NB/T 51014-2014The code of construction project supervision & management of coal industry (English PDF)

Foreword

This document was issued on 18 March 2014 by the National Energy Administration of the PRC and takes effect on 1 August 2014.

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 P 00/09.

This code has been prepared in accordance with the requirements of the Notice of the National Energy Administration on Issuing the Second Batch of the 2011 Plan for the Formulation (Revision) of Standards in the Energy Sector (Guo Neng Ke Ji [2011] No. 252). It was organized by the China Coal Construction Association and drafted jointly by China Coal Shaanxi Zhongan Project Management Co., Ltd., Coal Industry Jinan Design and Research Institute Co., Ltd. and the relevant units, on the basis of the Interim Rules for Construction Project Supervision and Project Management of the Coal Industry issued by the China Coal Construction Association in November 2009, in combination with the characteristics of coal construction projects and with reference to the relevant standards.

This code consists of 16 chapters and 5 appendices. Its main contents cover general provisions, terms, supervision and project management planning, supervision and project management organization, bidding and tendering management, survey and design management, construction quality management, construction schedule management, construction investment management, site safety management, contract management, information management, communication and coordination, project acceptance management, warranty period management, supervision summary and post-project evaluation.

This code is under the administration of the National Energy Administration, with day-to-day administration entrusted to the China Coal Construction Association. China Coal Shaanxi Zhongan Project Management Co., Ltd. is responsible for the interpretation of the specific technical contents. Users are invited to send comments and suggestions gathered during implementation to China Coal Shaanxi Zhongan Project Management Co., Ltd. (address: No. 64, North Section of Yanta Road, Xi'an; postcode: 710054; e-mail: mtjlgf@126.com) so that they may be considered in future revisions.

Chief drafting units: China Coal Shaanxi Zhongan Project Management Co., Ltd.; Coal Industry Jinan Design and Research Institute Co., Ltd.

Participating drafting units: Shandong University of Science and Technology; China Coal International Engineering Group Beijing Huayu Engineering Co., Ltd.; Shanxi Chengzheng Construction Supervision and Consulting Co., Ltd.; Henan Engineering Consulting and Supervision Co., Ltd.; Shanxi Coal Construction Supervision Co., Ltd.; Shanxi Zhongtai Engineering Construction Supervision Company; Xi'an Coal Construction Supervision Center; Shanxi Coal Construction Supervision and Consulting Company; Shaanxi Coalfield Geology Supervision Office.

The foreword also lists the principal drafters and the principal examiners of the code.

1 Scope

NB/T 51014-2014 governs construction supervision and project management on coal industry works in China - mine shafts and drifts, coal preparation plants, surface installations and the infrastructure around them. It covers two related roles that are often carried by the same organisation: the supervising engineer, who checks on the owner's behalf that the contractor builds what was designed and to the required quality, and the project manager, who plans and controls the work as a whole. The code sets out the organisation of the supervision body, the qualifications and duties of the chief supervising engineer and the staff, the supervision plan and the detailed supervision rules derived from it, and the documents each role must produce. It then specifies the controls exercised during construction: review of the contractor and of the design and technical submissions, the inspection and hold points, quality control of each stage of work, control of progress against the programme, cost control and the certification of payments, safety and environmental supervision, the handling of design changes, claims and non-conformities, and the coordination between the parties. Acceptance is covered at each level from inspection lot through to handover, together with the commissioning of installed plant. The code closes with the records - supervision logs, instructions, monthly reports and the final supervision summary - and with the filing and handover of that record. Owners, supervisors and contractors on Chinese coal projects work to this text.

1.0.1 This code is formulated in order to raise the level of supervision and project management of coal construction projects, to standardize the conduct of such supervision and project management, to promote the normalization, institutionalization and standardization of supervision and project management of coal construction projects, in accordance with the relevant laws and regulations and in combination with the practice of supervision and project management of coal construction projects.

1.0.2 This code defines the subjects, scope, contents, procedures and methods of supervision and project management of coal construction projects.

1.0.3 This code applies to the supervision and project management carried out, upon entrustment by the legal person of the construction project to units holding the qualification of a supervision enterprise, on newly built, extended, technically renovated, production-replacement and resource-integration underground mines, opencast mines and coal preparation plant works of the coal industry built under all kinds of investment structures and financing modes, together with their supporting works, auxiliary works and ancillary works.

1.0.4 Supervision and project management of coal construction projects shall operate under the responsibility system of the general supervising engineer and the responsibility system of the project manager.

1.0.5 In addition to complying with this code, the work of supervision and project management of coal construction projects shall also comply with the provisions of the relevant national and industry laws, regulations and technical standards on engineering construction.

1.0.6 Where other units entrusted by the legal person of the construction project carry out project management, and for the supervision and project management of non-coal mine works, this code may be applied by reference.

2 Terms

2.0.1 coal industry construction project - The newly built, reconstructed and extended coal construction works of all kinds that achieve a set objective through such activities as planning, survey, design, procurement, construction, trial operation, completion acceptance and appraisal; referred to for short as the project.

2.0.2 coal construction project supervision - The activity whereby a unit holding the corresponding qualification of a supervision enterprise, entrusted by the legal person of the construction project, controls the quality, schedule and investment of the construction stage of a coal construction project, manages the contracts and information, performs the statutory management duties for work safety, and provides coordination services to the parties concerned with the construction works; referred to for short as supervision.

2.0.3 supervision related services - The service activities provided by the supervision unit, entrusted by the legal person of the construction project and as agreed in the contract, for such stages of the construction works as survey, design, bidding and tendering management and warranty.

2.0.4 coal industry construction project management - The activities whereby the project management unit, entrusted by the legal person of the project, applies systematic theory and methods to the planning, organization, direction, coordination, control and evaluation of a coal construction project; referred to for short as project management.

2.0.5 coal construction supervision units - The units which are established according to law, have obtained the qualification of a construction supervision enterprise and, entrusted by the legal person of the project, engage in the supervision of coal construction projects.

2.0.6 site supervision organization - The one-off organization stationed by the supervision unit at the site of the construction project to perform the supervision contract; referred to for short as the supervision department.

2.0.7 general supervising engineer - The registered supervising engineer or industry general supervising engineer appointed in writing by the legal representative of the supervision unit, responsible for the full performance of the supervision contract and for presiding over the work of the site supervision organization of the project.

2.0.8 supervising engineer's representative - The supervising engineer who, with the consent of the legal representative of the supervision unit and upon written authorization by the general supervising engineer, exercises part of the duties and powers of the general supervising engineer on his behalf.

2.0.9 professional supervision engineer - The registered supervising engineer or industry supervising engineer who, authorized by the general supervising engineer, engages in site supervision work according to the division of professions and the requirements of the post.

2.0.10 site supervisor - The supervision personnel who, having received training in supervision practice, carry out specific supervision work at the site.

2.0.11 supervision outline - The planning document prepared as required by the supervision unit during the bidding process, used to guide the supervision work over the whole implementation process of the project.

2.0.12 supervision planning - The guiding document prepared under the direction of the general supervising engineer on the basis of the supervision outline and the characteristics of the works, approved by the person in technical charge of the supervision unit, and used to guide the site supervision organization in carrying out the supervision work in full.

2.0.13 supervision implementation - The operational document prepared by the professional supervision engineer on the basis of the supervision planning and the characteristics of the works, approved by the general supervising engineer, and used for carrying out the supervision work.

2.0.14 coal project management units - The units which, entrusted by the legal person of the project, engage in project management activities for coal construction projects and possess the corresponding professional and technical personnel.

2.0.15 project management organization - The one-off organization stationed by the project management unit at the site of the construction project, responsible for performing the project management contract; also called the project manager department.

2.0.16 project manager - The entrusted agent who, authorized by the legal representative of the project management unit, presides over the work of the project management organization in the construction project and possesses the corresponding technical profession, professional title or practising qualification and experience of similar works.

2.0.17 planning outline for construction project management - The macroscopic guiding document prepared as required by the project management unit during the bidding process, used to guide the management work over the whole implementation process of the project.

2.0.18 execution planning for construction project management - The operable project management implementation document prepared under the direction of the project manager on the basis of the project management planning outline and the characteristics of the works.

2.0.19 site regular meeting - The meeting convened periodically by the site supervision organization or the project management organization, gathering the units concerned, on such matters as quality, schedule, investment, safety, contract, information and organizational coordination during the implementation of the construction project.

2.0.20 engineering change - The necessary alteration made, during the implementation of a construction project, to part of the works with respect to function, structure, materials, technology, methods, quantities and the like.

2.0.21 engineering measurement - The calculation and confirmation carried out by the site supervision organization, in accordance with the design documents and the provisions of the contract and according to the progress of project implementation, of the quantities of completed and qualified works declared by the contractor.

2.0.22 witness - The supervisory activity carried out on site by supervision personnel during the sampling and delivery for testing of materials, site testing and the execution of key parts or key processes.

2.0.23 inspection tour - The periodic or non-periodic checking activity carried out by supervision personnel on the operations in progress.

2.0.24 parallel examination - The inspection or testing activity carried out independently by the site supervision organization in a certain proportion at the same time as the contractor's self-inspection.

2.0.25 cost claim - The demand for economic compensation raised against the other party through the site supervision organization when, during performance of the construction contract, one party to the contract suffers a loss for reasons not attributable to itself and liability is to be borne by the other party as agreed in the contract or as provided by laws and regulations.

2.0.26 delay in ratification - The approval, made by the general supervising engineer within the scope of his authorization, of an extension of the implementation period or of the contract construction period when an event not attributable to the contractor occurs and has a continuing effect on the schedule.

2.0.27 construction engineering document - The documents of all kinds formed during the construction process of the works.

3 Project Supervision and Management Planning

3.1.1 The supervision unit shall prepare the supervision outline in accordance with the provisions and requirements of the bidding documents.

3.1.2 The supervision department shall prepare the supervision planning on the basis of the supervision outline, the design documents, the characteristics of the project and the site conditions, and shall define the supervision objectives, procedures, methods, working systems and measures.

3.1.3 The supervision department shall, on the basis of the supervision planning, prepare supervision implementation rules addressing the characteristics of the specialized works.

3.1.4 The project management planning documents comprise the project management planning outline and the project management execution planning.

3.1.5 The project management unit shall prepare the project management outline in accordance with the provisions and requirements of the bidding documents.

3.1.6 The project manager department shall prepare the project management execution planning on the basis of the project management planning outline, the design documents, the characteristics of the project and the site conditions, and shall define the objectives, procedures, methods, working systems and measures for project implementation.

3.2.1 The supervision planning shall comply with the following requirements.

3.2.1-1 The basis for preparing the supervision planning shall be: the relevant laws, regulations and standards; the project approval documents, design documents and technical data; the supervision outline, the supervision contract and the related contract documents; the geological exploration report of the mine field, the geological report of the shaft inspection boreholes and the engineering geological survey report.

3.2.1-2 The preparation of the supervision planning shall comply with the following provisions: the supervision planning shall be started after the supervision contract has been signed and the design documents have been received, and shall be completed before the formal commencement of the works; the supervision planning shall be prepared by the professional supervision engineers organized by the general supervising engineer, examined by the general supervising engineer and approved by the person in technical charge of the supervision unit; the supervision planning shall be submitted to the construction unit before the first site meeting is held or before the formal commencement of the works; the supervision planning shall be specific to the project and timely.

3.2.1-3 The supervision planning shall include the following contents: the general situation of the project; the basis, scope, contents and objectives of the supervision work; the supervision organization, composition of personnel and responsibilities of the posts; the working systems of supervision; the working procedures of supervision; quality control measures; schedule control measures; investment control measures; supervision measures for the management of work safety; supervision measures for green construction management; contract and information management measures; measures for organizational communication; facilities for the supervision work.

3.2.1-4 Where the actual circumstances or conditions change significantly during implementation and adjustment of the supervision planning becomes necessary, the general supervising engineer shall organize the professional supervision engineers to revise it; after examination and approval following the original procedure, it shall be reported to the construction unit.

3.2.2 The supervision implementation rules shall comply with the following requirements.

3.2.2-1 The basis for preparing the supervision implementation rules shall be: the supervision planning; the construction organization design and the construction scheme; the relevant standards, design documents and technical data; the geological exploration report of the mine field, the supplementary geological exploration report of the mine field or of the mining area, the geological report of the shaft inspection boreholes and the engineering geological survey report.

3.2.2-2 The preparation of the supervision implementation rules shall comply with the following provisions: the supervision implementation rules shall be completed before the commencement of the corresponding works; the supervision implementation rules shall satisfy the requirements for guiding the supervision work on site.

3.2.2-3 The supervision implementation rules shall include the following contents: the characteristics, key points and difficult points of the specialized works; the working flow of supervision; the essential points of the supervision work; the working methods and measures of supervision.

3.2.2-4 The supervision implementation rules shall be supplemented, revised and improved in good time according to the actual conditions of implementation.

3.3.1 The project management planning outline shall comply with the following requirements.

3.3.1-1 The basis for preparing the project management planning outline shall be: the business strategy and development plan of the legal person of the project; the project approval documents, the geological exploration report of the mine field, the survey and design documents and the geological report of the shaft inspection boreholes; the national and industry technical standards; the bidding documents, the relevant technical documents and the review opinions; market information, environmental information and construction conditions; the requirements for the facilities, equipment, technology and resources of the construction project.

3.3.1-2 The preparation of the project management planning outline shall comply with the following provisions: define the objectives of the project in respect of quality, investment, schedule, safety and environment; collect the relevant data and information of the project; understand and analyse the environment and conditions of the project; determine the mode, organizational structure and post responsibilities of project management; define the specific contents of project management; prepare the target plan and the resources plan of the project; formulate the corresponding measures for safeguarding the plan; collate the results in summary and submit them for examination and approval.

3.3.1-3 The project management planning outline shall include the following main contents: the general situation of the project and analysis of the construction conditions; the objectives of project management; the organizational structure and post responsibilities of project management; the scope of project management; project design and technical management; project procurement management; project schedule management; project quality management; project cost management; project occupational health, safety and environmental management; green construction management; project information management; project communication management; project risk management; project acceptance management; management of data and archives; evaluation of project management.

3.3.2 The project management execution planning shall comply with the following requirements.

3.3.2-1 The basis for preparing the project management execution planning shall be: the project management planning outline; the data on the analysis of the project conditions and environment; the geological exploration report of the mine field, the geological report of the shaft inspection boreholes and the engineering geological survey report; the contract documents; the letter of responsibility for the project management objectives; the relevant technical standards; the relevant data of similar projects.

3.3.2-2 The preparation of the project management execution planning shall follow the procedure below: understand the requirements of the parties concerned with the project; analyse the conditions and environment of the project; become familiar with the relevant regulations and documents; organize the preparation; submit for examination and approval.

3.3.2-3 The project management execution planning shall include the following main contents: the general situation of the project; the overall work plan of project management, including the work plans for the stages of preliminary preparation, implementation, completion acceptance, warranty and summary evaluation of project management; the organizational structure, setting of posts, staffing and division of responsibilities of project management; the plan of technical and organizational measures; work safety management; occupational health, safety and environmental management; green construction management; contract management; communication management; risk management; acceptance management; management of data and archives; analysis of labour organization and technical-economic indicators; evaluation of project management implementation.

3.3.2-4 The project management execution planning shall comply with the following requirements: it shall be prepared under the organization of the project manager and completed before the start of project implementation; it shall be signed by the project manager and submitted to the person in charge of the project management unit for examination and approval; it shall be checked and adjusted in good time during execution; the experience gained and the problems arising in its preparation and execution shall be summarized and analysed, and the records shall be filed and kept.

4 Project Supervision and Management Organization

4.1.1 Supervising engineers of the coal industry are divided by post into general supervising engineer, professional supervision engineer and site supervisor; where necessary, a representative of the general supervising engineer may be appointed.

4.1.2 The supervision and project management units for coal construction projects shall establish the site supervision organization or the project management organization in accordance with the agreement of the contract, set up working posts according to the requirements of the organizational objectives, define the division of responsibilities, formulate appraisal measures, and provide the corresponding personnel and the necessary testing tools.

4.1.3 The supervision department or the project manager department shall carry out its work in combination with the characteristics of the works and shall record the implementation of the work accurately and in good time.

4.2.1 The supervision organization shall comply with the following provisions.

4.2.1-1 The organizational form, scale and staffing of the supervision department shall meet the needs of the supervision work.

4.2.1-2 The personnel of the supervision department shall include the general supervising engineer, professional supervision engineers and site supervisors; where necessary, a representative of the general supervising engineer and professional chief engineers shall be provided.

4.2.1-3 Supervision personnel shall hold the relevant certificate for their post.

4.2.1-4 The supervision unit shall, within the time agreed, report to the construction unit the organizational form and composition of personnel of the supervision department and the letter of appointment of the general supervising engineer.

4.2.1-5 Where the supervision unit needs to change the general supervising engineer, it shall obtain the consent of the construction unit and report to it in writing; where a professional supervision engineer is to be changed, the general supervising engineer shall notify the construction unit and the contractor in writing.

4.2.2 The project management organization shall comply with the following provisions.

4.2.2-1 The organizational form, scale and staffing of the project manager department shall meet the actual needs of the project management work.

4.2.2-2 The principal personnel of the project manager department shall include the project manager, the person in technical charge and the relevant professional personnel.

4.2.2-3 Where the project management unit needs to change the project manager, it shall obtain the consent of the construction unit and report to it in writing.

4.2.3 The responsibilities of the supervision personnel of the supervision department are set out below.

4.2.3-1 The general supervising engineer shall perform the following duties: determine the division of work and the post responsibilities of the personnel of the supervision department; preside over the preparation of the supervision planning, examine and approve the supervision implementation rules, and be responsible for the day-to-day work of the supervision department; examine the qualification of the subcontracting units and put forward examination opinions; check and supervise the work of the supervision personnel and adjust the staffing according to the needs of the project progress; preside over the site regular meetings and the internal meetings of supervision; examine the commencement report, construction organization design, construction scheme and schedule plan submitted by the construction unit; examine and countersign the applications for payment, the payment certificates and the completion settlement of the construction unit; sign and issue the documents and instructions of the supervision department; examine and deal with engineering changes; sign and issue an order to suspend the works when a major safety hazard appears and, where necessary, report to the relevant department as provided; preside over or take part in the investigation of quality accidents and take part in the investigation of safety accidents; mediate contract disputes between the construction unit and the contractor, deal with cost claims and approve extensions of the works; organize the preparation of and countersign the supervision monthly reports, the stage reports on supervision work, the special reports and the summary of supervision work; examine and confirm the quality inspection and assessment data of the divisional works and the unit works, examine the contractor's application for completion, organize the supervision personnel to carry out a quality check of the works to be accepted and take part in the completion acceptance of the construction project; preside over the collation and filing of the supervision data.

4.2.3-2 The representative of the general supervising engineer shall perform the following duties: be responsible for the supervision work authorized by the general supervising engineer; complete the other work assigned by the general supervising engineer.

4.2.3-3 The general supervising engineer shall not entrust the following work to the representative of the general supervising engineer: presiding over the preparation of the supervision planning and approving the supervision implementation rules; signing and issuing the commencement and resumption report forms, the order to suspend the works, the certificates for payment of the works and the acceptance forms for completion of the works; examining and confirming the completion settlement; mediating contract disputes between the construction unit and the contractor, dealing with cost claims and approving extensions of the works; adjusting the supervision personnel according to the progress of the project and replacing personnel who are not equal to their duties; examining the completion application of the construction unit, organizing the preliminary acceptance of the completed works and organizing the preparation of the quality assessment report of the works.

4.2.3-4 The professional supervision engineer shall perform the following duties: be responsible for preparing the supervision implementation rules of his own speciality; be responsible for the specific implementation of the supervision work of his own speciality; organize, guide, check and supervise the work of the site supervisors of his own speciality and, where necessary, put forward proposals for the adjustment of personnel to the general supervising engineer; examine the plans, schemes, applications and changes submitted by the contractor that concern his own speciality and report to the general supervising engineer; be responsible for the acceptance of the subdivisional works and of the concealed works of his own speciality; submit periodically to the general supervising engineer a report on the implementation of the supervision work of his own speciality and report and seek instructions on major problems in good time; keep the supervision log according to the implementation of the supervision work of his own speciality; be responsible for the collection, summarization and collation of the supervision data of his own speciality and take part in the preparation of the supervision monthly report; verify the original vouchers, testing reports and other quality certification documents and the quality condition of the materials, equipment, components and fittings delivered to the site, carry out parallel examination of them where necessary and confirm them when they are found to be qualified; be responsible for the engineering measurement work of his own speciality and examine the data and original vouchers of the engineering measurement.

4.2.3-5 The site supervisor shall perform the following duties: carry out site supervision work under the guidance of the professional supervision engineer; check the manpower, materials and main equipment put in by the contractor, and their use and operating condition, and keep proper inspection records; verify, or obtain directly from the construction site, the relevant data of the engineering measurement; check and record the technological processes or construction procedures of the contractor in accordance with the design drawings and the relevant standards, and record the results of the quality inspection of the fabrication and of the process construction; undertake witness work, point out problems found in good time and report them to the professional supervision engineer; keep the supervision diary and the relevant supervision records.

4.2.4 The responsibilities of the project manager department are set out below.

4.2.4-1 The project manager department shall perform the following duties: perform the site management duties and carry out the decomposition of objectives and the division of responsibilities; define the posts and the division of work of project management; be responsible for the management of the whole project process; implement the various rules and regulations of the project manager department; organize the relevant units to hold site regular meetings; supervise and check the work of quality, schedule and investment control and the effectiveness of the performance of the statutory duties for work safety.

4.2.4-2 The project manager shall perform the following duties: perform the duties provided in the letter of responsibility for the project management objectives; preside over the work of the project manager department; take part in the preparation of the project management planning outline and carry out systematic management of the project objectives; preside over the preparation of the project management execution planning and the project work plan and organize their implementation; organize the acceptance of the unit works and take part in the completion acceptance of the construction project; within the scope of authorization, coordinate and deal with the internal and external relations connected with project management.

4.2.5 The facilities and equipment of the supervision and project management organization shall comply with the following provisions: the construction unit shall provide the corresponding office and living facilities for the supervision and project management organization according to the scale of the project and the number of personnel; the necessary transport, communication, routine testing equipment, instruments and office equipment shall be provided as agreed in the contract.

5 Bidding Management

5.1.1 The supervision unit or the project management unit may, entrusted by the construction unit, undertake the related services or the project management work of bidding and tendering management of coal construction projects.

5.1.2 The work of bidding and tendering management of coal construction projects shall comply with the Bidding Law of the People's Republic of China, the Regulations for the Implementation of the Bidding Law of the People's Republic of China and the other relevant national and industry laws, regulations and provisions.

5.1.3 The scope of bidding and tendering management of a coal construction project includes the bidding and tendering for geological investigation, survey and design, construction, supervision, and important equipment and materials.

5.1.4 Standard texts should be used for the prequalification of construction bidders, the construction bidding and the general contracting bidding of coal construction projects.

5.1.5 The bidding and tendering work for coal mine construction projects shall reflect the characteristic of high risk of such projects, with particular attention to uncertain factors such as hydrology and geological conditions.

5.2.1 Entrusted by the construction unit or the project manager department, the supervision department may undertake the work of the services related to the bidding and tendering of coal construction projects.

5.2.2 The services related to bidding and tendering provided by the supervision department include the following main work: assisting in the preparation of the bidding scheme, the prequalification documents and the bidding documents; assisting in completing the filing before bidding and the preliminary work of bidding; assisting in the service work during bid opening, bid evaluation and the determination of the successful bidder; when the bidding is entrusted to an agent, assisting the construction unit and the bidding agency in signing a written entrustment contract.