Circular No. 34/2010/TT-BCT on the management of dam safety for hydropower projects

CIRCULAR

REGULATION Regulations on dam safety management of hydropower projects

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Pursuant to Decree No. 189/2007/ND-CP dated December 27, 2007, issued by the Government, detailing the functions, tasks, powers, and organizational structure of the Ministry of Industry and Trade;

Pursuant to Decree No. 72/2007/NĐ-CP dated May 7, 2007 of the Government on dam safety management;

Pursuant to Decree No. 112/2008/NĐ-CP dated October 20, 2008 of the Government on management, protection, and comprehensive exploitation of water resources and environment of hydropower and irrigation reservoirs;

The Ministry of Industry and Trade stipulates regulations on dam safety management of hydropower projects as follows:

PART I

GENERAL PROVISIONS

Article 1. Scope of application

This Circular stipulates regulations on dam safety management of hydropower projects including: quality certification of dam construction, dam safety status report, dam monitoring, dam inspection, measures to ensure dam safety and downstream areas of the dam.

Article 2. Applicability

This Circular applies to dam owners of hydropower projects and organizations and individuals related to dam safety management of hydropower projects.

Chapter II

QUALITY CERTIFICATION AND SAFETY STATUS REPORT

AND DAM SAFETY STATUS REPORT

Article 3. Quality Certification and Acceptance of Dam Construction

1. Dams of hydropower projects must implement quality certification in accordance with Circular No. 16/2008/TT-BXD dated September 11, 2008 of the Ministry of Construction guiding the inspection and certification of sufficient conditions for ensuring structural safety and certification of compliance with construction project quality.

For dams classified at level II or higher, in addition to quality certification when requested by local state management agencies on construction, they must compulsorily obtain certification of sufficient conditions for ensuring structural safety before being put into use.

2. The acceptance for putting into operation and use of the dam is decided by the project owner, except for dams accepted by the State Acceptance Council. The content of acceptance shall be carried out in accordance with Decree No. 209/2004/NĐ-CP dated December 16, 2004 of the Government on construction project quality management and Decree No. 49/2008/NĐ-CP dated April 18, 2008 Amending and supplementing some articles of Decree No. 209/2004/NĐ-CP of the Government amending and supplementing certain provisions on business conditions in the field of international trade in goods, chemicals; industrial explosives, fertilizers, gas business,to amend and supplement some articles of Decree No. 209/2004/NĐ-CP.

Article 4. Registration and Reporting of Dam Safety Status

1. Dam Safety Registration

The dam owner must complete the registration of dam safety at the Department of Industry and Trade within thirty days from the date of completion acceptance of the construction project for use, simultaneously submitting the application form for dam safety registration to the Department of Agriculture and Rural Development.

The application form for dam safety registration is specified in Appendix 3 attached to this Circular.

2. Reporting System for Dam Safety Status

Annually, the dam owner must prepare a report on the current status of dam safety to be submitted to the Department of Industry and Trade and the Department of Agriculture and Rural Development; for hydropower reservoirs with storage capacity equal to or greater than 10,000,000 cubic meters, in addition to submitting the report to the Department of Industry and Trade and the Department of Agriculture and Rural Development, the dam owner must also submit the report to the Ministry of Industry and Trade (Department of Technical Safety and Environmental Protection) for monitoring and management in accordance with regulations. The content and deadline for reporting are specified in Article 16 of Decree No. 72/2007/NĐ-CP.

The template for the report on the current status of dam safety is specified in Appendix 1 attached to this Circular.

Chapter III

DAM MONITORING AND RELATED HYDROMETEOROLOGICAL FACTORS

Article 5. Dam Monitoring

1. The dam owner organizes the implementation of monitoring, recording, and storing monitoring parameters installed at the dam site and collects relevant meteorological and hydrological information in accordance with current regulations; updates information on incoming flow to the dam.

2. During flood periods, monitoring of upstream and downstream water levels of the dam must be conducted at least as follows:

a)  For reservoirs with free-flow spillways

- When the reservoir water level is lower than the spillway threshold: Monitor four times a day;

- When the reservoir water level is equal to or higher than the spillway threshold: Monitor once an hour;

- When the reservoir water level is 1.0 meter away from the reinforced water level: Monitor four times an hour.

b) For reservoirs with spillways equipped with gates

Monitor once an hour; When the reservoir water level is 1.0 meter away from the reinforced water level: Monitor four times an hour.

3. The design and layout of monitoring equipment (displacement, seepage, temperature, void pressure, stress state, earth-rock pressure on structures, steel reinforcement stress of reinforced concrete structures, water pressure) shall be carried out in accordance with Vietnamese Standard TCVN 8215:2009 Hydrotechnical Works - Main Provisions on Design and Layout of Monitoring Equipment for Main Structures.

Chapter IV

DAM SAFETY INSPECTION

Article 6. Competence of Organizations and Individuals Conducting Dam Safety Inspection

1. Organizations and individuals conducting dam safety inspection must have registration for inspection and consulting design activities for hydropower projects in accordance with the law.

2. They must meet all conditions prescribed in Article 36 of Decree No. 12/2009/NĐ-CP dated February 12, 2009 on project management of investment construction works; Articles 4 and 5 of Circular No. 22/2009/TT-BXD dated July 6, 2009 detailing conditions for competence in construction activities.

Article 7. is the period measured in months between two inspections.

1. The initial inspection must be carried out in the second year from the first time the reservoir fills up to the normal water level.

2. For reservoirs of hydropower projects with storage capacity equal to or greater than 10,000,000 cubic meters, periodic inspections not exceeding ten years from the last inspection must be conducted according to the inspection content specified in Article 8 of this Circular.

3. For reservoirs of hydropower projects with storage capacity less than 10,000,000 cubic meters, periodic inspections not exceeding seven years from the last inspection must be conducted according to the inspection content specified in Clause 1, Clause 5, and Clause 6 of Article 8 of this Circular.

Article 8. Inspection Content

1. Evaluation of dam management results

a) Implementation of the Reservoir Operation Procedures approved by competent authorities;

b) Execution of Operation and Operation Procedures for gate structures of overflow dams (if any), intake structures; record-keeping of operation processes, trial operation of gate structures of projects (operation logbooks);

c) Organization of monitoring, collection, and retention of documentation on meteorological and hydrological factors in the reservoir watershed; developments regarding seepage, leakage through the dam body, foundation, shoulders, displacement of the dam, cracking, landslides at the dam body, foundation, and adjacent areas; sedimentation status of the reservoir;

d) Establishment and implementation of maintenance and upkeep regulations for each project structure and related equipment affecting dam safety;

d) Dam inspection: regular inspection; periodic inspection before and after the rainy season; sudden inspections, detailed surveys of the dam;

e) Restoration, repair, and upgrading of the dam.

2. Inspection and analysis of survey and monitoring data of the dam

a) Collecting measurement and monitoring data of the dam, structures at the headworks, and energy lines from construction to operation until the time of the inspection report preparation;

b) Listing the inventory of installed monitoring equipment, quantity, operational status or damage, repair and restoration times, evaluating measurement methods, reliability of measurement methods, and measurement cycles;

c) Analyzing and assessing measurement and monitoring data of the dam at each monitoring point along the measurement line, with data presented in tables and graphs. Based on this, analyze and assess the operational status of the structure, forecast trends in dam displacements (vertical displacement, horizontal displacement...), main causes affecting monitored values when measurements change abruptly;

d) Establishing actual measured saturation curves and comparing them with designed saturation curves for earth and rock dams; evaluate seepage pressure under the foundation for concrete dams;

đ) Based on dam monitoring data from the construction phase or since the last inspection, assess the safety status of the dam and predict the level of safety reduction (if any);

e) Recommendations and suggestions regarding future monitoring and measurement work such as equipment, additional monitoring points (type of monitoring, quantity), repairs to restore the reliability of existing measuring devices, measurement cycles;

3. Inspection and evaluation of dam safety quality

a) Calculating stability checks of the dam according to the current condition of the structure for normal water levels, reinforced water levels (design flood level, check flood level) and other cases consistent with design regulations;

b) Calculating stability checks for the dam or structural parts where the operational status shows sudden or abnormal changes indicated by seepage and displacement monitoring results, or heavily damaged dams or pre-existing damages that have worsened;

c) Proposing measures to enhance stability and safety assurance of the structure;

4. Inspection of reservoir sedimentation conditions

a) Analyzing and assessing the sedimentation conditions of the reservoir based on past monitoring and measurement data; sediment distribution across cross-sections of sedimentation monitoring on the reservoir, forecasting sedimentation and reservoir lifespan;

b) Analyzing and assessing the causes of increased or decreased sediment inflow into the reservoir;

c) Proposing cycles for sedimentation measurement and monitoring: number and location of sedimentation measurement and monitoring lines;

5. Flood calculation and flood discharge capacity of the reservoir according to current dam design standards and hydro-meteorological data and updated topographical changes

a) Supplementing meteorological and hydrological data and topographical and geomorphological changes, vegetation cover in the reservoir watershed from the design stage or since the last inspection to the time of the dam safety inspection report preparation;

b) Recalculating the design flood flow, check flood flow (including flood model, peak flood flow, total flood volume) with updated hydro-meteorological monitoring data during operation;

c) Recalculating the flood discharge capacity of the spillway with the design flood flow and check flood flow that has been verified;

6. Evaluation of flood protection capability of the structure;

7. The organization or individual conducting the dam safety inspection prepares a detailed report and is responsible under the law for the inspection results;

Article 9. Implementation of dam safety inspection

1. The dam owner selects the organization or individual to conduct the dam safety inspection and implements the inspection according to the contents stipulated in Article 6, Article 7, and Article 8 of this Circular;

2. The dam owner prepares a report on the inspection results and submits it along with the assessment report of the organization or individual conducting the inspection to the Department of Industry and Trade; for  hydropower reservoirs with a storage capacity of 10,000,000 cubic meters or more, in addition to submitting the report to the Department of Industry and Trade, the dam owner must also submit the inspection results report to the Ministry of Industry and Trade (General Department of Safety and Environmental Protection) for monitoring and management as prescribed;

The dam safety inspection report template is specified in Appendix 2 attached to this Circular;

3. Costs for implementing the dam safety inspection are borne by the dam owner;

Chapter V

DAM SAFETY AND DOWNSTREAM AREA SAFETY

Article 10. Hydropower Reservoir Operation Procedures

1. The operation procedures are established by the dam owner according to the content stipulated in Decision No. 285/2006/QD-TTg dated December 25, 2006, of the Prime Minister on the content of authority to issue and implement hydropower reservoir operation procedures, submitted for approval by the competent authority before filling the reservoir;

2. Authority to approve hydropower reservoir operation procedures

a) The Ministry of Industry and Trade approves operation procedures for hydropower reservoirs with a capacity of one million cubic meters (1,000,000 m3) or more or reservoirs located in two or more provinces, except for inter-reservoir operation procedures implemented according to Article 12 of Decree No. 112/2008/NĐ-CP dated October 20, 2008, of the Government on the management, protection, and comprehensive utilization of hydropower and irrigation reservoir resources and environment;

b) The provincial People's Committee approves operation procedures for remaining hydropower reservoirs within their jurisdiction;

3. Water regulation in the reservoir must comply with the provisions in the approved operation procedures;

4. Testing sluice gates of structures

a) Dry testing operation mode of sluice gates is established by the dam owner according to the characteristics of the structure and conducted at least once a year before the rainy season. Any deficiencies in sluice gates after dry testing must be rectified before the annual rainy season;

b) Wet testing operation mode of sluice gates is established by the dam owner. Depending on hydrological conditions and the characteristics of each structure, wet testing of sluice gates can be conducted at the beginning of the rainy season but must not affect downstream areas due to water release through the spillway;

Article 11. Dam Protection

1. The dam owner shall be responsible for developing a dam protection plan and submitting it to the competent authority for approval as prescribed in Clause 4 of this Article.

2. The dam owner must implement the placement of boundary markers delineating the protected area of the dam in accordance with Article 25 of the Ordinance on Exploitation and Protection of Waterworks Projects. Boundary markers must be placed in locations visible from all directions. The distance between two adjacent boundary markers shall not exceed 50 meters.

The dam owner shall be responsible for managing and repairing boundary markers delineating the protected area of the dam; within the remaining areas of the vicinity of the dam, activities that may endanger the safety of the dam or hinder the management and operation of the dam are prohibited.

3. Contents of the dam protection plan

The dam protection plan must include the following main contents:

a) General information about the dam

- Name of the dam;

- Construction location;

- Dam owner;

- Scale/importance of the dam (important dam/large dam/small dam);

- Technical parameters, layout diagram of the dam;

- Assessment of the current safety status of the dam.

b) Dam protection plan

- Determining the scope of protection;

- Regular maintenance regime, periodic and emergency inspections;

- Organizing protective forces: deployment, assignment, and responsibilities.

- Organization and command; Communication;

- Handling situations of dam damage;

- Materials, equipment, means, manpower, and reserve food supplies.

c) Plan for handling and remedying acts of encroachment on the dam.

d) Plan for coordination with local authorities.

đ) Emergency response plan for events that could jeopardize the safety of the dam

- Action plans based on analyses of potential abnormal conditions;

- Drills for emergency response.

4. Authority to approve the dam protection plan

a) For national important dams, the Ministry of Industry and Trade shall take the lead, in collaboration with the Ministry of Public Security, the Ministry of Defense, and the People's Committee of the province to submit the dam protection plan to the Prime Minister for decision;

b) For other hydropower projects' dams, the dam protection plan shall be approved by the People's Committee of the province where the project is located.

Article 12. Flood and storm prevention plan to ensure dam safety during flood season

1. The flood and storm prevention plan to ensure dam safety during the flood season shall be developed and implemented by the dam owner in accordance with Article 20 of Decree No. 72/2007/ND-CP.

2. Authority to approve the flood and storm prevention plan to ensure dam safety during the flood season

a) The Ministry of Industry and Trade shall approve the plan for hydropower projects with installed capacity exceeding 30 MW;

b) The People's Committee of the province shall approve the plan for hydropower projects with installed capacity of 30 MW or less.

3. Throughout the flood season, the dam owner must establish a coordination mechanism with meteorological and hydrological forecasting organizations to have full information on typhoons and floods. At the same time, the dam owner must maintain regular communication and comply with reporting requirements of the provincial People's Committee, the Provincial Flood Control and Search and Rescue Command, and the Ministry of Industry and Trade's Flood Control and Search and Rescue Command.

Article 13. Flood control and prevention for downstream areas affected by reservoir discharge or dam failure

1. Developing a plan

a) The dam owner is responsible for coordinating with local authorities to develop a flood prevention plan for downstream areas affected by reservoir discharge or dam failure, and submit it to the provincial People's Committee for approval;

b) The plan must list the affected parties, the extent of impact, and appropriate measures to address and mitigate consequences under different flood scenarios.

2. The dam owner must notify (by telephone or fax) the provincial meteorological and hydrological forecasting organization, and the Flood Control and Search and Rescue Command of the downstream region:

a) Operation of opening and closing flood discharge gates according to regulations;

b) Emergency flood discharge;

c) During the entire period of flood regulation operations, report water level measurements upstream and downstream of the dam; inflow volume into the reservoir, outflow volume over the spillway, and turbine discharge volume; forecast the potential increase in reservoir water levels based on projected inflow volumes.

3. The dam owner is responsible for installing warning systems and notifying upstream/downstream dam owners; immediately report to the provincial People's Committee and the Flood Control and Search and Rescue Command in case of imminent danger due to dam damage or the risk of dam failure.

Chapter VI

IMPLEMENTATION

Article 14. Implementation

1. The Department of Industrial Safety and Environmental Technology - Ministry of Industry and Trade  is the lead agency organizing the review and approval of flood and storm prevention plans for hydropower projects' dams in accordance with the approval authority stipulated in Clause 2 of Article 12 of this Circular, and organizing inspections of compliance with dam safety management regulations at hydropower projects nationwide.

2. The Department of Industry and Trade shall take the lead, in collaboration with relevant agencies of the locality, to organize inspections of compliance with dam safety management regulations at hydropower projects within their province.

Article 15. Effectiveness

This Circular takes effect from November 26, 2010.

In the course of implementing this Circular, if there are any difficulties, organizations and individuals are requested to reflect them to the Ministry of Industry and Trade for consideration and resolution./.