Decree No. 72/2007/ND-CP on Dam Safety Management

DECREE

On dam safety management

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THE GOVERNMENT

Pursuant to the Law on Organization of the Government dated December 25, 2001;

Pursuant to the Law on Water Resources dated May 20, 1998;

Pursuant to the Ordinance on Exploitation and Protection of Irrigation Works dated April 4, 2001;

Pursuant to the Ordinance on Flood and Storm Prevention dated March 20, 1993 and the Ordinance amending and supplementing certain articles of the Ordinance on Flood and Storm Prevention dated August 24, 2000;

Considering the proposal of the Minister of Agriculture and Rural Development,

DECREE:

PART I

GENERAL PROVISIONS

Article 1. Scope of regulation and applicable subjects

1. This Decree stipulates the management of dam safety for water storage reservoirs.

2. This Decree applies to organizations and individuals within Vietnam; foreign organizations and individuals participating in construction, management, and operation of water storage reservoirs and other activities related to dam safety management within the territory of Vietnam.

In case international treaties to which the Socialist Republic of Vietnam is a party provide different provisions, such provisions shall be applied according to the provisions of those international treaties.

Article 2. Definitions

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

1. A dam is a structure designed to impound water and related works that create a water storage reservoir for the following purposes:

a) To store water for various water needs;

b) To regulate or divide flood flows, reduce flooding in downstream areas;

c) To generate pressure for power generation.

2. National important dams are dams of national important water storage reservoirs, as defined in Article 4 of Government Decree No. 143/2003/NĐ-CP dated November 28, 2003 detailing the implementation of certain articles of the Ordinance on Exploitation and Protection of Irrigation Works.

3. Large dams are dams with a height from foundation to crest of 15 meters or more, or dams of water storage reservoirs with a capacity of 3,000,000 cubic meters or more.³ (three million cubic meters).

4. Small dams are dams with a height from foundation to crest less than 15 meters and water storage reservoirs with a capacity of less than 3,000,000 cubic meters.³ (three million cubic meters).

5. Related works to water storage reservoirs include: water intake structures, water discharge structures, flood release structures, and boat basins.

6. The dam owner is an organization or individual owning the dam to exploit the benefits of the water storage reservoir or being assigned by competent state authorities to manage and operate the water storage reservoir.

7. Dam safety inspection is the work of inspecting and evaluating the quality of the dam and dam management operations, carried out periodically to determine the safety level of the dam.

Article 3. Principles of dam safety management

Organizations and individuals involved in the construction, management, exploitation, and protection of water storage reservoirs must comply with the following principles of dam safety management:

1. Ensuring dam safety is the highest priority in the construction, management, exploitation, and protection of water storage reservoirs.

2. Dam safety management operations must be conducted continuously throughout the construction and management phases of water storage reservoirs.

3. Ensuring proactive management in dam safety.

4. Clearly defining the responsibilities of the dam owner, relevant ministries, sectors, and local people's committees; enhancing community awareness in dam safety management operations.

Article 4. Responsibilities of the dam owner

1. Managing and ensuring dam safety in accordance with this Decree and other relevant laws.

2. Based on regulations issued by the Ministry of Agriculture and Rural Development, the Ministry of Industry, and other competent state agencies, the dam owner must organize a unit capable of managing, operating, maintaining, repairing, and protecting the dam in accordance with regulations.

3. The dam owner must register dam safety with the competent state management agency; has the responsibility to report and provide information related to dam safety management as prescribed.

Chapter II

CONSTRUCTION OF DAMS

Article 5. Surveying, designing, and constructing dams

Surveying, designing, and constructing dams must comply with construction standards and regulations, quality management regulations during construction, and other relevant legal provisions.

Article 6. Requirements for dam safety management in design and construction

1. The overall layout plan and structural design of the dam, in addition to meeting economic and technical requirements, must facilitate dam safety management operations, including activities such as managing and protecting the works; inspecting and assessing the quality of the works; promptly responding to emergencies when accidents occur; repairing damaged works.

2. For large dams:

a) Water intake structures and water discharge structures with bottoms located below the crest of the dam must have inspection corridors or appropriate heights and widths to allow inspections and repairs; in addition to main valves for water regulation, there must be backup valves for emergencies and maintenance;

b) Access roads for emergency response forces and equipment must be constructed to reach the works; communication systems for ensuring dam safety during the rainy season and flood season must be installed, along with necessary spare parts and materials;

c) Appropriate monitoring equipment must be installed based on geological conditions of the dam foundation, structural design, and construction materials; monitoring procedures and continuous monitoring must be established to check and track the safety and stability of the dam.

3. For electrically operated flood gates, in addition to the main power supply, there must be a backup power source.

4. Operation and maintenance procedures must be established for each dam structure and equipment installed at the works.

Article 7. Assigning technical staff to monitor construction

From the start of dam construction, the dam owner must assign technical staff to monitor construction, inspect individual components, and conduct overall project acceptance to take over management upon completion; establish a construction dossier for the dam in accordance with regulations.

Article 8. Acceptance of dams

1. Dams can only be accepted for operation and use after being inspected and certified to meet quality requirements as stipulated in Government Decree No. 209/2004/NĐ-CP dated December 16, 2004 on construction project quality management and other relevant legal provisions.

2. The competent state management agency decides on the acceptance for operation and use of dams, except for dams where the State Acceptance Council conducts the acceptance, which will be decided by the Prime Minister.

Article 9. Archiving technical files

1. The dam owner, upon receiving the technical dossier for the construction phase, must carry out verification, review, and comparison with reality to ensure a complete, accurate, and clear dossier; organize the sorting, storage, and preservation of the dossier in accordance with regulations.

2. During the management of the dam, the dam owner must supplement the stored dossier with documents on monitoring, inspection, safety testing of the dam, technical dossiers for major repairs of the dam, and related administrative decision documents.

Chapter III

DAM MANAGEMENT

Article 10. Water regulation of the reservoir

1. The dam owner must establish a water regulation procedure for the reservoir, specifying the accumulation and release of water under normal conditions and emergency situations, submit it to the competent state management agency for approval, and implement it.

2. Water regulation of the reservoir shall comply with the following provisions:

a) It is not allowed to store water in the reservoir above the level specified by the competent state management agency;

b) In cases where the dam is damaged or an incident occurs requiring water release to lower the reservoir water level, the rate of lowering the water level must be controlled to prevent slope instability upstream of the dam;

c) During flood season, reservoirs tasked with flood regulation must prioritize ensuring dam safety when operating to accumulate water and release floods, implementing flood reduction and water storage according to the project's mission.

Article 11. Operation of gate valves at facilities

The operation of gate valves at water intake facilities, drainage facilities, flood release facilities, and ship locks is regulated as follows:

1. The dam owner must develop and submit to the competent authority for issuance or issue within their authority a document stipulating the authority to issue orders for operation and the operational procedures for each facility's gate valve (hereinafter referred to as facility operation).

2. Unauthorized persons are strictly prohibited from issuing orders or forcing operations on facilities.

3. Unauthorized operation procedures are strictly prohibited; only responsible personnel may operate facilities.

4. A schedule for testing operations of infrequently operated gate valves, including backup gate valves, must be established and implemented.

5. Records of facility gate valve operations and tests must be documented in the facility operation logbook.

Article 12. Surveying and monitoring of the dam and meteorological-hydrological factors

1. For large dams:

a) After taking over for management, the dam owner must organize surveys, monitoring, or contract with specialized units to conduct surveys and monitoring, collecting meteorological and hydrological factors in the reservoir watershed, seepage and leakage through the dam body, foundation, and shoulders, displacement of the dam, cracking and sliding phenomena around the dam body, foundation, and adjacent areas, and sedimentation conditions in the reservoir;

b) Monitoring and survey data must be calibrated, systematized, analyzed, evaluated, and compared with design forecast data; anomalies must be detected promptly to make timely decisions; documents must be stored in accordance with regulations.

2. For small dams: monitoring of reservoir water levels and other surveys and monitoring as prescribed by the dam design consulting unit must be carried out.

Article 13. Maintenance and upkeep of the dam

1. The dam owner must specify the content and schedule for maintenance and upkeep of each facility, facility component, and equipment.

2. Regular and continuous maintenance and upkeep of the dam and equipment must be conducted as prescribed to ensure reliable and safe operation of the facility, ease of inspection, prompt identification and repair of damages, and aesthetic appearance of the facility.

Article 14. Inspection of the dam

The dam owner must carry out dam inspections according to the prescribed content and schedule, including:

1. Regular inspections through analysis and evaluation of survey and monitoring data and visual inspection at the site.

2. Annual pre- and post-flood inspections:

a) Annually, before the onset of the flood season, a comprehensive stability inspection must be conducted; closely coordinate with provincial Flood Control and Storm Prevention Committees to develop or update and supplement flood prevention plans for the dam and downstream flood control plans;

b) After the end of the flood season, inspections must be conducted to identify any damage (if any); monitor the development of existing dam damage; draw lessons from flood prevention efforts; propose measures and plans to repair and address deficiencies;

c) The timing for pre-flood and post-flood inspections is as follows:

- April and November for provinces in the Northern and North Central regions;

- April and December for provinces in the Central Highlands and Southeast regions;

- August and January of the following year for provinces in the South Central Coast region.

3. Immediate inspections must be conducted after significant rainfall, strong earthquakes, or sudden dam damage.

4. Detailed dam inspection: When the dam suffers severe damage, the dam owner must organize detailed investigations and surveys to determine the cause, extent, and scope of the damage; proceed with repair design; simultaneously implement proactive measures to ensure dam and downstream safety.

Article 15. Restoration, repair, and upgrading of the dam

1. Restoration, repair, and upgrading of the dam must be carried out in the following situations:

a) Severe dam damage that does not ensure safety;

b) Flood discharge facilities lacking the capacity to meet design standards;

c) Changes in design standards leading to the dam not meeting new stability requirements;

d) Reservoir embankment regeneration affecting dam safety.

2. Restoration, repair, and upgrading of the dam must be conducted in accordance with current investment and construction management regulations.

Article 16. Report on the current safety status of the dam

1. Annually, the dam owner must prepare and submit a report to the Ministry of Industry, the Ministry of Agriculture and Rural Development, and relevant agencies regarding the current safety status of the dam. The report includes:

a) The highest water level in the reservoir; the largest flood flow into the reservoir (time of occurrence, peak flood flow, total flood volume, flood release process);

b) Survey and monitoring results of the dam that have been calibrated, analyzed, and evaluated;

c) Dam facility damage and repair work;

d) Pre-flood facility inspection results;

đ) Other necessary related contents.

2. The time for submitting reports shall be as follows:

a) Before May 15 for provinces in the Northern Region, North Central Coast, Southeast Region, and Central Highlands;

b) Before September 15 for provinces in the South Central Coast.

3. The dam owner must promptly report to the competent state management agency when the following situations occur:

a) Discovery of unexpected changes in seepage measurement results and displacement of the dam;

b) Severe damage to the dam or pre-existing damages that are deteriorating;

c) Incidents during the operation of sluice gates at dam structures during the flood season;

d) Heavy rainfall over the watershed when the reservoir is already full;

đ) Suspicions of plots to sabotage the dam.

Article 17. Dam Safety Inspection

1. Regular safety inspections must be conducted for dams of water storage reservoirs with a capacity of 10,000,000 cubic meters or more, as follows:³ (ten million cubic meters), in accordance with the provisions set forth below:

a) The inspection shall be carried out at intervals not exceeding ten years, from the date of water accumulation in the reservoir or from the last inspection.

b) The inspection work shall be organized and implemented by the dam owner. The dam owner shall select consulting units capable of conducting the inspection according to the regulations of the Ministry of Agriculture and Rural Development.

c) The inspection content includes:

- Evaluation of dam management activities in accordance with the provisions of Chapter III of this Decree;

- Review and analysis of survey and monitoring data of the dam;

- Inspection and evaluation of the quality and safety of the dam;

- Inspection of sedimentation conditions in the reservoir;

- Calculation of floods and the flood discharge capacity of the reservoir according to current design standards and updated meteorological and hydrological data;

- Evaluation of the implementation of flood and storm prevention measures at the structure.

d) The inspection results must be reviewed and approved by the competent state management agency.

2. For reservoirs with a capacity less than 10,000,000 cubic meters, every seven years, the dam owner must organize the recalculation of flood flows to the reservoir, check the flood discharge capacity of the reservoir according to current design standards based on updated meteorological and hydrological data and changes in topography, geomorphology, and vegetation cover in the reservoir watershed, prepare a report and submit it to the competent state management agency for review and approval.³ (ten million cubic meters), every seven years, the dam owner must organize the recalculation of flood flows to the reservoir, inspect the reservoir's flood discharge capacity according to the current dam design standards, based on updated meteorological and hydrological observation data and changes in topography, geomorphology, and vegetation cover in the reservoir watershed, prepare a report for submission to the competent state management agency for review and approval.

3. The dam owner is responsible for paying the consulting fees for the dam safety inspection.

Chapter IV

DAM SAFETY AND DOWNSTREAM AREA SAFETY

Article 18. Scope of Dam Protection

1. The scope of dam protection includes the dam and the adjacent protected area.

2. The dam owner is responsible for determining and marking the boundaries of the adjacent protected area in accordance with Article 25 of the Ordinance on Operation and Protection of Waterworks; ensuring the safety of the dam and the adjacent protected area in accordance with Article 26 of the Ordinance on Operation and Protection of Waterworks and other relevant laws.

3. For the reservoir basin area, the provincial People's Committee shall specify and organize the marking of boundary markers based on the characteristics and situation of the locality, and shall be responsible for managing the adjacent protected area in accordance with the regulations.

Article 19. Dam Protection Plan

1. The dam owner must develop a dam protection plan, submit it to the competent state management agency for approval, and implement it in accordance with the Ordinance on Operation and Protection of Waterworks and other relevant laws.

2. The dam protection plan must be based on the scale of the dam, its geographical location, its economic importance, national security significance, and local public order and security situation, and must include the following main contents:

a) Routine protection work and prevention of dam damage;

b) Organization of patrols and guarding at weak points during heavy rain and floods;

c) Organization of inspections and control of people and vehicles visiting, touring, or working at the dam;

d) Measures to deal with special situations and prevent plots to sabotage the dam;

đ) Regulations on limiting or prohibiting large load-bearing vehicles from traveling on the dam surface, especially during the rainy and flood seasons;

e) Other issues related to dam protection.

Article 20. Ensuring Dam Safety During Flood Season

1. Dams are flood and storm prevention works. Each year, before the rainy and flood season begins, the dam owner must establish or update and supplement the flood and storm prevention plan, and submit it to the competent state management agency for approval.

2. The content of the flood and storm prevention plan includes:

a) Summary of the characteristics and situation of the reservoir related to flood and storm prevention;

b) Development and characteristics of rainfall and flooding in the reservoir watershed;

c) Assessment of the condition of the dam and operating equipment;

d) Anticipated scenarios of dam safety loss and technical solutions for forecasting, detecting, responding to, and warning about floods;

đ) Preparation work for personnel, materials, and equipment; communication tools, lighting;

e) List of the flood and storm prevention command team.

3. After the plan is approved, preparation work must be implemented; materials, equipment, and supplies must be gathered and stored at designated locations; technical staff, rescue forces, and rescue equipment must be managed and kept ready for mobilization as needed. The flood and storm prevention command team must convene meetings to approve work regulations and duty schedules.

4. Throughout the rainy and flood season, the dam owner must maintain communication and report the situation to the higher-level flood and storm prevention command team and the competent state management agency as prescribed.

Article 21. Dam Rescue

In case of incidents that may cause dam safety loss, rescue operations must be immediately launched with utmost effort and priority to ensure the safety of the structure and minimize losses.

At all levels, the People's Committees shall organize dam rescue operations within their jurisdiction and participate in rescuing dams in other areas in accordance with the law.

Article 22. Flood and Storm Prevention for Downstream Areas of the Dam

1. In cases where the release of floodwaters from the reservoir causes sudden rises in water levels downstream of the discharge structure, the dam owner must take measures to issue warnings and notifications in advance to ensure the safety of people, vessels, and transportation activities on rivers and streams.

2. The dam owner must establish and submit to the competent state management agency for approval a flood and storm prevention plan for the downstream area of the dam to proactively respond to emergency flood discharge situations or dam failure scenarios, aiming to protect human lives and reduce casualties and property damage in the downstream area of the dam.

Chapter V

STATE MANAGEMENT OF DAM SAFETY

Article 23. Contents of state management of dam safety

The contents of state management of dam safety include:

1. Developing, promulgating, and inspecting the implementation of regulatory legal documents on dam safety management, technical standards and specifications for dam safety management.

2. Conducting inspections, audits, and supervision of dam safety testing.

3. Deciding on the acceptance and handover of dams.

4. Approving water regulation procedures for reservoirs, dam protection plans, flood and storm prevention plans ensuring dam safety, and flood and storm prevention plans for the downstream area of the dam.

5. Deciding on measures to handle emergencies, mobilizing forces, materials, and equipment to address dam incidents.

6. Issuing, revoking, and renewing permits for activities requiring permission within the dam protection zone.

7. Organizing research and application of technological advancements and innovations in dam construction, management, operation, and protection, as well as flood and storm prevention in the downstream area.

8. Organizing propaganda and dissemination of laws and relevant information related to dam safety management.

9. Training and enhancing the professional skills of staff involved in dam management, operation, protection, and dam safety management.

10. Organizing the implementation of international cooperation in the field of dam safety management.

Article 24. Responsibilities of state management agencies for dam safety

1. The Government uniformly manages state affairs regarding dam safety throughout the country.

2. The Ministry of Agriculture and Rural Development is responsible before the Government for managing state affairs concerning dam safety, including:

a) Developing and submitting to the Government and the Prime Minister for issuance, or issuing according to its authority, regulatory legal documents and technical standards and specifications for dam safety management.

Leading and coordinating with relevant ministries, sectors, and localities in developing and directing the implementation of plans and policies for dam safety management and supervising their execution;

b) Deciding on the acceptance and handover of dams approved by the Ministry for investment;

c) Approving water regulation procedures for reservoirs managed by the Ministry and for reservoirs managed by provincial People's Committees (excluding hydropower reservoirs) where exploitation and protection involve two provinces or more;

d) Leading and coordinating with the Ministry of Public Security, the Ministry of National Defense, and provincial People's Committees in developing national-level important dam protection plans to be submitted to the Prime Minister for approval; approving or delegating to provincial People's Committees to approve protection plans for dams managed by the Ministry;

đ) Approving flood and storm prevention plans for dams managed by the Ministry;

e) Deciding according to its authority or reporting to the Prime Minister for decision-making on measures, mobilization of forces, materials, and equipment to prevent floods and storms, ensure dam safety, rescue dams, and prevent floods and storms in the downstream area for dams under the Ministry's jurisdiction;

g) Auditing, inspecting, and supervising dam safety testing for dams under the Ministry's jurisdiction;

h) Fulfilling other state management responsibilities regarding dam safety for dams under the Ministry's jurisdiction.

3. Responsibilities of the Ministry of Industry

The Ministry of Industry leads and coordinates with relevant ministries, sectors, and localities in reviewing, approving, or submitting to the Prime Minister for approval hydropower reservoir operation procedures as stipulated in Decision No. 285/2006/QĐ-TTg dated December 25, 2006 of the Prime Minister, and is responsible for state management of hydropower dam safety, including:

a) Developing and submitting to the Government and the Prime Minister for issuance, or issuing according to its authority, regulatory legal documents and technical standards and specifications for hydropower dam safety management;

b) Deciding on the acceptance and handover of hydropower dams approved by the Ministry for investment;

c) Developing large hydropower reservoir operation procedures and comprehensive exploitation procedures as prescribed by the Prime Minister; approving or delegating to provincial People's Committees to approve water regulation procedures for other hydropower reservoirs under the Ministry's jurisdiction;

d) Leading and coordinating with the Ministry of Public Security, the Ministry of National Defense, and provincial People's Committees in developing national-level important hydropower dam protection plans to be submitted to the Prime Minister for approval; approving or delegating to provincial People's Committees to approve protection plans for other hydropower dams under the Ministry's jurisdiction;

đ) Leading and coordinating with relevant ministries, sectors, and localities in reviewing and approving flood and storm prevention plans ensuring safety for dams under the Ministry's jurisdiction;

e) Issuing, renewing, and revoking permits or delegating to provincial People's Committees to issue, renew, and revoke permits for activities requiring permits within the hydropower dam protection zone under the Ministry's jurisdiction;

g) Auditing, inspecting, and supervising hydropower dam safety testing;

h) Deciding according to its authority or reporting to the Prime Minister for decision-making on measures, mobilization of forces, materials, and equipment to prevent floods and storms, ensure dam safety, and rescue dams in the downstream area for hydropower dams under the Ministry's jurisdiction;

i) Fulfilling other state management responsibilities regarding dam safety for dams under the Ministry's jurisdiction.

4. Responsibilities of the Provincial People's Committee

Provincial People's Committees manage state affairs concerning dam safety within their jurisdictions, including:

a) Issuing and implementing regulatory legal documents on dam safety management for dams under provincial management according to their authority;

b) Conducting inspections and audits on dam safety for dams under provincial management; organizing and supervising dam safety testing for reservoirs with a capacity of less than 10,000,000 m³ (ten million cubic meters) under provincial management;

c) Deciding on the acceptance and handover of dams approved by provincial People's Committees for investment or construction permit issuance;

d) Approving water regulation procedures for reservoirs under provincial management (excluding reservoirs where exploitation and protection involve two provinces or more), flood and storm prevention plans for dams, and flood and storm prevention plans for areas within the province located downstream of the dam.

d) Approve the dam protection plan for dams managed by the province (excluding national important dams);

e) Decide on emergency measures within their authority in case of dam accidents; organize dam rescue operations within the local area;

g) Issue, revoke, and extend permits for activities requiring permits within the dam protection zone (excluding hydropower dams managed by the Ministry of Industry) and within the adjacent protection zone for areas within the provincial jurisdiction;

h) Fulfill other state management responsibilities related to the safety of dams managed by the province.

5. Responsibilities of the Central Steering Committee for Flood and Storm Prevention and Control and relevant Ministries and Sectors

The Central Steering Committee for Flood and Storm Prevention and Control and relevant Ministries and Sectors shall fulfill responsibilities for ensuring dam safety in accordance with the Law on Flood and Storm Prevention and Control 1993, amended and supplemented in 2000, and Decree No. 08/2006/NĐ-CP dated January 10, 2006 of the Government guiding the implementation of certain provisions of the Law on Flood and Storm Prevention and Control.

Chapter VI

REWARD AND VIOLATION HANDLING

Article 25. Awards

Organizations and individuals who have achievements in ensuring dam safety and combating violations of laws on dam safety management shall be rewarded according to the provisions of the law.

Article 26. Handling of violations

Organizations and individuals lacking a sense of responsibility, abusing their positions and powers, shielding violators of laws on dam safety management; individuals and organizations not complying with mobilization by competent state authorities when there is an accident at a facility; destroying or causing damage to dam safety or engaging in other violations as prescribed shall be subject to administrative penalties or criminal prosecution depending on the nature and severity of the violation; if damage is caused, they must compensate according to the provisions of the law.

Chapter VII

IMPLEMENTING PROVISIONS

Article 27. Effectiveness

This Decree shall take effect fifteen days after its publication in the Official Gazette.

Article 28. Responsibility for Implementation

The Ministers, Heads of ministerial-level agencies, Heads of government-attached agencies, Chairpersons of provincial People's Committees under the central city shall be responsible for implementing this Decree./.