Circular No. 05/2019/TT-BNNPTNT on the maintenance regime and procedures for water conservancy infrastructure assets

CIRCULAR

Regulations on maintenance procedures for water conservancy infrastructure assets

Pursuant to Decree No. 15/2017/NĐ-CP dated February 17, 2017 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Agriculture and Rural Development;

WHEREAS, Decree No. 46/2015/NĐ-CP dated May 12, 2015 of the Government on quality management and maintenance of construction works;

Pursuant to Decree No. 129/2017/NĐ-CP dated November 16, 2017 of the Government on management, use, and exploitation of water conservancy infrastructure assets;

Pursuant to Decree No. 67/2018/NĐ-CP dated May 14, 2018 of the Government detailing certain provisions of the Water Law;

Pursuant to Decree No. 114/2018/NĐ-CP dated September 4, 2018 of the Government on dam safety management and reservoir operation;

At the proposal of the Director General of the Department of Water Resources;

The Minister of Agriculture and Rural Development issues this Circular stipulating the maintenance procedures for water conservancy infrastructure assets invested in, managed, and operated by the State.

PART I
GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates the maintenance procedures for water conservancy infrastructure assets invested in, managed, and operated by the State, including one, several, or all of the following tasks: inspection, monitoring, quality testing, maintenance, and repair of water conservancy infrastructure assets.

Article 2. Applicability

This Circular applies to agencies, organizations, and individuals related to the maintenance activities of water conservancy infrastructure assets.

Article 3. Explanation of Terms

In this Circular, the following terms are understood as follows:

1. Inspection is the act of examining visually or using specialized equipment to detect signs of damage in order to assess the current condition of structures, machinery, and equipment.

2. Monitoring is the activity of tracking, measuring, and recording changes in geometry, deformation, displacement, and other technical parameters of structures, machinery, equipment, and surrounding environment over time.

3. Quality testing is the activity of inspecting and evaluating the quality or cause of damage, value, service life, and other technical parameters of structures, machinery, equipment, or parts of structures through monitoring, testing, and analysis.

4. Maintenance is a simple activity that must be performed daily or regularly, using labor and materials to maintain normal operation of structures and machinery and equipment.

5. Regular repair is an annual activity aimed at repairing damages to structures and machinery and equipment to prevent deterioration and ensure normal operation of water conservancy infrastructure assets.

6. Periodic repair is an activity carried out according to a cycle, aimed at repairing major damages, replacing important parts that have reached their lifespan, if not repaired could lead to loss of safety and reduced capacity of structures and machinery and equipment.

7. Emergency repair is an urgent activity aimed at repairing failures and damages to structures and machinery and equipment caused by rain, wind, typhoons, floods, inundation, waterlogging, earthquakes, impact, fire, explosion, or other sudden impacts.

8. Maintenance procedure is a document specifying the sequence, content, and guidance for performing maintenance tasks for structures and machinery and equipment. The maintenance procedure is established to implement one, several, or all of the following tasks: inspection, monitoring, quality testing, maintenance, and repair of water conservancy infrastructure assets.

Article 4. Principles of maintenance for water conservancy infrastructure assets

1. Ensuring the safety of structures and maintaining the normal operation of structures and machinery and equipment.

2. Not changing the scale, objectives, design tasks, or purpose of use of structures; minimizing the impact on the performance of water conservancy structures.

3. Water conservancy structures after completion and commissioning must be maintained in accordance with the laws on construction and water resources, including the pre-commissioning phase.

Article 5. Maintenance Regime for Water Infrastructure Assets

The maintenance regime for water infrastructure assets shall be carried out in accordance with national standards, national technical regulations, maintenance norms and procedures issued by manufacturers or approved by competent authorities.

Chapter II
MAINTENANCE PROCEDURE FOR WATER INFRASTRUCTURE ASSETS

Article 6. Circumstances Requiring the Establishment of a Maintenance Procedure

1. Particularly important water works, large water works, medium-sized water works; dams and reservoirs must establish a maintenance procedure. It is encouraged to establish a maintenance procedure for small water works in accordance with Article 8 of this Circular.

2. Organizations and individuals operating water works may apply the maintenance procedure of similar water works without establishing a separate maintenance procedure upon obtaining written approval from the owner.

3. Organizations and individuals operating water works may establish a maintenance procedure for all or individual water works within their management scope.

Article 7. Main Content of the Maintenance Procedure for Particularly Important, Large, Medium-Sized Water Works and Dams, Reservoirs

1. Design parameters, technical specifications, and technology of the works; components of the works and machinery and equipment.

2. Regulations on objects, methods, and frequency of inspection of the works and machinery and equipment.

3. Regulations on content and guidance for maintenance of the works and machinery and equipment suitable for each part of the works, type of works, and equipment installed in the works.

4. Regulations on timing and guidance for periodic replacement of equipment installed in the works.

5. Guidance on repair methods for defects in the works and handling cases where the works deteriorate.

6. Regulations on the service life of the works and machinery and equipment.

7. Regulations on content and time for regular evaluation of works that require safety assessment during operation and use in accordance with relevant laws.

8. Determination of timing, objects, and content required for regular testing.

9. Regulations on timing, methods, and cycles for monitoring content that requires monitoring.

10. Other guidance related to maintenance of works, machinery, and equipment and regulations on conditions to ensure labor safety and environmental hygiene during maintenance.

Article 8. Main Content of the Maintenance Procedure for Small Water Works

1. Design parameters, technical specifications, and technology of the works and machinery and equipment.

2. Regulations on objects, methods, and cycles for inspection of the works and machinery and equipment.

3. Regulations on content and methods for maintenance and repair suitable for each work and machinery and equipment.

4. Regulations on timing and guidance for periodic replacement of machinery and equipment.

5. Regulations on conditions to ensure labor safety and environmental hygiene during maintenance.

Article 9. Establishment, Approval, and Adjustment of the Maintenance Procedure

1. During the investment construction phase

a) The investor organizes the establishment and approval of the maintenance procedure for the works and machinery and equipment, handing over to organizations and individuals operating the water works together with the design dossier before commissioning;

b) The cost of establishing the maintenance procedure is included in the total investment cost of constructing the water works.

2. During the management and operation phase

a) For water works currently being operated without a maintenance procedure, organizations and individuals operating the water works have the responsibility to organize the establishment and approval of the maintenance procedure after obtaining written approval from the water works management authority;

b) For water works currently being operated where the maintenance procedure is no longer appropriate and may affect the quality and operation of the works, organizations and individuals operating the water works have the responsibility to adjust and approve the maintenance procedure after obtaining written approval from the water works management authority;

c) If necessary, organizations and individuals operating the water works organize quality testing as a basis for establishing and adjusting the maintenance procedure for water works;

d) Costs for establishing and adjusting the maintenance procedure are taken from the financial resources in management and operation. In cases where the financial resources in management and operation are insufficient, the owner of the water works decides to use from other legitimate sources.

3. For small water works, organizations and individuals operating the works establish, adjust, and implement the maintenance procedure themselves.

Chapter III
IMPLEMENTATION OF MAINTENANCE

Article 10. Inspection of Water Infrastructure Assets

1. Organizations and individuals operating water works shall carry out the following:

a) Develop plans for regular, periodic, and unscheduled inspections;

b) Prepare and approve budgets for inspection activities;

c) Conduct inspections of hydraulic structures; mechanical parts; machinery and equipment;

d) Report inspection results.

2. Requirements for reporting inspection results:

a) Evaluate the current condition of the works, machinery, and equipment;

b) Propose recommendations.

Article 11. Monitoring of Water Infrastructure Assets

1. Organizations and individuals operating water works shall carry out the following:

a) Develop and submit for approval monitoring plans;

b) Prepare and approve, or submit to authorized bodies for approval, outlines and budgets for monitoring activities;

c) Organize monitoring in accordance with standards, procedures, and relevant laws;

d) Conduct inspection, supervision, acceptance, settlement, and archiving of records for non-routine monitoring;

e) Summarize, archive, report monitoring results, and propose recommendations.

2. Routine monitoring is a daily task of workers directly managing and operating the works and equipment.

a) Monitoring methods include:

Visual observation according to established standards and procedures.

Monitoring using equipment installed at the works and machinery and equipment.

b) Monitoring content includes: Water level monitoring; flow rate, rainfall, meteorological factors (temperature, humidity...) in the area of the works.

3. Non-periodic monitoring involves the implementation of geometric observation, deformation, and time-based displacement using specialized machinery and equipment.

a) Monitoring method: Monitoring using devices installed at the construction site, machinery, and equipment. The frequency, timing, and location of monitoring are carried out according to technical standards, industry regulations, and relevant laws.

b) Situations requiring monitoring include:

Dams, water storage reservoirs; retaining walls from Class III upwards; other hydraulic structures subject to pressure;

Structures showing signs of settlement, tilting, cracking, and other abnormal conditions that may lead to accidents or loss of safety;

When requested by state management agencies.

4. The authority to approve the outline and budget for monitoring tasks shall be implemented in accordance with Article 16 of this Circular.

Article 12. Quality Inspection of Hydraulic Infrastructure Assets

1. Organizations and individuals operating hydraulic works shall perform the following contents:

a) Prepare and submit for approval the quality inspection plan;

b) Prepare and approve the outline and budget for funds serving the inspection work according to their authority, or submit to the competent authority for approval;

c) Organize the implementation of inspections in accordance with national standards, national technical regulations, and relevant laws;

d) Conduct inspection, supervision, acceptance, settlement, and file archiving in accordance with regulations;

đ) Summarize and report on the results of the inspection and make recommendations and suggestions.

2. Quality inspections shall be conducted in the following cases:

a) Regular inspections as prescribed or approved maintenance procedures;

b) When discovering defects in some parts of the structure, signs of danger, or failure to ensure safe operation and use;

c) When required to assess the current condition of the structure to serve the establishment of maintenance procedures for structures already in use but without such procedures;

d) When necessary to determine the extension of the service life of structures beyond their design lifespan or as a basis for upgrading and improving the structure;

đ) When requested by authorized state agencies.

3. The authority to approve the outline and budget for quality inspection tasks shall be implemented in accordance with Article 16 of this Circular.

4. For hydraulic structures such as water storage reservoirs and dams, safety inspections shall be conducted in accordance with the Decree on Dam and Water Storage Reservoir Safety Management.

Article 13. Maintenance of Hydraulic Infrastructure Assets

1. Organizations and individuals operating hydraulic works shall perform the following contents:

a) Prepare and approve the budget for raw materials, fuels, spare parts, tools, and equipment for maintenance;

b) Implement maintenance;

c) Report, inspect, supervise, and accept;

d) Settle accounts and archive records.

2. Criteria for supervising and accepting the results of hydraulic infrastructure asset maintenance based on quality performance:

a) Parameters of the structure, machinery, and equipment after maintenance must meet initial design specifications;

b) Ensure normal operation of the structure and machinery and equipment in accordance with industry technical standards.

Article 14. Regular Repairs of Hydraulic Infrastructure Assets

1. Organizations and individuals operating hydraulic works shall organize the implementation of the following contents:

a) Prepare and submit for approval the regular repair plan;

b) Prepare and approve the economic and technical reports on regular repair items according to their authority, or submit to the competent authority for approval;

c) Implement regular repairs;

d) Inspect, supervise, accept, and hand over;

đ) Settle accounts and archive records;

e) Report the results of regular repairs to the structure's management authority.

2. The authority to approve economic and technical reports on regular repair items shall be implemented in accordance with Article 16 of this Circular. report on economic and technical aspects of regular repair items shall be implemented in accordance with Article 16 of this Circular.

Article 15. Emergency Repairs and Periodic Repairs of Hydraulic Infrastructure Assets

1. Emergency Repairs:

Organizations and individuals operating hydraulic works shall undertake the following tasks when emergency repairs are required:

a) Report to the owner and related agencies about the incident; proactively organize urgent measures to address the incident;

b) Complete formalities, prepare and approve the economic and technical reports or investment projects for emergency repair items according to their authority, or submit to the competent authority for approval in accordance with Article 16 of this Circular; c) Organize the implementation and completion of emergency repair items;

d) Inspect, supervise, accept, and hand over; settle accounts and archive records;

đ) Report the results to the owner and related agencies.

2. Periodic repairs shall be conducted in accordance with laws on investment and bidding.

2. Periodic repairs shall be carried out in accordance with the provisions of the Law on Investment in Construction and the Law on Bidding.

Article 16. Authority to Approve Maintenance Tasks

1. The management entity of the works shall organize the examination and approval of the outline, budget estimate, or economic-technical report for maintenance tasks with a budget estimate value of VND 500 million or more, except in cases provided for in Clause 3 of this Article.

2. Organizations and individuals operating water conservancy works shall organize the examination and approval of the outline, budget estimate, or economic-technical report for maintenance tasks with a budget estimate value under VND 500 million.

3. For enterprises wholly owned by the State, the owner of the work shall decide to increase the limit prescribed in Clause 2 of this Article, and transfer the enterprise to approve after receiving the examination opinion of the management entity of the work.

4. The management entity of the work shall organize the examination and submit to the owner of the work for approval of maintenance tasks that must establish an investment project.

Article 17. Annual Maintenance Cost Standards for Water Conservancy Infrastructure Assets

1. Based on the original cost value of fixed assets:

a) The maintenance cost standard for water conservancy infrastructure assets is defined as a percentage of the original cost value of fixed assets as follows:

Unit of measurement: Percentage (%)

b) The level of maintenance cost extraction as a percentage of the original cost value of fixed assets:

Works put into operation for less than five years, and works whose asset value has been reassessed within five years, shall have their maintenance costs extracted at the minimum level as stipulated in point a of this clause;

Works that have been in operation for five to fifteen years shall have their maintenance costs extracted within the range specified in point a of this clause;

Works that have been in operation for fifteen years or more shall have their maintenance costs extracted at the maximum level as stipulated in point a of this clause.

For coastal works and works frequently affected by seawater, the percentage of the original cost value of fixed assets to be extracted may be increased by no more than 0.3% compared to the maximum level stipulated in point a of this clause.

2. In cases where it is not applicable according to the provisions of Clause 1 of this Article, the maintenance cost standard for water conservancy infrastructure assets shall be defined as a percentage of total production and business costs from producing and supplying water conservancy products and services in one year by organizations and individuals operating the works as follows:

Unit of measurement: Percentage (%)

3. The owner of the work shall base the maintenance cost standards prescribed in Clauses 1 and 2 of this Article to determine specific levels of extraction for organizations and individuals operating water conservancy works.

Article 18. Funding for Implementing Maintenance of Water Conservancy Infrastructure Assets

1. Funding for maintaining water conservancy infrastructure assets shall be sourced from financial resources in the management and operation of water conservancy works. In cases where the financial resources in the management and operation of water conservancy works are insufficient, the owner of the water conservancy work shall decide to use other legitimate sources. The owner of the water conservancy work shall ensure funding for maintaining the water conservancy work.

2. The maintenance budget shall be determined based on the maintenance procedures, maintenance plans, national standards, national technical regulations, norms, and unit prices issued by competent authorities. For contents and items without established norms, similar norms issued by competent authorities shall be applied.

3. Organizations and individuals operating water conservancy works shall use labor from their units to carry out inspections and maintenance or hire temporary workers when the labor from their units is insufficient. Organizations and individuals are only allowed to spend money on fuel, materials, tools, and equipment.

Chapter IV
IMPLEMENTATION ORGANIZATION

Article 19. Implementation

1. The Department of Water Resources shall direct, inspect, and urge localities, agencies, organizations, and individuals related to implement the contents prescribed in this Circular.

2. Departments of Agriculture and Rural Development of provinces and centrally-administered cities shall direct, inspect, and urge organizations and individuals related to implement the contents prescribed in this Circular.

Article 20. Transitional Provisions

1. Water conservancy works such as reservoirs and dams that have been put into operation but do not yet have maintenance procedures must complete the establishment of maintenance procedures in accordance with the laws on the management of safety of reservoirs and dams.

2. Water conservancy works that have been put into operation but do not yet have maintenance procedures must complete the establishment of maintenance procedures no later than three years from the date this Circular takes effect.

Article 21. Effective Date

1. This Circular shall take effect from July 1, 2019.

2. During implementation, if there are difficulties, organizations and individuals shall reflect them in writing to the Ministry of Agriculture and Rural Development for timely consideration and resolution./.