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……………………………………………………………………

Ⅲ

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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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

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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

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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.

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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.

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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

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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.

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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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