Circular No. 14/2013/TT-BGTVT on the maintenance of maritime works

CIRCULAR

Rules on maintenance of maritime worksi

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Pursuant to the Maritime Code of Vietnam dated June 14, 2005;

Pursuant to the Construction Law dated November 26, 2003;

Pursuant to Decree No. 107/2012/NĐ-CP dated December 20, 2012 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Transport;

Pursuant to Decree No. 21/2012/ND-CP dated March 21, 2012 of the Government on management of seaports and maritime channels (hereinafter referred to as Decree No. 21/2012/ND-CP);

Pursuant to Decree No. 114/2010/ND-CP dated December 6, 2010 of the Government on maintenance of construction works (hereinafter referred to as Decree No. 114/2010/ND-CP);

Pursuant to Decree No. 15/2013/NĐ-CP dated February 6, 2013 of the Government on construction project quality management;

Pursuant to Decree No. 12/2009/ND-CP dated February 12, 2009 of the Government on management of investment in construction works.

At the request of the Director of the Department of Transport Infrastructure and the Director of the Vietnam Maritime Administration;

The Ministry of Transport issues this Circular on rules for maintenance of maritime works,

Article 1. Scope of Regulation and Applicability

1. This Circular stipulates rules for maintenance of maritime works. For maritime works exclusively serving defense and security purposes, they shall be implemented according to regulations of the Ministry of National Defense and the Ministry of Public Security.

2. This Circular applies to organizations and individuals related to the maintenance of maritime works within the territory of Vietnam.

Article 2. Interpretation of Terms

1. Maritime works include seaports, wharves, port bridges, mooring buoys, water areas, sea areas, maritime channels, maritime navigation aids, lighthouses, coastal radio stations, and other auxiliary works of seaports and maritime channels, which are invested in and constructed or established within seaport water areas and Vietnam's territorial waters.

2. The investor of construction works is the person who owns the capital or the person entrusted with managing and using the capital to invest in and construct the works.

3. Maintenance of works is a set of activities aimed at ensuring and maintaining the normal and safe operation of the works in accordance with design specifications throughout their operational period.

The content of work maintenance may include one, several, or all of the following tasks: inspection, monitoring, quality testing, maintenance, and repair of works.

4. The maintenance process of maritime works is the regulation on the sequence, content, and guidance for implementing maintenance tasks of maritime works.

Monitoring of maritime works is the observation and measurement of technical parameters of maritime works according to design requirements during their use.

Maintenance of maritime works is the regular and periodic activities (such as surveillance, care, minor repairs, and maintenance of installed equipment) carried out to maintain the works in a normal operating state and to limit the occurrence of damage.

Repair of works is the rectification of damage found during the operation and use of the works to ensure their normal and safe operation.

8. Design life is the usage time of the works calculated by the designer during the design phase of the works.

Works that have exceeded their design life are those that have been operated and used for a longer period than their design life. The design life of the works is determined according to the design documentation. In cases where the design documentation is lost or does not specify the design life, the investor shall determine the works' life span based on relevant technical standards and regulations or according to the design life of similar and equivalent works.

10. The person responsible for maintaining the works is the owner of the works, the manager of the works, or the user of the works when authorized by the owner, or the user of the works in cases where the owner has not yet been identified.

Article 3. Contents of maritime works maintenance work

1. Inspect maritime works to assess the current status of the works in order to identify signs of damage to the works and determine the maintenance level.

2. Monitor maritime works.

3. Maintain maritime works: regular maintenance and periodic maintenance.

4. Quality inspection of maritime works: periodic inspection every five years and sudden inspection.

5. Repair maritime works: periodic repair, sudden repair, minor repair, medium repair, and major repair.

Article 4. Maintenance levels for maritime works

1. Routine maintenance level: carried out regularly or periodically to prevent damage to individual parts of maritime works.

2. Minor repair level: carried out when there is damage to some parts of maritime works to restore the initial quality of those parts.

3. Medium repair level: carried out when there is damage or deterioration to some parts of maritime works to restore the initial quality of those parts.

4. Major repair level: carried out when there is damage or deterioration to many parts of maritime works to restore the initial quality of the works.

Article 5. Documents serving the maintenance of maritime works

1. The documents serving marine works maintenance work include:

a) Completion documents of maritime works (legal documents and quality management materials);

b) Logs tracking the operation or usage process of maritime works; equipment installation history within maritime works;

c) Maintenance procedures for maritime works;

d) Inspection documents of maritime works or parts, items of works during the exploitation period;

đ) Technical standards for maintaining maritime works;

e) Other necessary documents serving the maintenance of maritime works.

2. Documents serving maintenance work must be kept and updated promptly with changes in maritime works.

Article 6. Responsibilities of organizations and individuals related to the maintenance of maritime works

1. Maintenance responsibility for maritime works with one owner:

a) For state-owned maritime works: organizations or individuals entrusted or leased by the state to manage and exploit the works have the responsibility to maintain the works.

b) For maritime works invested under the BOT (Build-Operate-Transfer) or BTO (Build-Transfer-Operate) model, the enterprise implementing the project (investor) is responsible for maintaining the works during the exploitation period stipulated in the BOT or BTO contract. After the exploitation period according to the BOT or BTO contract, organizations or individuals entrusted to take over management and exploitation from the investor shall continue to bear the responsibility for maintaining the works.

c) For maritime works owned by others, the owner of the works has the responsibility to maintain the works.

2. Maintenance responsibility for maritime works with multiple owners: the owner of a separate part of the works is responsible for maintaining their own part and at the same time must also be responsible for maintaining the common part of the works. The division of responsibility for maintaining the common part of the works is implemented according to relevant laws or agreed upon in writing by the owners of the works or authorized persons, or in purchase or lease contracts.

3. When the owner leases the exploitation of maritime works to organizations or individuals or authorizes the management and use of the works, they must include provisions on maintenance responsibilities in the agreement.

Article 7. Requirements for the maintenance of maritime works

1. After completion of new construction, upgrading, renovation, and repair of maritime works, they shall be accepted, handed over, managed, and maintained. The maintenance period starts from the date when the owner, manager, or operator signs the acceptance record to put the maritime work into operation and use.

2. Maintenance of maritime works shall be carried out in accordance with the provisions of this Circular, maintenance procedures, technical standards, economic and technical norms for managing and maintaining maritime works, and relevant laws.

3. Maintenance procedures for maritime works:

a) The establishment, review, approval, and adjustment of maintenance procedures for works shall be implemented according to Articles 6, 7, and 8 of Decree No. 114/2010/ND-CP. For maritime works where the Ministry of Transport is the investor, the Vietnam Maritime Administration shall organize the approval and adjustment of maintenance procedures.

b) The investor is responsible for handing over documents serving the maintenance of the works to the owner or authorized person before handing over the works for operation and use.

c) For operating and using maritime works that have not yet established maintenance procedures, the following actions shall be taken:

- For temporary maritime works that are not required to establish maintenance procedures, the owner or authorized person must still carry out maintenance according to the provisions of this Circular and Decree No. 114/2010/ND-CP.

- For the remaining works, the owner or authorized person shall organize maintenance according to the following procedure:

+ Survey, inspect, and evaluate the current condition of the works;

+ Establish maintenance procedures for the works;

+ Repair any damages to the works (if any);

+ Carry out maintenance of the works according to the provisions of this Circular and Decree No. 114/2010/ND-CP.

- The owner or authorized person must immediately review the current condition of the works, complete the establishment and approval of maintenance procedures for such works, and report to the specialized state management agency as stipulated in Clause 4 of this Article.

4. The following state management agencies are responsible for reviewing, guiding, and requiring owners or authorized persons to establish maintenance procedures for works that are in use but lack maintenance procedures:

a) The Vietnam Maritime Administration shall implement this for special-class and class I maritime works or works that may cause disasters in case of accidents as prescribed by law on quality management of works.

b) Provincial People's Committees shall implement this for class II maritime works within their jurisdiction.

Article 8. Establishment, Approval, and Implementation of Annual and Medium-Term Five-Year Maintenance Plans for Maritime Works Managed by the Ministry of Transport

1. The Vietnam Maritime Administration is directly responsible for compiling, establishing annual and medium-term five-year (or according to planning periods) maintenance plans and budgets, and submitting them to the Ministry of Transport for approval.

2. Maintenance plans for maritime works must be based on the consolidation and review of data, reports, and proposals from grassroots units, accurately reflecting actual requirements and conditions of the works, and being consistent with maintenance procedures according to regular maintenance tasks and periodic repairs.

3. The process of establishing maintenance plans for maritime works must include the following information: name of the work and project (task); unit, quantity, cost of implementation; time of implementation; method of implementation, priority level. For works and projects at priority level 1 (very necessary), there must be a detailed explanation. The format for establishing maintenance plans follows Model 1 of the Appendix to this Circular.

4. The contents of annual and medium-term five-year (or according to planning periods) maintenance plans for maritime works include:

a) For regular maintenance work:

- Based on the time of putting maritime works into operation and use and the actual operational conditions, regular maintenance should be strengthened to prevent and promptly address minor damages to structural components and equipment to improve service quality, prevent further damage and accidents, and ensure the lifespan of the works.

- The budget estimate must be appropriate to the maintenance tasks of maritime works. Unit prices and estimates are based on current norms and unit prices. In cases where norms and unit prices are unavailable or unsuitable, the Vietnam Maritime Administration shall propose and organize the establishment of new norms and unit prices, and submit them to the Ministry of Transport or competent authority for approval.

b) For periodic repair work:

- Based on specified deadlines and the results of evaluations and inspections of the current condition of maritime works (if applicable) regarding the deterioration of components and structures, measures for repairs (or replacement) shall be proposed to restore the initial quality of the works and ensure normal and safe operation.

- Implementation procedures shall follow regulations on investment and construction management of works and other related regulations.

- Investment construction cost management must adhere to current regulations.

c) For emergency repairs of maritime works:

- Annual maintenance plan for maritime works: Summarize maritime works and projects that have been urgently repaired and restored, along with approved funding.

- Medium-term five-year (or according to planning periods) maintenance plan for maritime works: Reserve 10% of the budget.

d) For maritime works that have exceeded their usage period and cannot meet usage requirements, the Vietnam Maritime Administration and the management and operation units shall report to the Ministry of Transport for consideration and decision on allowing the establishment of investment projects for upgrading and renovation from basic construction funds, without using maintenance funds.

5. The approval process for annual maintenance plans for maritime works shall be as follows:

a) The Vietnam Maritime Administration shall compile and establish maintenance plans and budgets for maritime works and submit them to the Ministry of Transport before June 15 each year.

b) The Ministry of Transport shall examine and approve the plan and budget for the maintenance of maritime works before July 15 each year; consolidate the plan and budget for the maintenance of maritime works into the annual revenue and expenditure budget of the Ministry of Transport, and submit it to the Ministry of Finance before August 30 each year.

c) Based on the Decision allocating the state budget revenue and expenditure plan issued by the Ministry of Finance, the Ministry of Transport shall notify the state budget revenue and expenditure plan to the Vietnam Maritime Administration and the management and operation units of maritime works, including the portion of funds allocated for the maintenance of maritime works.

d) The Vietnam Maritime Administration shall organize the review of the list of urgent projects, items, and quantities of works that must be carried out, and bear responsibility for preparing the plan and budget for the maintenance of maritime works, and submit it to the Ministry of Transport within no more than 15 days from the date of receipt of the notification as stipulated in point c of this clause.

đ) The Ministry of Transport shall examine and approve the plan and estimate the budget for the maintenance of maritime works, and consolidate and allocate the state budget revenue and expenditure plan to the Vietnam Maritime Administration.

6. The procedures for approving the medium-term five-year (or period-based) maintenance plan for maritime works shall be implemented as follows:

a) The Vietnam Maritime Administration shall be responsible for consolidating and preparing the plan and estimating the budget for the maintenance of maritime works, and submitting it to the Ministry of Transport before June 15 of the following year.

b) The Ministry of Transport shall approve the plan and estimate the budget for the maintenance of maritime works, the plan for arranging financial resources for implementation, and organize the implementation, adjustment, modification, and supplementation of the annual maintenance plan for maritime works to suit actual conditions.

7. Implementation of the approved maintenance plan for maritime works

a) The annual maintenance plan for maritime works approved by the Ministry of Transport serves as the basis for the Vietnam Maritime Administration and the management and operation units of maritime works to implement. The Vietnam Maritime Administration shall be responsible for approving the budget for the maintenance of maritime works according to Articles 22 and 23 of Decree No. 114/2010/ND-CP.

b) Adjustments and supplements to the maintenance plan for maritime works shall be carried out according to the following principles:

- For works or parts of works that pose a risk of accidents or have dangerous accidents, or works that lose safety and require emergency treatment or partial adjustment of parts of works, the Vietnam Maritime Administration and the management and operation units of maritime works shall be responsible for examining and approving their implementation and reporting to the Ministry of Transport;

- For works or parts of works, and implementation costs that arise outside the approved plan, the Vietnam Maritime Administration and the management and operation units of maritime works shall submit them to the Ministry of Transport for approval before implementation.

8. Management and inspection of the implementation of the approved maintenance plan for maritime works

a) The Ministry of Transport shall organize the development and issuance of annual and ad hoc inspection plans, and organize their implementation.

b) The Vietnam Maritime Administration and the management and operation units of maritime works shall be responsible for organizing the management and inspection of the implementation of the approved plans by the units, and regularly and ad hoc compiling and reporting the results of the implementation of the maintenance plan for maritime works to the Ministry of Transport (quarterly before the 22nd day of the last month of each quarter; annually before January 15 of the following year).

c) The report content must include the following information: name of the work, part of the work being implemented; quantity and cost of implementation; completion time; adjustments and occurrences compared to the assigned plan; assessment of implementation results (according to the approved plan); proposals and recommendations during the implementation of maritime works maintenance tasks. Reporting forms according to Form No. 2 of the Appendix to this Circular.

Article 9. Establishment, approval, and implementation of maintenance plans for maritime works managed by ministries, sectors, localities, and other organizations and individuals

1. The owner of the maritime work or the person authorized to organize the establishment, approval, and implementation of regular, medium-term, and long-term maintenance plans for maritime works shall comply with the provisions of Article 10 of Decree No. 114/2010/NĐ-CP, this Circular, and other relevant laws.

2. When approving the maintenance plan for maritime works as stipulated in Clause 1 of this Article, the owner of the maritime work or the authorized person shall submit to the Ministry of Transport the approval document and the maintenance plan for consolidation and centralized management.

Article 10. Maritime works and parts thereof that must be monitored during operation and use

1. During operation and use, the following maritime works must implement monitoring:

a) Wharfs, ports, lighthouses, breakwaters, sand barriers, special and first-class communication systems (antennas);

b) Maritime works showing signs of subsidence, cracking, tilting, or other abnormal signs that may cause collapse of the works.

2. Parts of maritime works that need to be monitored are the main load-bearing structures of the works, which, if damaged, may lead to collapse of the works.

3. Monitoring locations, monitoring parameters, and limit values of these parameters such as deformation, tilt, subsidence, cracks, sagging, etc.; monitoring time, number of measurement cycles, and other necessary contents shall be determined by the contractor who designs the maritime works.

4. General requirements for monitoring maritime works during operation and use:

a) Monitoring must be carried out according to the monitoring plan established by the monitoring contractor and approved by the person responsible for maintaining the works.

b) The monitoring plan must specify the measurement methods, measuring equipment, layout diagrams, and construction of markers, organization of implementation, data processing methods, and other necessary contents.

c) The monitoring contractor must prepare and report to the person responsible for maintaining the works on the monitoring results, including measurement data that must be compared with the limit values specified by the construction project design contractor and related standards.

In case the monitoring data reaches the limit values specified in Clause 2 of this Article or shows other abnormal signs, the person responsible for maintaining the works must organize a safety assessment of the works, operational safety, and take timely measures.

d) Organizations and individuals conducting monitoring must have the necessary qualifications equivalent to those required for organizations and individuals conducting construction surveys or quality inspections of construction works.

Article 11. Provisions on the use of works at the end of their design life

1. When a work reaches its design life, the person responsible for maintaining the work must perform the following tasks:

a) Organize inspections, tests, and evaluations of the current quality of the work.

b) Repair the project if there are damages to ensure functionality and safe use before considering and deciding on continued use of the project;

c) Independently decide to continue using Class III and Class IV works without causing disasters when accidents occur, in accordance with the law on construction quality management;

d) Report to the Vietnam Maritime Administration the results of inspection, testing, and evaluation of the work's quality, and the results of repairs (if any), to consider and approve the continued use of maritime works at the end of their design life for works from Class II upwards, and works where accidents may cause disasters, as stipulated by the law on construction quality management.

2. Contents of the report on the results of inspection, testing, evaluation of the work's quality, repair results, and proposals for handling maritime works at the end of their design life:

a) Project quality assessment results;

b) Proposals for handling the project according to one of the following options:

- Continue using the project or convert its usage function, repair the project if necessary;

- Limit partial use of the project;

- Restrict use of the project;

- Cease complete use of the project.

c) Other related contents.

Article 12. Procedure for Approval to Continue Using Maritime Works Beyond Their Design Life

1. The person responsible for maintaining maritime works shall directly submit or send by postal service one set of documents to the Vietnam Maritime Administration for consideration and handling regarding works that have exceeded their design life. The documents include:

- A request form according to Model No. 3 in the Appendix of this Circular.

- Report on the results of inspection, testing, and evaluation of the quality of the work, and the results of repairing the work if there is damage.

- Minutes or documents reflecting the results of inspection, testing, and evaluation of the current condition of the work.

- Results of repairing the work to ensure functionality and safety before considering and deciding to continue using the work, if there is damage.

- Construction and maintenance files of the maritime work.

2. The Vietnam Maritime Administration shall accept, review the documents, and handle them as follows:

a) In cases where the documents are submitted directly, if the documents are complete, issue a receipt for the documents and schedule the return of the result within the prescribed time limit; if the documents are not complete as required, return them immediately and guide organizations and individuals to perfect the documents.

b) In cases where the documents are received through the postal system, if the documents are not complete as required, within five (05) working days from the date of receiving the documents, the Vietnam Maritime Administration shall issue a document requesting supplementation and perfection of the documents.

c) Within thirty (30) working days from the date of receiving complete and valid documents, the Vietnam Maritime Administration must issue a document approving the continuation of use for maritime works beyond their design life; in cases where approval is not granted, issue a document clearly stating the reasons and send it to the person responsible for maintaining the maritime works via the postal system or to collect it directly at the agency's office.

Article 13. Handling of Maritime Works and Parts of Works That Do Not Ensure Safety for Operation and Use

1. Maritime works and parts of works that do not ensure safety for operation and use are dangerous works and parts with a risk of collapse, indicated by signs such as cracks, sagging, subsidence, tilting... up to the limit value specified in relevant technical standards and regulations.

2. When discovering that maritime works do not ensure safety for operation and use, the person responsible for maintenance shall be responsible for performing the following actions:

a) Inspecting the facility or certifying the quality of the facility;

b) Decide to implement safety measures: limit the use of the work, stop using the work, move people and property (if necessary) to ensure safety and report immediately to the following state management agencies:

- The Vietnam Maritime Administration for maritime works from Class II upwards and works that may cause disasters when accidents occur, as stipulated by laws on construction project quality management.

- The People's Committee of the province for remaining maritime works within its territory.

c) Repairing damages that could affect the safe use and operation of the work according to the provisions of the law on emergency construction projects.

3. Upon discovering or receiving information about signs of deterioration in the quality of maritime works, which do not ensure safety for operation and use, the Vietnam Maritime Administration or the People's Committee of the province shall be responsible for:

a) Organizing inspections, notifying, requiring, and guiding the owner or authorized person to organize surveys, testing, evaluating the level of danger, implementing repairs or demolishing parts of the work or the entire work (if necessary);

b) Deciding to apply the safety measures stipulated in point b Clause 2 of this Article when the owner or authorized person does not perform the tasks specified in point a of this Clause;

c) Handling the responsibility of the owner or authorized person according to the provisions of the law when the owner or authorized person does not comply with the requirements of the state management agencies mentioned in point a and point b of this clause.

4. In cases where maritime works may collapse immediately, the person responsible for maintenance must urgently evacuate all people from this work and adjacent works affected, report to the Vietnam Maritime Administration or the People's Committee of the province to obtain support for implementing safety measures.

The Vietnam Maritime Administration and the People's Committee of the province, upon receiving reports about situations where works may collapse immediately, must promptly organize the implementation of safety measures: stop using the work, seal off the work and other necessary measures as prescribed.

5. Owners and users of adjacent works must be responsible for implementing safety measures as stipulated in Clause 4 of this Article when requested.

6. In cases where incidents occur during the exploitation and use of works, incident resolution shall be carried out according to the provisions of the law on construction project quality management.

Article 14. Application of technical standards, specifications, and norms in maritime works maintenance work

1. For maritime works maintenance work:

a) Apply technical standards, norms issued by competent state agencies;

b) For project components without established norms, apply corresponding norms from other sectors or localities approved by competent authorities.

2. For regular repair and emergency repair work of maritime works: apply according to regulations for basic construction works and current relevant state regulations.

3. The Vietnam Maritime Administration shall guide, supervise, inspect, monitor, and evaluate the application of technical standards, specifications, and norms by organizations and individuals in maritime works maintenance work.

Article 15. Inspection of the implementation of maritime works maintenance work

1. The Ministry of Transport shall take the lead or coordinate with agencies, organizations, and individuals to inspect the implementation of maritime works maintenance work in accordance with Article 17 of Decree No. 114/2010/NĐ-CP and other relevant laws.

2. The Vietnam Maritime Administration shall inspect the implementation of maritime works maintenance work on the following contents:

a) The establishment and approval of the maintenance procedures for maritime works in accordance with Decree No. 114/2010/NĐ-CP.

b) Compliance with maintenance regulations by the owner or authorized person in accordance with inspection regimes stipulated in Clause 2, Article 17 of Decree No. 114/2010/NĐ-CP.

c) Reporting on the implementation of maintenance of maritime works by the owner or authorized person in accordance with Clause 1, Article 17 of Decree No. 114/2010/NĐ-CP;

d) Implementation of provisions in Articles 11 and 12 of this Circular when the works have reached their design life.

đ) Implementation of monitoring for works and parts of works that must be monitored as prescribed in Article 10 of this Circular.

e) Other contents related to the implementation of the maintenance plan for maritime works in accordance with laws or tasks assigned by the Ministry of Transport.

3. Ministries, sectors, provincial People's Committees, and competent authorities shall inspect the implementation of maritime works maintenance work in accordance with Article 17 of Decree No. 114/2010/NĐ-CP.

Article 16. Reporting on the implementation of maintenance work

1. The Vietnam Maritime Administration and units managing and operating maritime works under the management of the Ministry of Transport shall report on the implementation of the maintenance plan for maritime works in accordance with Clause 8, Article 8 of this Circular.

2. By no later than December 31 each year, the owner or authorized person must report annually to the Ministry of Transport on the implementation of maintenance work for maritime works at level II and above and works that may cause disasters if they fail, in accordance with laws on construction quality management.

Article 17. Quality Management of Maintenance Work

The owner or authorized person is responsible for implementing quality management of maintenance work in accordance with Decree No. 15/2013/NĐ-CP dated February 6, 2013, of the Government on construction quality management, Decree No. 12/2009/NĐ-CP dated February 12, 2009, of the Government on investment construction project management, Decree No. 83/2009/NĐ-CP dated October 15, 2009, amending and supplementing certain articles of Decree No. 12/2009/NĐ-CP dated February 12, 2009, of the Government on project investment construction management, Decree No. 114/2010/NĐ-CP, and other relevant laws.

Article 18. Maintenance Costs for Maritime Works

1. The determination of costs for implementing maintenance of maritime works shall be carried out in accordance with the guidelines of the Ministry of Construction, the Ministry of Finance, and current laws.

2. The establishment, approval of budgets for annual maintenance plans, management, utilization, payment, and settlement of maintenance costs for maritime works shall be implemented in accordance with the State Budget Law, Decree No. 114/2010/ND-CP, Decree No. 112/2009/ND-CP dated December 14, 2009 of the Government on the management of construction investment costs, and relevant laws.

Article 19. Effective Date

1. This Circular takes effect from September 1, 2013.

2. Attached to this Circular is one Appendix containing three Forms for consolidation, reporting, and application requests for use in the maintenance of maritime works.

Article 20. Implementation

1. The Heads of the Ministry's Office, the Inspectorate, the Heads of Departments, the Director of the Vietnam Maritime Administration, the Heads of agencies, units, and related individuals are responsible for implementing this Circular.

2. In case of difficulties during implementation, organizations and individuals are requested to promptly report to the Ministry of Transport for consideration and resolution./.