘F’ forms as
appropriate to project/programme/portfolio
10.1.6 Where an assessment identifies a competence gap, the appointment may still
proceed with the agreement of the individual(s) undertaking the assessment subject
to suitable mitigation measures, e.g. mentoring or training being implemented.
10.1.7 Any supervision, mentoring or training arrangements relating to a project role
appointment shall be clearly identified on the record of appointment.
10.1.8 Project role appointments shall be reviewed regularly during the lifecycle of
the project to confirm that all role appointments remain valid and appropriate.
10.1.9 Engineering role appointments shall be withdrawn if it becomes apparent that
the appointee is not sufficiently competent or does not have the required availability
to undertake the appointed role effectively.
NOTE: This could include scope/complexity changes meaning the appointed individual is no longer
competent to undertake the role or workload changes / resource shortage.
10.2 Delegation of duties for appointed engineering roles

10.2.1 The duties specified for the appointed roles identified within this standard may
be delegated to competent deputies.
10.2.2 All individuals appointed to carry out delegated duties shall, as a minimum:
a) be assessed as competent for the role by demonstrating they have the skill,
knowledge and experience required to undertake their duties commensurate
with the type and complexity of the project;
b) be made aware of their responsibilities;
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c) understand the limits of the delegated authority;

d) have sufficient resources and time to undertake their duties; and
e) have recorded their acceptance of the delegation using
NR/L2/RSE/02009/F0051.
10.3 Network Rail Delivery Group engineering role appointments

10.3.1 Senior Engineer appointment
10.3.1.1 Arrangements for the appointment of a Delivery Group SE shall be detailed
in the relevant Delivery Group Engineering and Construction Management Plan
(DGECMP). See Clause 11.
10.3.2 Departmental Engineering Manager appointment

10.3.2.1 The DEM shall be assessed and appointed by the Delivery Group SE in
accordance with the competence requirements for role as specified in
NR/L2/RSE/02009/01.
10.3.2.2 The DEM appointment shall be recorded using NR/L2/RSE/02009/F0037.
10.3.2.3 The SE shall appoint DEMs for defined areas within their Delivery Group.
10.3.2.4 If the DEM is also appointed to the DPE role, the Senior Engineer shall
review the risk and counter sign and date the form NR/L2/RSE/02009/F038.
10.3.3 Lead Discipline Engineer appointment

10.3.3.1 The SE shall appoint LDEs for defined disciplines within their Delivery
Group.
10.3.3.2 LDEs shall be assessed and appointed by the Delivery Group SE in
association with the relevant discipline specialist.
NOTE: The discipline specialist will be identified by the DEAM regional engineering team with support
from the Technical Authority as required.
10.3.3.3 The LDE appointment shall be recorded using NR/L2/RSE/02009/F0050.
10.4 Project role appointments

10.4.1 Designated Project Engineer appointment
10.4.1.1 One DPE shall be appointed for each project.
10.4.1.2 The DPE competence assessment shall be reviewed for appointment by the
relevant Delivery Group DEM in accordance with the competence requirements for
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DPE01 role as specified in NR/L2/RSE/02009/01. The appointment shall take

specific project requirements into account.
10.4.1.3 The DEM shall use specialist advice where applicable (including from the
applicable SE, LDE, discipline specialists) when reviewing the assessment of an
individual to undertake specific DPE responsibilities and duties.
10.4.1.4 The PM shall review and endorse the nomination of the DPE by the DEM for
their project.
10.4.1.5 The DPE appointment shall be recorded using NR/L2/RSE/02009/F0038.
10.4.1.6 A DPE should be appointed as early as practicable for a project.
NOTE: It is acceptable for the person appointed to a DPE role to change during the lifetime of the
project although it is preferable to have continuity of DPE throughout.
10.4.1.7 Where multiple Delivery Groups are involved in delivering a project;
a) a lead Delivery Group shall be identified.
NOTE: This will be through the discussion and agreement of the SEs involved in the works.
b) the lead Delivery Group DEM shall nominate and appoint the DPE for the
project.
c) the appointment shall be subject to the agreement of the supporting Delivery
Group DEMs as applicable to the project.
d) the arrangement shall be recorded in the appropriate ECMP.
NOTE: A person may be appointed as the DPE for more than one project if they have sufficient time
to undertake all their duties.
10.4.1.8 For a person undertaking more than one DPE role simultaneously, the limits
of all appointments shall be clearly recorded, understood and agreed between the
projects concerned.
10.4.1.9 Unless the DEM has assessed that an organisation supplying a DPE is
commercially and technically independent of the contractors for the project, a DPE
shall not be appointed from that organisation.
10.4.1.10 The DPE appointment shall take account of the design and/or construction
integration methodology being implemented for the project as specified in Clause 7.
NOTE 1: This is so that the duties, responsibilities and workload of the DPE role are fully defined.
NOTE 2: For Alliancing arrangements with respect to appointing the DPE role, see Clause 9.
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10.4.2 Network Rail project engineering team appointments

10.4.2.1 Competent project engineering resources shall be made available to support
a DPE in undertaking the DPE’s duties on a project.
10.4.2.2 An appointed assessor shall assess the PE against discipline specific
technical capabilities in line with an approved framework for that discipline.
10.4.2.3 An appointed assessor shall assess the competence of an individual for a
project engineering role in accordance with the competence requirements for PE01
as specified in NR/L2/RSE/02009/01.
10.4.2.4 The DPE shall review the technical and project engineering role competence
scope and proficiency levels, for suitability for appointment to the project specific role.
10.4.2.5 The DPE shall review and appoint PE roles to cover all the disciplines
required to deliver a project.
10.4.2.6 The DPE shall identify any required non-PE (technical advisors/specialists)
and record these on the register of Network Rail project engineering team
NR/L2/RSE/02009/F0042.
10.4.2.7 The PM shall review and endorse the nomination by the DPE of the PE/Non-
PE technical roles for their project.
10.4.2.8 A record of each PE appointment and acceptance shall be recorded by the
DPE using NR/L2/RSE/02009/F0042A.
10.4.2.9 A summary record of all PE appointments shall be recorded on an approved
list.
NOTE: An approved list could include a project status list or electronic register of F0042 forms as
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appropriate to project/programme/portfolio
10.4.3 CEM Appointment

10.4.3.1 One CEM only shall be appointed for each organisation contracted to deliver
works on a Project at any one time.
10.4.3.2 The CEM and DPE for a project shall reach a clear, documented
understanding of the scope of work to which the CEM appointment applies.
10.4.3.3 The CEM appointment shall include use of the design and/or construction
integration methodology being implemented for the project as specified in Clause 7.
NOTE: This is so the duties, responsibilities and workload of the CEM role are fully defined.
10.4.3.4 The CEM should have Professional Engineer Registration status with the
Engineering Council (UK) and be registered with an appropriate professional
institution. Other auditable qualifications and/or experience appropriate to the work
being undertaken may be acceptable, subject to agreement with the person
undertaking the competence assessment for the role.
10.4.3.5 The DPE shall confirm that persons nominated to carry out the roles of the
CEM on a project are competent. As a minimum, the following shall be checked:
a) management / engineering competence requirements for CEM01, as specified
in NR/L2/RSE/02009/01;
b) any requirements and arrangements for mentorship;
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c) availability of resources and time to undertake their duties;

d) their understanding and ability to judge when urgent or immediate action is
necessary for safety reasons.
e) relevant experience and performance on similar projects;
10.4.3.6 If available, then previous competence assessments for other projects
previous competence assessments undertaken by other organisations should also be
taken into consideration.
10.4.3.7 The DPE shall review and, where suitable, accept the nomination of the
CEM for their project.
10.4.3.8 The CEM appointment shall be recorded using NR/L2/RSE/02009/F0039
and kept on an approved list.
NOTE: An approved list could include a project status list or electronic register of F0039 forms as
appropriate to project/programme/portfolio.
10.4.3.9 The appointed CEM may also act as the CRE for a specific engineering
discipline subject to the individual demonstrating their competence and availability to
carry out all the required duties.
10.4.3.10 The DPE shall withdraw the CEM’s appointment if, based on the CEM’s
performance on the project, it becomes apparent that the CEM is not sufficiently
competent or does not have the required availability to undertake the appointed role
effectively.
10.4.4 CRE Appointment

10.4.4.1 There shall be at least one CRE for each engineering discipline that will
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undertake works on a contract.
10.4.4.2 The CEM shall assess the CRE against discipline specific technical
capabilities in line with an approved framework for that discipline.
NOTE: The CEM should seek discipline specific support/advice from within their own organisation
and/or Network Rail if the CRE discipline being assessed is not their ‘core discipline’.
10.4.4.3 A CEM shall assess the competency of an individual for a CRE role in
accordance with the competence requirements for CRE01 as specified in
NR/L2/RSE/02009/01.
10.4.4.4 The CEM shall review the technical and project engineering role
competence scope and proficiency levels, for suitability for nomination to the project
specific role.
10.4.4.5 The DPE and Discipline PE shall review and, where suitable, accept the
nomination by the CEM of the CRE(s) for their project.
10.4.4.6 The CRE appointment shall be recorded using NR/L2/RSE/02009/F0040
and kept on the project file.
10.4.4.7 Where a single CRE has been appointed for an engineering discipline, they
shall manage the interface between design, installation and testing activities.
NOTE: It is acceptable to have multiple CREs within a single engineering discipline on a Contract, for
example a CRE (Design) and a CRE (Construction).
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10.4.4.8 Where separate CREs (Design) and CREs (Construction) are appointed for
the same discipline on a project, the CEM shall define and document the division of
responsibilities between the two interfacing CREs.
10.4.4.9 Where multiple CREs are proposed for a single engineering discipline, each
CRE shall have a clear understanding of their responsibilities including management
of interfaces between design, installation and testing activities; which shall be
documented.
10.4.4.10 The DPE or CEM shall withdraw a CRE’s appointment if, based on the
CREs performance on the project, it becomes apparent that the CRE is not
sufficiently competent or does not have the required availability to undertake the
appointed role effectively.
10.4.5 Expansion of CEM/CRE roles

10.4.5.1 Where the project proposes formal expansion of the CEM/CRE role to
undertake compliance and assurance duties normally undertaken by a Network Rail
PE, this shall be documented in the ECMP and approved by the SE.
10.4.5.2 Any additional control measures required, due to a change in risk profile by
utilising this methodology, shall be documented in the ECMP and approved by the
SE.
NOTE: So there is clarity on additional controls that may be in place to mitigate risks, the additional
controls should also be recorded on the ‘Appointment of PE (through expansion of CEM/CRE role)’
appointment form NR/L2/RSE/02009/F0054.
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10.4.5.3 The CEM/CRE shall demonstrate the ability to meet the behavioural and
technical competence requirements required for the discipline Project Engineering
role as per NR/L2/RSE/02009/01.
10.4.5.4 An appointed assessor shall assess the nominated CEM/CRE against
discipline specific technical capabilities in line with an approved framework for that
discipline.
10.4.5.5 Nominated CEM/CRE candidates shall not undertake the expanded role
under mentorship arrangements.
10.4.5.6 The CEM/CRE competence for the discipline Project Engineering role shall
be documented in the parent company’s competence management system.
10.4.5.7 The DPE shall review the suitability of the proposed CEM/CRE for
appointment to the PE role and record the appointment and CEM/CRE acceptance
on NR/L2/RSE/02009/F0054.
10.4.6 Design Engineer Appointment

10.4.6.1 Only competent design resource shall undertake project design activities.
10.4.6.2 An appointed assessor shall assess the Design Engineer (DE) against
discipline specific technical capabilities in line with an approved framework for that
discipline.
10.4.6.3 The CRE shall review the technical and project engineering role
competence scope and proficiency levels, for suitability for appointment to the project
specific role.
10.4.6.4 The CRE shall review and appoint DE roles to cover all the technical design
requirements to deliver a project.
10.4.6.5 A register of all DE appointments shall be recorded and managed by the
CRE using NR/L2/RSE/02009/F0053 and version controlled to show the current state
of DE resource.
10.4.6.6 The NR/L2/RSE/02009/F0053 shall be transmitted to the DPE upon any
change of DE resource profile, this shall be kept on the project file.
10.4.7 Contractors additional technical appointments

10.4.7.1 Where Network Rail standards specify the formal nomination and
appointment of technical roles not covered in this standard, the relevant discipline
CRE shall in conjunction with the CEM propose a suitable competent person for
acceptance by the relevant PE.
10.4.7.2 The appointment shall be recorded on NR/L2/RSE/02009/F0053.
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11 Engineering and Construction Management Plans

11.1 Delivery Group Engineering and Construction Management Plans
11.1.1 Each Delivery Group shall produce an Engineering and Construction
Management Plan (ECMP).
11.1.2 The Delivery Group ECMP shall be approved by the SE and endorsed by the
delivery group lead for Construction management and the Delivery Group Director, or
equivalent.
11.1.3 The Delivery Group ECMP shall, as a minimum, include the following:
a) delivery group strategy for engineering and construction management
activities;
b) the requirements for the documentation needed to specify the technical
requirements for works to be undertaken by Network Rail design and/or
construction organisations;
c) the competence assessment process (including the arrangements for the
appointment of the SE);
d) performance indicators to be used to measure the compliance and assurance
performance of the contractor;
e) the specific requirements for the management of engineering deliverables*;
f) the process by which a change of project risk profile subsequently changes
the level of engineering deliverables review*;
g) the process for managing poor performance, e.g. where review findings
conclude that the deliverables are of insufficient quality*; and
h) the method for briefing changes and updates to standards and processes.
NOTE: *See NR/L2/RSE/02009/02 for further information.
11.2 Project Engineering and Construction Management Plans

11.2.1 The Project ECMP shall define any Project specific requirements for
engineering and construction management roles, activities, responsibilities and
bespoke arrangements in place for the Project.
NOTE 1: This includes identifying the technical integration methodology (see Clause 7) in use and
any project specific system integration requirements.
NOTE 2: The ‘Project ECMP’ may also apply to ‘programme’ and ‘portfolio’ arrangements.
11.2.2 The Project ECMP shall provide DEMs, DPEs, PEs, PMs, Construction
Managers (CnM) and others identified within the Project ECMP with clear direction
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regarding the engineering and construction management arrangements and

processes for all applicable projects.
11.2.3 The DPE shall, for any organisation that is consistently providing poor quality
engineering services (design/construction) notify their DEM and PM. The DPE shall
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provide their recommendations for escalation in accordance with the Delivery Group
ECMPs.
NOTE: The DPE may find it appropriate to prepare a project ECMP where requirements are identified
that are additional to those in the Delivery Group ECMP.
11.2.4 The project ECMP shall be approved by DEM and PM and endorsed by the
project lead for Construction Management (where appointed).
NOTE: The project ECMP should form part of the Project Management Plan.
12 Managing non-compliances to engineering and technical standards

12.1 Where a potential non-compliance is identified by the contractor, the CEM shall
discuss the issue with the DPE and where required, prepare an application for
variation to the DPE in accordance with NR/L2/CSG/STP001/04.
12.1.1 The DPE shall review the application and specifically the changes proposed to
the requirements and the action plan proposed to manage the variation.
12.1.2 Where justified, the DPE shall submit the application for variation in
accordance with NR/L2/CSG/STP001/04.
12.2 Where a requirement for variation is identified by the NR project team, the DPE
shall confirm the application is submitted in accordance with NR/L2/CSG/STP001/04.
12.3 The DPE shall maintain a register of all applications for variations, including
their status.
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13 Technical Query and Request for Information

13.1 General requirements
13.1.1 The Network Rail Project Manager (PM) shall maintain a master register of
Technical Queries (TQs) and Requests for Information (RFIs) for all contractors.
13.1.2 Each contractor shall maintain a register of TQs and RFIs.
NOTE: These requirements may be fulfilled by a single master register within a common data
environment. A single register will have maintenance responsibilities for both NR and contractors.
13.2 Technical Query
13.2.1 A TQ shall be used when:
a) there is a contradiction/conflict within the technical requirements and/or
standards;
b) the contractor proposes a solution outside of the specified requirements,
including applicable standards; or
c) an issue is identified with, or a change is required to, the AFC design
NOTE: Where the contractor proposes a solution that requires a variation, acceptance of that option
does not constitute acceptance of the variation. The requirement resides with the CEM to progress
this as shown in Clause 12.1
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13.2.2 Unless a different format has been agreed with the PM, the contractor shall
use NR/L2/RSE/02009/F0049 to facilitate a TQ.
13.2.3 When a TQ has multiple options, these shall be discussed with the PE. The
contractor shall note for each option:
a) the technical compliance;
b) the impact on cost/resource/time/programme; and
c) all functional/operational implications.
NOTE: If the TQ is a change to the agreed scope of work, no work may commence until a valid
Project Manager’s Instruction/Site Instruction has been issued. A TQ response is NOT a formal project
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instruction.
13.3 Request for Information
13.3.1 An RFI shall be made where the contractor either believes that there is
missing information, or where they require clarification on existing information.
13.3.2 Unless a different format has been agreed with the PM, the contractor shall
use NR/L2/RSE/02009/F0052 to submit an RFI.
14 Impact of new and updated standards

14.1 The DPE, in conjunction with the PM, shall establish and implement a technical
change control process throughout the life of the project.
14.2 PEs shall advise the DPE of changes to standards in their discipline(s) that
might impact the project(s).
14.3 The DPE shall advise the PM of the impact to the project(s) of relevant changes
to standards.
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15 Network Rail Acceptance

R – Responsible is the person or people who
Contractors Responsible Engineer (CRE)

Contractors Engineering Manager (CEM)
are responsible for performing a certain task
or action.
A – An Accountable person is one who has
Designated Project Engineer (DPE)

overall accountability to make sure that a task
Construction Management (CM)

or action is completed.
C – Consulted people have an input into the
task or action, this can be providing
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information, reviewing documents or
Project Manager (PM)
Design Engineer (DE)

Project Engineer (PE)
attending workshops etc.
I – Informed people are those who receive the
output of a task or process.
15.1 Acceptance - general requirements R/C I A/R
15.2 Interdisciplinary Coordination R/C C C A/R C
15.3 Interdisciplinary Checks (IDC) C C I A/R C C
15.4 Interdisciplinary Reviews (IDR) A/R C I C I I
15.5 Combined IDC/IDR A/R*(1) C I C A/R*(1) C C
15.6 Technical Approval A/R C I C C C
15.7 Technical Acceptance (production of

I I A R C
deliverables)
15.7 Technical Acceptance A R I I I
15.8 ‘Approval for Construction’ Design I I I I A R C
*(1) - Where it is a combined IDC/IDR the CEM is accountable for the IDC element and
the DPE is accountable for the IDR element
Table 3 - RACI for Network Rail Acceptance
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15.1 Acceptance - general requirements
15.1.1 The acceptance process shall consist of the following:

a) Interdisciplinary co-ordination;
b) Technical Approval;
c) Technical Acceptance; and
d) compliance evidence to applicable National Technical Specification Notices.
NOTE: The forms relating to Network Rail acceptance and Interdisciplinary co-ordination are provided
in NR/L2/RSE/02009/F0044 (DRN), NR/L2/RSE/02009/F0046 (IDC only) and
NR/L2/RSE/02009/F0045 (IDR only) and NR/L2/RSE/02009/F0047 (combined IDC and IDR).
15.1.2 All engineering deliverables that require Network Rail acceptance shall be
submitted by the CEM to the DPE.
15.1.3 The DPE shall check that all engineering deliverables appropriate to the
project stage/phase:
a) are specified in the CR-T (or equivalent) and delivered by the supplier to this
specification;
b) are compliant with any technical requirements, relevant standards and
legislation, product acceptance requirements and the Sponsors
Instruction/Client Requirements/CR-T;
c) have followed the required process for integration with the existing
infrastructure and all other interfacing design or construction works;
d) have been reviewed to check all aspects of construction, operation,
maintenance, decommissioning and removal have been considered, including
all necessary requirements for staging and any temporary works needed for
construction and maintenance activities;
e) have any associated hazards and risks managed to a level which is ALARP;
and
f) have all residual hazards identified, to allow them to be transferred to the
appropriate stakeholders.
15.1.4 The Document Review Notice (DRN) NR/L2/RSE/02009/F0044 confirming
Technical Acceptance of deliverables shall not be closed and accepted until all the
applicable elements, within Clause 15.1.3 have been achieved.
15.1.5 The outputs from the Technical Acceptance process shall be documented on
NR/L2/RSE/02009/F0048 (Engineering Compliance Certificate).
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NOTE: NR/L2/RSE/02009/F0048 (ECC) Is used to record the formal conclusion of an engineering

phase of a project.
15.2 Interdisciplinary Coordination

NOTE 1: Interdisciplinary Coordination (IC) confirms that all permanent works, temporary works and
all existing systems are fully co-ordinated and integrated.
NOTE 2: Key hold points that form part of this process are:
a) the Interdisciplinary Check (IDC) held prior to the submission of engineering deliverables;
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b) the Interdisciplinary Review (IDR) held by Network Rail to review the submissions, where
required.
c) There are three possible configurations of IDC and IDR for IC:
• IDC and separate IDR(s)
• Combined IDC/IDR
• IDC with a DPE assessment to waive IDR requirements.
d) An IDR or IDC may be required to be carried out at multiple points in the process, where
progressive assurance arrangements, changes in scope or variations to associated
design/deliverables have been identified.
15.2.1 As a minimum the following shall be undertaken as part of the interdisciplinary
coordination:
a) identification of engineering interfaces across all engineering disciplines that
form the project scope;
b) Technical Compatibility checks;
c) CR-T compliance;
d) Designer risk/hazard review information;
e) Identification of the engineering interfaces with the existing infrastructure,
neighbours and operators;
f) Identifications of all other interfaces e.g. with other adjacent projects have
been identified; and
g) constructability requirements are incorporated within the design.
15.2.2 The CEM shall implement an Interdisciplinary Coordination process for all
deliverables submitted.
15.2.3 The DPE shall verify that for a project with multiple CEMs, each CEM has a
robust Interdisciplinary Coordination Process.
15.2.4 The CRE shall check that their engineering deliverables interface correctly
with other interfacing designs or constructed elements.
15.2.5 The CRE shall co-ordinate with relevant designers and participate in all
appropriate IDCs to so that there is correct deliverable integration.
NOTE: This may require cooperation and coordination with other organisations appropriate to the
works.
15.2.6 The CRE(s) responsible for design and/or construction shall share all relevant
information.
NOTE: This could include (but not limited to) the following information:
• hazard (log or) records;
• risk logs;
• proposed construction methodology including staged construction plans where appropriate;
• current design iteration
• design decision logs;
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15.2.7 The interdisciplinary coordination process shall conclude with a final

interdisciplinary check (IDC) and interdisciplinary review (IDR).
NOTE: The IDR may be waived by the DPE.
15.3 Interdisciplinary Checks (IDC)
15.3.1 An IDC shall be carried out on each engineering deliverable/design package

prior to their formal submission to Network Rail for acceptance.
NOTE: This includes instances where a combined IDC/IDR is conducted.
15.3.2 The CEM shall:
a) define the scheduling;
b) define the discipline CREs, designers and technical specialists required for
attendance;
c) mandate the attendees;
d) attend and execute the IDC; and
e) document all inputs and outputs of the IDC.
15.3.3 IDCs shall be included in the design programme.
NOTE: Forms relating to Interdisciplinary Check are provided in NR/L2/RSE/02009/F0046 (IDC only)
and NR/L2/RSE/02009/F0047 (combined IDC and IDR).
15.3.4 Where a CRE has been specifically appointed for the construction of the
works they shall participate in IDCs to check that their discipline design and
construction interface correctly with the design and construction of other disciplines.
15.3.5 Prior to the IDC meeting the CEM shall review and circulate the appropriate
information to IDC attendees.
An adequate period of time, based on the volume/complexity of information, should
be given for the information to be reviewed by the IDC attendees.
15.3.6 Appropriate information for IDC meetings should include, where relevant:
a) Programme and interface information (design and construction activities);
b) the engineering deliverables for check, including any interfacing deliverables;
c) hazard record (CSM/REA) in accordance to NR/L2/RSE/100/02;
d) designer’s risk assessment;
e) technical queries (see Clause 13.2);
f) variations in accordance with NR/L2/CSG/STP001/04 and CR-T (see Clause
12);
g) entry into service checklist/file readiness in accordance to NR/L2/INI/CP0075;
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h) Asset Management Plan (AMP) deliverables in accordance NR/L2/MTC/089;

i) issues raised by staging arrangements/construction sequences;
j) issues identified due to physical interfaces with all associated infrastructure,
equipment and/or structures (gauge compromises/signal sighting etc.); and
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k) National Technical Specification Notices (NTSNs) compliance matrix in

accordance with NR/L2/RSE/100/03 (shown as TSI).
15.3.7 At the satisfactory conclusion of the IDC meeting, all attendees shall sign the
IDC certificate.
15.3.8 The CEM shall check that all comments raised during the IDC process are
closed and the deliverables are updated to comments, before submission to Network
Rail for acceptance.
15.3.9 Where ‘no comments’ have been raised, a note to this effect shall be made on
the IDC certificate.
15.3.10 Any engineering deliverables requiring modification after the IDC certificate
has been fully signed, shall repeat the full IDC process so that modifications comply
with the requirements, prior to submission to Network Rail.
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NOTE: The Network Rail project engineering team may support the CEMs IDC activities. The DPE
may consider this involvement sufficient to discharge IDR obligations. In such cases the
documentation should clearly record this (see clause 15.4).
15.4 Interdisciplinary Reviews (IDR)

15.4.1 The DPE shall carry out an IDR for each engineering deliverable/design
package, unless this has been assessed as ‘not required’.
15.4.2 If an IDR is assessed as ‘not required’ by the DPE it may be waived.
NOTE: Where an IDR has been assessed as ‘not required’ an entry in NR/L2/RSE/02009/F0045B (or
equivalent) is to be made recording that the IDR for the deliverable/design package has been waived.
15.4.3 When an IDR is required, the DPE shall:
b) define the discipline PEs, technical specialists and construction
representatives, maintenance representatives or relevant stakeholders;
c) mandate the attendees;
d) execute the IDR; and
e) document all inputs and outputs of the IDR.
15.4.4 IDRs shall be included in the design programme.
NOTE 1: Forms relating to Interdisciplinary Review are provided at NR/L2/RSE/02009/F0045 (IDR
only).
NOTE 2: IDR topic guidance is provided within form NR/L2/RSE/02009/F0045A.
NR/L2/RSE/02009/F0045B provides an example IDR Action Tracker Form.
15.4.5 PEs and Construction Managers (CnM) allocated to the works shall participate
in IDRs to review that their discipline designs and construction works interface
correctly with other disciplines and all existing infrastructure.
15.4.6 Prior to the IDR meeting the DPE shall review and circulate the IDR
documentation and relevant supporting information to IDR attendees.
NOTE: An adequate period of time, based on the volume/complexity of information, should be given
for the information to be reviewed by the IDR attendees.
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15.4.7 The DPE shall assess the following points during any IDR:
a) the engineering integration, compatibility and constructability coordination
checks across all engineering disciplines that form the project scope;
b) confirming that all other interfaces have been identified and assessed, such as
those with other adjacent projects, neighbours, and operators;
c) confirming correct integration and co-ordination of the project components;
d) verifying the deliverables interface with the existing infrastructure;
e) sampling the compliance to document control requirements.
15.4.8 Where ‘no comments’ are generated a note to this effect shall be made on the
IDR certificate.
15.4.9 At the conclusion of the IDR meeting, all attendees shall sign the IDR
certificate.
15.4.10 Any engineering deliverables requiring modification after the IDR certificate
has been fully signed, shall repeat the IDC process, so modifications still comply with
the requirements before re-submission to Network Rail.
15.4.11 The output of the IDR shall be held in a register.
NOTE: An IDR may be required at any point in the deliverable process due to changes in scope, or
through the identification of interface issues that may become apparent due to evolving associated
design activities.
15.4.12 The DPE shall convene an IDR at any point, where doing so, may add value
or de-risk the Project works.
15.4.13 Where issues are unable to be resolved they shall be raised with the Project
Manager and, where appropriate, added to the project risk register.
15.5 Combined IDC/IDR

NOTE: It is often beneficial for the IDR to be undertaken as a combined IDC/IDR throughout the
design process subject to all appropriate Contractor and Network Rail staff being in attendance.
15.5.1 Where combined IDC/IDR is undertaken the meeting shall be chaired by the
CEM, guided by the DPE.
15.5.2 Records shall be kept by both the Contractor and Network Rail demonstrating
compliance to both IDC and IDR requirements.
15.5.3 The DPE shall identify the opportunity to carry out a combined IDC/IDR for
each engineering deliverable/design package.
15.5.4 The CEM shall:
b) define the discipline CREs, designers and technical specialists required for
attendance;
c) mandate the IDC element attendees;
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d) chair the meeting; and

e) document all inputs and outputs of the IDC section of the form.
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15.5.5 The DPE shall define and mandate the IDR attendees.
15.5.6 All the requirements detailed in sections 15.3 (IDC) and 15.4 (IDR) are
applicable to combined IDC/IDR.
15.6 Technical Approval

Following IDC and IDR and where applicable to the deliverable 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/30035;
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; and
g) Systems Integration deliverables for System Safety, Interoperability, System
Security, Performance, Reliability, Operational Readiness and Maintenance
Readiness.
NOTE: Network Rail’s System Integration for Delivery Framework provides a mechanism for
achieving Technical Approval of Systems Integration deliverables .
15.7 Technical Acceptance
15.7.1 The CEM shall check that all engineering deliverables/design packages are
accompanied by a fully signed IDC certificate.
15.7.2 Technical acceptance (including the categorisation of deliverables for review)

shall be conducted for all Engineering Deliverables.
NOTE: NR/L2/RSE/02009/02 Clause 5.1 gives details on levels of review.
15.7.3 Technical acceptance shall be facilitated by the DPE and undertaken by the
appropriate discipline specific PEs appointed to the project and other technical
stakeholders as required.
15.7.4 The technical acceptance review shall be conducted in accordance with the
requirements of NR/L2/RSE/02009/02.
15.7.5 The DPE shall review evidence that the design(s) produced by any designer
undertaking design activities on the project have been correctly integrated as per the
requirements in Clause 15.2.
NOTE: Guidance and possible options for achieving such integration are provided in Appendix A of
NR/L2/RSE/02009.
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15.7.6 Where appropriate a single technical acceptance review may encompass a

number of related Engineering Deliverables. The deliverables covered by an
acceptance review shall be documented in accordance with NR/L2/RSE/02009/02.
15.7.7 The acceptance review may be undertaken on a sample of engineering
deliverables submitted by the CEM. The minimum number and type of documents
sampled should be in accordance with the overall risk categorisation and the review
guidance as specified by any discipline specific guidance.
15.7.8 Any design issued to Network Rail for acceptance shall first be reviewed by
the CEM to confirm whether the design:
a) has been produced by competent designers assessed to this standard;
b) has been subject to a design check by competent checkers to verify that the
information meets the requirements of the Contract and the applicable
standards communicated in the Contract;
c) has been approved by the relevant CREs for technical content;
d) has been translated from the design onto any copy documents without error;
e) has been developed to a level of maturity that allows sufficient integration with
other related design;
f) has had all necessary interdisciplinary coordination and IDCs carried out, and
all IDC certificates have been provided with the engineering deliverables for
technical acceptance; and
g) includes evidence that the designer has considered construction risk as
required by the Construction (Design and Management) Regulations and the
Common Safety Method for risk evaluation and assessment (CSM-REA) and
eliminated such risks, where reasonably practical to do so, or clearly
communicated the residual risk in the design documents.
15.7.9 The CEM shall check that any products, materials, equipment, infrastructure
and other systems to be utilised have Product Acceptance certificate(s), where
necessary, and are used in accordance with the conditions on the certificate.
15.7.10 The CEM shall check that any designer subject to mentorship or supervision
arrangements have been subject to the agreed requirements, as defined by the
appointment process.
15.7.11 The CRE responsible for design shall implement all design production and
checking, including mentorship and supervision arrangements where applicable to
their specific engineering discipline.
15.7.12 CREs shall approve 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.
15.7.13 The DPE shall confirm that construction issues emerging during the
implementation phase do not invalidate the accepted design.
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.
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15.7.14 The DPE shall confirm that prior to the commencement of testing and
commissioning activities that all necessary documentation and personnel have been
accepted by a competent engineer appointed for that purpose.
15.7.15 The DPE shall undertake Acceptance of ‘As-Built’ records to review that they
accurately reflect the status of the infrastructure taken into operational use by
Network Rail.
NOTE: This may 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.
15.7.16 If significant discrepancies are found between AFC and ‘As-Built’
deliverables, the CEM shall confirm that those discrepancies are acceptable or
identify any rectification works necessary.
15.7.17 The PM shall not submit a Health and Safety File, or close out any project,
until the DPE has confirmed that all engineering deliverables have been submitted
and accepted.
NOTE: Engineering deliverables include all ‘As-Built’ records, testing records, spares, health and
safety files, asset data, operational and maintenance manuals.
15.8 ‘Approval for Construction’ Design

15.8.1 Once the detailed design has been technically accepted, as defined in Clause
15.7, the Design Organisation shall prepare Approved for Construction (AFC) design.
15.8.2 Any amendments to designs other than those amendments identified during
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the initial technical acceptance process, or minor clerical errors, shall be resubmitted
for further acceptance.
15.8.3 Where an updated AFC design is issued but technical acceptance is not
required, as agreed with the DPE (e.g. when doing no more than closing out
previously agreed comments) then a copy of the updated AFC design shall be
provided to the DPE for their information.
15.8.4 No construction or fabrication activity shall commence before the AFC design
is in place for the individual works.
NOTE: Construction or fabrication may commence on an element of a design where that individual
element has achieved AFC, but related design elements have not reached sufficient maturity to allow
the entirety of the designs to achieve AFC status.
15.8.5 Where construction or fabrication works are to commence ahead of the
complete design package achieving AFC, the CEM and DPE shall document the
progressive assurance arrangements detailing:
a) the elements of the design that can proceed to be constructed on site (those
deliverables shall be endorsed as AFC);
b) the risks that arise due to elements of associated design that have not
reached AFC, and how they will be managed and mitigated; and
c) the overall engineering assurance arrangements, including any additional
interdisciplinary coordination, that will be put in place to achieve full AFC
status for the entirety of the designs and the timescale within which this will be
completed.
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15.8.6 The DPE shall monitor the progress of any work carried out under these
progressive assurance arrangements to check that the documented arrangements
are followed.
16 Production of Engineering Compliance Certificates (ECC)

16.1 General Requirements
16.1.1 An ECC shall be produced as an engineering deliverable as required by
stage/phase readiness reviews.
16.1.2 A completed ECC shall be recorded on NR/L2/RSE/02009/F0048.
NOTE 1: The Purpose of the Engineering Compliance Certificate is to formally accept evidence of
compliance to the technical scope and requirements documentation, identify any formalised changes
or variations to this scope as well as present any non-compliance to Network Rail Standards.
NOTE 2: An ECC is made up of Section 1 and Section 2; there may be more than one section 1
submitted for each section 2.
NOTE 3: The iELC process (NR/L2/INI/0300) may be used to provide robust evidence to support an
ECC for submission.
16.2 ECC Section 1

16.2.1 The CEM shall submit an ECC section 1.
16.2.2 The inputs to the ECC Section 1 shall be:
a) Technical Specifications for the works;
b) evidence of compliance;
c) variations to standards supported by evidence of variation approval; and
d) any additional variations or exceptions not contained in a) to c).
16.2.3 The DPE shall review the ECC section 1 and related submissions to:
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a) confirm all required Technical Approvals have been completed;
b) confirm all engineering deliverables have completed the required technical
acceptance process; and
c) assure that all exceptions have been recorded.
16.3 ECC Section 2

16.3.1 The inputs to the ECC section 2 shall be:
a) scope of works as defined by the section(s) 1;
b) the baseline requirement document(s) for the project;
c) a record of the engineering phase gate(s) (where required in NR/L2/INI/0300);
d) related ECC section 1 forms;
e) variations to Company or Group Standards yet to be approved; and
f) any additional exception not contained in a) to e).
NOTE: Section 2 records compliance to the relevant baselined requirement documents and all
applicable Standards unless specified otherwise.
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16.3.2 The DPE shall confirm that the information included in the ECC section 2
demonstrates compliance to the technical requirements and applicable standards.
16.3.3 The PM shall endorse the information included in the ECC section 2.
16.3.4 The Sponsor/Client shall accept the information included in ECC section 2
demonstrates the status of compliance to the technical requirements.
16.3.5 The Sponsor/Client should liaise with relevant subject matter expert to confirm
that the technical implications of acceptance of ECC section 2 are fully understood.
16.3.6 Section 2 shall be submitted to the related stage gate/phase review.
17 Briefing of Standards
17.1 Briefing of Standards - Network Rail
17.1.1 The briefing process should include all staff engaged in delivery and technical
assurance, including but not limited to:
a) alliance staff undertaking Network Rail role(s);
b) contractors undertaking Network Rail role(s); and
c) sub-contractors undertaking Network Rail role(s).
17.2 Briefing of standards - Contractors

17.2.1 The CEM shall establish a standard briefing process within their project(s).
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17.2.2 The briefing process shall include all staff engaged in the project including
contractors and sub-contractors.
Page 42 of 49
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Issue: 8
Date: 4 March 2023
Appendix A –Technical Integration arrangement models
A.1 Technical integration

A.1.1 Technical integration comprises of design and construction integration
activities.
A.1.2 The design and construction integration principal options are shown in this
appendix.
A.1.3 The DPE may utilise whatever option or bespoke arrangement that is most
effective to the project.
A.2 Design Integration and Designer Co-operation – Introduction

A.2.1 All design produced by any designer shall integrate correctly with that of all
other designers; and the design of all existing infrastructure. All Design Organisations
shall co-ordinate their design and co-operate with each other in order to eliminate
incompatibilities.
A.2.2 A key part of the design integration process is the IDC within the
Interdisciplinary Co-ordination process. The method of design integration, including
the method of implementing the IDC, should be agreed between all appropriate
Design Organisations.
A.2.3 Multiple designers may be appointed to a project. The three principal options
for integration are:
a) Design Integration Option 1 – A Single Organisation’s CEM manages and
integrates design;
b) Design Integration Option 2 – A Lead Design Organisation (LDO) is appointed
to integrate design;
c) Design Integration Option 3 – A bespoke design integration arrangement is
applied.
A.2.4 In Figures A.1and A.2 the term ‘Network Rail Contract Relationship’ includes
arrangements between Network Rail organisations where no formal Contract exists.
A.3 Design Integration Option 1 – A Single Organisation’s CEM Manages and

Integrates Design
A.3.1 Design Integration Option 1 – Network Rail appoints and allocates
responsibility for design to a single organisation.
A.3.2 The appointed organisation is accountable for co-ordinating the output from,
and managing cooperation between, all designers and any sub-contracted Design
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Organisations, producing design for the project.

A.3.3 The CEM for the single organisation shall implement the process that
integrates all designs for a project; this includes the management of the IDC process.
The DPE shall support the process as appropriate and verify that coordination and
integration have taken place.
Page 43 of 49
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Issue: 8
Date: 4 March 2023
A.3.4 The CEM and all CREs retain full accountability for their design including its
capability to interface correctly with other designs and submit deliverables to Network
Rail for acceptance in accordance with Clause 15.
Accountable for managing design integration process

between disciplines A, B and C Discipline B
CRE
Organisation 1
Network Rail
Discipline A
DPE
CEM / CRE
Discipline C
Network Rail Contract Relationship for Design CRE
Relationship Integration
Figure A-1 - – Design Integration Option 1
A.4 Design Integration Option 2 – A Lead Design Organisation is appointed to

Integrate Design
A.4.1 Design Integration Option 2 - Network Rail allocates responsibility to a number
of Design Organisations for the Design on a given project. One Design Organisation
is appointed as a Lead Design Organisation (LDO) and the CEM in that Design
Organisation is accountable for co-ordinating the output from, and managing co-
operation between, all Design Organisations producing design for the project.
A.4.2 If this option is implemented, then the appointment as an LDO is recorded and
included in the specification issued for the works and therefore included in any
Contract.
A.4.3 The CEM for the LDO shall implement 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.4.4 The CEM and CREs retain full accountability for their design including its
capability to interface correctly with other designs and its submission to Network Rail
for Acceptance in accordance with Clause 15.
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A.4.5 This option will also apply where Network Rail appoints a Design Co-ordinating
Organisation where the service output is limited to the management and coordination
activities only. In this instance Discipline A will be considered as one of the other
Design Organisations in Figure A.2.
Page 44 of 49
OFFICIAL
Issue: 8
Date: 4 March 2023
Single Delivery Group Model
LDO CEM appointed and allocated

accountability for design integration process Discipline B
Multi Discipline CRE
between disciplines A, B, C and D
Organisation 1
(LDO)
Discipline A
CEM / CRE
Network Rail Discipline C

DPE CRE
Organisation 2
Relationship for Design
Discipline D
Integration
CEM / CRE
Network Rail Contract
Relationship
Single Discipline
Pan Delivery Group Model
LDO CEM appointed and allocated

accountability for design integration process
between disciplines A, B, C, D and E
Discipline B
CRE
Network Rail Organisation 1

Lead (LDO)
Programme Discipline A
(DPE) CEM / CRE
Discipline C
CRE
Discipline D
CEM / CRE
Organisation 2
Network Rail Discipline E
Supporting CEM / CRE
Programme
PE
Discipline E
Relationship
Relationship for Design

Integration
Network Rail Project Team
Figure A-2 – ‘Design Integration Option 2’
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Page 45 of 49
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Issue: 8
Date: 4 March 2023
A.5 Design Integration Option 3 – A bespoke design integration option is

applied
A.5.1 Design Integration Option 3 – Network Rail identify a bespoke methodology for
integrating the design.
A.5.2 The DPE should clarify that the arrangements for design integration are
understood by all CEMs and CREs delivering packages of work and any interfacing
projects.
A.5.3 Each CEM and CRE retain 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 Clause 15.
NOTE: Cognisance should be taken that any bespoke arrangements take into account the
Interdisciplinary Coordination requirements given in Clause 15.
A.6 Integration of Construction Works
A.6.1 Introduction
A.6.1.1 There are 2 options available to a project for the engineering management of
construction co-operation and co-ordination:
a) Construction Integration Option 1 – An external Contractor organisation
integrates construction and is appointed as Principal Contractor (PC); or
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b) Construction Integration Option 2 – Network Rail integrates construction and is
appointed as PC.
NOTE: Where a single Contractor is solely involved in carrying out the Project works then the
requirements within this standard for ‘PC’ are applicable to the construction integration of those works.
A.6.2 Construction Integration Option 1 – An external Contractor organisation

integrates construction and is appointed as PC
A.6.2.1 The Principal Contractor’s CEM, as the principal engineering representative
of the Principal Contractor’s organisation, leads on all engineering issues associated
with the execution of the PC role.
A.6.2.2 The PC CEM shall coordinate the engineering activities for all construction
organisations during the construction phase.
A.6.2.3 All CEMs and CREs shall fully co-operate and support the PC CEM in
undertaking these duties.
A.6.2.4 The DPE shall verify that appropriate co-ordination and integration takes
place.
A.6.2.5 Any process or review requirements for verification should be identified in the
project ECMP.
Page 46 of 49
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Issue: 8
Date: 4 March 2023
Single Delivery Group Model – Single Contractor

DPE liaises with
Organisation 1 CEM as
required to enable PC to Organisation 1 CEM leads on
meet role requirements technical issues on behalf of the Organisation 1
PC – Organisation 1 Sub-Contract
Discipline B
CRE
--``,,,```,`,`,,,,,,,`,`,``,`,,-`-`,,`,,`,`,,`---
Organisation 1
(Principal
Network Rail
Contractor)
DPE
Discipline A
CEM / CRE Organisation 1
Sub-Contract
Discipline C
Network Rail Contract Relationship for CRE
Relationship Construction Integration
Single Delivery Group – Multiple Contractors

Organisation 1 CEM leads on technical issues on Network Rail Contract
behalf of the PC – Organisation 1 Relationship
DPE liaises with Organisation 1 Relationship for
Organisation 1 CEM as Multi Discipline Sub Contract Construction Integration
required to enable PC to Discipline B
meet role requirements Organisation 1 CRE
(Principal
Contractor)
Discipline A
CEM / CRE
Organisation 1
Sub Contract
Network Rail Discipline C
DPE CRE
Organisation 2 Organisation 2 CEM leads on construction technical

Discipline D issues on behalf of Organisation 2 and liaises with
CEM / CRE Organisation 1 CEM as required to enable PC to
meet role requirements
Single Discipline

DPE liaises with
Organisation 1 CEM as
required to enable PC to
Organisation 1 CEM leads on technical issues on
Network Rail behalf of the PC – Organisation 1
Organisation 1
Project Team
Sub -Contract
Discipline B
CRE
Organisation 1
Network Rail
(Principal
Lead
Contractor)
Programme
Discipline A
(DPE)
CEM / CRE
Organisation 1
Sub-Contract
Discipline C
CRE
Network Rail
Supporting Organisation 2
Programme Discipline D
PE CEM / CRE
Discipline E Network Rail Contract
Relationship
Relationship for
Construction Integration
Organisation 3
Discipline E
CEM /CRE Organisation 3 CEM leads on
Organisation 2 CEM leads on construction technical issues on
construction technical issues on behalf of Organisation 3 and liaises
behalf of Organisation 2 and liaises with Organisation 1 CEM as required
with Organisation 1 CEM as required to enable PC to meet role
to enable PC to meet role requirements
requirements
Figure A-3 – Construction Integration Option 1
Page 47 of 49
OFFICIAL
Issue: 8
Date: 4 March 2023
A.6.3 Construction Integration Option 2 – Network Rail integrates construction

and is appointed as Principal Contractor
A.6.3.1 The DPE, as the principal engineering representative of the Principal
Contractor’s organisation, leads on all engineering issues associated with the
execution of the PC role.
A.6.3.2 The DPE shall coordinate the engineering activities for all construction
organisations during the construction phase.
A.6.3.3 All CEMs and CREs shall fully co-operate and support the DPE in
undertaking these duties.
A.6.3.4 The DPE shall document any additional process or requirements for
discharging these duties be included in all CR-T’s (or equivalent) documentation, for
each package of work; and included in the Project ECMP.
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Page 48 of 49
OFFICIAL
Issue: 8
Date: 4 March 2023
Single Delivery Group Model

Organisation 1 CEM leads on construction
technical issues on behalf of Organisation 1 and
liaises with DPE as required to enable PC to
Organisation 1
Sub-Contract
Multi Discipline Discipline B
CRE
DPE leads on technical issues on behalf of the
PC – Network Rail Organisation 1
Discipline A
CEM / CRE
Organisation 1
Network Rail Sub-Contract
DPE Discipline C
Single Discipline CRE
Relationship
Organisation 2
Relationship for Discipline D Organisation 2 CEM leads on
Construction Integration CEM / CRE construction technical issues on
behalf of Organisation 2 and liaises
with DPE as required to enable PC to

Organisation 1 CEM leads on construction
technical issues on behalf of Organisation 1 and
liaises with DPE as required to enable PC to
DPE leads on technical issues on meet role requirements
behalf of the PC – Network Rail
Organisation 1
Sub-Contract
Discipline B
CRE
Network Rail
Organisation 1
Lead
Discipline A
Programme
CEM / CRE
(DPE)
--``,,,```,`,`,,,,,,,`,`,``,`,,-`-`,,`,,`,`,,`---
Organisation 1
Sub-Contract
Discipline C
CRE
Organisation 2 Network Rail Contract

Discipline D Relationship
CEM / CRE Relationship for
Construction Integration
Network Rail
Supporting Organisation 3 Organisation 2 CEM leads on
Programme Discipline E construction technical issues on
PE CEM / CRE behalf of Organisation 2 and liaises
Discipline E with DPE as required to enable PC to
Network Rail Organisation 3 CEM leads on

Project Team construction technical issues on
behalf of Organisation 3 and liaises
with DPE as required to enable PC to
Figure A-4 – Construction Integration Option 2
Page 49 of 49
OFFICIAL
V7.0
Standard and control document briefing note

Ref: NR/L2/RSE/02009 Issue: 8
Title: Engineering Management for Projects
Publication date: 4 March 2023 Compliance Date: 3 June 2023
Standard/Control Document Owner: Brian Tomlinson, Chief Systems Engineer
Standard change lead/contact for briefings: Daniel Recchia, Senior Programme Tel: 07919 128510
Engineering Manager
Purpose: Scope:
This standard aligns engineering management practices with This standard applies to the following key areas:
elements of legislative instruments, including the Construction
(Design and Management) Regulations 2015, Common Safety a) key engineering roles including accountabilities and
Method for Risk Evaluation and Assessment Regulation (EU) responsibilities;
and The Railways (Interoperability) Regulations 2011, where b) relationship and links to key standards and legislation;
c) engineering interface management arrangements;
work is undertaken on the Network Rail Infrastructure.
d) appointment processes for key engineering roles;
The benefit of the standard, is that it provides clear and e) engineering and construction management plans;
consistent engineering management requirements for specific: f) managing non-compliances to standards;
g) technical approval and technical acceptance processes;
• accountabilities and responsibilities; h) production of engineering compliance certificates;
• competence requirements; and i) competence assessment requirements; and
j) management and review of engineering deliverables.
• processes
It applies to all organisations working on projects; including
It provides a framework of processes and requirements that Network Rail Alliances, Joint Ventures and Capital Delivery and
are appropriate for the scope and complexity of the project, maintenance teams respon sible for the design, delivery and
programme or portfolio being managed. assurance of the engineering requirements of Projects,
Programmes and Portfolios impacting Network Rail
Adherence to this standard will help increase the successful
infrastructure, that:
delivery of Network Rail’s Project Portfolio and reduce
associated reputational, financial and safety risks. • change, renew, enhance or remove the operational
railway;
• are defined in NR/L1/CIV/094 as Third Party works,
unless an agreed and documented arrangement is in
place with Network Rail;
• are defined in NR/L1/CIV/094 as Outside Party works
that require incidental changes to the Network Rail
Infrastructure, unless an agreed and documented
arrangement is in place with Network Rail.
What’s new, what’s changed and why:

The change for Version 8 is in response to a post implementation review of version 7 and incorporates the comments and
feedback received , as such this briefing note should be read in conjunction with that for version 7. The key changes are the
removal of the DE01 competency and associated references thereof; the addition of allowing the expansion of the Contractor’s
Engineering Manager/Contractor’s Responsible Engineer (CEM/CRE) roles within alliances; allowing the Departmental
Engineering Manager (DEM) to also be appointed to the Designated Project Engineer (DPE) role (as previous version 6) and
additional clarification on the use of Technical Queries (TQs) when the Approved For Construction design is affected. The affected
standard and modules have also been updated to align with Project Acceleration in a Controlled Environment (PACE).
Detail of change
Section(s)/clause(s) Summary of changes

8.2.3 Deletion of clause and associated note – requirement for CRE to identify where the DE01 competency
is not required
9.2.4 New clause to clarify that the expansion of the CEM/CRE role within alliances is allowed
10.3.2.4 Clause updated to now allow the DEM to also be able to act as a DPE within the same delivery group
10.4.6.3 Deletion of clause and associated note – requirement to assess against DE01
13.2.1 – bullet c New clause to clarify the use of TQs when the AFC design is affected
NR/L2/RSE/02009/01 Module 1 updated to remove the DE01 competency
NR/L2/RSE/02009/F0038 Form updated to align with clause 10.3.2.4 for the Senior Engineer to countersign when the DEM is
also to act as a DPE
General Update GRIP references to PACE within body of documents
General Update iELC to Engineering Milestone Reviews to align with NR/L2/P3M/201
Affected documents
Reference Issue Impact Document type
NR/L2/RSE/02009 7 Superseded Standard
NR/L2/RSE/02009/01 2 Superseded Module
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NR/L2/RSE/02009/F0038
Provided by S&P Global under license with Network Rail
3 Superseded
Licensee=Amey OWR Ltd./1121223024, User=Organ, Paul
Form
OFFICIAL
V7.0
Briefing requirements:
Briefings are given to those who have specific responsibilities within, or are directly affected by, this standard/control document.
A copy of briefings may be available from the Standards & Controls intranet site or IHS.
Requirements to cascade briefings are described within any implementation plans.
Briefing Responsible for

Role Function cascade briefing?
(O-Overview/
D-Detailed) Y/N
Regions, CFO, Route Y
Services, Technical
D Project Engineering Authority, System
Operator, National
Programmes (e.g. TRU)
Regions, CFO, Route Y
Services, Technical
D Programme Management Authority, System
Operator, National
Regions, CFO, Route N
Services, Technical
O Sponsorship Authority, System
Operator, National
NOTE: Contractors are responsible for arranging and undertaking their own Detailed and Overview Briefings in accordance with their own processes
and procedures.
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Modular standard notice

Information for users

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Engineering Management for Projects

Content approved by:

Content approved by:

Approved for publication by:

Uncontrolled copy once printed from its electronic source.

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Red requirements – no variations permitted

Amber requirements – variations permitted subject to approved risk analysis

• Amber requirements are monitored for compliance.

Copyright Network Rail

Forms; details of individual forms are located with the

6 September 2015 Supersedes NR/L2/INI/02009, Issue 5

Copyright Network Rail

update references from GRIP to PACE and update of

(GRIP) - Controlling a Project Stage

NR/L2/TEL/30022 Engineering Assurance Arrangements for

a) Health and Safety at Work etc. Act 1974

HSG85 Electricity at work: Safe working practises

It applies to all organisations working on projects; including Network Rail Alliances,

Copyright Network Rail

• are defined in NR/L1/CIV/094 as Outside Party works that require incidental

2.3 Associated Modules

2.4 Associated Forms

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

3 Roles and responsibilities

Contractor/Supplier A person or organisation providing deliverables, products or

Network Rail to support the acceptance reviews undertaken by

It may contain details of design and construction hazards and

Interdisciplinary Review A review to confirm that the information included in the

Risk Effect of uncertainty on objectives or an uncertain event

Copyright Network Rail

5 Relationship with Other Key Standards and Legislation

5.3 Relationship with the application of the railway interoperability regulations

an interoperability authorisation for the placing in service of that subsystem.

6 Links between programme management / engineering

8 Identification of engineering resources for projects

8.1 Network Rail project engineering resources

8.2 Design/construction organisation resources

9 Arrangements for Alliances

10 Appointment of project engineering roles

Lead Discipline Engineer

Project Engineer (PE)

Project Manager (PM)

Design Engineer (DE)

accountability to make sure that a task or action is

10.3.1 Senior Engineer appointment A I

10.3.2 Departmental Engineering Manager appointment A/R C

10.3.3 Lead Discipline Engineer appointment A/R I I I C

10.4.1 Designated Project Engineer appointment A/R C I C I I

10.4.2 Network Rail project engineering team

10.4.3 CEM appointment I A/R I C

10.4.4. CRE appointment C C I A/R C

10.4.5. Expansion of CEM/CRE roles A C C I C R R

10.4.6 Design Engineer appointment I A R C

10.4.7 Contractors additional technical appointments I C I A R

Table 2 - RACI for appointment of project specific engineering roles

15.5 Combined IDC/IDR A/R(1) C I C A/R(1) C C