Circular No. 09/2019/TT-BCT on the management of dam safety and hydropower reservoirs

 

CIRCULAR

Regulations on the management of dam safety and reservoirs for hydropower

Pursuant to Decree No. 98/2017/NĐ-CP dated August 18, 2017 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Industry and Trade;

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

At the proposal of the Director of the Department of Safety Technology and Industrial Environment;

The Minister of Industry and Trade issues this Circular on the management of dam safety and reservoirs for hydropower.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular stipulates the management of dam safety and reservoirs for hydropower for dams with a height of 5 meters or more or reservoirs with a total capacity of 50,000 m³ or more (hereinafter referred to collectively as dams and reservoirs for hydropower) and the safety of downstream areas of hydropower dams.

Article 2. Applicability

This Circular applies to:

1. Owners, organizations, and individuals operating dams and reservoirs for hydropower.

2. Other organizations and individuals related to the activities of managing dam safety and reservoirs for hydropower.

Article 3. Explanation of Terms

In this Circular, the following terms shall be understood as follows:

1. Reservoirs for hydropower constructed across two communes, two districts, or two provinces are reservoirs for hydropower where the boundary markers defining the protection zone of the reservoir lie across two communes within one district, two districts within one province, or two communes or two districts across two provinces.

2. Dams for hydropower constructed across two communes, two districts, or two provinces are dams for hydropower where the protection zone of the dam lies across two communes within one district, two districts within one province, or two communes or two districts across two provinces.

Chapter II

MANAGEMENT OF DAM SAFETY AND RESERVOIRS FOR HYDROPOWER

Article 4. Establishment and adjustment of emergency response plans for construction projects and downstream areas during the construction of dams

1. The owner of the dam or reservoir for hydropower shall be responsible for establishing an emergency response plan for the project and downstream areas during the construction of the dam, which must be submitted to the authority for review and approval according to Clause 4, Article 7 of Decree No. 114/2018/NĐ-CP. The format of the plan is specified in Appendix I of this Circular.

2. In cases where the construction progress of the dam or reservoir for hydropower differs from the approved emergency response plan for the project and downstream areas during construction and is no longer suitable for the meteorological and hydrological conditions at the time of construction, the owner of the dam or reservoir for hydropower shall be responsible for reviewing and adjusting the plan and submitting it to the competent authority for approval according to Clause 5, Article 7 of Decree No. 114/2018/NĐ-CP.

Article 5. Deadline for completing the review and approval of emergency response plans during operation

Annually, the owner of the dam or reservoir for hydropower shall be responsible for reviewing and approving the emergency response plan before April 15 for dams and reservoirs for hydropower constructed in the Northern Region, North Central Region, Central Highlands, and Southern Region; and before August 15 annually for dams and reservoirs for hydropower constructed in the South Central Region.

Article 6. Establishment and review of emergency response plans for critical situations

1. The owner of the dam or reservoir for hydropower shall be responsible for establishing an emergency response plan for critical situations, which must be submitted to the authority for review and approval according to Clause 4, Article 26 of Decree No. 114/2018/NĐ-CP. The format of the plan is specified in Appendix II of this Circular.

2. Annually, the owner of the dam or reservoir for hydropower shall be responsible for reviewing and adjusting the emergency response plan for critical situations and submitting it to the authority before April 1 annually for dams and reservoirs for hydropower constructed in the Northern Region, North Central Region, Central Highlands, and Southern Region; and before August 1 annually for dams and reservoirs for hydropower constructed in the South Central Region.

Article 7. Protection of Dams and Reservoirs for Hydroelectric Power

1. The owner of the dam and reservoir for hydroelectric power shall be responsible for establishing a protection plan for the dam and reservoir for hydroelectric power to submit to the competent authority for approval in accordance with Point b and Point c, Clause 5, Article 23 of Decree No. 114/2018/ND-CP or self-approve in accordance with Clause 6, Article 23 of Decree No. 114/2018/ND-CP. The model of the plan is specified in Appendix III of this Circular.

2. During the operation phase, if there are changes in the layout of facilities and the location of protective forces within the scope of protection of the dam and reservoir, the owner of the dam and reservoir for hydroelectric power shall be responsible for adjusting the plan to submit to the competent authority for approval in accordance with Point b and Point c, Clause 5, Article 23 of Decree No. 114/2018/ND-CP or self-approve in accordance with Clause 6, Article 23 of Decree No. 114/2018/ND-CP.

3. The Bureau of Safety and Environmental Technology for Industry shall receive and review the dossier of the protection plan for dams and reservoirs for hydroelectric power under the approval authority of the Ministry of Industry and Trade.

Article 8. Installation of Operation Monitoring Systems

1. The operation monitoring system includes:

a) The monitoring system within the scope of responsibility of the owner of the dam and reservoir for hydroelectric power as prescribed in Circular No. 47/2017/TT-BTNMT dated November 7, 2017 of the Minister of Natural Resources and Environment on supervision of water resource exploitation and utilization.

b) A water gauge column or equipment with similar functionality to determine the downstream water level of the dam; in cases where there is a meteorological and hydrological observation station downstream of the dam, information on the downstream water level can be obtained from this station instead of using a water gauge column or equipment with similar functionality to a water gauge column.

2. The owner of the dam and reservoir for hydroelectric power shall be responsible for coordinating with the Provincial Steering Committee for Flood Control and Search and Rescue, the People's Committee, and the District Steering Committee for Flood Control and Search and Rescue to decide on the installation location of the water gauge column or equipment with similar functionality to a water gauge column.

Article 9. Installation of Operation Warning Systems for Power Generation and Flood Release

The owner of the dam and reservoir for hydroelectric power shall be responsible for coordinating with the People's Committee, the Steering Committee for Flood Control and Search and Rescue at the downstream locality regarding the installation of warning systems for power generation operation and flood release in the downstream area, including:

1. Installation locations.

2. Warning equipment installed at each location.

3. Situations requiring warnings.

4. Timing of warnings.

5. Forms of warnings.

6. Rights and responsibilities of each organization and individual related to warnings.

1. The owner of the dam and reservoir for hydroelectric power shall be responsible for preparing a report on the current status of dam and reservoir safety for hydroelectric power to send to the Department of Industry and Trade where the dam and reservoir for hydroelectric power is constructed, in accordance with the deadline stipulated in Clause 3, Article 16 of Decree No. 114/2018/ND-CP. The report model is specified in Appendix IV of this Circular.

2. The Department of Industry and Trade where the dam and reservoir for hydroelectric power is constructed shall be responsible for compiling and reporting on the current status of dam and reservoir safety for hydroelectric power in the province to the People's Committee of the province and the Ministry of Industry and Trade before April 30 each year for dams and reservoirs for hydroelectric power constructed in the Northern Region, North Central Region, Central Highlands, and Southern Region; and before August 30 each year for dams and reservoirs for hydroelectric power constructed in the South Central Region.

Article 11. Establishing the Operation Procedures for Hydroelectric Reservoirs

The owner of the dam and hydroelectric reservoir shall be responsible for establishing the operation procedures for hydroelectric reservoirs to submit to the agency receiving the files for review in accordance with Point b and Point d Clause 2 Article 12 Decree No. 114/2018/ND-CP or self-approve in accordance with Clause 8 Article 12 Decree No. 114/2018/ND-CP. The model of the operation procedures is specified in Appendix V of this Circular.

Article 12. Advisory Council on Safety Evaluation of Dams and Hydroelectric Reservoirs under the Ministry of Industry and Trade

1. The Advisory Council on Safety Evaluation of Dams and Hydroelectric Reservoirs under the Ministry of Industry and Trade shall be established by the Minister of Industry and Trade upon the proposal of the General Department of Industrial Safety and Environment.

2. The General Department of Industrial Safety and Environment shall be the permanent body, responsible for establishing the Technical Advisory Team to assist the Advisory Council on Safety Evaluation of Dams and Hydroelectric Reservoirs in inspecting and evaluating the safety of dams and hydroelectric reservoirs within the scope of inspection and evaluation of the Ministry of Industry and Trade.

Article 13. Safety Inspection of Hydroelectric Dams

The safety inspection of hydroelectric dams as stipulated in Article 18 Decree No. 114/2018/ND-CP shall be carried out for the main dam and auxiliary dams of the reservoir.

Article 14. Database of Dams and Hydroelectric Reservoirs

1. The owner of the dam and hydroelectric reservoir shall be responsible for reviewing the dossier and current status of the dam and hydroelectric reservoir to establish the database of dams and hydroelectric reservoirs to send to the Department of Industry and Trade where the dam and hydroelectric reservoir are constructed. The database model is specified in Appendix VII of this Circular.

2. In cases where there are multiple reservoirs or multiple dams in one reservoir, the database shall be established separately for each dam and reservoir.

3. If information about the database of dams and hydroelectric reservoirs changes, the owner of the dam and hydroelectric reservoir must update it in the database of dams and hydroelectric reservoirs.

Annually, before March 31, the Department of Industry and Trade where the dam and hydroelectric reservoir are constructed shall be responsible for compiling and reporting on state management work for dam and hydroelectric reservoir safety in the previous year in the area according to the model specified in Appendix VIII of this Circular to the People's Committee of the province and the Ministry of Industry and Trade.

Chapter III

IMPLEMENTATION

Article 16. Transitional Provisions

1. Regarding flood prevention plans for downstream areas of hydroelectric dams

Flood prevention plans for downstream areas of hydroelectric dams approved in accordance with Decree No. 72/2007/ND-CP continue to be effective until emergency response plans are approved in accordance with Decree No. 114/2018/ND-CP.

2. Regarding safety inspections of hydroelectric dams

For dams that have been inspected in accordance with Decree No. 72/2007/ND-CP before Decree No. 114/2018/ND-CP takes effect, the next inspection of the dam and reservoir will be conducted in accordance with the provisions of Decree No. 72/2007/ND-CP.

Article 17. Responsibilities for Implementation

1. Department of Safety and Environmental Technology

a) Guidelines for implementing this Circular.

b) Inspecting, checking, and handling violations of laws on the management of dam and hydroelectric reservoir safety within the country's territory according to their authority.

c) Serving as the point of contact for information on the management of dam and hydroelectric reservoir safety from the Ministry of Industry and Trade.

2. Departments of Industry and Trade of provinces and cities

a) Guidelines for implementing this Circular.

b) Inspecting, checking, and handling violations of laws on the management of dam and hydroelectric reservoir safety within the provincial territory according to their authority or proposing competent authorities to handle such violations.

3. Owners of dams and hydroelectric reservoirs

a) Implementing all regulations on the management of dam safety within their scope of responsibility fully and accurately.

b) In cases where the owner of the dam and hydroelectric reservoir entrusts or leases another organization or individual to operate the dam and hydroelectric reservoir owned by them, the lease or entrustment must be done in writing, clearly defining the responsibilities of each party in the management of dam safety.

Article 18. Effective Date

1. This Circular takes effect from August 21, 2019.

2. Circular No. 34/2010/TT-BCT dated October 7, 2010, issued by the Minister of Industry and Trade on the management of dam safety for hydroelectric projects ceases to be effective from the date this Circular takes effect.

3. Abolishing Chapter IV of Circular No. 43/2012/TT-BCT dated December 27, 2012, issued by the Minister of Industry and Trade on the management of planning, investment construction of hydropower projects, and operation exploitation of hydropower works.

4. During the implementation of this Circular, if there are any difficulties, organizations and individuals should provide written comments to the Ministry of Industry and Trade for consideration and resolution./.

 

 

 

 

 

 

 

 

ANNEX I

EMERGENCY RESPONSE PLAN

FOR HYDROELECTRIC WORKS AND DOWNSTREAM AREAS OF DAMS

(Annexed to Circular No. 09/2019/TT-BCT dated July 8, 2019 of

Minister of Industry and Trade on the management of dam and hydroelectric reservoir safety)

1. Cover page

 

2. Content of the plan

2.1. Overview of the investor and the project

a) About the investor:

- Name of the investor and superior agency (if any).

- Address, phone number, fax number, email, website.

b) About the project

- Project name.

- Project grade according to approved design.

- Classification of dams and reservoirs of the investor according to Decree No. 114/2018/ND-CP.

- Purpose of the project.

- Construction location (commune, district, province).

- Start date, expected commissioning and usage date.

2.2. Overview of topography, meteorology, hydrology (rainfall volume, rainy season, maximum flood flow...), vegetation cover in the reservoir watershed according to design; types of natural disasters that may occur in the reservoir watershed

2.3. Overview of the downstream area of the dam

a) Topography.

b) Regarding population (number, distribution, access to warning signals).

c) Existing construction works that may be affected.

2.4. Information on construction contractors and supervisors.

a) Names and addresses of contractors.

b) Number of personnel, equipment, vehicles, materials regularly present at the construction site and their layout.

2.5. Construction schedule for the dam and temporary auxiliary works on a monthly basis, and measures to ensure safety in case of natural disasters.

2.6. Anticipated situations that could cause safety risks during dam construction due to natural disasters and response measures to ensure safety for downstream areas; people, equipment, materials... at the construction site and the dam.

2.7. Contractor's commitment to participate in disaster response when natural disasters and accidents occur.

2.8. Plan for mobilizing materials, equipment, and manpower in case of natural disasters.

2.9. Directory of telephone numbers and other communication methods between the owner; organizations and individuals operating the dam and hydropower reservoir with local authorities and relevant agencies; other related agencies.

3. Documents used to prepare the plan.

Seal Registration Certificate

EMERGENCY RESPONSE PLAN
(Annexed to Circular No. 09/2019/TT-BCT dated July 8, 2019, issued by the Minister of Industry and Trade regarding dam and hydropower reservoir safety management)

1. Cover page

  

2. Content of the plan

2.1. Overview of the owner and organization operating the dam and hydropower reservoir.

a) Regarding the owner of the dam and reservoir.

- Name of the investor and superior agency (if any).

- Address, phone number, fax number, email, website.

b) Regarding the organization operating the dam and reservoir.

- Name of the organization.

- Address, phone number, fax number, email, website.

2.2. Overview of the dam and reservoir.

- Name of the dam and reservoir.

- Project grade according to approved design.

- Classification of the dam and reservoir by the competent authority as prescribed in Decree No. 114/2018/NĐ-CP.

- Purpose of the project.

- Construction location (commune, district, province).

- Start date of construction, date of commissioning the dam and reservoir.

2.3. Overview of topography, meteorology, hydrology (amount of rainfall, rainy season, maximum flood flow...), vegetation cover in the reservoir watershed according to design; possible natural disasters in the reservoir watershed.

2.4. Overview of the downstream area of the dam and reservoir.

a) Topography.

b) Regarding population (number, distribution, access to warning signals).

c) Affected objects and degree of impact.

d) Flood inundation range in the downstream area according to emergency flood release and dam failure scenarios on the approved downstream flood inundation map.

2.5. Layout plan of the dam, reservoir, and downstream area.

2.6. Emergency flood release scenarios, dam failure scenarios, and response measures to ensure safety in the downstream area.

2.7. Content and form of warnings; responsibility for transmitting information among related organizations and individuals.

2.8. Responsibilities of the owner, organization operating the dam and hydropower reservoir; local government agencies and other related organizations.

2.9. Plan for mobilizing materials, equipment, and manpower in case of emergencies.

2.10. Directory of telephone numbers and other communication methods between the owner of the dam and hydropower reservoir; organization operating the dam and reservoir; local authorities and relevant agencies; other agencies related to safe operation of the dam and reservoir.

3. Documents used to prepare the plan.

 

ANNEX III

DAM AND RESERVOIR PROTECTION PLAN
(Annexed to Circular No. 09/2019/TT-BCT dated July 8, 2019, issued by the Minister of Industry and Trade regarding dam and hydropower reservoir safety management)

1. Cover page

 

2. Content of the plan

2.1. Overview of the owner of the dam and hydropower reservoir and the organization operating the dam and reservoir.

a) Regarding the owner of the dam and reservoir.

- Name of the investor and superior agency (if any).

- Address, phone number, fax number, email, website.

b) Regarding the organization operating the dam and reservoir.

- Name of the organization.

- Address, phone number, fax number, email, website.

2.2. Overview of the dam and reservoir.

a) Name of the dam and reservoir.

b) Project grade as approved.

c) Classification of the dam and reservoir by the competent authority as prescribed in Decree No. 114/2018/NĐ-CP.

d) Mission of the project.

đ) Construction location (commune, district, province).

e) Start date of construction, date of commissioning and using the dam and reservoir.

2.3. Overview of population and public security conditions at the dam and reservoir construction site.

2.4. Scope of protection for the dam and reservoir and deployment of protective forces.

2.5. Protection content for the dam and reservoir.

a) Topographic characteristics, design parameters, layout plan of the project and boundary markers for the protected area of the dam and water reservoir.

b) Management, operation, and protection situation of the dam and water reservoir.

c) Reporting and regular, periodic, and spot-checking regulations.

d) Regulations on limiting or prohibiting large-load transportation vehicles from circulating within the protected area; fire prevention and firefighting regulations; protection of secure storage areas for explosive materials, flammable substances, and toxic chemicals.

đ) Organization of protective forces and assignment of responsibilities; supporting equipment for protection work.

e) Inspection and control of personnel and vehicles entering and exiting the project.

g) Prevention, detection, and blocking of acts of infringement and destruction of the dam and reservoir project and its surrounding areas.

h) Protection and handling when the dam and water reservoir experience incidents or have potential risks.

i) Resources for implementing the plan.

k) Responsibilities of the owner, organizations and individuals operating the dam and water reservoir, local authorities at all levels, and related agencies and units.

3. Documents used to prepare the plan.

ANNEX IV

DAM AND RESERVOIR SAFETY STATUS REPORT
(Annexed to Circular No. 09/2019/TT-BCT dated July 8, 2019, issued by the Minister of Industry and Trade regarding dam and hydropower reservoir safety management)

 

 

 

REPORT

SAFETY STATUS OF THE DAM AND RESERVOIR HYDROPOWER PROJECT …

Public disclosure on land..

 

Respectfully submitted to: Department of Industry and Trade ….

 

I. INFORMATION OF THE REPORTING UNIT

1. Name of unit:

2. Address:

3. Telephone:                                                       Fax:

4. Email:                                                              Web:

II. CONTENT OF THE REPORT

1. KResults of monitoring the dam and reservoir

1.1. For the reservoir

1.1.1. Highest/lowest water level in the reporting period (m): …/…

1.1.2. Flood situation

a) Number of floods in the reporting period.

b) Information on flood flow for each flood

- Peak flood discharge (m³/s):

- Total water volume entering the reservoir (m³):

- Highest water level in the reservoir (m):

- Summary of the flood process:

- Time of flood onset, time of flood end:

1.2. For the dam

a) Monitoring items according to design:

b) Actual monitoring items installed:

c) Operation status of monitoring equipment:

d) The results of each monitoring category (after analysis and processing) compared to the design calculation values.

2. KResults of dam and reservoir inspection before and after the rainy season

2.1. For reservoirs

a) Inspection date (day, month, year):

b) Results of each inspection round:

c) Post-inspection handling for each round:

2.2. For main dams, auxiliary dams, water intake gates, overflow spillways

a) Inspection date (day, month, year):

b) Results of each inspection round:

c) Post-inspection handling for each round:

31. Collecting InformationAll activities within the scope of dam and reservoir protection

3.1. Activities during the reporting period

3.2. Activities requiring permits

a) Names of activities and project sponsors.

b) Activities that have been granted permits.

c) Activities that have not been granted permits.

3.3. Assessment of the impact of activities on dam and reservoir safety management work.

4.Assessment and recommendations

4.1. Current status assessment of dams and reservoirs.

4.2. Recommendations to competent authorities.

 

 

ANNEX V

OPERATING PROCEDURE FOR RESERVOIRS
(Annexed to Circular No. 09/2019/TT-BCT dated July 8, 2019, issued by the Minister of Industry and Trade regarding dam and hydropower reservoir safety management)

PART I

GENERAL PROVISIONS

1. Scope of Regulation, Applicability

2. Legal basis for developing the operating procedure.

3. Main technical parameters of the facility.

4. Facility tasks in priority order and operational principles.

5. Classification of floods and flood seasons, dry seasons.

6. Sequence of valve opening and closing operations (if applicable).

7. Monitoring and providing hydro-meteorological observation information.

8. Coordination in operation between owners, organizations, and individuals operating hydropower dams and reservoirs with owners, organizations, and individuals operating other water dams and reservoirs in the same river basin and related organizations, agencies, and individuals in the operation of hydropower dams and reservoirs.

9. Advance warning during flood discharge and power generation operations, including:

a) Minimum advance notice period required before initiating the first water release operation.

b) Warning signals, warning times, warning locations.

c) Responsibilities of organizations and individuals in issuing, transmitting, and executing flood discharge operation orders.

d) Responsibilities of organizations and individuals in issuing, transmitting, and receiving flood warning information.

10. Provisions regarding minimum flow (if applicable).

Chapter II

OPERATING RESERVOIRS DURING THE FLOOD SEASON

1. Pre-flood water level regulations and flood reception.

2. Operating principles for reservoirs during the flood season.

3. Reservoir operation to participate in flood reduction downstream, power generation.

4. Ensuring safety of the structure during reservoir operation.

5. End-of-flood season water storage.

Chapter III

OPERATING RESERVOIRS DURING THE DRY SEASON

1. Operating principles for reservoirs during the dry season.

2. Power generation and water discharge during the dry season.

3. Ensuring water levels during the dry season.

4. Flood regulation operation during the dry season.

Chapter IV

OTHER OPERATING SITUATIONS

1. Reservoir operation when the downstream area has unusual water requirements.

2. Reservoir operation during drought, water shortage, severe water source pollution, or environmental accidents.

3. Hydropower reservoir operation for irrigation water supply.

Chapter V

RESPONSIBILITIES OF ORGANIZATIONS AND INDIVIDUALS

1. General principles regarding responsibility for ensuring the safety of structures.

2. Responsibility of the head of the organization operating the dam and reservoir.

3. Responsibility of the head of the owner of the hydropower dam and reservoir.

4. Responsibility of the Head of the Provincial Steering Committee for Flood Control and Search and Rescue or relevant provincial or district steering committees.

5. Responsibility of the Director of the Industry and Trade Department of the relevant province.

6. Responsibility of the Chairman of the People's Committee of the relevant province.

7. Responsibility of the Minister, Head of relevant Ministries and Agencies.

8. Responsibility of organizations and individuals in modifying and supplementing the operating procedures.

Chapter VI

ANNEXES

1. Main technical parameters of the facility.

2. Data and characteristic diagrams of the reservoir relationship (W-F-Z relationship).

3. Data and diagrams of the flow-discharge relationship downstream of the dam.

4. Data and diagrams of gate opening relationship (for facilities with regulating gates).

5. Data and diagrams of reservoir water level-discharge over spillway relationship.

6. Design flood frequency diagram.

7. Data and diagrams of reservoir operation coordination.

 

 

 

ANNEX VI

REPORT
DAM AND RESERVOIR SAFETY ASSESSMENT
(Annexed to Circular No. 09/2019/TT-BCT dated July 8, 2019, issued by the Minister of Industry and Trade regarding dam and hydropower reservoir safety management)

 

 

 

REPORT
DAM AND RESERVOIR SAFETY ASSESSMENT

Project name: ………

To: Directorate of Industrial Safety and Environmental Protection

Implementing Decree No. 114/2018/NĐ-CP of September 4, 2018 of the Government on the management of dam and reservoir safety and Circular No. 09/2019/TT-BCT of July 8, 2019 of the Ministry of Industry and Trade on the management of dam and reservoir safety, hereby reports the implementation of dam and reservoir safety management work as follows:

1. Hydro-meteorological situation

Summarize the main and general information about the hydrological situation during the reporting period, including:

a) Climate and rainfall conditions in the watershed.

b) Flood situation at the reservoir (number of flood events, occurrence time, total inflow volume, peak flood flow).

c) Reservoir water level changes (highest water level, time; lowest water level, time).

d) Flood discharge operation situation (number of discharges, discharge time, maximum discharge flow, total water volume discharged downstream).

2. Dam condition

2.1. Visual inspection results of the dam

2.2. Dam monitoring results

a) Monitoring categories.

b) Quantity of each type of monitoring equipment.

c) Monitoring results compared to design calculation values.

2.3. Condition of dam operation equipment

a) Dam operation equipment.

b) Equipment condition.

c) Test operation.

2.3. Regarding dam inspection

a) Whether the dam has reached its inspection period.

b) If it has reached the inspection period, update the following information: Has the dam been inspected? If not, specify the reasons; if it has been inspected, specify the inspection conclusions, recommendations of the inspection organization, and the results of implementing the inspection organization's recommendations.

2.4. Activities currently being implemented within the scope of dam protection

3. Reservoir condition

a) Slope collapse and bank restoration situation of the reservoir.

b) Sedimentation situation in the reservoir.

c) Activities currently being implemented within the scope of reservoir protection.

4. Owner's assessment of the dam and reservoir condition.

5. Owner's recommendations.

 

 

 

ANNEX VII

DAM AND RESERVOIR DATA
(Annexed to Circular No. 09/2019/TT-BCT dated July 8, 2019, issued by the Minister of Industry and Trade regarding dam and hydropower reservoir safety management)

DAM AND RESERVOIR DATA

Project name: ….

1. Name of Rural Industrial Enterprise (

1. Owner

a) Name:

b) Address:

c) Telephone:                                     d) Fax number:                     

d) Email: e) Website:

Note: In case of ownership change, previous owners only update their name and the date of transfer of ownership rights among owners.

2. Organization for exploitation and use

a) Name:

b) Address:

c) Telephone:                                     d) Fax number:                     

d) Email: e) Website:

II. DAM DATA

1. Main Dam

a) Name of dam:

b) Construction location (commune, district, province):

c) Type of dam ⁽¹⁾: d) Classification of dam ⁽²⁾:                       

d) Level of dam ⁽³⁾: e) Top width of dam (m):

g) Base width of dam (m): h) Top width of dam (m):

i) Maximum height of dam (m): k) Top elevation of dam (m):

l) Top elevation of wave barrier wall (m):

2. Auxiliary dams

2.1. First auxiliary dam

a) Name of dam:

b) Construction location (commune, district, province):

c) Type of dam ⁽¹⁾: d) Classification of dam ⁽²⁾:                 

d) Level of dam ⁽³⁾: e) Top width of dam (m):

g) Base width of dam (m): h) Top width of dam (m):

i) Maximum height of dam (m): k) Top elevation of dam (m):

l) Top elevation of wave barrier wall (m):

2.... nth auxiliary dam (update as Section II.2.1)

3. Flood discharge structures

a) Discharge method (by free overflow, surface gate, bottom gate)

b) Designed discharge rate (m³/s)

c) Length of free overflow spillway (for free overflow, m); number of gates, size of gates (m) and method of opening and closing gates (for surface gate, bottom gate)

d) Free overflow crest level, surface gate level, bottom gate level (m)

d) Energy dissipation method

Note: If the reservoir has multiple flood discharge methods, update separately for each method.

4Sand outlet:

a) Size (m)

b) Discharge rate (m³/s)

c) Elevation (m)

d) Method of opening and closing

5. Environmental discharge:

a) Size

b) Discharge rate (m³/s)

c) Elevation (m)

III. RESERVOIR DATA

1. Reservoir name:

2. Tasks in sequence within the process:

3. Construction location (commune, district, province):

4. Classification ⁽²⁾:                              

5. Reservoir level ⁽³⁾:                               

6. Catchment area (km²):           

7. Capacity (10⁶Granite, gabbro, decorative stone...³) corresponding to:

a) Normal Maximum Storage Level (MNDBT): b) Dead water level:

c) Flood control: d) Useful:

8. Water level (m):

a) Design flood: b) Test flood:

c) Full supply level (DBT): d) Dead level:

d) Largest occurred: Date of occurrence:

9. Downstream area (commune, district, province):

IV. MANAGEMENT OF DAM AND RESERVOIR SAFETY

1. Reservoir operation procedures

a) Initial approval decision (number, date, approving authority):

b) Approval decisions for adjustments, if any (number, date, approving authority):

c) Currently valid approval decision (number, date, approving authority):

2. Dam maintenance procedures and operating equipment

a) Initial approval decision (number, date):

b) Currently valid approval decision (number, date):

3. Emergency response plan

a) Initial approval decision (number, date):

b) Currently valid approval decision (number, date):

4. Emergency response plan for critical situations

a) Initial approval decision (number, date, approving authority):

b) Currently valid approval decision (number, date, approving authority):

5. Dam protection plan

a) Initial approval decision (number, date, approving authority):

b) Currently valid approval decision (number, date, approving authority):

6. Dam maintenance and operating equipment

a) Initial approval decision (number, date):

b) Currently valid approval decision (number, date):

7. Setting boundary markers to define the protected area of the dam and the reservoir protection zone

a) Date of completion of boundary marker setting:

- Define the protected area of the dam:

- Define the reservoir protection zone:

b) Date of handover of boundary markers to the People's Committee of the commune:

- Boundary markers defining the scope of the dam protection area:

- Boundary markers defining the scope of the reservoir protection corridor:

8. Dam and Reservoir Safety Inspection

a) Date of completion of the first inspection:

b) Number of inspections:

c) Date of completion of the most recent inspection and conclusion of the inspecting organization:

9. Activities Requiring Permits within the Dam and Reservoir Protection Area

a) Name of activity:

b) Permit number and issuing authority for the initial permit:

c) Scope of activity:

d) Date of issuance of the initial permit:

đ) Number of times the permit has been renewed, extended, amended, suspended, or revoked:

e) Current valid permit number and issuing authority:

 

 

Note:

1. ⁽¹⁾ Record the type of dam according to construction material and technology (for example, gravity concrete, homogeneous earth).

2. ⁽²⁾ Record the classification of the dam and reservoir according to Decree No. 114/2018/NĐ-CP decided by the competent authority (special, large, medium, small).

3. ⁽³⁾ Record the grade of the dam and reservoir according to construction law regulations (special, Grade I, Grade II, Grade III, Grade IV).

 

 

 

 

 

 

 

 

 

Appendix VIII

REPORT ON STATE MANAGEMENT WORK

THE MANAGEMENT DAM AND RESERVOIR SAFETY

(Annexed to Circular No. 09/2019/TT-BCT dated July 8, 2019 of

Minister of Industry and Trade on the management of dam and hydroelectric reservoir safety)

 

 

REPORT

STATE MANAGEMENT WORK

ON DAM AND RESERVOIR SAFETY MANAGEMENT IN THE YEAR .......

 

Respectfully submitted to:

- Ministry of Industry and Trade

- People's Committee of Province …

 

Pursuant to Circular No. 09/2019/TT-BCT dated July 8, 2019 of the Ministry of Industry and Trade on management of dam and reservoir safety, the Department of Industry and Trade … reports to the Ministry of Industry and Trade and the People's Committee of the province on the implementation of state management work regarding dam and reservoir safety in the province during the year … as follows:

I. OVERVIEW

1. Number of Hydropower Projects Constructed in the Province

Total number of hydropower projects in the province: projects (update the total number of projects approved according to the planning with dams or reservoirs within the scope of this Circular), including:

1.1. Number of projects currently in operation: …projects, including:

a) Number of projects using water from irrigation reservoirs for power generation: …projects (name of project).

b) Number of projects generating power solely for their own use (not feeding into the national grid): …projects (name of project).

c) Number of projects with reservoirs operating under inter-reservoir operation procedures: …projects (name of project).

d) Number of projects put into operation during the reporting period: …projects (name of project).

1.2. Number of projects under construction: …projects (name of project).

1.3. Number of projects not yet commenced construction: …projects.

1.4. Number of projects removed from operation during the reporting period: …projects and names of projects (only update projects permanently removed from operation).

2. Evaluation of Compliance with Legal Regulations on Dam and Reservoir Safety Management by Owners of Dams and Reservoirs in the Province

2.1. Regulations that have been implemented effectively.

2.2. Regulations not fully implemented; names of owners of dams and reservoirs who have not fully complied; objective and subjective reasons.

II. ACTIVITIES FOR DAM AND RESERVOIR SAFETY MANAGEMENT IN THE PROVINCE

1. Review and Approval of Emergency Response Plans for Hydropower Projects and Downstream Areas During Construction

Number of projects requiring plans: …projects, including:

1.1. Number of projects with approved plans: …projects, including:

a) Within the approval authority of the People's Committee at the commune level: …projects (name of project).

b) Within the approval authority of the People's Committee at the district level: …projects (name of project).

c) Within the approval authority of the People's Committee at the provincial level: …projects (name of project).

1.2. Number of projects undergoing plan review: …projects (name of project).

1.3. Number of projects where the owner has not submitted plans for review: …projects (name of project).

2. Registration of Dam and Reservoir Safety

2.1. Number of dams and reservoirs registered.

2.2. Number of dams and reservoirs not registered (name of project).

3. Reporting on Current Dam Safety Status

3.1. Number of dams with reports.

3.2. Number of dams without reports, reasons (name of project).

4. Approval of Emergency Response Plans

4.1. Number of projects with approved plans.

4.2. Number of projects without approved plans, reasons for non-approval (name of project).

5. Approval of Emergency Response Plans for Critical Situations

Total number of projects with approved plans: …, including:

5.1. By the People's Committee at the commune level:

5.2. By the People's Committee at the district level:

5.3. By the People's Committee at the provincial level:

6. Protection of Dams and Reservoirs

6.1. Number of dams with boundary markers defining the scope of the dam protection area installed.

6.2. Number of dams without boundary markers defining the scope of the dam protection area installed (name of project).

6.3. Number of reservoirs with boundary markers defining the scope of the reservoir protection corridor installed.

6.4. Number of reservoirs without boundary markers defining the scope of the reservoir protection corridor installed (name of project).

6.5. Number of dams and reservoirs with approved protection plans.

6.6. Number of dams and reservoirs without approved protection plans (name of project).

7. Operation of Reservoirs

7.1. Approval of Reservoir Operation Procedures

a) Number of reservoirs with approved operation procedures:

b) Number of reservoirs without approved operation procedures ..., reasons for lack of approved procedures.

7.2. Review of Reservoir Operation Procedures

a) Number of procedures reviewed/number of procedures due for review:.../…

b) Number of procedures requiring adjustment/number of procedures reviewed: …/…

7.3. Assessment of Reservoir Operation by the Owner According to Approved Reservoir Operation Procedures.

8. Monitoring of Dams and Reservoirs

8.1. For Dams

a) Total number of dams equipped with monitoring equipment according to design: …dams.

b) Implementation of dam monitoring by dam owners.

c) Assessment of dam monitoring implementation by dam and reservoir owners.

8.2. For Reservoirs: Assessment of reservoir monitoring implementation by dam and reservoir owners in the province.

9. Inspection of Dams

9.1. Number of dams due for inspection.

9.2. Number of dams inspected and assessment by the inspection organization.

9.3. Number of dams due but not inspected, reasons for non-inspection and proposed solutions.

10. Installation of Operational Monitoring Systems

10.1. Number of projects required to install operational monitoring systems.

10.2. Number of projects that have completed installation of monitoring systems / number of projects required to install monitoring systems.

10.3. Number of projects that have not yet completed installation of monitoring systems, reasons for non-completion (name of project).

10.4. Evaluation of the operation status of installed monitoring systems.

11. Installation of downstream warning systems.

11.1. Number of projects required to install warning systems.

11.2. Number of projects that have completed installation.

11.3. Number of projects that have not completed installation, reasons for non-completion (name of project).

d) Evaluation of the operation status of installed warning systems.

12. Maintenance of projects.

12.1. Number of projects with established maintenance procedures.

12.2. Number of projects without established maintenance procedures (name of project).

12.3. Evaluation of the implementation status of project maintenance.

13. Establishment of dam and reservoir data bases for hydropower plants.

14. Activities within the protected areas of dams and reservoirs for hydropower plants requiring permits under the authority of the Provincial People's Committee.

14.1. Number of permit application files received in the year.

14.2. Number of files that have been issued permits (specify the activity name and permitted scope of operation).

14.3. Number of files not issued or refused permits; reasons for non-issuance or refusal.

14.4. Evaluation of compliance with issued permits.

15. Inspection and supervision activities of the Department of Industry and Trade.

15.1. Number of projects inspected and supervised.

15.2. Actions taken by the Department of Industry and Trade after inspection and supervision.

III. ISSUES AND PROBLEMS AND RECOMMENDATIONS.

1. Issues and problems.

2. Recommendations.

received:                              

2. Recommendation