BIM4NR Health and Safety (H&S) File Process

Original Document Ref: NR-IP-PC-

Version: 3.0

Transitional Ref: BIM4NR-006

April 2021

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TRANSITIONAL DOCUMENT: This document is in the process of being updated.

This document was produced by the BIM4NR (formerly BIM4IP) Change Programme to enable

NR Infrastructure Projects to effectively implement Building Information Modelling (BIM)

according to BS1192 suite of standards using Governance of Railway Investment Projects (GRIP)

stages.

Since publication: the operating model used by Network Rail has transformed into a devolved

organisation of 5 regions supported by services and functions; the BS1192 suite of standards are

being superseded by the ISO19650 suite; and GRIP stages are being replaced by Project

Acceleration in a Controlled Environment (PACE) Phases.

For inflight projects using these materials following the GRIP Stages no change is needed and this

document can be used as is.

For new projects using PACE and/or ISO19650 this material can be used as reference in

conjunction with advice from the NR Regional BIM Lead (https://nrbimportal.co.uk/contact-us/).

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1 Purpose

The purpose of this document is to describe the process by which a project interacts with the National Records

Group (NRG) in compiling their Health and Safety files. The delivery, by the project, of a Health and Safety file

is a legal requirement and also a GRIP deliverable. Its proper completion depends on interacting with NRG

and registering the project and what the Health and Safety file will contain.

2 Scope

This document is applicable to all projects from Infrastructure Projects.

2.1 Responsibility and Accountability

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5.2 QF703 & DDM Submittal

5.2.2 Complete QF703 form I R A C

5.2.3 Complete the Document Deliverable Matrix (DDM) I R A C

5.2.4 Obtain Approval from Client Representative I R A C

5.2.5 Send Completed QF703 and DDM to NRG R A

5.2.7 Update with missing information R A C

5.2.8 Receive Approved QF703 and DDM R A

5.3.2 Review QF703 and DDM I R C A

5.3.3 Make Amendments to QF703 and DDM I R A C

5.3.4 Obtain Approval from Client Representative I R A C

5.3.5 Send completed QF703 and DDM to NRG R A

5.3.7 Update with missing information I R A C

5.3.8 Receive Approved QF703 and DDM R A

5.3.9 Approved QF703 R A

5.3.10 Approved DDM R A

5.4.2 Arrange and Engineering Check A R C

5.4.3 Complete QF915 R A C

5.4.4 Send completed QF915 and “As Built” records to NRG R A

5.4.6 Resolve issues R A C

5.4.7 Receive “As Built” acceptance form R A

5.4.8 Accepted “As Built” form R A

5.5 Health and Safety file handback A

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5.5.2 Insert “As Built” acceptance form into H&S file R A

5.5.3 Obtain Approval from Sponsor team I A C R

5.5.4 Complete the QF704 form I R C A

5.5.5 Send Completed Health and Safety file with QF704 to NRG R A

5.5.7 Resolve Issues R A C

5.5.8 Receive Approved QF704 R A I

5.5.9 Approved QF704 or approved QF702 R A I

3 Document History

Please see version history on NR IMS which includes comments relating to changes made, by whom

and when. From the documents library, right click on the document title and select ‘version history’.

4 Definitions, Abbreviations and Referenced Documents

4.1 Definitions Term to be defined Concise definition of term

‘shall’ A mandatory requirement which is required to be followed without exception.

4.2 Abbreviations Abbreviation Full terminology

NRG National Records Group

H&S Health and Safety file

DDM Deliverable Document Matrix

4.3 Process References and Referenced Documentation Supporting Documentation:

Supporting material referenced in this document is shown in the following table:

Reference Number Title Owning Profession

NR/L2/INF/02202 Network Rail Standard for production of Health and Safety files

National Records Group

NR/L2/INF/02018. Network Rail Standard for Specification for the Management of Safety Related Infrastructure Records

National Records Group

4.4 Supporting Process Information

Strategic Objective: Critical

Success Factor:

L3 Process Name: L3 Process Reference:

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We safely and sustainably

deliver infrastructure

projects 'On Time' /'On

Spec' / 'On Cost' for our

Route Clients

Consistency in

our delivery

approach

Customer Document

Management 2.1.6

5 Requirements

5.1 Start

This shall be the start point for the Health and Safety handback process.

5.2 QF703 & DDM Submittal

A project at GRIP stage 1 to 3 shall complete a QF703 form and complete a Deliverable Document Matrix

(DDM)

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5.2.1 Start of QF703 & DDM Submittal This is the start point of the sub process by which a project completes and submits a QF703 form

and its Deliverable Document Matrix (DDM)

5.2.2 Complete QF703 form A QF703 form is a form from NRG which registers the project with NRG and records a memorandum

of understanding that the project intends to return a Health and Safety file. This form records some

basic details of the project and the principle people involved in the project. It also records an

anticipated date for the submission of the H&S file to NRG.

Multiple projects can be recorded on a single QF703 or a project can be split into several parts each

returning a H&S file.

If additional sections are added to the DDM these should be recorded here.

5.2.3 Complete the Document Deliverable Matrix (DDM) The DDM is a document supplied by NRG which accompanies the QF703 and provides a structure for

the delivery of the H&S file. Different disciplines are required to complete their own section

informing NRG of what documents the final H&S file will consist of.

Only the sections relevant to the project should be completed.

Additional sections may be added by the Principal Designer or principal Design representative and

these shall be advised in the QF703

A separate DDM should be completed for each H&S file the project expects to deliver.

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5.2.4 Obtain Approval from Client Representative Once the QF703 form and the DDM have been completed by the project they should be approved

and signed off by the client representative.

5.2.5 Send Completed QF703 and DDM to NRG The completed and approved QF703 and DDM shall be sent by transmittal to NRG at

NRGenquires@networkrail.co.uk.

These documents will be checked by NRG to ensure all the information has been completed. If

further information is required the project will be contacted.

5.2.6 NRG Receive, Log and Approve QF703 and DDM Once NRG have all the information required the projects compliance will be logged and the

approved QF703 and DDM returned to the Project for their records.

5.2.7 Update with missing information If NRG require further information on the projects QF703 or DDM submission the project shall

provide it and once the QF703 and DDM has been revised the project should seek Client

representative approval again.

5.2.8 Receive Approved QF703 and DDM Upon receipt of the Approved QF703 and DDM from NRG these documents should be filed in the

CDE as records.

5.2.9 Approved QF703 This document should be filed in the projects CDE as a record of the agreement between the project

and NRG of their intent to deliver H&S files.

5.2.10 Approved DDM This document should be filed in the projects CDE as a record of the agreement between the project

and NRG of the proposed content of the H&S file.

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5.3 Update of QF703 and DDM During GRIP stages 4 to 5 the project may decide that the details recorded in either the QF703 or the

DDM need to be revised. This sub process explains how this should happen.

5.3.1 Start of the Update of QF703 and DDM This is the start point of the sub process by which a project can revise their QF703 form and its

Deliverable Document Matrix (DDM)

5.3.2 Review QF703 and DDM The inputs to this process are the Approved QF703 and the Approved DDM created in the

compliance with section 5.2 of this procedure.

At any stage throughout the project the QF703 and its DDM can be reviewed and if amendments are

required they can be made.

5.3.3 Make Amendments to QF703 and DDM If amendments are required these should be made especially concerning the expected delivery date

of the final H&S file.

If the scope or related disciplines of the project changes the relevant sections in the DDM can be

amended.

If the project wishes to break up the delivery of their H&S file, this is another reason for amending

the QF703 and DDM to inform NRG of the projects intentions.

5.3.4 Obtain Approval from Client Representative Any amendments should be approved by the Client representative.

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5.3.5 Send completed QF703 and DDM to NRG The revised and approved QF703 and DDM shall be sent by transmittal to NRG at

NRGenquires@networkrail.co.uk.

These documents will be checked by NRG to ensure all the information has been completed. If

further information is required, the project will be contacted.

5.3.6 NRG Receive, Log and Approve QF703 and DDM Once NRG have all the information required the projects compliance will be logged and the

approved QF703 and DDM returned to the Project for their records.

5.3.7 Update with missing information If NRG require further information on the projects QF703 or DDM submission the project shall

provide it and once the QF703 and DDM has been revised the project should seek Client

representative approval again.

5.3.8 Receive Approved QF703 and DDM Upon receipt of the Approved QF703 and DDM from NRG these documents should be filed in the

CDE as records.

5.3.9 Approved QF703 This document should be filed in the projects CDE as a record of the agreement between the project

and NRG of their intent to deliver H&S files.

5.3.10 Approved DDM This document should be filed in the projects CDE as a record of the agreement between the project

and NRG of the proposed content of the H&S file.

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5.4 Submittal of As Built Records At GRIP Stage 7 the As built records for a project are submitted separately form the H&S file.

5.4.1 Start of the Submittal of As Built Records This is the start of the sub-process for the submittal of as built records. Once the as built records

have been received and accepted by NRG they issue an acceptance form which takes their place in

the actual H&S file.

The project shall compile it’s as built records and these shall be checked by a competent Engineer in

accordance with NR/L2/INF/02018 in that they are suitable for submission to NRG

5.4.2 Arrange and Engineering Check If the Engineering check is not complete one should be arranged.

5.4.3 Complete QF915 Form QF915 should be completed. The exact nature of this form depends on the discipline. There

are separate QF915 forms for:

QF 915 for Return of “As built” Signalling records

QF 915 for Civils, transmittal for civils “As Built” records

QF915 for Telecoms

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5.4.4 Send completed QF915 and “As Built” records to NRG Once completed, the QF915 and the as built records shall be transmitted to NRG in accordance with

NR/L2/INF/02018 Specification for the Management of Safety Related Infrastructure Records

5.4.5 NRG to Receive, log and Approve these records. Once received NRG will quality check the as built records and check that everything required has

been delivered.

5.4.6 Resolve issues If additional information is required, they will contact the project for clarification. Once these are

resolved the As Built records and the QF915 can be re submitted.

5.4.7 Receive “As Built” acceptance form If NRG accept the As built records they will issue an As Built acceptance form.

5.4.8 Accepted “As Built” form This form should be stored in the projects CDE and used in the H&S file to indicate the project has

submitted and had approved its as built records.

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5.5 Health and Safety file handback At the GRIP 7 stage gate review, the health and Safety file is submitted to NRG and handed back. The

Health and Safety file should be compiled during the project and built up over the preceding GRIP

stages. The compilation of the H&S file should not be left until GRIP 8 and at each GRIP stage gate

the progress and management of the Health and Safety file should be assed to ensure it is being

compiled as the project continues rather than being left until the end.

5.5.1 Start of the sub process for the submission of the Projects health and

Safety file This is the start of the sub-process for the handback of Health and Safety files to NRG.

The Health and Safety file shall be reviewed to ensure it is ready for submission and in accordance

with the current QF703 and DDM.

5.5.2 Insert “As Built” acceptance form into H&S file In place of the actual as built records in the health and Safety file, the As Built Acceptance form from

NRG should be inserted.

5.5.3 Obtain Approval from Sponsor team The Sponsor team shall approve the submission of the health and Safety file from the project to NRG

as a GRIP deliverable.

5.5.4 Complete the QF704 form The QF704 form from NRG shall be used to record the details of what is being sent from the project

to NRG. It contains details of the project and its principal members, who is sending the Health and

Safety file and basic details of the project it covers.

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5.5.5 Send Completed Health and Safety file with QF704 to NRG The Health and Safety file accompanied by the QF704 should be sent by transmittal to NRG

5.5.6 NRG to Receive, log and Accept the H&S file Once received by NRG the transmittal shall be acknowledged and NRG will review the Health &

Safety file against the current QF703 and DDM. If NRG require additional information they will

contact the Project and issue a QF702 form “H&S file Rejected/on hold” indicating what is issues

they have determined.

NRG are not responsible for checking the technical content of Health and Safety files. This is the

responsibility of the Principle Design Representative.

5.5.7 Resolve Issues Any issues outstanding from the submission of the health and Safety files shall be resolved by the project and the revised H&S file re submitted. Upon resolution of these issues NRG shall issue a QF702 “Acceptance / Rejection of Returned Health and Safety File”

5.5.8 Receive Approved QF704 Upon NRG’s successful review of the H&S file they shall return an approved QF704 or QF702 if issues

have been resolved by the project.

5.5.9 Approved QF704 or approved QF702 This form should be stored in the projects CDE and used in the H&S file to indicate the project has

submitted and had approved its Health and Safety fil

5.6 Finish

This is the final step in the Handback process.

Output The output from this procedure is a Health and Safety file received, logged and acknowledged by

NRG. This satisfies the legal requirement for projects to supply an health and Safety file for the

works they have completed. The project governance records contain the evidence that the project

has complied with both the law and with Network Rail Standards.

6 Metrics and Assurance

The level of compliance in NR across its regions shall be measured. NRG currently publishes a report

periodically detailing the status of each Project concerning their QF703 submission and the submission of their

Health and Safety file. This report shall be combined with Oracle data detailing the current GRIP stage of

projects to determine NR’s perspective.

6.1 What is being measured?

NRs degree of compliance with the standard is being measured.

This shall be measured in two areas:

• Delivery by Project and acceptance by NRG of QF703 (and DDM)

• Delivery by Project and acceptance by NRG of Health and Safety file

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6.2 Metric Categories

Type Measure / Metric / Assurance / Verification Red Amber Green

1 Delivery by project and acceptance by NRG of the Health and Safety file.

< 90% 90% -

98%

> 98%

2 Delivery by project and acceptance by NRG of the QF703 and DDM

< 90% 90% -

98%

> 98%