Part 1: Project Construction Management

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………………………………………………………………………


5.2 Projectstart 5…………………………………………………………………………………………

5.3 Planningfortheprojectmanagement 5……………………………………………………………

5.4 Integratedvariationcontrol 6………………………………………………………………………

5.5 Evaluationoftheprojectmanagementperformance 7……………………………………………

6 Early-stageplanningoftheproject 8……………………………………………………………………


6.2 Prefeasibilitystudyandthefeasibilitystudy 8……………………………………………………

7 Projectscopemanagement 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…………………………………………………………………………


9.2 Qualitymanagementplan 14………………………………………………………………………

9.3 Qualitycontrol 15……………………………………………………………………………………

9.4 Qualitysupervisionandqualityimprovement 16…………………………………………………

10 Projectprogressmanagement 16………………………………………………………………………


10.2 Managementoftheprogressobjectives 17………………………………………………………

10.3 Projectschedule 17…………………………………………………………………………………Ⅰ

SHP/TG005-1:2019

10.4 Controlandadjustmentoftheprogress 18………………………………………………………

11 Projectcostmanagement 19……………………………………………………………………………


11.2 Estimatecontrolandexpensemanagement 19…………………………………………………

11.3 Finalaccounting 20…………………………………………………………………………………

12 Procurementmanagementfortheproject 20…………………………………………………………


12.2 Procurementplanning 21……………………………………………………………………………

12.3 Implementationoftheprocurement 21…………………………………………………………

13 Projectcontractmanagement 22………………………………………………………………………


13.2 Conclusionofthecontract 23……………………………………………………………………

13.3 PerformanceoftheContract 24…………………………………………………………………

13.4 Settlementuponcompletionofthecontract 24…………………………………………………

14 Projectenvironmentalprotectionandwaterandsoilconservationmanagement 25……………


14.2 Planningforenvironmentalprotectionandwaterandsoilconservation 25…………………

14.3 Environmentalprotectionandwaterandsoilconservationimplementation 26………………

14.4 Environmentalprotectionandwaterandsoilconservationacceptance 26……………………

15 Engineermanagement 26………………………………………………………………………………


15.2 Selectionoftheengineer 27………………………………………………………………………

15.3 Contentsoftheengineermanagementwork 27…………………………………………………

15.4 Examinationandsupervisionoftheengineer’sperformance 28………………………………

16 Projectcommunicationmanagement 28………………………………………………………………


16.2 Communicationmanagementplan 28……………………………………………………………

16.3 Implementationofcommunication 29……………………………………………………………

17 Projectinformationmanagement 30……………………………………………………………………


17.2 Documentmanagement 30…………………………………………………………………………

17.3 Archivemanagement 31……………………………………………………………………………

17.4 Informationsystemfortheprojectmanagement 31……………………………………………

18 Occupationalhealthandsafetymanagementfortheproject 32……………………………………


18.2 Worksafetymanagement 33………………………………………………………………………

18.3 Civilizedconstructionmanagement 33……………………………………………………………

18.4 Firefightingandsecuritymanagement 34………………………………………………………

19 Projectriskmanagement 34……………………………………………………………………………

19.1 Generalprovisions 34………………………………………………………………………………Ⅱ

SHP/TG005-1:2019

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.

Ⅳ

SHP/TG005-1:2019

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.

Ⅴ

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

SHP/TG005-1:2019

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

3

SHP/TG005-1:2019

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


5.1.1 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

5

SHP/TG005-1:2019

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

SHP/TG005-1:2019

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

SHP/TG005-1:2019

notbelimitedto):

a) Analysisofthechangeintheimplementationenvironmentfortheproject;

b) Implementationoftheintegratedplanoftheproject;

c) Evaluationoftheproject-relateddecisions;

d) Preventionandcontrolmeasuresfortheprojectrisks,andtheimplementationeffectsthereof.

6 Early-stageplanningoftheproject


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.

8

SHP/TG005-1:2019

7 Projectscopemanagement


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

SHP/TG005-1:2019

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

SHP/TG005-1:2019

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


8.1.1 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

SHP/TG005-1:2019

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

SHP/TG005-1:2019

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.

31

SHP/TG005-1:2019

8.3.3.10 Thesurveyanddesignorganizationshouldcreatethegeologicalrecordandperformthe-geologicalconditionanalysis,andparticipateintheriverdiversion(closure),reservoirimpound-ment,unitstart-up,andcompletionandacceptanceintheprojectsection,andsubmitthecorre-spondingacceptancedesigndocuments.

9 Projectqualitymanagement


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

SHP/TG005-1:2019

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.

51

SHP/TG005-1:2019

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


10.1.1 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.

61

SHP/TG005-1:2019

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

SHP/TG005-1:2019

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.

81

SHP/TG005-1:2019

10.4.3 Thepaymentofthefundsnecessaryfortheimplementationoftheconstructionandthesup-

plyoftheequipmentandmaterialstobesuppliedshallbeguaranteedbytheEmployer.

11 Projectcostmanagement


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.

91

SHP/TG005-1:2019

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


12.1.1 ProjectprocurementshallbefinishedbytheEmployeroritsentrustedengineeringconsultingorganizationwiththecorrespondingexperience.

12.1.2 Theaccountabilitysystemforprocurementmanagementshallbeestablished,theprocure-mentmanagementsystemandprocedureshallbeformulated,andtherespectivedutiesandrespon-sibilitiesshallbedefined.

12.1.3 AprojectpurchasingcertificateshouldbeappliedwhentheEmployerwiththecorrespondingexperiencetakestheresponsibilityfortheprojectprocurement.Aprojectprocurementcommission

02

SHP/TG005-1:2019

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;

12

SHP/TG005-1:2019

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


13.1.1 Anorganizationorpositionshouldbesetupforthecontractmanagement.22

SHP/TG005-1:2019

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.

32

SHP/TG005-1:2019

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;

e) Otherrelevanteconomicandtechnicaldata.42

SHP/TG005-1:2019

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


14.1.1 Theenvironmentalprotectionandwaterandsoilconservationmanagementsystemfortheprojectshallbeestablished,andtheplanfortheimplementationofenvironmentalprotectionandwa-terandsoilconservationmanagementshallbeprepared.

14.1.2 Developspecialinvestigationandresearchontheprojectenvironmentalprotectionandsoilandwaterconservationaccordingtothelawsandregulationsofthecountryortheenvironmentalprotectionandsoilandwaterconservationrequirements.

14.2 Planningforenvironmentalprotectionandwaterandsoilconservation

14.2.1 Plantheenvironmentalprotectionandsoilandwaterconservationandevaluatetheimpactoftheprojectontheenvironment.

52

SHP/TG005-1:2019

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


15.1.1 Theengineermanagementshallbeplannedbyformulatingtheengineermanagementworkplan,andtheworkoftheengineershallbemanagedandcoordinatedinaunifiedandcentralizedman-ner.

62

SHP/TG005-1:2019

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

SHP/TG005-1:2019

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


16.1.1 Thecommunicationmanagementsystemandthemanagementprocedurefortheprojectshallbeestablished,andthecommunicationmanagementplanfortheprojectshallbeformulated.

16.1.2 Theappropriatemethodsandmeansshallbeusedtoeffectivelycommunicatewiththestakeholders.

16.2 Communicationmanagementplan

16.2.1 Thecontradictionsandproblemswhichmayoccurshallbepredictedinlightoftheactual82

SHP/TG005-1:2019

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.

92

SHP/TG005-1:2019

17 Projectinformationmanagement


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.

03

SHP/TG005-1:2019

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.

13

SHP/TG005-1:2019

18 Occupationalhealthandsafetymanagementfortheproject


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

SHP/TG005-1:2019

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.

33

SHP/TG005-1:2019

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


19.1.1 Theaccountabilitysystemfortheprojectriskmanagementshallbeestablished.Theriskmanagementshallbecarriedoutduringtheentireprocessoftheprojectbymeansofriskidentifica-tion,riskanalysis,riskresponse,riskmonitoringanddynamiccontrol.

43

SHP/TG005-1:2019

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.

53

SHP/TG005-1:2019

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.

63

SHP/TG005-1:2019

Part 1: Project Construction Management

Documents

Transcript of Part 1: Project Construction Management