Technical Guidelines for the Development of Small Hydropower PlantsManageMent
Part 1: Project ConstructionManagement
SHP/tg 005-1: 2019
D I S C L A I M E R
This document has been produced without formal United Nations editing. The designations and the presentation of the material in this document do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations Industrial Development Organization (UNIDO) concerning the legal status of any country, territory, city or area of its authorities, or concerning the delimitation of its frontiers or boundaries, or its economic system or degree of development. Designations such as “developed”, “industrialized” and “developing” are intended for statistical convenience and do not necessarily express a judgement about the stage reached by a particular country or area in the development process. Mention of company names or commercial products does not constitute an endorsement by UNIDO. Although great care has been taken to maintain the accuracy of information herein, neither UNIDO nor its Member States assume any responsibility for consequences which may arise from the use of the material. This document may be freely quoted or reprinted but acknowledgement is requested.
© 2019 UNIDO / INSHP- All rights reserved
Technical Guidelines for the Development of Small Hydropower PlantsManageMent
Part 1: Project ConstructionManagement
SHP/tg 005-1: 2019
ACKNOWLEDGEMENTS
The technical guidelines (TGs) are the result of a collaborative effort between the United Nations Industrial Development
Organization (UNIDO) and the International Network on Small Hydro Power (INSHP). About 80 international experts and 40
international agencies were involved in the document’s preparation and peer review, and they provided concrete comments
and suggestions to make the TGs professional and applicable.
UNIDO and the INSHP highly appreciate the contributions provided during the development of these guidelines and in
particular those delivered by the following international organizations:
- The Common Market for Eastern and Southern Africa(COMESA)
- The Global Network of Regional Sustainable Energy Centres (GN-SEC), particularly the ECOWAS Centre for Renewable
Energy and Energy Efficiency (ECREEE), the East African Centre for Renewable Energy and Energy Efficiency (EACREEE),
the Pacific Centre for Renewable Energy and Energy Efficiency (PCREEE) and the Caribbean Centre for Renewable Energy
and Energy Efficiency (CCREEE).
The Chinese government has facilitated the finalization of these guidelines and was of great importance to its completion.
The development of these guidelines benefited greatly from the valuable inputs, review and constructive comments as well as
contributions received from Mr. Adnan Ahmed Shawky Atwa, Mr. Adoyi John Ochigbo, Mr. Arun Kumar, Mr. Atul Sarthak, Mr.
Bassey Edet Nkposong, Mr. Bernardo Calzadilla-Sarmiento, Ms. Chang Fangyuan, Mr. Chen Changjun, Ms. Chen Hongying , Mr.
Chen Xiaodong, Ms. Chen Yan, Ms. Chen Yueqing, Ms. Cheng Xialei, Ms. Chileshe Kapaya Matantilo, Ms. Chileshe Mpundu
Kapwepwe, Mr. Deogratias Kamweya, Mr. Dolwin Khan, Mr. Dong Guofeng, Mr. Ejaz Hussain Butt, Ms. Eva Kremere, Ms. Fang
Lin, Mr. Fu Liangliang, Mr. Garaio Donald Gafiye, Mr. Guei Guillaume Fulbert Kouhie, Mr. Guo Chenguang, Mr. Guo Hongyou,
Mr. Harold John Annegam, Ms. Hou ling, Mr. Hu Jianwei, Ms. Hu Xiaobo, Mr. Hu Yunchu, Mr. Huang Haiyang, Mr. Huang
Zhengmin, Ms. Januka Gyawali, Mr. Jiang Songkun, Mr. K. M. Dharesan Unnithan, Mr. Kipyego Cheluget, Mr. Kolade Esan, Mr.
Lamyser Castellanos Rigoberto, Mr. Li Zhiwu, Ms. Li Hui, Mr. Li Xiaoyong, Ms. Li Jingjing, Ms. Li Sa, Mr. Li Zhenggui, Ms. Liang
Hong, Mr. Liang Yong, Mr. Lin Xuxin, Mr. Liu Deyou, Mr. Liu Heng, Mr. Louis Philippe Jacques Tavernier, Ms. Lu Xiaoyan, Mr. Lv
Jianping, Mr. Manuel Mattiat, Mr. Martin Lugmayr, Mr. Mohamedain SeifElnasr, Mr. Mundia Simainga, Mr. Mukayi Musarurwa,
Mr. Olumide TaiwoAlade, Mr. Ou Chuanqi, Ms. Pan Meiting, Mr. Pan Weiping, Mr. Ralf Steffen Kaeser, Mr. Rudolf Hüpfl, Mr. Rui
Jun, Mr. Rao Dayi, Mr. Sandeep Kher, Mr. Sergio Armando Trelles Jasso, Mr. Sindiso Ngwenga, Mr. Sidney Kilmete, Ms. Sitraka
Zarasoa Rakotomahefa, Mr. Shang Zhihong, Mr. Shen Cunke, Mr. Shi Rongqing, Ms. Sanja Komadina, Mr. Tareqemtairah, Mr.
Tokihiko Fujimoto, Mr. Tovoniaina Ramanantsoa Andriampaniry, Mr. Tan Xiangqing, Mr. Tong Leyi, Mr. Wang Xinliang, Mr.
Wang Fuyun, Mr. Wang Baoluo, Mr. Wei Jianghui, Mr. Wu Cong, Ms. Xie Lihua, Mr. Xiong Jie, Ms. Xu Jie, Ms. Xu Xiaoyan, Mr. Xu
Wei, Mr. Yohane Mukabe, Mr. Yan Wenjiao, Mr. Yang Weijun, Ms. Yan Li, Mr. Yao Shenghong, Mr. Zeng Jingnian, Mr. Zhao
Guojun, Mr. Zhang Min, Mr. Zhang Liansheng, Mr. Zhang Zhenzhong, Mr. Zhang Xiaowen, Ms. Zhang Yingnan, Mr. Zheng Liang,
Mr. Mr. Zheng Yu, Mr. Zhou Shuhua, Ms. Zhu Mingjuan.
Further recommendations and suggestions for application for the update would be highly welcome.
TableofContents
Foreword Ⅳ……………………………………………………………………………………………………
Introduction Ⅴ………………………………………………………………………………………………
1 Scope 1……………………………………………………………………………………………………
2 Normativereferences 1…………………………………………………………………………………
3 TermsandDefinitions 1…………………………………………………………………………………
4 Projectmanagementorganization 4……………………………………………………………………
4.1 Generalprovisions 4…………………………………………………………………………………
4.2 Employer’srepresentative 4………………………………………………………………………
4.3 Ownerprojectmanager 4……………………………………………………………………………
5 Projectintegrationmanagement 4………………………………………………………………………
5.1 Generalprovisions 4…………………………………………………………………………………
5.2 Projectstart 5…………………………………………………………………………………………
5.3 Planningfortheprojectmanagement 5……………………………………………………………
5.4 Integratedvariationcontrol 6………………………………………………………………………
5.5 Evaluationoftheprojectmanagementperformance 7……………………………………………
6 Early-stageplanningoftheproject 8……………………………………………………………………
6.1 Generalprovisions 8…………………………………………………………………………………
6.2 Prefeasibilitystudyandthefeasibilitystudy 8……………………………………………………
7 Projectscopemanagement 9……………………………………………………………………………
7.1 Generalprovisions 9…………………………………………………………………………………
7.2 Scopeplanningandworkbreakdown 9……………………………………………………………
7.3 Verificationofthescope 10…………………………………………………………………………
7.4 Controlofthescopechanges 11……………………………………………………………………
8 Projecttechnicalmanagement 11………………………………………………………………………
8.1 Generalprovisions 11………………………………………………………………………………
8.2 Technicalmanagement 11……………………………………………………………………………
8.3 Projectsurveyanddesignmanagement 12………………………………………………………
9 Projectqualitymanagement 14…………………………………………………………………………
9.1 Generalprovisions 14………………………………………………………………………………
9.2 Qualitymanagementplan 14………………………………………………………………………
9.3 Qualitycontrol 15……………………………………………………………………………………
9.4 Qualitysupervisionandqualityimprovement 16…………………………………………………
10 Projectprogressmanagement 16………………………………………………………………………
10.1 Generalprovisions 16………………………………………………………………………………
10.2 Managementoftheprogressobjectives 17………………………………………………………
10.3 Projectschedule 17…………………………………………………………………………………Ⅰ
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10.4 Controlandadjustmentoftheprogress 18………………………………………………………
11 Projectcostmanagement 19……………………………………………………………………………
11.1 Generalprovisions 19………………………………………………………………………………
11.2 Estimatecontrolandexpensemanagement 19…………………………………………………
11.3 Finalaccounting 20…………………………………………………………………………………
12 Procurementmanagementfortheproject 20…………………………………………………………
12.1 Generalprovisions 20………………………………………………………………………………
12.2 Procurementplanning 21……………………………………………………………………………
12.3 Implementationoftheprocurement 21…………………………………………………………
13 Projectcontractmanagement 22………………………………………………………………………
13.1 Generalprovisions 22………………………………………………………………………………
13.2 Conclusionofthecontract 23……………………………………………………………………
13.3 PerformanceoftheContract 24…………………………………………………………………
13.4 Settlementuponcompletionofthecontract 24…………………………………………………
14 Projectenvironmentalprotectionandwaterandsoilconservationmanagement 25……………
14.1 Generalprovisions 25………………………………………………………………………………
14.2 Planningforenvironmentalprotectionandwaterandsoilconservation 25…………………
14.3 Environmentalprotectionandwaterandsoilconservationimplementation 26………………
14.4 Environmentalprotectionandwaterandsoilconservationacceptance 26……………………
15 Engineermanagement 26………………………………………………………………………………
15.1 Generalprovisions 26………………………………………………………………………………
15.2 Selectionoftheengineer 27………………………………………………………………………
15.3 Contentsoftheengineermanagementwork 27…………………………………………………
15.4 Examinationandsupervisionoftheengineer’sperformance 28………………………………
16 Projectcommunicationmanagement 28………………………………………………………………
16.1 Generalprovisions 28………………………………………………………………………………
16.2 Communicationmanagementplan 28……………………………………………………………
16.3 Implementationofcommunication 29……………………………………………………………
17 Projectinformationmanagement 30……………………………………………………………………
17.1 Generalprovisions 30………………………………………………………………………………
17.2 Documentmanagement 30…………………………………………………………………………
17.3 Archivemanagement 31……………………………………………………………………………
17.4 Informationsystemfortheprojectmanagement 31……………………………………………
18 Occupationalhealthandsafetymanagementfortheproject 32……………………………………
18.1 Generalprovisions 32………………………………………………………………………………
18.2 Worksafetymanagement 33………………………………………………………………………
18.3 Civilizedconstructionmanagement 33……………………………………………………………
18.4 Firefightingandsecuritymanagement 34………………………………………………………
19 Projectriskmanagement 34……………………………………………………………………………
19.1 Generalprovisions 34………………………………………………………………………………Ⅱ
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19.2 Riskidentification 35………………………………………………………………………………
19.3 Riskanalysis 35……………………………………………………………………………………
19.4 Riskresponse 36……………………………………………………………………………………
19.5 Riskmonitoringandcontrol 36……………………………………………………………………
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SHP/TG005-1:2019
Foreword
TheUnitedNationsIndustrialDevelopmentOrganization(UNIDO)isaspecializedagencyundertheUnitedNationssystemtopromotegloballyinclusiveandsustainableindustrialdevelopment(ISID).TherelevanceofISIDasanintegratedapproachtoallthreepillarsofsustainabledevelopmentisrec-ognizedbythe2030AgendaforSustainableDevelopmentandtherelatedSustainableDevelopmentGoals (SDGs), which willframe United Nations and country efforts towards sustainabledevelopmentinthenextfifteenyears.UNIDO’smandateforISIDcoverstheneedtosupportthecre-ationofsustainableenergysystemsasenergyisessentialtoeconomicandsocialdevelopmentandtoimprovingqualityoflife.Internationalconcernanddebateoverenergyhavegrownincreasinglyoverthepasttwodecades,withtheissuesofpovertyalleviation,environmentalrisksandclimatechangenowtakingcentrestage.
INSHP(InternationalNetworkonSmallHydroPower)isaninternationalcoordinatingandpromotingorganizationfortheglobaldevelopmentofsmallhydropower(SHP),whichisestablishedontheba-sisofvoluntaryparticipationofregional,subregionalandnationalfocalpoints,relevantinstitutions,
utilitiesandcompanies,andhassocialbenefitasitsmajorobjective.INSHPaimsatthepromotionofglobalSHPdevelopmentthroughtriangletechnicalandeconomiccooperationamongdevelopingcountries,developedcountriesandinternationalorganizations,inordertosupplyruralareasinde-velopingcountrieswithenvironmentallysound,affordableandadequateenergy,whichwillleadtotheincreaseofemploymentopportunities,improvementofecologicalenvironments,povertyallevi-ation,improvementoflocallivingandculturalstandardsandeconomicdevelopment.
UNIDOandINSHPhavebeencooperatingontheWorldSmallHydropowerDevelopmentReportsinceyear2010.Fromthereports,SHPdemandanddevelopmentworldwidewerenotmatched.Oneofthedevelopmentbarriersinmostcountriesislackoftechnologies.UNIDO,incooperationwithINSHP,
throughglobalexpertcooperation,andbasedonsuccessfuldevelopmentexperiences,decidedtodeveloptheSHPTGstomeetdemandfromMemberStates.
TheseTGsweredraftedinaccordancewiththeeditorialrulesoftheISO/IECDirectives,Part2(seewww.iso.org/directives).
AttentionisdrawntothepossibilitythatsomeoftheelementsoftheseTGsmaybesubjecttopa-tentrights.UNIDOandINSHPshallnotbeheldresponsibleforidentifyinganysuchpatentrights.
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Introduction
SmallHydropower(SHP)isincreasinglyrecognizedasanimportantrenewableenergysolutiontothechallengeofelectrifyingremoteruralareas.However,whilemostcountriesinEurope,NorthandSouthAmerica,andChinahavehighdegreesofinstalledcapacity,thepotentialofSHPinmanyde-velopingcountriesremainsuntappedandishinderedbyanumberoffactorsincludingthelackofgloballyagreedgoodpracticesorstandardsforSHPdevelopment.
TheseTechnicalGuidelinesfortheDevelopmentofSmallHydropowerPlants(TGs)willaddressthecurrentlimitationsoftheregulationsappliedtotechnicalguidelinesforSHPPlantsbyapplyingtheexpertiseandbestpracticesthatexistacrosstheglobe.Itisintendedforcountriestoutilizethesea-greeduponGuidelinestosupporttheircurrentpolicy,technologyandecosystems.Countriesthathavelimitedinstitutionalandtechnicalcapacities,willbeabletoenhancetheirknowledgebaseinde-velopingSHPplants,therebyattractingmoreinvestmentinSHPprojects,encouragingfavourablepoliciesandsubsequentlyassistingineconomicdevelopmentatanationallevel.TheseTGswillbevaluableforallcountries,butespeciallyallowforthesharingofexperienceandbestpracticesbe-tweencountriesthathavelimitedtechnicalknow-how.
TheTGscanbeusedastheprinciplesandbasisfortheplanning,design,constructionandmanage-mentofSHPplantsupto30MW.
● TheTermsandDefinitionsintheTGsspecifytheprofessionaltechnicaltermsanddefinitionscommonlyusedforSHPPlants.
● TheDesignGuidelinesprovideguidelinesforbasicrequirements,methodologyandprocedureintermsofsiteselection,hydrology,geology,projectlayout,configurations,energycalculations,
hydraulics,electromechanicalequipmentselection,construction,projectcostestimates,eco-nomicappraisal,financing,socialandenvironmentalassessments—withtheultimategoalofa-chievingthebestdesignsolutions.
● TheUnitsGuidelinesspecifythetechnicalrequirementsonSHPturbines,generators,hydrotur-binegoverningsystems,excitationsystems,mainvalvesaswellasmonitoring,control,pro-tectionandDCpowersupplysystems.
● TheConstructionGuidelinescanbeusedastheguidingtechnicaldocumentsfortheconstructionofSHPprojects.
● TheManagementGuidelinesprovidetechnicalguidanceforthemanagement,operationandmain-tenance,technicalrenovationandprojectacceptanceofSHPprojects.
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SHP/TG005-1:2019
TechnicalGuidelinesfortheDevelopmentofSmallHydropowerPlants-ManagementPart1:ProjectConstructionManagement
1 Scope
ThisPartofManagementGuidelinessetsforththebasiccontents,managementmethodandgeneralrequirementsforconstructionmanagementforsmallhydropower(SHP)projects.
2 Normativereferences
Thefollowingdocumentsarereferredtointhetextinsuchawaythatsomeoralloftheircontentconstitutesrequirementsofthisdocument.Fordatedreferences,onlytheeditioncitedapplies.Forundatedreferences,thelatesteditionofthereferenceddocument(includinganyamendments)ap-plies.
SHP/TG001,Technicalguidelinesforthedevelopmentofsmallhydropowerplants—Termsanddef-initions.
3 TermsandDefinitions
Forthepurposesofthisdocument,thetermsanddefinitionsgiveninSHP/TG001andthefollowingapply.
3.1 constructionmanagementfortheSHPproject
constructionoftheSHPprojectisplanned,organized,implemented,coordinated,controlled,andevaluatedusingthesystematicviewpointtheoryandmethod,toreachthespecificobjectivesofconstructionmanagementforSHPprojects
3.2employer
personnamedasemployerinthecontractagreementandthelegalsuccessorsintitletothisperson
3.3 employer’srepresentative
personnamedbytheEmployerinthecontractorappointedbytheEmployerinaccordancewiththe1
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provisionsofthecontract,whoactsonbehalfoftheEmployer
3.4 engineer
organizationorpersonneldesignatedinthecontractbytheownerortheorganizationorpersonnelappointedastherepresentativebytheownerinaccordancewiththecontractprovisions
3.5ownerprojectmanager
manageremployedorconfirmedbytheEmployertotakefullchargeoftheroutineworkoftheEm-ployer’srepresentative
3.6 stakeholder
personororganizationthathasinterestsin,orcanbeaffectedbytheimplementationandcompletionoftheSHPproject
3.7 mainstakeholder
personorOrganizationengagedintheconstructionoftheSHPproject,includingtheEmployer,theEmployer’srepresentative,thesurveyanddesignorganization,theEngineer,theContractorandtheequipmentsupplier
3.8
projectintegrationmanagement
managementworkrequiredtocoordinatethevariousmanagementactivitiesrelatingtotheproject
3.9
projectscopemanagement
managementactivitiesrequiredtodefine,plan,controlandchangethescopeoftheproject
3.10
projectprocurementmanagement
managementactivitiesnecessaryfortheprocurementoracquisitionofthedesigner,engineer,con-tractor,equipment,materials,transportation,laboursupplyandtherelevantconsultingservices2
SHP/TG005-1:2019
3.11 projectcontractmanagement
managementactivitiesneededfortheconclusion,performance,variationandterminationofthecontractsrelatingtotheproject
3.12 occupationalhealthandsafetymanagementfortheproject
managementactivitiesrequiredtoprotecttheprojectaswellastheon-sitepersonnel,facilitiesandequipmentagainstunacceptabledamagerisks
3.13 projectinformationmanagement
managementactivitiesrequiredtoensurethecollection,analysis,processing,storageandutilizationoftheprojectinformation
3.14projectcommunicationsmanagement
managementactivitiesrequiredtocoordinateandexchangeinformationwiththestakeholders
3.15projectriskmanagement
managementactivitiesrequiredtoidentify,analyse,respondandcontroltherisksinvolvedintheproject
3.16costmanagement
prediction,planning,control,accounting,analysisandevaluationfortheprojectcostcontrolobjec-tive
3.17progressmanagement
planning,organization,implementation,coordination,controland evaluationforthe projectprogressobjective
3.18qualitymanagement
planning,organization,implementation,coordination,controland evaluationforensuringtheprojectqualitycharacteristicstomeettheobjectiverequirements
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4 Projectmanagementorganization
4.1 Generalprovisions
4.1.1 TheconstructionmanagementfortheSHPprojectshallbeundertakenbytheEmployer.Theon-sitemanagementfortheconstructionoftheprojectshallbeundertakenbytheEmployer’srepre-sentative.TheEmployerortheEmployer’srepresentativeshallimplementtheprojectmanagerac-countabilitysystem.
4.1.2 ThedutiesoftheEmployerandtheEmployer’srepresentativeshallbedefinedrespectively.
4.2 Employer’srepresentative
4.2.1 TheEmployershalldetermine,inaccordancewiththeoutlineoftheprojectmanagement,themanagementtasksoftheEmployer’srepresentative,anddefinetheresponsibilityforaccomplishingtheprojectmanagementperformanceobjectives.
4.2.2 TheEmployer’srepresentativeshalldetermine,inlightofthemanagementtasks,theorgani-zationalstructure,departmentalfunctionsandposts.
4.2.3 TheEmployer’srepresentativeshallformulatethecorrespondingrulesandregulations,andsubmitthesametotheEmployerforapprovalortobefiledbytheEmployerforrecords.
4.3 Ownerprojectmanager
4.3.1 TheOwnerprojectmanagershallmanagetheproject,inaccordancewiththeresponsibilityfortheprojectmanagementperformanceobjective,andshallaccepttheexaminationandevaluationbytheEmployer.
4.3.2 TheOwnerprojectmanagershallnotberandomlyreplaced.Incaseitisreallynecessarytore-placetheprojectmanager,theprojectmanagershallbesubjecttoaresignationauditinaccordancewiththerelevantprovisions.TheEmployershallinformthemainstakeholders,in writing,inatimelymanner,ofthereplacementofprojectmanager.
5 Projectintegrationmanagement
5.1 Generalprovisions
5.1.1 Managementprocessfordeterminingtheprojectgeneralobjectiveandcoordinatingtherela-tionsbetweentheprojectscope,quality,schedule,cost,procurement,humanresources,commu-nication,risks,andotherfieldsthroughtheprojectgeneralmanagement.4
SHP/TG005-1:2019
5.1.2 Theprojectintegratedmanagementprocessshouldinclude(butnotbelimitedto)thefollow-ingitems:
a) Startprojectconstructionandprojectapproval;
b) Planprojectmanagementandpreparetheprojectmanagementoutlineandthecomprehensiveplanning;
c) Monitortheimplementationoftheprojectcomprehensiveplan;
d) Controltheprojectcomprehensivechange;
e) Evaluatetheprojectmanagement.
5.2 Projectstart
Starttheprojectconstructionandprojectapprovalaccordingtotheproceduresandrequirementsregulatedbythelawsandregulationsofthecountry.
5.3 Planningfortheprojectmanagement
5.3.1 Theprojectmanagementplanningdocumentsmayincludetwoparts,namelytheoutlineofprojectmanagementandtheintegratedplanoftheproject.TheoutlineoftheprojectmanagementshallbepreparedbytheEmployer.TheprojectcomprehensiveplanispreparedbytheEmployer’srepresentativeandwillbeexecutedafterbeingsubmittedtotheEmployersandsignedandissuedbytheEmployers.
5.3.2 Accordingtothedocumentsrelatedtotheprojectconstructionapproval,theprojectfeasibil-itystudydocuments,andtheemployerstrategicplanning,theprojectmanagementoutlineshouldin-clude(butnotbelimitedto):
a) Theoverallobjectiveandsub-objectives(incl.thequality,progress,safetyandcost)oftheproject;
b) Theprojectenvironmentalandconditionanalysis;
c) Theorganizationalstructureanddutiesfortheprojectmanagement;
d) Thecontentsandproceduresoftheprojectmanagement.
5.3.3 Theprojectmanagementshallbeplannedinaccordancewiththeoutlineoftheprojectman-agementandtheagreementofresponsibilityfortheprojectmanagementperformanceobjectiveandbyreferencetothedataofsimilarprojects,whiletheintegratedplanoftheprojectispreparedto
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performtheintegrationontheprojectmanagementcontents,organization,resources,methods,
proceduresandcontrolmeasures,whichshouldmainlyinclude(butnotbelimitedto):
a) Objectiveoftheprojectmanagement;
b) Organizationfunctions,postsandstaffingplans;
c) Projectscopemanagementplan,costmanagementplan,progressmanagementplan,qualitymanagementplan,procurementmanagementplan,resourcedemandsandsupplyplan,andriskresponseplan;
d) Appraisalandassessmentmodes.
5.3.4 Landacquisitionandresettlementshallbecarriedoutinaccordancewiththelawsandregula-tionsofthecountry.
5.4 Integratedvariationcontrol
5.4.1 Theimplementationoftheintegratedplanoftheprojectshallbefollowedup,inspected,ana-lysed,evaluated,adjustedandcontinuouslyimproved.
5.4.2 Theintegratedvariationprocessandcontrolmeasuresshallbeformulated,andthedutiesandauthoritiesofthepostsspecifiedfortheintegratedvariationcontrolshallbedefined.
5.4.3 Theintegratedvariationcontrolshallcomplywiththefollowingprinciples(butnotbelimitedto):
a) Toalignwiththescopeandoverallobjectiveoftheproject;
b) Toanalysetheprojectrisksandminimizetheimpactofthevariations;
c) Toimplementthevariationapprovalprocedure;
d) Tocomprehensivelyconsidertheinterdependenciesamongthevariousobjectives.
5.4.4 Theintegratedvariationcontrolshallcomplywith(butnotbelimitedto)thefollowingproce-dures:
a) Tobringforththerequestforvariation;
b) Toreviewordemonstratetherequestforvariation;
c) Toapproveordenytherequestforvariation;6
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d) Toamendtheintegratedplanoftheprojectonthebasisoftheapprovedrequestforvariation.
5.5 Evaluationoftheprojectmanagementperformance
5.5.1 Beforetheimplementationoftheproject,theEmployerandtheOwnerprojectmanagershallsigntheagreementofresponsibilityfortheprojectmanagementperformanceobjective,andcarryoutthephasedorregularevaluationoftheprojectmanagementperformance.
5.5.2 The main contents oftheagreementofresponsibilityforthe project managementperformanceobjectiveshallinclude:
a) Definedobjectivesinallaspectsoftheproject,includingtheprogress,quality,cost,occupa-tionalsafetyandhealth,environmentalprotection,waterandsoilconservation,landacquisitionandResettlementandRehabilitation(R&R);
b) Responsibilities,authoritiesandinterestsrespectivelyallocatedtotheEmployerandtheEm-ployer’srepresentative;
c) Supplymodefortheresourcesrequiredbytheproject;
d) RiskstobeundertakenbytheEmployer’srepresentative;
e) Principle,contentsandmethodofevaluationoftheprojectmanagementperformanceobjective;
f) Basis,criteriaandmethodsfortheEmployer’srepresentative’sperformanceevaluation;
g) ConditionsandmeasuresfortheresignationoftheOwnerprojectmanageranddismissaloftheEmployer’srepresentative;
h) Othermattersauthorized.
5.5.3 Theevaluationoftheprojectmanagementperformanceshouldbecarriedoutinaccordancewith(butnotbelimitedto)thefollowingprocedures:
a) Toestablishtheperformanceevaluationteam;
b) Toformulatetheperformanceevaluationprogram;
c) Toimplementtheperformanceevaluationwork;
d) Toprovidetheperformanceevaluationdocuments.
5.5.4 Thecontentsoftheevaluationoftheprojectmanagementperformanceshouldinclude(but7
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notbelimitedto):
a) Analysisofthechangeintheimplementationenvironmentfortheproject;
b) Implementationoftheintegratedplanoftheproject;
c) Evaluationoftheproject-relateddecisions;
d) Preventionandcontrolmeasuresfortheprojectrisks,andtheimplementationeffectsthereof.
6 Early-stageplanningoftheproject
6.1 Generalprovisions
6.1.1 Theplannedprojectandtheprojectobjectiveshallbedeterminedandtheapplicationforde-velopmentofsuchaprojectshallbesubmittedtotherelevantgovernmentauthorityofthecountryforapprovalonthebasisoftheauthorizationgrantedbythegovernment,inaccordancewiththeen-ergydevelopmentplanning ofthecountryandtheapproved planningforthecomprehensiveutilizationoftheriverbasinortheplanningforthedevelopmentofhydropowerintheriverbasin,
andinlightofthedemandsofthepowermarketandthedevelopmentstrategyoftheenterprise.
6.1.2 Theearly-stageplanningworksuchastheprefeasibilitystudyreportandthefeasibilitystudyreportshallbecompletedinaccordancewiththeprovisionsofthelawsofthecountry.
6.1.3 Theprojectconstructionapplicationdocumentandthenecessarypermissiondocumentsfortheprojectconstructionpermissionandstart-upshouldbecompletedonthebasisofthefeasibilitystudydocument.
6.2 Prefeasibilitystudyandthefeasibilitystudy
6.2.1 Theearly-stageworkplanshallbeformulated,andthesurveyanddesignorganizationwhichhasrelevantexperienceshallbeentrustedwithpreparingtheprefeasibilitystudyreportandthefea-sibilitystudyreportfortheproject.Thecontentsanddepthofthereportshallmeettherequirementsspecifiedinthelawsofthecountry,andshallbeexaminedinaccordancewiththeproceduresspeci-fiedinthelawsofthecountry.
6.2.2 Thefeasibilitystudyworkshallbecarriedoutonthebasisoftheapprovedprefeasibilitystudyreport.
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7 Projectscopemanagement
7.1 Generalprovisions
7.1.1 Beforetheimplementationoftheproject,thescopeoftheprojectshallbedefined,andalltheworknecessaryforthecompletionoftheprojectshallbeclarified.
7.1.2 Theprojectscopemanagementproceduresshallinclude(butnotbelimitedto):
a) Planningtheprojectscope,preparingtheinstructionsontheprojectscope,andformulatingtheprojectscopemanagementplan;
b) Breakingdowntheworkoftheprojectbystages,andformtheworkbreakdownstructuresfortheproject;
d) Controllingthechangeoftheprojectscopeduringimplementation;
e) Verifyingthescopeofthecompletedwork,andreachingconsensuswiththestakeholders;
f) Evaluatingthechangeoftheprojectscope.
7.2 Scopeplanningandworkbreakdown
7.2.1 Atthebeginningofeverystageoftheproject,theobjectiveoftheprojectandalltheworkinvolvedintheprojectshallbedefinedthroughtheplanningoftheprojectscope,andtheinstruc-tionsontheprojectscopeshallbeformed.
7.2.2 Theworkrequiredintheprojectscopeshallmeettherequirementsgivenintheapprovaldoc-umentsfortheproject.Theprojectscopeplanningshouldbepreparedbasedonthefollowingdocu-ments(butnotlimitedto):
a) Employer’srequirements;
b) Projectlimitations;
c) Intermediateoutcomesoftheproject;
d) Historicaldata;
e) Assumptionsundercertainconditions.
7.2.3 Theprojectscopemanagementplanshallbeformulatedinconjunctionwiththepreparationof9
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theintegratedprojectplan.
7.2.4 Theprojectworkshallbebrokendownaspertheprogressoftheproject,andtheworkbreakdownstructureshallbeformedby(butnotbelimitedto):
a) Attheprefeasibilitystudystage,theprojectworkshallbebrokendowntotheworkrequiredfortheinceptionoftheprojectandthevariousstagesofprojectconstruction;
b) Atthefeasibilitystudystage,theprojectworkshallbebrokendowntothelistofworkrequiredtobecompletedforapprovaloftheprojectandthepreparationfortheproject,theindividualprojectortheformulationoftenders;
c) Atthetenderingstageforanindividualproject,theworkshallbebrokendowntothesub-itemlevel;
d) Attheconstructionstageforanindividualproject,theworkshallbebrokendowntothesepara-teditemproject.
7.2.5 Theworkbreakdownstructureoftheprojectshallbeclear,definedandcomplete,andthehi-erarchicalcodingsystemshallbeformulated.
7.3 Verificationofthescope
7.3.1 Attheendofeverystageoftheproject,themainstakeholdersshallverifythecorrespondingprojectscope.Theprojectscopeshouldbedefinedbasedon(butnotlimitedto)thefollowingdocu-ments:
a) Completeddeliverables;
b) Contractdocumentsandvariationdocumentswithrespecttotheproject;
c) Evaluationreport;
d) Workbreakdownstructure.
7.3.2 Uponearlyterminationoftheproject,themainstakeholdersshallverifythescopeofthecor-respondingcompletedworks.
7.3.3 Thequantityandqualityofthecompleteddeliverablesmaybeinspectedbytesting,expertevaluationorothermeans.
7.3.4 Inaccordancewiththeprovisionsofthecontractrelatingtoacceptanceofthedeliverables,
thecompleteddeliverablesshallbeformallyacceptedatonetimeorinstages.01
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7.4 Controlofthescopechanges
7.4.1 Thecontrolprocessesfortheprojectscopechangesshallbeestablishedtodefinetheproce-dureandauthorityforcontrollingtheprojectscopechanges,whichshallincludethechangerequests,changeexamination,changeapprovalandchangeimplementation.
7.4.2 Therequirementsbeyondtheoriginalprojectscopewhicharebroughtforthbythestakehold-ersduringtheverificationoftheprojectscopeshallbedealtwithasprojectscopechanges.
7.4.3 Thefactorswhichmayaffectthescopeshallbeproperlyanalysedandmonitored,soasto
preventandcontroltheprojectscopechanges.
7.4.4 Theprojectscopechangesshallbeevaluated,demonstratedandapprovedinaccordancewiththecomprehensivechangecontrolprocedure.
8 Projecttechnicalmanagement
8.1 Generalprovisions
8.1.1 Atechnicalmanagementdepartmentshallbesetuptotakechargeofthetechnicalmanage-mentwork.
8.1.2 Thetechnicaldecision-makingprocedureshallbedefined,andthequality,progressandcostobjectivesoftheprojectshallbecomprehensivelytakenintoconsideration.
8.2 Technicalmanagement
8.2.1 Thetechnicalmanagementmeasuresshallbeformulatedandthehierarchicaltechnicalman-agementsystemshallbeadopted,achiefengineeroratechnicaldirectorshallbeappointedfortheproject,andthecorrespondingdutiesandresponsibilitiesshallbedefined.
8.2.2 Itisadvisedtoformulatethetechnicalstandardsfortheprojectinaccordancewiththetech-nicalstandardorthedesignspecification,quality managementsystem,occupationalhealthandsafetymanagementsystemandenvironmentalmanagementsysteminaccordancewiththestandardsofthecountryaswellastheobjectivesoftheproject.
8.2.3 Thesurveyanddesignmanagementshallbecarriedout,andtheexaminationofthemajorde-signprogramsshallbeorganized,includingtheexaminationofthetenderingdesignandexaminationoftheconstructiondrawings.
8.2.4 Themainstakeholdersshallbeorganizedtostudyandmakedecisionsforthetechnicalprob-11
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lemsoftheprojectandtoapprovetheconstructionplanningandthespecificsafeconstructionscheme.
8.2.5 Themanagementofthetechnicaldevelopmentandinnovationshallbecarriedouttomaketechnologicalbreakthroughsandtopromotetheuseofnewtechnologies,new processes,newequipmentandnewmaterials.
8.3 Projectsurveyanddesignmanagement
8.3.1 Generalprovisions
8.3.1.1 Theplanningforthesurveyanddesignmanagementshallbecarriedout,thesurveyandde-signmanagementplanshallbeprepared,andtheprogress,qualityandexpensescontrolobjectivefortheprojectdesignshallbedetermined.
8.3.1.2 Thesurveyanddesignorganizationshallberequiredtopreparethesurveyanddesignpro-gramandtheworkprogramforproject,andtheexaminationofsuchprogramsshallbeproperlyor-ganized.
8.3.1.3 Thedetailedrulesforthesurveyanddesignmanagementshallbepreparedbystagesonthebasisofthesurveyanddesignmanagementplan,andthemaincontentsthereofshallinclude(butnotbelimitedto):
a) Managementofthesurveyanddesignprogress;
b) Managementofthesurveyanddesignquality;
c) Managementofthereasonableoptimaldesign;
d) Management ofthe survey and designin coordination withthe procurement,on-siteconstructionandacceptanceinspection;
e) Paymentofthesurveyanddesignexpenses;
f) Examination,rewardandpenaltiesforthesurveyanddesignwork.
8.3.2 Selectionofthesurveyanddesignorganization
8.3.2.1 Formulateaworkplanforselectingthesurveyanddesignorganizationandputforwardclearrequirementsontheorganization’sexperience,resourcesandcorrespondingprojectperform-ance.
8.3.2.2 Aftertheconditionsforprocurementaresatisfied,theprocurementintheappropriateman-21
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nershallbeorganizedinaccordancewiththeprocedurespecifiedinthelawsofthecountry,andtheprocurementcontractshallbesigned.
8.3.2.3 Thecontentssuchastheprojectscale,function,workscope,workcontents,designpro-gress,qualityandsafetyofthedeliverables,submissionofthedeliverables,reasonableoptimalde-sign,intellectualpropertyrights,onsiteservicesandrelevantsupportingworkshallbedefinedintheprocurementdocumentsforthesurveyanddesign.
8.3.3 Contentsofthesurveyanddesignmanagementwork
8.3.3.1 Thesurveyanddesignorganizationshallberequiredtoappointadesignrepresentativetoworkfull-timeonsiteortocarryouttheon-sitedesign,providetechnicalclarificationsforthede-signdocuments,participateintheliaisonmeetingsforthedesign,andsolvetherelevanttechnicalproblemsoccurringduringconstructionoftheproject.
8.3.3.2 Thesurveyanddesignschedulesubmittedbythesurveyanddesignorganizationshallbeexamined,includingthegeneralscheduleplanforthedesignandtheplansforthedeliveryofthedrawingsbyprofessionals.
8.3.3.3 Theprocedurefordesignchangesshallbedefinedtoproperlymanagethedesignchanges.
8.3.3.4 Thesurveyanddesignorganizationshallberequiredtocomprehensivelyconsidertheinter-dependenciesamongtheprogress,quality,safetyandcostoftheproject,andtoproperlydealwiththeinterfacebetweenthedifferentdesignprofessions,betweenthedesignandotherprocurement,
andbetweenthedesignandtheconstructionwork.
8.3.3.5 Thestudyofthemajortechnicalissuesshallbeorganized,andthedesignershalltakepartinthecomparisonandselectionofthedesignprogramsaswellastheselectionofthemainbuildingma-terials,facilitiesandequipment.
8.3.3.6 Thedesigndepthshallbeinspectedaccordingtothedifferentdesignstages,andthecom-plianceofthedesignoutcomeshallbeexamined.Thedepthofthedesignreportshallmeetthequali-tyrequirementsspecifiedinthedesigncontract.
8.3.3.7 Accordingtothelawsandregulationsofthecountry,cooperatewiththeregulatoryagencytoestimateandreviewtheprojectcostestimateandtheprojectdesigncost,andorganizethere-viewoftheworkingdrawingestimate.
8.3.3.8 Thedesignexpensesanddesignchangeexpensesoftheprojectshallbeexamined.
8.3.3.9 Thesurveyanddesignexpensesshallbeexaminedandpaidonthebasisoftheplanforthesubmissionofthedesignresults.
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8.3.3.10 Thesurveyanddesignorganizationshouldcreatethegeologicalrecordandperformthe-geologicalconditionanalysis,andparticipateintheriverdiversion(closure),reservoirimpound-ment,unitstart-up,andcompletionandacceptanceintheprojectsection,andsubmitthecorre-spondingacceptancedesigndocuments.
9 Projectqualitymanagement
9.1 Generalprovisions
9.1.1 Theaccountabilitysystemforthequalitymanagementfortheprojectshallbeestablished,andaspecificdepartmentorfull-timepostshallbesetup.Themainstakeholdersshallundertaketheirre-spectivequalityresponsibilitiesinaccordancewiththelawsofthecountry,andestablishthequalitymanagementsysteminaccordancewiththeprovisionsofthecontract.
9.1.2 TheEmployer’srepresentativeshallestablishthequalitymanagementsystemfortheproject,
inlightofthecharacteristicsoftheprojectandthequalitymanagementsystemformulatedbytheEmployer,andshallorganizetheimplementationthereof,andpreparethequalitymanagementplanandthedetailedrulesforthequalitymanagementfortheproject.
9.2 Qualitymanagementplan
9.2.1 Thequality managementplanshallbepreparedonthebasisofthescale,gradeandoperationalrequirementsoftheprojectaswellastherequirementsofEmployer,andbesubmittedtotheEmployerforapproval.
9.2.2 Themaincontentsofthequalitymanagementplanfortheprojectshouldinclude(butnotbelimitedto):
a) Definingthequalityobjectiveandthequalitymanagementfunction;
b) Clarifyingthecooperationandinterfacingamongthequalitymanagementfunctionsatvariouslevels;
c) Todeterminethesequenceforachievementofthequalityobjective,andfordefiningthequalityinspectionpoints,frequencyandstandard;
d) Todetermineandprovidetheresourcesnecessaryfortheachievementofthequalityobjective;
e) Toformulatethestandardformatforthedatatoberecordedandreported.
9.2.3 Thequalitymanagementobjectiveoftheprojectshallbebrokendown,thequalitymanage-mentindicatorplanshallbeformulated,thecorrespondingmainstakeholdersshallbeappointedto41
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implementsuchplan,anditsmaincontentsshallinclude(butnotbelimitedto)the:
a) Planforthequalitymanagementactivities;
b) Qualityclausesintheconstructioncontractdocuments;
c) Planforthequalityinspection/testing;
d) Planforthequalificationexaminationforthespecialoperationpersonnel;
e) Planforthepersonneltrainingandeducation.
9.2.4 Themainstakeholdersshallberequiredtoformulatethecorrespondingqualitymanagementmeasures.ThequalitymanagementmeasuresofthesurveyanddesignorganizationandtheengineershallbesubmitteddirectlytotheEmployer’srepresentativeforapproval.Thequalitymanagementmeasuresformulatedbythecontractorshallbeexaminedbytheengineer,andthenbesubmittedtotheEmployer’srepresentativeforapproval.
9.3 Qualitycontrol
9.3.1 Thequalitycontrolmeasuresfortheprojectshallbeformulated,andtheimplementationandinspectionthereofshallbeproperlyorganized.
9.3.2 Itisadvisedtoestablishtheexaminationsystemforthequalityofthedesignoutcomes,andtoensurethattheimplementationdecisionwillbemadeonlyaftertheevaluationiscarriedout.
9.3.3 Thequalitymanagementandcontrolshallbecarriedoutfortheprocurementdocuments,pro-curementprocessandsupplyoftheproductsorthequalityoutcomesoftheservices.
9.3.4 Theconstructionqualitycontrolcarriedoutbytheengineerinaccordancewiththecontractdocumentsshallbesupervisedandinspected,andthemanagementoftheengineershallbeproperlyperformed.
9.3.5 Thequalityoftheprojectshallbeproperlycontrolledandjudgedbyselectingthenecessaryqualityinspectionandsupervisionmethods.
9.3.6 Thequalitycontrolfortheacceptanceoftheprojectshallbecarriedoutonthebasisoftheacceptanceprogramformulatedbystagesandtheacceptancemanagementmeasures.
9.3.7 Thequalitycontrolshallbecarriedoutfortheplanningandimplementationofthecommissio-ningaswellasthepost-completionevaluation.
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9.4 Qualitysupervisionandqualityimprovement
9.4.1 TheimplementationofthequalitymanagementplanspreparedbytheEmployerandthemainstakeholdersshallbeinspected,examinedandevaluated,andtheimplementationoutcomeshallbeverified,andtheimprovementmeasuresshallbebroughtforth.
9.4.2 Theengineershallbeurgedtomakearrangementforthesurveyanddesignorganizationandthecontractortoanalyseonaregularbasisthefactorswhichmayaffectthequality,andtotakepre-ventivemeasuresforthegeneralqualityproblemsanddisqualificationswhichmayoccur,includingtheadvancedtechnicalresearch,resourcereservation,inspectiontimeandhandlingprogram.
9.4.3 Thequalityaccidentsshallbeproperlyinvestigated,analysedandhandled,andtherelevantdatashallbesubmittedtotheEmployerforexamination.Afterthehandlingofthequalityaccidentiscompleted,theacceptanceinspectionshallbeheld.
9.4.4 Theanalysisofthecausesandthecorrectionofthequalityproblemsshallbeproperlyorgan-ized,andthecorrectiveandpreventivemeasuresshallbeformulated.
10 Projectprogressmanagement
10.1 Generalprovisions
10.1.1 Thehierarchicalcontrolsystemfortheprojectprogressmanagementshallbeestablished,
themanagementsystemsforadjustmentstothegeneralscheduleplan,theprogressinspectionandcoordination and progress information communication shall be formulated,and the jobresponsibilitiesshallbedefined.
10.1.2 Theprogressmanagementprocedurefortheprojectshouldinclude(butnotbelimited):
a) Todeterminingthegeneralprogressobjectiveoftheproject,andtoformulatingtheprogressobjectiveoftheprojectateachstage;
b) Topreparingthegeneralconstructionscheduleandtheschedulesbystages,andtodeterminethekeynodesandthecriticalpathoftheschedules;
c) Topreparingthecorrespondingscheduleonthebasisofthebreakdownworkstructure;
d) Toimplementingtheprogresscontrolandtheplanadjustment.
10.1.3 Theprogressanalysisshallbecarriedoutbyusingthenetworkplanningtechnologyandthecomputerinformationsystem,andthedynamiccontroloftheprogressshallbeimplemented.
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10.2 Managementoftheprogressobjectives
10.2.1 Theprogressmanagementplanfortheprefeasibilitystudyshallbeformulated,andthecom-pletiondateoftheprefeasibilitystudyshallbedefined;theconstructionperiodandtheeconomicoperationperiodoftheprojectshallbedemonstrated.
10.2.2 Theprogressmanagementplanforthefeasibilitystudyshallbeformulated,andthecomple-tiondateofthefeasibilitystudyshallbedefined;theconstructionpreparationperiodandthecon-structionperiodbystagesshallbedemonstrated.
10.2.3 Thegeneralprogressmanagementplanfortheprojectshallbeprepared,theconstructionmilestones,suchasthecommencementdateoftheproject,thedateonwhichtheprojectwillbeputintooperationandthecompletiondateoftheproject,shallbedefined,andthedynamiccontrolshallbecarriedout.
10.2.4 Theprogressmanagementplanfortheacceptanceandhandoveroftheprojectshallbepre-pared,andthedateonwhichtheprojectwillbeputintooperationandthecompletiondateoftheprojectshallbedefined.
10.3 Projectschedule
10.3.1 Themaincontentsofthegeneralscheduleshouldinclude(butnotbelimitedto):
a) Explanationonthepreparation;
b) Generalschedulechart(table)oftheproject;
c) Checklistofthecriticalpathandmilestonesaswellasthecommencementdate,completiondateandconstructionscheduleoftheindividualprojectcomponents;
d) Quantityofmainresourcesrequiredbytimeperiod.
10.3.2 Thescheduleplanforeachstageshallbeprepared,andtherequirementsfortheprogressobjectiveandthemainmilestonesshallbemet.
10.3.3 Attheschemingstageofproject,thescheduleplanshallmeettherequirementsforcon-structionprocedureanddemonstration/approvalofproject.
10.3.4 Attheimplementationstageoftheproject,theconstructionscheduleplanshallbeprepared,anditsmaincontentsshouldinclude(butnotbelimitedto)the:
a) Scheduleplanforproceedingwiththeapprovalformalitiesforcommencementoftheproject;71
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b) Scheduleplanforthepreparationoftheon-siteconditions;
c) Scheduleplanfortheprocurementandpreparationforconstructionoftheindividualprojectcomponents;
d) Mobilizationplanforthepersonnel;
e) Planfortheallocationoftheconstructionresources;
f) Supplyplanforthemechanicalandelectricalequipment,themainmaterialsandthetechnologies.
10.3.5 Attheimplementationstage,themanagementregulationforthecompilationofthecon-structionscheduleoftheprojectshallbeformulatedtostandardizethecompilationrequirementsanditsformatandtodefinethecontentsoftheschedules.
10.3.6 Attheimplementationstage,thedetailedrulesforthecontroloftheconstructionscheduleshallbepreparedinaccordancewiththegeneralscheduleoftheproject,thegeneralconstructionscheduleshallbepreparedorexamined,theconstructionscheduleoftheindividualprojectcompo-nentsshallbeexamined,theconstructionschedulesunderdifferentcontractsshallbeintegrated,
andtheannual,quarterlyandmonthlyschedulesshallbeprepared.
10.3.7 Thescheduleattheacceptanceinspectionandthepost-evaluationstageshould mainlyinclude(butnotbelimitedto)the:
a) Schedulefortheintermediateacceptanceinspection;
b) Schedulefortheacceptanceinspectionuponcompletionoftheproject;
c) Scheduleforthehandoveroftheproject;
d) Scheduleforthepost-evaluationoftheproject.
10.4 Controlandadjustmentoftheprogress
10.4.1 Theinformationabouttheprogressoftheprojectshallbecontinuouslycollected,sortedoutandsummarized,theimpactcausedbythedifferencebetweentheactualprogressandtheplannedprogressshallbeanalysedthroughcomparison,theforecastingontheprogressshallbecarriedout,
thecorrectivemeasuresshallbebroughtforth,andtheprogressmanagementreportshallbepre-pared.
10.4.2 Incasethedifferenceintheprogressaffectsthegeneralscheduleorothermanagementob-jectivesoftheproject,therequestforvariationshallbesubmittedandbeconfirmedonthebasisofthecomprehensivechangecontrolprocedure.
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10.4.3 Thepaymentofthefundsnecessaryfortheimplementationoftheconstructionandthesup-
plyoftheequipmentandmaterialstobesuppliedshallbeguaranteedbytheEmployer.
11 Projectcostmanagement
11.1 Generalprovisions
11.1.1 Theaccountabilitysystemforthecostmanagementfortheprojectshallbeestablished,thecostmanagementplanshallbeformulated,andthecostobjectiveoftheprojectshallbeproperlybrokendownandaudited.
11.1.2 Theestimatecontrolandtheexpensemanagementmeasuresfortheprojectshallbeformu-lated,andaspecificdepartmentorfull-timepositionshallbesetup.
11.1.3 Thecostobjectiveshallbeadjustedinaccordancewiththecontrolauthorityandtheproce-dure,thecomprehensivetechnicalandeconomicevaluationshallbecarriedoutforthemajordesignchanges,andthepreventivemeasuressuchasthedesign-to-costmaybeimplemented.
11.1.4 Thestatisticalmanagementmeasuresshallbeformulated,thestatisticalledgershallbees-tablished,andthestatisticalstatementsshallbesubmittedtotheEmployerandthegovernmentau-thority.
11.2 Estimatecontrolandexpensemanagement
11.2.1 Afterthedesignestimatesareapproved,itisadvisedtoentrusttheconstructioncostcon-sultinginstitutionwiththecorrespondingqualificationstopreparetheexecutionestimates.
11.2.2 The(annual)costplanandfundflowplanfortheprojectshallbeformulatedonthebasisofthegeneralscheduleoftheproject.
11.2.3 Thecostriskanalysissystemshallbeestablished,andthecostplanfortheindividualprojectcomponentsformulatedbyyearsandbymonthsshallbeexaminedandanalysedinatimelymanner.
11.2.4 Thecostplanshallbedynamicallyadjustedinlightofthechangesinprojectprocurementandtheimplementationofthecontract.
11.2.5 Themanagementmeasuresanddetailedrulesfortheotherexpenseshallbeformulated,theimplementationoftheexpensemanagementshallbeanalysedandinspectedonaregularbasis,andtheanalysisreportshallbeformulated.
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11.3 Finalaccounting
11.3.1 Thefinancialfinalcostmanagementsystemforthecompletionshallbeformulatedaccordingtothelawsandregulationsofthecountry.
11.3.2 Thefinalaccountingmaybecomposedofthefinalaccountingfortheindividualprojectcom-ponents,theaccountinginstagesandthefinalaccountinguponcompletionoftheproject.
11.3.3 Preparethephasedcompletionfinancialfinalcostandtheprojectfinancialfinalcostonthebasisoftheallowableprojectcostestimation,thepriceadjustmentdocumentsovertheyearsandtheactualfinancingcosts.
11.3.4 Thepreparationofthefinalaccountingshallcomplywiththefollowingprocedures(butnotlimited):
a) Tocollectingandsortingoutthebasisforthefinalaccounting;
b) Tosummarizingtheaccounts,liabilitiesandsettlementmaterialsoftheproject;
c) Topreparingtheexplanationonthefinalaccounting;
d) Topreparingthefinalaccountingstatement;
e) TosubmittingthefinalaccountingstatementtotheEmployerforreviewandrecording.
11.3.5 Theprojectfinancialfinalcostshouldincludealltheexpensesfrompreliminaryplanningtocompletionacceptance.Beforetheformalprojectacceptance,thefinalaccountingoftheprojectshallbeauditedaccordingtothelawsandregulationsofthecountry.
12 Procurementmanagementfortheproject
12.1 Generalprovisions
12.1.1 ProjectprocurementshallbefinishedbytheEmployeroritsentrustedengineeringconsultingorganizationwiththecorrespondingexperience.
12.1.2 Theaccountabilitysystemforprocurementmanagementshallbeestablished,theprocure-mentmanagementsystemandprocedureshallbeformulated,andtherespectivedutiesandrespon-sibilitiesshallbedefined.
12.1.3 AprojectpurchasingcertificateshouldbeappliedwhentheEmployerwiththecorrespondingexperiencetakestheresponsibilityfortheprojectprocurement.Aprojectprocurementcommission
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contractshouldbesignedwhentheengineeringconsultingorganizationisresponsiblefortheprojectprocurement.
12.2 Procurementplanning
12.2.1 Inconjunctionwiththeprojectmanagementmode,thecharacteristicsoftheprojectandthemanagementobjectives,theprocurementmanagementplanshallbeformulatedthroughtheprocure-mentplanning,todefinetheprocurementquantity,contractingmode,contracttypeandprocure-mentplans.
12.2.2 Thetechnicalinterface,bidsectioninterfaceandbiddingscopeshallbedefinedthroughpro-curementplanning,theprojectobjectivesandscopeshallbebrokendownbytheprojecthierarchies,
whilerepeatedormissingcontractsshallbeavoided.
12.2.3 Theprocurementplanshallmeettherequirementsontheprogress,quality,safety,cost,
landacquisitionandR&R,environmentalprotectionandwaterandsoilconservationmanagementfortheproject.
12.2.4 Thetechnicalrequirements,qualitystandardandreview measuresfortheprocurementworksshallbespecifiedintheprocurementdocuments.
12.3 Implementationoftheprocurement
12.3.1 Formulateaprocurementcontrolprocesstotraceandmanagetheengineeringconsultationorganizationselection,marketresearchandpreparationoftheprocurementdocuments.
12.3.2 TheEmployeroritsentrustedexperiencedengineeringconsultationorganizationshallfinishthefollowingwork(butnotbelimitedtoit)accordingtothelawsandregulationsofthecountry:
a) Preparingandsellingtheprocurementdocumentsandprequalificationdocuments;
b) Organizinganon-sitesurveyforthebidders;
c) Answeringquestionsinwritingandissuingaddendumdocuments;
d) Formulatingthespecificbidevaluationstandards;
e) Receivingthebiddingdocuments;
f) Organizingtheopeningofthebids;
g) Establishingthebidevaluationorganizationandselectingthemembersofthebidevaluationboard;
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h) Evaluatingthebidsanddeterminingthewinningbidinaccordancewiththeprocedureandstand-ardspecifiedintheprocurementdocuments;
i) Draftingthecontractdocument,andcarryingoutthecontractnegotiation.
12.3.3 Thepre-qualificationshallbecarriedoutforthebidders.Whenthepre-qualificationisadopt-ed,thepre-qualificationdocumentsshallbepreparedandissued,theapplicationforpre-qualificationshallbeaccepted,andthequalifiedbiddingapplicantsshallbedetermined.
12.3.4 Theprocurementdocumentsshallbepreparedandsoldtothequalifiedbiddingapplicants.Theletterofacceptanceshallbeissuedtothesuccessfulbidderandthecontract-awardingresultshallbenotifiedtoalltheunsuccessfulbidderswithinthespecifieddeadline.
12.3.5 Intheprocurementcontracts,thefollowingmatters(butnotlimitedto)shallbedefined,the:
a) Projectscope,workcontents,controlledconstructionperiod,scheduletarget,technicalspeci-ficationsandthequalitystandards;
b) Responsibilities,rightsandobligationsofbothpartiestothecontract;
c) Principle,methodandprovisionsforsharingoftheprojectrisksandcontractrisks;
d) Calculationmethodfortheworkload;
e) Fundsourcesaswellasthetype,method,procedureanddeadlineforpayment;
f) Managementrelationshipwiththemainstakeholdersandthecommunicationprocedure;
g) SupportingconditionsprovidedbytheEmployer’srepresentative;
h) Proceduresforthesettlementofvariations,claimsanddisputes;
i) Rewardandpunishmentprovisionsaswellastheexaminationmethod.
12.3.6 TheEmployermayprovidethepaymentguaranty.Afterthesuccessfulbidderobtainsandsubmitsthe performance guaranty,the Employer willsignthecontractagreement withthesuccessfulbidderandreturnthebidbondtothebiddersinaccordancewiththerelevantprovisions.
13 Projectcontractmanagement
13.1 Generalprovisions
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13.1.2 Thecontractmanagementsystemshallbeformulated,thecontractsshallbemanagedbytypes,andthecontractualresponsibilitiesofthemainstakeholdersshallbedefined.
13.1.3 Thecontractsystemfortheprojectshallbeproperlyplanned,andtheplanfortheestablish-mentofthecontractandthestrategyfortheimplementationofthecontractshallbespecifiedinthecomprehensiveprojectplan.
13.1.4 Duringprocurement,contractnegotiation,contractcontrolandclaim settlement,theachievementoftheobjectivesoftheprojectshallbecomprehensivelyconsidered.
13.1.5 Thecontractmanagementfortheprojectshallbecarriedoutbycomputerisedmeansinac-cordancewiththeinformationmanagementandcommunicationmanagementprocedures.
13.1.6 Themaincontentsofthecontractmanagementfortheprojectshouldinclude(butnotbelimited):
a) Topreparingtheestablishmentplanforthecontractandtheprocurementdocuments,andtoor-ganizingtheexaminationthereof;
b) Toorganizingtheinternalreviewandtechnicalclarificationforthecontractdocuments;
c) Toperformingthecontractinaccordancewiththeprovisions;
d) Todealingwiththecontractvariations,claimsanddisputes;
e) Tomakingpaymentandcarryingoutthestatisticsunderthecontract;
f) Toinspectingandanalysingtheimplementationandcontroleffectofthecontract,andtobring-ingforththehandlingcomments;
g) Tocarryingoutthesettlementuponcompletionofthecontract,andcarryingoutthepost-evalu-ationforthecontract.
13.2 Conclusionofthecontract
13.2.1 Duringthenegotiationandsigningofthecontract,theresponsibilities,rightsandobligationsofbothpartiesaswellastheprovisionsabouttheconstructionperiod,qualitystandard,
payment,variations,claimsanddisputesshallbedefined,anditshallbeensuredthattheconditionsofthecontractcomplywiththelawsandregulationsofthecountry.
13.2.2 Asforthelegalproblemsrelatingtothecontract,itisadvisedtoentrusttheprofessionalin-stitutionwiththecorrespondingqualificationstocarryoutthereview,adjudicationandarbitration.
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13.3 PerformanceoftheContract
13.3.1 Theperformanceofthecontractshallbeeffectivelysupervised,managedandcoordinatedinaccordancewiththeprovisionsofthecontract.
13.3.2 Thecalculationoftheworkloadandthepaymentofthecontractpriceshallbeexaminedinaccordance withtheprovisionsofthecontract,andtheformalitiesforpaymentshallbegonethroughinaccordancewiththerelevantprocedure.
13.3.3 Theledgerforpaymentunderthecontractshallbeestablished,thecostplanandfunduseplanshallbeanalysed,andtherelevantfeedbackshallbegiven.
13.3.4 Whenthecontractconditionsarechanged,theformalitiesforconfirmingthevariationsshallbegonethroughinaccordancewiththevariationproceduresspecifiedinthecontract.
13.3.5 Theconfirmedvariationpriceshallbepaidtogetherwiththeprogresspaymentforthepro-ject.
13.3.6 Alldisputesshallbesettledaccordingtothemethodspecifiedinthecontract.
13.4 Settlementuponcompletionofthecontract
13.4.1 Beforethecompletionsettlement,theengineerandthecontractorshallcalculatethework-loadcompletedunderthecontract,andreviewthecompletedquantitiesunderthecontractandthevariationquantities.
13.4.2 Duringtheacceptanceinspection,thereportforthesettlementuponcompletionofthecon-tractaspreparedbythecontractorandapprovedbytheengineershallbeexamined,andthepriceforsuchsettlementshallbedetermined.
13.4.3 Themaincontentsofthereportofsettlementuponcompletionofthecontractshouldinclude(butnotbelimitedto):
a) Approvalforthesettlementuponcompletionofthecontract;
b) Explanationonthesettlementuponcompletionofthecontract;
c) Summaryformforthesettlementuponcompletionofthecontract;
d) Checklistforthesettlementuponcompletionofthecontract;
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13.4.4 Theexaminationonthereportforthesettlementuponcompletionofthecontractshouldmainlycover(butnotbelimitedto):
a) Provisionsoftheconstructioncontractfortheproject;
b) Procurementdocumentsforconstructionandthecontractor’sbiddingdocuments;
c) Confirmationofacceptanceoftheconcealedworks;
d) Applicationforvariation,approvaldocumentandrelevantdatafortheproject;
e) Applicationforclaims,approvaldocumentandtherelevantdatarelatingtoclaims;
f) Procurementcontractformaterialsandequipmentandtherelevantdata;
g) Basisforvariationortheintroductionofthenewintegratedunitprice;
h) Workquantitiesincompliancewiththeas-builtdrawings;
i) Unitpriceofthesub-itemworks,materialsandequipmentwhichmeettheconditions;
j) Calculationofexpenseswhichmeettheconditions;
k) Correctionofcalculationerrors.
14 Projectenvironmentalprotectionandwaterandsoilconservationmanagement
14.1 Generalprovisions
14.1.1 Theenvironmentalprotectionandwaterandsoilconservationmanagementsystemfortheprojectshallbeestablished,andtheplanfortheimplementationofenvironmentalprotectionandwa-terandsoilconservationmanagementshallbeprepared.
14.1.2 Developspecialinvestigationandresearchontheprojectenvironmentalprotectionandsoilandwaterconservationaccordingtothelawsandregulationsofthecountryortheenvironmentalprotectionandsoilandwaterconservationrequirements.
14.2 Planningforenvironmentalprotectionandwaterandsoilconservation
14.2.1 Plantheenvironmentalprotectionandsoilandwaterconservationandevaluatetheimpactoftheprojectontheenvironment.
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14.2.2 Theprojectenvironmentalimpactevaluationdocumentshouldinclude(butnotlimitedto)
thefollowingcontent:
a) Analysis,predictionandevaluationofthepossibleimpactontheenvironment;
b) Countermeasuresusedtopreventormitigatetheadverseenvironmentalimpact;
c) Conclusionoftheenvironmentalimpactassessment.
14.3 Environmentalprotectionandwaterandsoilconservationimplementation
14.3.1 Theprojectprocurementdocumentshouldincludethetechnicalrequirementsfortheenvi-ronmentalimpactcontrolandsoilandwaterconservationwork.
14.3.2 Establishanenvironmentalprotectionandsoilandwaterconservationmonitoringsystemac-cordingtothelawsandregulationsofthecountryandtheenvironmentalprotectionandsoilandwa-terconservationrequirements,andmonitortheenvironmentalprotectionandsoilandwaterconser-vationwork.
14.3.3 Intheprojectimplementationphase,theemergencyplansforemergentenvironmentalinci-dentsshouldbeformulated,dangeroussourcesshouldbemonitored,andplantraininganddrillingshouldbecarriedoutregularly.
14.4 Environmentalprotectionandwaterandsoilconservationacceptance
14.4.1 Beforetheprojectisacceptedaftercompletion,environmentalprotectionandsoilandwaterconservationmeasuresshouldbeacceptedanddeliveredforoperations.
14.4.2 Environmentalprotectionandsoilandwaterconservationmeasuresshouldbemanagedandmaintainedaftertheyaredelivered.
14.4.3 Theenvironmentalimpactcausedbyprojectproductionoroperationshouldbetracedandmonitored.Forseriousenvironmentalpollutionorecologicaldamage,thecausesshouldbeidentifiedandthecorrespondingtreatmentmeasuresshouldbetaken.
15 Engineermanagement
15.1 Generalprovisions
15.1.1 Theengineermanagementshallbeplannedbyformulatingtheengineermanagementworkplan,andtheworkoftheengineershallbemanagedandcoordinatedinaunifiedandcentralizedman-ner.
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15.1.2 Theengineershallberequiredtoimplementsupervisionandmanagementfortheentireofconstructionprocessfortheprojectaccordingtothecontractdocument.
15.2 Selectionoftheengineer
15.2.1 Theengineerwithcorrespondingqualificationsshallbeselectedinaccordancewiththelawsofthecountryandonthebasisoftheprocurementmanagementprocedure,andthespecialrequire-mentsonsettinguptheengineerbodyandimportantpositionsandstaffingshallbebroughtforthinlightofthescopeandcomplexityoftheengineer’stasks.
15.2.2 Theprocurementdocumentfortheengineershalldefinethescopeoftheengineeringwork,
thetermofservice,thecontentsofthework,duties,authorityandworkprocedure.
15.2.3 TheEmployer’srepresentative,onthebasisoftheengineerworkplan,shallorganizeorparticipateintheprocurementworkoftheengineer,andassisttheEmployerincarryingoutnegotia-tionforandsigningtheengineercontract.
15.3 Contentsoftheengineermanagementwork
15.3.1 Accordingtotheregulationsintheengineerprocurementdocument,issuetheengineerentrynoticebeforetheengineersstartbusinessandprovidetheengineerswiththenecessarylivingandworkingconditions.
15.3.2 Themainengineermanagementworkshallinclude:
a) Toformulaterulesandregulationsformanagementoftheengineercontract;
b) Toorganizeexaminationandapprovaloftheengineerplanninganddetailedrulesfortheengineerwork;
c) Toinspecttheimplementationoftheengineercontract;
d) Tomanagethevariations,suspensionandterminationoftheengineercontract;
e) Topaytheengineerexpenses;
f) Tomanagetheengineerprofessionalethicsandbehaviournorms;
g) Toexamineandreceivethearchivesfromtheengineer;
h) Toappraisetheengineer’sperformance.
15.3.3 Variouscommandsshallbeissuedtothecontractorviatheengineer,andthedocuments72
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fromthecontractorshallbereceivedviatheengineer.
15.3.4 Theworkoftheengineershallbecoordinated,mainlyincluding:
a) Engineer-relatedproblemsandauthorizationoccurringindifferentbidsections;
b) Relationshipbetweenengineersofdifferentbidsections,andtherelationshipbetweentheengi-neerandtheEmployer’srepresentative.
15.4 Examinationandsupervisionoftheengineer’sperformance
15.4.1 Themanagementmeasuresfortheappraisalandsupervisionoftheengineer’sperformanceshallbeformulated,andthecontentsandmethodfortheappraisalandsupervisionshallbedefined.
15.4.2 Themaincontentsoftheappraisalandsupervisionoftheengineershouldinclude(butnotbelimitedto)the:
a) Quantity,qualityandprofessionsoftheengineer’spersonnel,especiallytheabilityandalloca-tionofthemainpersonneloftheengineer;
b) Allocationoftheengineer’stestingequipmentandmeasuringinstruments;
c) On-siteperformanceoftheengineer,especiallycompletionoftheengineer’stasksrelatingtokeylocations,concealedworksandcriticalprocesses;
d) PerformanceoftheEngineerrelatingtothesafety,quality,progress,costcontrols,contract,
information,archives,riskmanagementandon-sitecoordination,aswellastheserviceeffec-tiveness.
16 Projectcommunicationmanagement
16.1 Generalprovisions
16.1.1 Thecommunicationmanagementsystemandthemanagementprocedurefortheprojectshallbeestablished,andthecommunicationmanagementplanfortheprojectshallbeformulated.
16.1.2 Theappropriatemethodsandmeansshallbeusedtoeffectivelycommunicatewiththestakeholders.
16.2 Communicationmanagementplan
16.2.1 Thecontradictionsandproblemswhichmayoccurshallbepredictedinlightoftheactual82
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needsoftheproject,thecommunicationmanagementplanfortheprojectshallbeformulated,andtheprinciple,contents,object,mode,process,personinchargeandexpectedobjectiveofthecommunicationshallbedefined.
16.2.2 Thebasisforpreparationofthecommunicationmanagementplanfortheprojectshouldin-clude(butnotbelimitedto)the:
a) Lawsandregulationsofthecountry;
b) Needsofthestakeholders;
c) Organizationalstructureoftheproject.
16.2.3 Therelevantcontentsofthecommunicationmanagementplanfortheprojectshallbeinclud-edintheprocurementdocumentsandshallformanintegralpartofthecontractdocuments.
16.2.4 Thecommunicationmanagementplanfortheprojectshallbeadjustedinlightofthecontra-dictionsandproblemsemergingatdifferentstages.
16.3 Implementationofcommunication
16.3.1 Theinformationshallbeprovidedtothemainstakeholdersthroughtheprojectprogressre-port,themeetingwiththemainstakeholdersshallbeheldonaregularbasistogiveinformationandsettlecontradictions.
16.3.2 Itisadvisedtousemoderninformationandcommunicationtechnologiestosummarizeandsort out the various communication and coordination information generated during theimplementationoftheproject,andtoformthearchives.
16.3.3 TheEmployer’srepresentative,inaccordancewiththeEmployer’smanagementsystemandtheresponsibilityfortheprojectmanagementperformanceobjective,shallcarryoutthecommunica-tionandcoordinationwiththeEmployer.
16.3.4 TheEmployer’srepresentative,inaccordancewiththeauthorizationgrantedbytheEmploy-er,shallcommunicateandcoordinatewithothermainstakeholders.
16.3.5 Thecommunicationwiththegovernment,communityandresidentsshallbecarriedoutinaccordancewiththespecifiedprocedures,soastoobtainthesupportofthegovernmentandunder-standingfromallsectionsofsociety.
16.3.6 Theinformationfeedbackshallbecarriedoutinaccordancewiththecommunicationmanage-mentprocedure,andthesharingofinformationshallbeachieved.
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17 Projectinformationmanagement
17.1 Generalprovisions
17.1.1 Theinformationmanagementplanningfortheprojectshallbecarriedout,theinformationmanagementsystemfortheprojectshallbeestablished,andtheworkduties,processes,implemen-tationmeasures,performanceevaluationmeasuresandmaintenancemeasuresshallbedefined.
17.1.2 Theinformationmanagementproceduresoftheprojectshouldmainlyinclude(butnotbelimitedto):
a) Acquiringinformationsources,andcollectingtherelevantinformation;
b) Sortingout,processingandstoringtheinformation;
c) Takingtechnicalmeasurestoensuretheinformationsecurity;
d) Usingtheinformationmanagementsoftwaretoretrieve,transmitandusetheinformation.
17.1.3 Themoderncomputertechnology,electronicinformationtechnology,communicationtech-nologyanddigitizationtechnologymaybeusedtocarryouttheinformationmanagementforthepro-
ject.
17.1.4 Documentandarchivemanagersshouldbetrainedininformationsecurityanddoagoodjobinkeepingtheprojectinformationconfidential.
17.2 Documentmanagement
17.2.1 Adocumentmanagementsystemandthedocumentmanagementproceduresshouldbefor-mulated.
17.2.2 Anorganizationorpositionshouldbesetupforthedocumentmanagementandacombinedmethodwiththeoriginalcopydocumentandthecomputermanagementshouldbeused.
17.2.3 Documentsshouldbestoredincategoriesandfiledinatimelymanner.Documentsdestroyedshouldbeidentifiedandapprovedbytheauthorizedagenciesorpersonnel.
17.2.4 Theimplementationofthedocumentmanagementsystemandtheprocedureshouldbecheckedandimprovementmeasuresshouldbeputforwardinatimelymanner.
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17.3 Archivemanagement
17.3.1 Theproject-relatedarchiveworkshallbebroughtintotheconstructionmanagementplanandthemanagementprocedure,andshallbecarriedoutonpacewiththeconstructionoftheproject.
17.3.2 Thearchivemanagementsystemfortheprojectshallbeestablished,andthemainstakehold-ersshallberequiredtosetupthearchivemanagementdepartmentorfull-timeposition.
17.3.3 Thearchivemanagementmeasuresfortheprojectshallbeformulatedandthecontentsofthearchivingwork,aswellastheresponsibilitytoretainandhandoverarchivesshallbedefinedforthemainstakeholders.Asforthearchivemanagementfortheproject,thecountry’stechnicalstand-ardforarchivingshallapply.
17.3.4 Intheprocurementdocumentsortherelevantcontractoragreement,specialprovisionsshallbeincorporatedforthemanagementandresponsibilitiesforthearchivesrelatingtotheproject,
suchasthedocuments,drawingsandotherspecialmedia(audio,video,CDormagneticdisk).
17.3.5 Negotiatewiththefilemanagementagencytodeterminethefileretentionperiod.
17.3.6 Organizeandcoordinatethefilingofallthedocumentsfromtheentireconstructionprocesstoacceptandmanagefilesthehandledbythemainstakeholdersinacomplete,correct,systematic,
andunifiedmanner.Handtheprojectfilesovertothearchivesmanagementsystemafterthelicenseisapproved.
17.3.7 Thearchivingworkforthedocumentsanddatageneratedduringtheoverallconstruction
processoftheprojectshallbeproperlyorganizedandcoordinated,soastoensurethatthearchivesarecomplete,accurateandsystematic.Thearchiveshandedoverbythemainstakeholdersshallbereceived,managedandexaminedinacentralizedmanner,andshallbehandedovertotherelevantarchiveadministrationauthorityinaccordancewiththeprovisionsofthelawsofthecountry.
17.4 Informationsystemfortheprojectmanagement
17.4.1 Theinformationsystemfortheprojectmanagementshallbeestablished,andthecorre-spondingresponsibilitiesandauthoritiesofthemainstakeholdersshallbedefined.
17.4.2 Theorganizationalsystemandprocessshallbeestablishedfortheimplementationofthein-formationsystemfortheprojectmanagement.
17.4.3 Itisadvisedtosetupthenetworkplatform whichinvolvesthemainstakeholders,andtherelevantpersonnelshallbetrained.
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18 Occupationalhealthandsafetymanagementfortheproject
18.1 Generalprovisions
18.1.1 Theoccupationalhealthandsafetyguarantyandthesupervisionmanagementsystemshallbeestablished,and the main stakeholders shall undertake the occupational health and safetymanagementfortheprojectandperformthecorrespondingmanagementduties.
18.1.2 Theoccupationalhealthandsafetymanagementsystemshallbeformulated,andthesafetymanagementdepartmentshallbesetuporacertainnumberofqualifiedfull-timesafetymanagementpersonnelshallbeallocated.
18.1.3 Thecostoftheconstructionsafetyworkingenvironmentandsafetyconstructionmeasuresshouldbeincludedintheprojectdesigncostaccordingtotherelevantregulationsofthecountrywhentheprojectdesigncostisestimated.Thecontractorisrequiredtowithdrawthesafetyproduc-tioncostaccordingtothelawsandregulationsofthecountryduringtheprojectconstructionpro-curementandthespecialfundforspecialuse.
18.1.4 Thetechnicalclarificationsystemforoccupationalhealthandsafetyshallbeestablished,andthehazardsintheconstructionoftheprojectshallbeidentified,evaluatedandcontrolled.
18.1.5 Theemergencymanagementsystemfortheprojectshallbeestablished,andthecomprehen-siveemergencyresponseplanandthecorrespondingspecialemergencyresponseplanfortheprojectshallbeissued.
18.1.6 Theoccupationalhealthandsafetyinspectionsystemfortheprojectshallbeestablished,
andtheroutineinspectionandspecialinspectionshallbeproperlyorganized.
18.1.7 Theoccupationalhealthandsafetyexaminationsystemfortheprojectshallbeformulated,
andtheroutineanalysis,examination,rewardorpenaltiesandthecontinuousimprovementshallbeproperlycarriedout.
18.1.8 Theproceduresforthehandlingofprojectoccupationalhealthandsafetyaccidentsshallbedefined,soastoensurethatallaccidentsareproperlyinvestigated,analysedandhandled.
18.1.9 Themainstakeholdersshallberequiredtoprocureoccupationalhealthinsurancefortheiremployees.
18.1.10 Laboursafetyandsanitationfacilitiesshouldbedesigned,constructedandoperatedsimul-taneouslywiththemainworks.
18.1.11 Majorstakeholdersshouldtrainthepersonnelwithoccupationalhazardsforspecialskills23
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andconductregularoccupationalhealthcheck-upsforthepersonnel.
18.2 Worksafetymanagement
18.2.1 Thecontractorshallberequiredtoformulatetheworksafetyguaranteemeasuresfortheproject,andthecontentsthereofshallincludetheorganizationsystem,duties,authorities,resourceallocation,controlobjective,controlprocedure,controlmeasures,inspection,evaluationandtherewardandpenaltiessystem.
18.2.2 Thecontractor’ssafetyexperienceshouldbechecked.Aftertheprojectstartapplicationisapproved,thesafetyconstructionmeasuresshouldbesubmittedtothegovernment’sregulatoryagencyforreferencewithinthespecifiedperiod.
18.2.3 Theeducationandtrainingsystemforworksafetyshallbeestablished,andtheimplementa-tionthereofshallbesupervised.
18.2.4 Thetechnicalclarificationsystemforworksafetyandoccupationalhealthandsafetyshallbeestablished,andtheimplementationthereofshallbesupervised.
18.2.5 Thecontractorshallberequiredtoformulatethesafetymanagementprogramforthecon-structionequipmentandspecialequipment,andtheimplementationofsuchprogramshallbesuper-visedbytheengineer.
18.2.6 Thefloodpreventionprogramandmeasuresshallbeformulated,andtheimplementationthereofshallbesupervised.
18.2.7 Thecontractorshallberequiredtoformulatethespecificsafeconstructionschemeforindi-vidualprojectcomponentswhichinvolverelativelymajorhazards,suchastheinstallation/disman-tlementofthescaffold,excavationnearthehighslopeandofthetunnelsandchambers,blastingop-erations,underwaterworksandtheliftingofheavyandlargepieces,andsuchprogramshallbeex-amined,approvedandsupervisedbytheengineer.
18.2.8 Thesystemofhaltingconstructionforrectificationincaseofmajorhiddendangersandthereportingandinvestigationsystemfortheoccurrenceofmajorhazardsandmajorcasualties(acci-dent)shallbeestablished.
18.2.9 Thehierarchicalworkpossiblesafetymeetingsystemshallbeestablished,andthedynamicmanagementofworksafetyshallbeimplemented.
18.3 Civilizedconstructionmanagement
18.3.1 Civilizedengineeringconstructionrulesshouldbeestablishedtoformulatethecivilizedcon-structionmanagementmethodsandtheprojectcivilizedconstructionstandards.
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18.3.2 Themanagementonthegreeningandthecivilizedconstructionplanningintheapprovedcon-structionareashallbecarriedoutinlightoftheon-siteconditionsandinaccordancewiththere-quirementsoftheconstructionprogramandtheconstructionschedule.
18.3.3 Theon-sitecivilizedconstructionmanagementshouldinclude(butnotbelimitedto)the:
a) Planningoftheconstructionsiteaswellastheplanningandmanagementoftheaccessroads;
b) Environmentalmanagementoftheconstructionsite;
c) Managementofthestackingofmaterialsandtheplacementofequipment;
d) Managementoftheliving,culturalandsportfacilitiesandthesanitation.
18.3.4 Theenvironmentalfactorsoftheconstructionsiteshallbeinspectedandanalysed,andthecorrectivemeasuresshallbetaken.
18.4 Firefightingandsecuritymanagement
18.4.1 Drawingsandrelevantinformationabouttheprojectfireprotectiondesignshouldbesubmit-tedtothefirecontrolagencyforexaminationandapproval;incaseofmajorchanges,thesemateri-alsshouldbere-examinedandlicensed.
18.4.2 Thefirefightingfacilitiesshallmeettheoverallfirefightingandsafetyneedsoftheproject.Thefirefightingequipmentandproductsshallcomplywiththecertificationstandardsofthecountry.
18.4.3 Thecontractorwithcorrespondingqualificationsmaybeselectedbymeansoftendering.
18.4.4 Beforetheprojectiscompleted,applyforspecialcompletionacceptancefromthefirecon-trolagencyofthelocalgovernmentaccordingtothelawsandregulationsofthecountry.
18.4.5 Thesecuritymanagementworkshallbeaccordedhighpriority,anditisadvisedtocarryoutthespecifiedmanagementfortheconstructionsite.
19 Projectriskmanagement
19.1 Generalprovisions
19.1.1 Theaccountabilitysystemfortheprojectriskmanagementshallbeestablished.Theriskmanagementshallbecarriedoutduringtheentireprocessoftheprojectbymeansofriskidentifica-tion,riskanalysis,riskresponse,riskmonitoringanddynamiccontrol.
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19.1.2 Theprojectriskmanagementplanshallbeprepared,anditsmaincontentsshouldinclude(butnotbelimitedto)the:
a) Methods,toolsanddatasourcesfortheriskmanagement;
b) Organizationandpersonnelfortheriskmanagement;
c) Budgetfortheriskmanagementwork;
d) Timeschedule;
e) Reportformat;
f) Recordingmodefortheriskactivities.
19.2 Riskidentification
19.2.1 Theriskfactorswhichmayaffecttheprojectshallbedeterminedthroughtheriskidentifica-tion.
19.2.2 OnthebasisofthecharacteristicsofSHPprojects,theriskidentificationmaybecarriedoutbystages,disciplinesandtypes.
19.2.3 Theriskidentificationshallbecarriedoutinaccordancewiththefollowingprocedure(butnotbelimited):
a) Tocollectingthedataorinformation;
b) Toanalysingtheuncertainties;
c) Toestablishingthestructuralsystemfortheprojectrisks;
d) Todetermining,sortingoutandsummarizingtheriskevents;
e) Topreparingtheriskidentificationreportfortheproject.
19.3 Riskanalysis
19.3.1 Thequalitativeorquantitativeriskanalysisshallbecarriedoutfortheconstruction,floodcontrol,earthquake and geological hazards in the dam site and reservoir area,extrememeteorologicaldisaster,residents’resettlement,andthefinancialaffairsoftheproject,andtheriskanalysisreportshallbeformulated.
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19.3.2 Throughanalysisoftheprojectrisks,theprobabilityandtimeofoccurrenceoftheriskeventsshallbepredicted,thelossescausedbytherisksshallbeestimated,andtheimpactoftheriskeventsontheprojectshallbeevaluated.
19.3.3 Theleveloftheriskeventsshallbeevaluated,andtheevaluationresultswereclassifiedassevere,moderatelowandacceptable.
19.4 Riskresponse
19.4.1 Theriskresponseplanfortheprojectshallbeformulated,andtheriskresponsestrategiesshallbedefined.
19.4.2 Theriskresponsemeasuresshallbeformulatedinconsiderationofthecontractual,econom-ic,organizational,andtechnicalandmanagementmeasures,soastopreventtheoccurrenceoftheriskevents.
19.4.3 Theinsuranceortheguaranteeshallbeusedtotransfertherisks.
19.4.4 Theriskresponseplanfortheprojectshouldformanintegralpartofthecomprehensivepro-jectplan.
19.5 Riskmonitoringandcontrol
19.5.1 Theriskmonitoringreportshallbepreparedonaregularbasisaccordingtotheriskmanage-mentplan.
19.5.2 Thepre-definedriskeventsshallbefollowedupandanalysed.Duringtheimplementationoftheproject,thefocusofthemonitoringshallbeplacedonthemajorhazards,theresponseplanshallbeprepared,andtheoccurrenceofthemajorriskeventsshallbeprevented.
19.5.3 Duringtheimplementationoftheproject,thenewriskfactorsandnewriskeventsshallbeidentifiedandmonitored.
19.5.4 Theinformationrelatingtotheprojectshallbecollectedandanalysed,soastopredictandgivepre-warningfortherisks.
19.5.5 Theimpactarisingfromtheoccurrenceoftherisksshallbecontrolled,soastoreducelos-sesandreducethesecondaryrisksandaccidents.
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