NB/T 10223-2019Code for data archiving and archives management of coal construction projects (English PDF)

Foreword

This document was issued on 4 June 2019 by the National Energy Administration of the PRC and takes effect on 1 October 2019.

It is a NB/T standard: recommended rather than compulsory, but it is the text a Chinese reviewer applies when assessing a submission.

It is classified under ICS 73.020, Chinese classification F00/09.

This code has been compiled by the Quality Supervision Station for Construction Projects of the Jincheng Mining Area of the Coal Industry together with Henan Energy and Chemical Industry Construction Group Co., Ltd. and other units concerned, in accordance with the requirements of the Notice of the General Department of the National Energy Administration on Issuing the 2017 Plan for the Formulation and Revision of Industry Standards in the Energy Field and the Plan for the Translation and Publication of English Versions (Guo Neng Zong Tong Ke Ji [2017] No. 52).

During the compilation of this code, the drafting group followed the relevant national and industry policies, laws and regulations, took the actual conditions of coal construction as its basis, carried out ample investigation and demonstration, widely solicited opinions and suggestions, and finally established this code through repeated discussion, revision and refinement.

This code has been formulated in order to standardize the filing and volume forming of coal construction project data and the management of the resulting archives, and in order to unify and improve the system of standards and codes for coal construction.

This code consists of 7 chapters and 12 appendices. Its main content covers general provisions, terms, basic requirements, data filing, files archiving, archives management and archives acceptance.

This code is under the administration of the National Energy Administration. The China Coal Construction Association is responsible for its routine administration and for the adjustment and revision of local content, while the chief editing unit is responsible for the interpretation of the specific technical content.

During the implementation of this code, comments and suggestions may be sent to the Quality Supervision Station for Construction Projects of the Jincheng Mining Area of the Coal Industry (address: Quality Supervision Station, Jinmei Group, Chengqu District, Jincheng City, Shanxi Province; postal code 048006; e-mail jckqzjz@163.com), so that they may be taken into account in future revisions.

Chief editing units: Quality Supervision Station for Construction Projects of the Jincheng Mining Area of the Coal Industry; Henan Energy and Chemical Industry Construction Group Co., Ltd.

Participating units include: Henan Guolong Mining Construction Co., Ltd.; Shanxi Jincheng Anthracite Mining Group Co., Ltd.; Central Quality Supervision Station for Coal Industry Energy Construction Projects of China Coal; Henan Central Quality Supervision Station for Coal Industry Construction Projects; Inner Mongolia Central Quality Supervision Station for Coal Industry Construction Projects; Guizhou Central Quality Supervision Station for Coal Industry Construction Projects; Yunnan Central Quality Supervision Station for Coal Industry Construction Projects.

Further participating units include: Jincheng Hongsheng Construction Engineering Co., Ltd.; Shaanxi Coal and Chemical Industry Construction (Group) Co., Ltd.; Shanxi Xishan Jinxin Construction Co., Ltd.; Jiangsu Mining Engineering Group Co., Ltd.; Shenhua Ningxia Coal Capital Construction Company; China Coal No. 5 Construction Co., Ltd.; Shandong Runlu Building Material Testing Technology Service Co., Ltd.; Beijing Zhongjing Kuang'an Technology Co., Ltd.; Beijing Zhuye Zhiyuan Software Development Co., Ltd.

The foreword further lists, in Chinese characters only, the names of the chief drafters of the code, numbering more than forty persons, and the names of the chief examiners, likewise numbering more than forty persons. These name lists are reproduced in the original document and are not transliterated here.

The code was approved by the National Energy Administration and published by the China Coal Industry Publishing House.

Publication and Approval Data

Standard designation printed on the cover: NB/T 10223-2019, an energy industry standard of the People's Republic of China issued under the NB series.

International Classification for Standards (ICS) code shown on the cover: 73.020.

Document classification code shown on the cover: ID F00/09.

Filing (record) number shown on the cover: Record No. J2718-2019.

Chinese title on the cover: Code for Data Archiving and Archives Management of Coal Construction Projects, expressed in Chinese characters.

Official English title printed on the cover and on the title page: Code for Data Archiving and Archives Management of Coal Construction Projects.

Date of issue printed on the cover: 4 June 2019.

Date of implementation printed on the cover: 1 October 2019.

Issuing authority printed on the cover: National Energy Administration.

Chief editing department stated on the title page: China Coal Construction Association.

Approving department stated on the title page: National Energy Administration.

Effective date stated on the title page: 1 October 2019.

Publisher: China Coal Industry Publishing House, Beijing, 2019; address No. 35 Shaoyaoju, Chaoyang District, Beijing, postal code 100029.

Printing data given in the colophon: format 850 mm by 1168 mm, 1/32; 2 and 7/8 printed sheets; approximately 68 thousand characters; first edition September 2019; second printing April 2021; list price 25.00 yuan.

The cover of the standard bears no superseding statement, so this edition does not replace an earlier energy industry standard.

Approval Announcement

The standard was released under Announcement No. 4 of 2019 of the National Energy Administration.

By that announcement the National Energy Administration approved 297 industry standards, comprising 105 energy standards (NB), 168 electric power standards (DL) and 24 petrochemical standards (NB/SH), and issued them for use.

The announcement is dated 4 June 2019 and is accompanied by an annex listing the industry standards approved.

In the annexed catalogue of industry standards this code appears as serial number 96, with standard number NB/T 10223-2019, publishing organization China Coal Industry Publishing House, approval date 2019-06-04 and implementation date 2019-10-01.

The column for superseded standards is blank for this entry, confirming that the code is a first edition rather than a revision.

The column for the adopted international standard number is likewise blank, so the code does not adopt a corresponding international or foreign standard.

Structure of the Document

The body of the code is arranged in seven chapters: General Provisions, Terms, Basic Requirements, Data Filing, Files Archiving, Archives Management and Archives Acceptance.

Chapter 4, Data Filing, is divided into four sections: General Requirements, Data Filing, File Cataloging and Files Binding.

Chapter 5, Files Archiving, is divided into three sections: General Requirements, Transferring and Receiving, and Archive Time.

Chapter 6, Archives Management, is divided into four sections: General Requirements, Hardware Facilities, Archives Management System, and Storage and Utilization.

Chapter 7, Archives Acceptance, is divided into five sections: General Requirements, Acceptance Organization, Acceptance Application, Acceptance Content and Acceptance Conclusion.

Appendix A gives the List of Filing Data of the Construction Unit, the longest of the annexes devoted to the client side of the project.

Appendices B, C and D give the lists of filing order of unit project data for the mine construction specialty, the civil engineering specialty, and the mechanical and electrical equipment installation specialty respectively.

Appendix E gives the list of filing order of unit project data for the supervision unit.

Appendices F, G and H give the style of the soft cover, the style of the catalogue in the volume and the style of the reference appendix table in the volume.

Appendices J and K give the record chart for reviewing files and electronic records and the chart for transferring files and electronic records.

Appendices L and M give the registration form of archives destruction and the data summary table.

The closing matter comprises the Explanation of Wording in This Code, the List of Quoted Standards and the Addition: Explanation of Provisions.

The pagination of the printed code runs to page 62 at the start of the Explanation of Provisions, the appendices occupying pages 24 to 59.

Closing Matter

The Explanation of Wording in This Code, on page 60, explains the degrees of strictness expressed by the auxiliary words used in the provisions, in the manner customary for Chinese engineering codes.

The List of Quoted Standards, on page 61, lists the standards quoted in the body of the code, among them NB/T 51051 quoted in provision 4.1.1.

The Addition: Explanation of Provisions, beginning on page 62, gives the drafting group's explanation of the individual provisions; it is published together with the code but is not itself normative.

1 Scope

NB/T 10223-2019 governs how the documentation of a coal construction project is filed and how the resulting archive is managed. A mine or preparation plant generates an enormous paper and digital record over its construction - surveys, designs and their revisions, contracts, procurement and equipment certificates, construction and inspection records, test results, commissioning data and as-built drawings - and that record has to survive, because it is what the operator, the regulator and any future modification will rely on. The code sets the general provisions and defined terms, the responsibilities of the owner, designer, contractor and supervisor for generating and handing over documents, and the requirement that filing proceed alongside construction rather than at the end. It then specifies the classification and coding scheme, the retention period for each category, and the filing scope: what must be kept, in how many copies, in what form and with what signatures. Requirements follow on the physical and digital quality of the documents themselves - paper, ink, drawing format, scanning resolution and file formats - and on their arrangement into files and volumes with their indexes. The handover of the archive at project completion, the acceptance inspection of the archive, and the subsequent management of the archive in service - storage conditions, access and lending, duplication, digitisation and disposal - complete the code. It applies to Chinese coal construction projects.

Chapter 1 sets out the purpose of the code, its field of application and its relation to other standards. It occupies page 1 of the printed document and contains three provisions numbered in the 1.0.x series.

1.0.1 This code is formulated in order to standardize the work of data filing, archiving and archives management of coal construction projects, to promote the regularization, institutionalization and standardization of data archiving and archives management of coal construction projects, and to raise the level of data filing, archiving and archives management of coal construction projects.

1.0.2 This code is applicable to the filing, archiving and archives management of project data of all kinds of coal construction projects and of construction projects of coal enterprises carried out under the various investment and financing modes.

1.0.3 In addition to complying with this code, the filing, archiving and archives management of coal construction project data shall also comply with the provisions of the relevant current national and industry standards.

2 Terms

Chapter 2 defines ten terms used throughout the code. Each entry gives the Chinese term, its English equivalent and the definition; the entries are numbered from 2.0.1 to 2.0.10 and occupy pages 2 and 3.

2.0.1 construction project archives: engineering data possessing preservation value which is formed in the course of project construction activities and which has been sorted, formed into files and archived, including both paper documents and electronic records.

2.0.2 filing: the process of classifying and sorting engineering data possessing preservation value into files according to defined rules and methods; this process is also known as volume forming.

2.0.3 files: an archive keeping unit assembled and bound into a volume from a number of items of mutually related engineering data.

2.0.4 electronic records: the various information records in digital format which are formed by means of computers and other electronic equipment and which can be stored, read and transmitted.

2.0.5 native electronic documents: original data collected by means of computers and other electronic equipment and stored in digital format on carriers such as magnetic tape, magnetic disk and optical disc.

2.0.6 metadata: the data describing the conditions of generation, the content and the data structure of an electronic record throughout the whole of its management process.

2.0.7 description: the process of analysing, selecting and recording the characteristics of the content and form of project archives when the catalogue of the project archives is compiled.

2.0.8 catalogue: the process of classifying, describing and recording construction project files and data as entries in accordance with defined standards and rules, and then organizing those entries into a catalogue or bibliography in a defined order.

2.0.9 cross-referenced number: the archive number which reflects the presence of the same content in archive keeping units on different carriers.

2.0.10 archive: the process of transferring to the archives room the files formed after the filing of engineering data.

The terms of this chapter are used consistently in the later chapters: filing governs Chapter 4, archive governs Chapter 5, and construction project archives together with electronic records govern Chapters 6 and 7.

3 Basic Requirements

Chapter 3 states the general obligations of the parties to a coal construction project with regard to archives work. It occupies pages 4 and 5 and contains eleven provisions numbered in the 3.0.x series.

3.0.1 The construction unit shall assume overall responsibility for the archives management work of the construction project and shall accept the supervision and guidance of the government archives administration department.

3.0.2 The construction unit shall implement centralized and unified management of the archives of coal construction projects.

3.0.3 From the beginning of the preparatory phase of the construction project, the construction unit shall establish an archives management organization commensurate with the construction project. It shall designate the person chiefly responsible for archives management work and shall set up an archives management group composed of archives management personnel and relevant specialist personnel.

3.0.4 The archives management organization shall establish the eight management systems set out in the following provisions.

3.0.4 item 1 File archiving system. It shall include the archiving scope and retention periods, the archiving time, the archiving procedure and the quality requirements for files.

3.0.4 item 2 File statistics system. It shall include the content of the statistics, the requirements for the statistics and the analysis of the statistical data.

3.0.4 item 3 Electronic archives management system. It shall include the requirements for the archiving, management and use of the electronic records formed throughout the whole construction process.

3.0.4 item 4 Archives management system operating system. It shall include the duties of the operating personnel of the archives management system and the operating requirements for the software and hardware of that system.

3.0.4 item 5 Archives custody system. It shall include the custody conditions for archives of each category, the custody methods for archives on special carriers, the methods for checking and inventorying archives, the methods for dealing with damaged archives, the system for the use of archives, the management requirements of the archives room and the duties of the archives management personnel.

3.0.4 item 6 Archives utilization system. It shall include the modes and methods of archives utilization, the authority and approval formalities for consulting and borrowing archives, and the management measures for consulting and borrowing archives.

3.0.4 item 7 Archives confidentiality system. It shall include the confidentiality responsibilities to be borne by those who produce archives, those who manage archives and those who use archives.

3.0.4 item 8 Archives appraisal and destruction system. It shall include the requirements as to the organization, duties, principles, methods and timing of appraisal and destruction work.

3.0.5 The construction unit shall be responsible for the filing and archiving of the project data of the construction unit itself, of the survey unit, of the design unit and of the equipment and materials procured by the construction unit itself, and shall supervise and examine the filing and archiving of the project data of the construction contractor and of the supervision unit.

3.0.6 The construction contractor shall be responsible for the filing and archiving of the construction data of the works it undertakes.

3.0.7 The supervision unit shall be responsible for the filing and archiving of the supervision data of the works it supervises, and shall supervise and examine the filing and archiving of the project data of the construction contractor.

3.0.8 When the construction unit concludes contracts and agreements with the units participating in the construction, special clauses shall be drawn up specifying the scope, the standards, the number of sets and the transfer time for the filing and archiving of the project data of those units.

3.0.9 When each participating unit transfers project archives, the transfer formalities for the project archives shall be completed in good time, and the transfer shall be signed for and acknowledged by the business department and the archives room of the construction unit.

3.0.10 Information based archives management software shall be adopted for the archives management of coal construction projects.

3.0.11 For coal construction projects which adopt building information modelling (BIM) technology, the electronic files of the building information model shall be archived at the same time as the other project archives.

4 Data Filing

Chapter 4 governs the filing of project data. It begins on page 6 and is divided into four sections: General Requirements (4.1), Data Filing (4.2), File Cataloging (4.3) and Files Binding (4.4).

4.1.1 The form format and the numbering method of coal construction project data shall comply with the provisions of NB/T 51051, Standard for Management of Coal Construction Project Data.

4.1.2 The filing of coal construction project data shall comply with the four requirements set out in the following provisions.

4.1.2 item 1 In view of the fact that project data forms complete sets, the data within a volume shall be clearly classified and the filing shall be rational.

4.1.2 item 2 When filing, a single volume or several volumes shall be formed according to the content being filed, and the data within each volume shall be independent and complete.

4.1.2 item 3 When data of the same category and the same kind is filed, a data summary table shall be inserted before the first page of that data.

4.1.2 item 4 Project data which already forms a separate bound volume or a complete set shall be kept in its original state and shall not be broken up and filed afresh.

4.1.3 Soft covers shall be used for the files of coal construction project data. The soft cover shall be made of 150 gram kraft paper; the dimensions of the front cover and the back cover shall be 297 mm by 210 mm; and a folded paper tongue 30 mm wide should be provided at the flap.

4.1.4 Files shall be assembled in the following order: cover, catalogue, project data, reference appendix table, back cover.

4.2.1 Coal construction project data shall be filed separately by the construction unit, the construction contractor and the supervision unit.

4.2.2 The filing of project data by the construction unit shall comply with the requirements of the following provisions, the first of which requires the data to be arranged according to the preliminary documents of the construction project, the data of the preparatory phase and the data of the implementation phase.

The remaining provisions of Section 4.2, together with Sections 4.3 on file cataloging and 4.4 on files binding, continue on pages 7 to 12 of the printed code and are supported by the model forms given in Appendices F, G, H and M.

The lists of filing order to be applied under this chapter are given specialty by specialty in Appendix A for the construction unit, in Appendix B for the mine construction specialty, in Appendix C for the civil engineering specialty, in Appendix D for the mechanical and electrical equipment installation specialty, and in Appendix E for the supervision unit.

5 Files Archiving

Chapter 5 begins on page 13 of the printed code and governs the archiving of the files formed under Chapter 4.

Section 5.1, General Requirements, on page 13, sets out the general conditions under which files are archived.

Section 5.2, Transferring and Receiving, on page 13, governs the transfer of files from the participating units to the archives room and their receipt there, supported by the chart of transferring files and electronic records given in Appendix K and by the record chart for reviewing files and electronic records given in Appendix J.

Section 5.3, Archive Time, on page 14, governs the time limits within which archiving is to take place, in accordance with the file archiving system required by provision 3.0.4 item 1.

6 Archives Management

Chapter 6 begins on page 15 of the printed code and is the longest chapter of the body, running to page 20.

Section 6.1, General Requirements, on page 15, sets out the general requirements for the management of construction project archives.

Section 6.2, Hardware Facilities, on page 15, governs the physical facilities of the archives room and the equipment needed for the custody of archives on paper and on special carriers.

Section 6.3, Archives Management System, on page 16, governs the information based archives management software required by provision 3.0.10 and the management of electronic records and their metadata.

Section 6.4, Storage and Utilization, on page 17, governs custody, consultation, borrowing, appraisal and destruction, and is supported by the registration form of archives destruction given in Appendix L.

7 Archives Acceptance

Chapter 7 begins on page 21 of the printed code and governs the acceptance of the project archives.

Section 7.1, General Requirements, on page 21, sets out the general requirements for archives acceptance.

Section 7.2, Acceptance Organization, on page 21, governs the organization of the acceptance and the parties taking part in it.

Section 7.3, Acceptance Application, on page 22, governs the application made for acceptance of the archives.

Section 7.4, Acceptance Content, on page 22, governs the matters to be examined during the acceptance, including the paper files and the electronic records.

Section 7.5, Acceptance Conclusion, on page 23, governs the conclusion to be drawn from the acceptance and the handling of a project whose archives do not pass.