Circular No. 33/2019/TT-BGTVT on dredging activities in inland waterways

CIRCULAR

Regulations on dredging activities in inland waterway areas

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Based on the Law on Inland Waterway Transport dated June 15, 2004 and the Law Amending and Supplementing Certain Provisions of the Law on Inland Waterway Transport dated June 17, 2014;

Pursuant to Decree No. 12/2017/NĐ-CP dated February 10, 2017, issued by the Government on the functions, tasks, powers, and organizational structure of the Ministry of Transport;

Pursuant to Decree No. 159/2018/NĐ-CP dated November 28, 2018 of the Government on management of dredging activities in port water areas and inland waterways;

Pursuant to Decree No. 37/2015/ND-CP dated April 22, 2015 of the Government detailing construction contracts;

At the proposal of the Director of the Infrastructure Department and the Director of the Vietnam Inland Waterway Administration;

The Minister of Transport issues this Circular to regulate dredging activities in inland waterway areas.

PART I

GENERAL PROVISIONS

Article 1. Scope of Regulation

This Circular regulates dredging activities in inland waterway areas, including: maintenance dredging under a contractual basis for maintaining standards within a specified period; emergency maintenance dredging to ensure safe inland waterway transport; construction contracts for maintenance dredging projects of inland waterways funded from the state budget and contents of socialized dredging project contracts in inland waterway areas.

Article 2. Applicability

This Circular applies to agencies, organizations, and individuals both domestically and internationally related to dredging activities in inland waterway areas.

Article 3. Explanation of Terms

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

1. Inland waterway management agencies are specialized state administrative bodies responsible for inland waterway transport management, comprising the Vietnam Inland Waterway Administration and Provincial Departments of Transport.

2. Emergency maintenance dredging refers to dredging work carried out due to urgent tasks caused by unforeseeable reasons, which must be immediately implemented to ensure safe inland waterway transport.

3. Recovered products are materials recovered from dredging activities in inland waterway areas.

4. Investors are enterprises selected by competent state authorities to implement socialized dredging project contracts in inland waterway areas.

Chapter II

MAINTENANCE DREDGING OF INLAND WATERWAY CHANNELS

FROM THE STATE BUDGET

PART 1

MAINTENANCE DREDGING OF INLAND WATERWAY CHANNELS

UNDER A CONTRACTUAL BASIS FOR MAINTAINING STANDARDS

WITHIN A SPECIFIED PERIOD

Article 4. Maintenance dredging under a contractual basis for maintaining standards within a specified period

1. Maintenance dredging of inland waterway channels from state budget funds under a contractual basis for maintaining standards within a specified period shall be carried out on channels in inland waterway areas at shallow banks, sections, or river mouths along major waterway routes that have had stable channel directions for at least the last three years and are frequently silted up.

2. The Ministry of Transport approves national inland waterway channels for maintenance dredging under a contractual basis for maintaining standards within a specified period (at least three years) in the annual plan for maintaining inland waterway infrastructure based on proposals from the Vietnam Inland Waterway Administration.

3. People's Committees of provinces and centrally-administered cities (hereinafter referred to as provincial People's Committees) approve local inland waterway channels for maintenance dredging under a contractual basis for maintaining standards within a specified period (at least three years) in the annual plan for maintaining inland waterway infrastructure based on proposals from provincial Departments of Transport.

Article 5. Design drawings and cost estimates

1. The establishment, review, and approval of design drawings, cost estimates for projects, environmental protection cost estimates, survey and measurement handover plans, supervision plans, and technical survey and acceptance plans for maintenance dredging of inland waterway channels shall comply with Article 16 of Government Decree No. 159/2018/ND-CP dated November 28, 2018 on managing dredging activities in port waters and inland waterway areas (hereinafter referred to as Decree No. 159/2018/ND-CP).

2. Design drawings are established based on:

a) Locations for dumping dredged materials approved and accepted by provincial People's Committees to ensure reception of dredged materials during the contractual period for maintaining standards;

b) Maintenance standards of channels approved by the Ministry of Transport or provincial People's Committees in the annual plan for maintaining inland waterway infrastructure or channel standards published by competent authorities;

c) Dredging volumes including initial dredging volume (rechecked upon handover survey) and maintenance dredging volume within the contractual period from after the initial dredging to the end of the contractual period;

d) Initial dredging volume is determined based on the latest channel depth survey map but not more than six months before the design approval date. If the channel depth survey map exceeds six months or there is no data from such a map, a survey must be conducted to calculate the initial dredging volume;

đ) Maintenance dredging volume is determined based on the average maintenance dredging volume over the last three years or calculated based on the average actual sedimentation survey results over the last three years or through monitoring and modeling studies.

3. Cost estimates for maintenance dredging under a contractual basis for maintaining standards are determined according to the corresponding dredging volume for channel design standards, dumping locations, and the maintenance period.

Article 6. Organization of Contractor Selection and Handover of Construction Site

1. The organization of contractor selection shall be carried out in accordance with the provisions of Article 17 of Decree No. 159/2018/NĐ-CP.

2. The handover of the construction site shall be carried out in accordance with the provisions of Article 18 of Decree No. 159/2018/NĐ-CP, and must organize inspections to confirm the current status of related works and the embankment area before the construction work begins.

Article 7. Organization of Construction Management for the Project

1. The construction contractor has the responsibility

a) To ensure the implementation of the contract in accordance with the provisions of the law;

b) To receive and manage the construction site, coordinates and elevations throughout the construction process;

c) To register construction machinery and equipment, monitoring systems, and lists of labor serving the construction project with the inland waterway management authority in the region, and such registration must be inspected and confirmed according to regulations by the supervisory consultant;

d) To notify the plan for implementing construction work (construction time, progress schedule) before each dredging maintenance period to the inland waterway management authority, the inland waterway management authority in the region, local authorities, supervisory consultants, design consultants, and publicly post on the construction site;

đ) To implement traffic safety measures approved by the competent authority, including the deployment of buoys and marking the boundaries of the dredging area throughout the construction process for relevant agencies to coordinate inspection and supervision;

e) To carry out dredging construction in accordance with the provisions of the contract and the law, ensuring the maintenance of the approved design requirements (channel length, width, bottom depth, slope, radius of curvature), and implementing environmental requirements throughout the contract period;

g) Within the latest two days from the discovery of shallow areas or according to the written reflection or request of the competent authority, the construction contractor must organize a dredging plan, simultaneously notifying the supervisory consultant unit to supervise construction according to regulations; within the latest five days from the discovery of shallow areas or the request of the project owner, the construction contractor must dredge the shallow areas to meet the channel design standards, the completion time not exceeding twenty days from the date of receipt of the request;

In cases of force majeure preventing the survey and dredging of shallow areas, the construction contractor must immediately report to the inland waterway management authority in the region for guidance and confirmation in writing, and within the latest two days from the end of the force majeure event, organize a dredging plan and immediately dredge the shallow areas to meet the channel design standards, the completion time not exceeding twenty days;

h) If the construction contractor fails to complete the dredging to meet the channel design standards within the agreed time, progress, and quality in the contract and as stipulated in point g of this clause, the inland waterway management authority in the region will report to the Vietnam Inland Waterways Administration or the Provincial People's Committee (or the agency assigned by the Provincial People's Committee) to consider and decide to reduce costs in the contract corresponding to the period without meeting the standards (from the request date to the completion of rectification);

i) If the construction contractor is reminded or reflected upon in writing for the second time but still fails to complete the dredging as stipulated in points g and h of this clause or engages in illegal actions such as dumping dredged materials in unauthorized locations or transferring the contract illegally, the inland waterway management authority in the region or the Department of Transport will report to the Vietnam Inland Waterways Administration or the Provincial People's Committee to consider and handle violations, terminate the signed contract, and select another qualified construction contractor to continue the project;

k) In addition to the measures stipulated in points g, h, and i of this clause, the construction contractor must also remedy the consequences of violations, bear responsibility for accidents involving vessels due to shallow channels, and bear other responsibilities as prescribed by law;

l) To select a survey and measurement unit to internally inspect and accept the construction results at the site in accordance with regulations. Conduct surveys and measurements of the dredging results of shallow sections using the construction contractor's funds as stipulated in point b of Clause 2 of this Article;

m) To establish a construction quality management file in accordance with regulations;

n) To report to the project owner on the progress, quality, volume, labor safety, and construction environmental hygiene in accordance with the construction contract and any urgent requests from the project owner;

2. The inland waterway management authority in the region has the responsibility

a) To manage, inspect, and supervise the contractor's construction process, the supervisory consultant's process, and the survey and measurement acceptance process at the site in accordance with regulations;

b) To conduct surveys and measurements as stipulated in point a and point b of Clause 3 of this Article to check the contractor's maintenance of channel standards. In case of discovering areas within the project scope that do not meet the standards, issue a written request to the construction contractor to immediately carry out dredging, and simultaneously notify the supervisory consultant unit to perform the construction supervision tasks according to regulations;

c) To announce the inland waterway route based on the results of the survey and measurement as stipulated;

d) To report to the Vietnam Inland Waterways Administration or the Provincial People's Committee (or the agency assigned by the Provincial People's Committee) every two months or upon completion of phases and the entire project, the results of surveys and measurements and the implementation of dredging maintenance work;

đ) To organize the acceptance of completed phases and the entire project in accordance with regulations;

3. The inland waterway management authority has the responsibility

a) Approve the outline for sudden inspection surveys and measurements for each channel dredged and maintained under the contractual maintenance standard system, with a maximum inspection frequency of 06 months/one time. The scope of measurement and survey for each time shall be designated by the project owner, with the survey area being at least 30% of the surface area of the channel section to check the contractor's compliance with the design channel standards.

b) Direct the inland waterway management agency in the region and related agencies and units to organize regular and periodic measurement and survey activities according to regulations to inspect the contractor's ability to maintain the design channel standards.

Organize quality and progress inspections of channel dredging and maintenance works, inland waterway safety during construction; suspend construction and handle violations (if any) of the contractor and related organizations and individuals in accordance with the provisions of the law.

Article 8. Inspection, supervision, and acceptance of works

1. The content of work inspections and supervision of channel dredging and maintenance projects under the contractual maintenance standard system within a specified period shall be carried out in accordance with the provisions of Article 20 of Decree No. 159/2018/NĐ-CP and the following contents:

a) The supervising consultant and the construction contractor are responsible for recording all construction results according to Form No. 01, Form No. 02, Form No. 03, Form No. 04, Form No. 05, and Form No. 06 as stipulated in the Appendix attached to this Circular.

b) Weekly, the supervising consultant sends reports according to Form No. 07, Form No. 08, Form No. 09, and Form No. 10 as stipulated in the Appendix attached to this Circular, along with copies of the construction diary to the inland waterway management agency in the region for inspection and monitoring purposes.

2. The content of work acceptance of channel dredging and maintenance projects under the contractual maintenance standard system within a specified period shall be carried out in accordance with the provisions of Article 21 of Decree No. 159/2018/NĐ-CP.

Article 9. Payment and settlement of works

The payment and settlement of works shall be carried out in accordance with the provisions of the law.

PART 2

EMERGENCY CHANNEL DREDGING AND MAINTENANCE OF INLAND WATERWAYS

Article 10. Procedure for Implementation

Emergency channel dredging and maintenance of inland waterways shall be implemented according to the following procedure:

1. Submit and approve emergency tasks.

2. Organize selection of implementing units.

3. Prepare and approve project designs and budgets.

4. Hand over the construction site, organize construction, and supervise and inspect.

5. Acceptance and completion documentation of the project.

6. Summarize and supplement the maintenance plan for inland waterway infrastructure; allocate state budget estimates.

7. Payment and settlement of the project.

Article 11. Submission and Approval of Emergency Tasks

1. The inland waterway management agency in the region shall take the lead and coordinate with the management and maintenance units of inland waterways to conduct preliminary surveys and report emergency tasks for channel dredging and maintenance of inland waterways to the inland waterway management agency.

2. The Ministry of Transport, People's Committee of the province shall approve the implementation of emergency tasks for channel dredging and maintenance of inland waterways based on the proposal of the inland waterway management agency or decide to allow the implementation of emergency tasks for channel dredging and maintenance of inland waterways.

Article 12. Selection of Consulting Units and Contractors

1. The inland waterway management agency is responsible for:

a) Based on the directive to implement urgent tasks assigned, selecting consulting units (surveying, design, supervision, environment) with sufficient capacity and experience to immediately undertake urgent tender packages and submit them to the Vietnam Inland Waterways Administration or the provincial People's Committee;

b) Within no more than 15 days from the date of approval of the directive, organizing the handover of the construction site, conducting surveys, preparing designs and budgets; completing procedures for selecting consulting units, including defining requirements regarding the scope, content of work to be performed, time frame, quality standards to be achieved, and corresponding values for negotiation, completion of contracts, and selection of contractors according to legal provisions, and submitting them to the Vietnam Inland Waterways Administration or the provincial People's Committee. At the same time, coordinating with the provincial People's Committee (or the agency designated by the provincial People's Committee) to inspect the site, determine, and unify the location for disposing of dredged materials.

2. The Vietnam Inland Waterways Administration or the provincial People's Committee is responsible for organizing the review and approval of the results of selecting consulting units and contractors based on the outcomes of contract negotiations and recommendations from the inland waterway management agency or the Department of Transport, and signing contracts with selected contractors.

Article 13. Preparation, Review, and Approval of Design Estimates and Consulting Frameworks

1. Construction drawings and project estimates are prepared based on the results of the handover of the construction site for emergency channel dredging and technical regulations, standards for surveying, designing, and economic-technical norms specific to the industry, as well as relevant legal provisions.

2. The preparation, review, and approval of construction drawings and project estimates, consulting frameworks, and cost estimates for environmental protection works shall be carried out in accordance with Clause 2 of Article 16 of Decree No. 159/2018/NĐ-CP.

Article 14. Handover of Construction Site, Organization of Construction, Inspection, Supervision, and Acceptance of Works

1. Handover of Construction Site

a) The inland waterway management agency leads the coordination with supervisory consultants and design consultants to immediately organize measurement and handover of the construction site (including the dredging site and disposal location) to the contractor for implementation of the project, while coordinating with related agencies and local authorities to inspect and confirm the status of related works and shoreline areas in the dredging zone.

2. Organization of Construction

a) The contractor receives the construction site and organizes the implementation of the project according to approved designs and construction methods;

b) The inland waterway management agency is responsible for managing and inspecting the implementation process of the construction unit and supervisory consultant to ensure the quality and progress of the project and notify the inland waterway route according to regulations upon completion of the project;

c) The inland waterway management agency may conduct random inspections during the construction process if necessary or if there are doubts about the quality or quantity of the contractor's work.

3. Inspection, supervision, and acceptance of works shall be carried out in accordance with Article 8 of this Circular.

Article 15. Payment and Settlement of Works

Payment and settlement for dredging and maintenance work on inland waterway channels using state budget funds shall be carried out in accordance with the guidelines of the Ministry of Finance.

PART 3

CONTRACT FOR CONSTRUCTION OF WORKS

MAINTENANCE DREDGING OF INLAND WATERWAY CHANNELS

Article 16. Forms of Contract

Contracts for construction of dredging and maintenance of inland waterway channels include two types:

1. Fixed unit price contracts or adjustable unit price contracts applicable to annual dredging and emergency dredging maintenance.

2. Lump-sum contracts applicable to dredging and maintenance of inland waterway channels under the form of fixed standard maintenance over a specified period.

Article 17. Contents of Construction Contracts

The contents of construction contracts for dredging and maintenance of inland waterway channels shall be implemented in accordance with the Government's regulations on construction contracts and the guidelines of the Ministry of Construction on construction contracts for works. In addition, the following contents must also be included:

1. The contractor shall not be allowed to accept completion, payment, and the contract shall be terminated, and the contractor shall bear full responsibility for compensating all losses and damages to the project caused by the failure to complete dredging to meet the design standards of the channel within the agreed time, progress, and quality as stipulated in the contract, and after being reminded twice in writing still fails to rectify or completes the construction.

2. The contract shall be terminated if the contractor transports and disposes of dredged materials at unauthorized locations, causing environmental pollution or illegally transfers the contract, and the contractor shall be responsible for remedying the damage caused and shall comply with other relevant legal provisions.

3. For lump-sum construction contracts, the content must clearly state "no adjustment of implementation costs."

Chapter III

DREDGING IN INLAND WATERWAY AREAS

COMBINED PRODUCT RECOVERY

Article 18. Establishment of Dredging Areas List

1. The inland waterway management agency shall organize the establishment or modification and supplementation of the dredging areas list to submit to the Ministry of Transport or the People's Committee of the province before June 30 each year.

2. The dredging areas list must contain the main contents as prescribed in Clause 3 of Article 26 of Decree No. 159/2018/ND-CP.

3. The Ministry of Transport shall organize the solicitation of opinions from the provincial People's Committee before announcing the dredging areas list.

Article 19. Project Contract

1. Conditions for negotiating and signing contracts must comply with the legal regulations on construction contracts and ensure the following conditions:

a) Decision to announce the project dredging list by the competent authority;

b) Decision to approve the feasibility study report of the project by the competent authority;

c) Results of selecting investors to implement the project;

d) Environmental impact assessment report approved or environmental protection plan confirmed in accordance with regulations;

đ) Decision or document approving product recovery registration by the competent authority;

e) Ensuring the implementation of the project contract.

2. Some main contents of socialized dredging area project contracts shall be implemented according to Appendix 2 issued together with this Circular.

Article 20. Responsibilities for Organizing Project Implementation

1. The Ministry of Transport

a) Organize the establishment and announcement of the dredging area list in accordance with Articles 26 and 27 of Decree No. 159/2018/ND-CP.

b) Direct the Vietnam Inland Waterways Administration to coordinate with competent state agencies during the process of implementing projects in inland waterway areas under its jurisdiction.

2. Provincial People's Committees

a) Exercise rights and responsibilities for tasks as prescribed in Clause 2, Clause 3, and Clause 4 of Article 23 of Decree No. 159/2018/ND-CP;

b) Organize or direct the Department of Transport to solicit the participation opinions of the Vietnam Inland Waterways Administration in accordance with the law on inland waterways for projects in inland waterway areas under the jurisdiction of the Ministry of Transport;

c) Organize interim evaluations and assessments of the implementation of dredging projects in inland waterway areas combined with product recovery.

3. Vietnam Inland Waterways Administration

a) Coordinate with competent state agencies to implement projects to inspect and supervise the compliance of investors with their obligations as stipulated in the project contract and this Circular for projects in inland waterway areas under its jurisdiction;

b) Organize the acceptance and handover of dredging projects in inland waterway areas under its jurisdiction after the completion and commissioning of the project in accordance with the law on construction.

4. Department of Transport

a) Provide project files and notify the Vietnam Inland Waterways Administration of plans and times for implementing dredging projects in national inland waterway channels combined with product recovery;

b) Take the lead and coordinate with the Vietnam Inland Waterways Administration to organize inspections and supervision of investors' compliance with requirements regarding the scale, scope of dredging, channel design standards, and implementation schedules for dredging projects in national inland waterway channels combined with product recovery;

d) Report periodically monthly and quarterly on the situation and results of project implementation to the competent state agencies as prescribed in Article 24 of Decree No. 159/2018/ND-CP.

4. Project Investors

a) Cooperate with departments, local authorities to implement community monitoring; publicize and announce project implementation plans before construction in accordance with regulations;

b) Cooperate with the Department of Transport, related agencies, and local authorities to inspect and confirm the current status of related works and shoreline areas within the project scope;

c) Submit the approved environmental impact assessment report or confirmed environmental protection plan to the People's Committee of the commune, ward, town where the project is implemented and publicly post it on the construction site before and throughout the project construction period;

d) Commit to implementing the approved project in compliance with current regulations, without transferring the project or part of the project to another entity to carry out. Bear all repair and remediation costs if construction does not conform to the approved design drawings and causes damage to works inside and outside the project scope as stipulated by law.

d) Organize construction, inspection, acceptance, and handover of individual components and the entire project according to the approved project dossier in compliance with the provisions of the law;

e) Strictly implement all contents committed in the environmental impact assessment report or environmental protection plan already approved by the competent authority, ensure inland waterway safety during the construction process; register the method, volume, and time of dredging with the provincial People's Committee, and comply with tax, fee, and financial obligations as stipulated by the law;

g) In case of slope failure along riverbanks, canals, or potential hazards to surrounding structures during the project construction, immediately halt dredging operations, coordinate with supervisory consultants to promptly report to the nearest local authorities and inland waterway management agencies for inspection, determination of causes, extent of impact, and report to the provincial People's Committee for appropriate measures;

h) Report on progress, quality, volume, labor safety, and construction site environmental hygiene in accordance with the contract and urgent requirements set forth in Article 24 of Decree No. 159/2018/NĐ-CP;

5. Supervision consulting organization;

a) Carry out supervision work on the investor's project construction process in accordance with Article 20 of Decree No. 159/2018/NĐ-CP and legal regulations on construction quality management and maintenance;

b) Coordinate with specialized agencies at the local level in monitoring and confirming the volume of recovered products from the investor;

c) Report to the competent state agency specified in Article 24 of Decree No. 159/2018/NĐ-CP on the implementation status and results of the investor's project, in accordance with the contract and urgent requirements of the competent state agency specified in Article 24 of Decree No. 159/2018/NĐ-CP;

Chapter IV

IMPLEMENTATION

Article 21. Effective Date

1. This Circular takes effect from November 1, 2019.

2. Dredging and maintenance of inland waterway channels under a fixed-term maintenance contract starting from 2020;

3. Repeal Circular No. 69/2015/TT-BGTVT dated November 9, 2015, issued by the Minister of Transport regarding dredging of inland waterway channels, port waters, and inland waterway terminals combined with product recovery;

Article 22. Implementation organization

The Director of the Ministry's Office, the Inspector General of the Ministry, Heads of Departments, Directors of the Vietnam Inland Waterways Administration, Directors of Provincial Departments of Transport under central cities and provinces, and relevant organizations and individuals are responsible for implementing this Circular./.