Decree No. 114/2018/ND-CP of the Government on the Safety Management of Dams and Reservoirs

GOVERNMENT ------- SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness --------------- Number: 114/2018/ND-CP Hanoi , September 4 , 2018 DECREE ON SAFETY MANAGEMENT OF DAMS AND RESERVOIR Pursuant to the Law on Organization of the Government dated June 19, 2015; Pursuant to the Law on Water Resources dated June 19, 2017; Pursuant to the Law on Hydrometeorology dated November 23, 2015; Pursuant to the Law on Construction dated June 18, 2014; Pursuant to the Law on Natural Disaster Prevention and Control dated June 19, 2013; Pursuant to the Law on Water Resources dated June 21, 2012; At the request of the Minister of Agriculture and Rural Development and the Minister of Industry and Trade; The Government issued a Decree on safety management of dams and reservoirs. Chapter I GENERAL PROVISIONS Article 1. Scope of regulation and applicable subjects 1. This Decree provides for the safety management of dams and reservoirs for dams with a height of 5 m or more or reservoirs with a total capacity of 50,000 m 2 or more and safety for downstream areas of the dam. 2. This Decree applies to domestic organizations and individuals; foreign organizations and individuals participating in activities related to dams and reservoirs in the territory of the Socialist Republic of Vietnam. Article 2. Interpretation of terms In this Decree, the following terms are construed as follows: 1. A dam is a structure built to raise water or, together with related structures, to create a reservoir. 2. A reservoir is a structure formed by a dam and related structures to store water, with the main tasks of regulating water flow, cutting and reducing floods, providing water for agricultural production, industry, daily life, power generation and environmental improvement; including irrigation reservoirs and hydroelectric reservoirs . 3. Related works are water discharge works, water intake works, power lines, navigation works and fish passage works. 4. Dams and reservoirs are dams and reservoirs built with the main purpose of supplying water for agricultural, industrial and domestic production combined with flood reduction. 5. Hydroelectric dams and reservoirs are dams and reservoirs built with the main purpose of generating electricity. 6. The owner of a dam or reservoir is an agency or organization assigned by the State with the rights and responsibilities to represent the owner of a dam or reservoir using State capital; an organization or individual that self-invests in construction (of a dam or reservoir); the owner of a dam, reservoir, or hydropower plant is an organization or individual that self-invests in construction or is transferred ownership of a dam or reservoir. 7. The manager of a dam or irrigation reservoir is a specialized agency performing the state management function of irrigation under the Ministry of Agriculture and Rural Development, People's Committees at all levels or organizations assigned by the State the rights and responsibilities to represent the owner; grassroots irrigation organizations; organizations and individuals that self-invest in the construction of dams and irrigation reservoirs. 8. Organizations and individuals exploiting dams and reservoirs are organizations and individuals assigned to manage and exploit dams and reservoirs. 9. The downstream area of the dam is the area that is flooded when the reservoir discharges water according to the process; releases flood in emergency situations or dam breaks. 10. Emergency situations are cases where rain or floods exceed the design frequency; earthquakes exceed the design standards in the reservoir basin or other impacts cause unsafety to the dam. 11. Dam safety inspection is the activity of checking, evaluating the quality or cause of damage, and evaluating the safety of dams, reservoirs and works related to reservoirs through measurement, monitoring, testing combined with calculation and analysis. 12. The operational monitoring system is a system that includes equipment to connect specialized hydrometeorological monitoring data, flood situation downstream of the dam; cameras to monitor the operation of the project and software to support the operation of the dam and reservoir according to actual developments. Article 3. Classification of dams and reservoirs 1. Dams and reservoirs of special importance fall into one of the following cases: a) Dams with a height of 100 m or more or dams of reservoirs specified in Point b and Point c of this Clause; b) Reservoirs with a total capacity of 1,000,000,000 m3 or more; c) Reservoirs with a capacity from 500,000,000 m3 to less than 1,000,000,000 m3 where the downstream area of the dam is a city, town, industrial park, or important project related to national security. 2. Large dams and reservoirs fall into one of the following cases: a) Dams with heights from 15 m to less than 100 m or dams of reservoirs specified in Point c of this Clause; b) Dams with a height of 10 m to less than 15 m and a length of 500 m or more, or dams with a height of 10 m to less than 15 m and a design spillway discharge of over 2,000 m 3 /s; c) Water reservoirs with a total capacity from 3,000,000 m 3 to less than 1,000,000,000 m 3 , except for reservoirs specified in Point c, Clause 1 of this Article. 3. Dams and reservoirs fall into one of the following cases: a) Dams with heights from 10 m to less than 15 m or dams of reservoirs specified in Point b of this Clause, except for dams specified in Point b Clause 2 of this Article; b) Reservoirs with a total capacity from 500,000 m 3 to less than 3,000,000 m 3 . 4. Small dams and reservoirs are dams with a height of less than 10 m or reservoirs with a total capacity of less than 500,000 m 3 . 5. Authority to decide on the list of dams and reservoirs of special importance, large, medium and small a) The Minister of Agriculture and Rural Development and the Minister of Industry and Trade shall preside over and coordinate with the People's Committees of provinces with dams and reservoirs in the area to submit to the Prime Minister for decision the list of dams and reservoirs of special importance; b) The Minister of Agriculture and Rural Development decides on the list of large, medium and small dams and irrigation reservoirs whose exploitation and protection involve two or more provinces; the Minister of Industry and Trade decides on the list of large, medium and small dams and hydroelectric reservoirs built in two or more provinces; c) The People's Committee at the provincial level decides on the list of dams and reservoirs in the locality, except for dams and reservoirs specified in Point a and Point b of this Clause. Article 4. Principles of safety management of dams and reservoirs 1. Ensuring the safety of dams and reservoirs is the highest priority in investment, construction, management and exploitation of dams and reservoirs. 2. Dam and reservoir safety management must be carried out regularly and continuously throughout the process of surveying, designing , constructing, managing, exploiting and protecting dams and reservoirs . 3. Dam and reservoir owners are responsible for the safety of the dams and reservoirs they own. 4. Organizations and individuals exploiting dams and reservoirs are responsible for managing, exploiting, ensuring safety and promoting the effectiveness of the works. Chapter II SAFETY MANAGEMENT OF DAMS AND RESERVOIR DURING CONSTRUCTION PHASE Article 5. Requirements for design and construction of dams and reservoirs 1. The design and construction of dams and reservoirs must comply with the provisions of the law on construction, other relevant legal provisions and the following provisions: a) Investment in the construction of dams and reservoirs must meet the requirements specified inArticle 17 of the Law on Water Resources ; b) The overall layout and structural design of the dam must facilitate dam safety management, dam rescue in case of incidents, and maintenance, upgrading, and repair when the structure is damaged; c) The gate operation process and maintenance process for each construction item must be established, approved together with the design documents and handed over to the dam and reservoir manager when handing over the project for operation; d) For electrically operated spillway gates, there must be at least two power sources, one of which is a backup generator; d) Arrange monitoring equipment for dams and reservoirs according to current national technical standards and regulations and relevant legal provisions; e) For dams and reservoirs with flood control gates, it is necessary to install an operational monitoring system; information and safety warning equipment for the dam and downstream area; and specialized hydrometeorological monitoring equipment in the reservoir basin; g) For large dams and reservoirs with free overflow, it is necessary to install communication and safety warning equipment for the dam and the downstream area of the dam; and specialized hydrometeorological monitoring equipment in the reservoir basin ; h) For medium and small dams and reservoirs with free overflow, it is encouraged to apply the provisions at Point g of this Clause; i) Building dam and reservoir database. 2. For dams and reservoirs of special importance and large scale, in addition to implementing the provisions in Clause 1 of this Article, investors must also implement the following provisions: a ) Water intake and drainage works with bottoms placed deep below the dam crest must have appropriate height and width for inspection and repair of the works ; b) Build a management road to respond to dam emergencies; build an operating house to serve the management, exploitation and disaster prevention and control work at the project. 3. For medium and small dams and reservoirs, it is encouraged to implement the provisions in Clause 2 of this Article. 4. During the construction process, the investor in building dams and reservoirs is responsible for: a) Develop a disaster response plan for the project and downstream area of the dam according to the provisions of Article 6 of this Decree and submit it to the competent state agency for approval according to the provisions of Article 7 of this Decree; b) Organize the preparation, approval and implementation of disaster response plans according to regulations atArticle 22 of the Law on Natural Disaster Prevention and Control . 5. Investors in dam and reservoir construction are responsible for developing emergency response plans as prescribed in Articles 25 and 26 of this Decree, submitting them to competent state agencies for approval before storing water and handing them over to organizations and individuals exploiting dams and reservoirs, and state management agencies for irrigation, hydropower, and natural disaster prevention and control. Article 6. Contents of disaster response plan for dam projects and downstream areas during construction 1. Summarize the characteristics, construction status, milestones of dam and reservoir construction, flood prevention and control work, and construction progress of dams, reservoirs, and construction items related to disaster prevention and control. 2. Forecast unsafe situations for dams, reservoirs, downstream areas and response solutions. 3. Resources to organize and implement the plan. Article 7. Appraisal and approval of disaster response plans for dam projects and downstream areas during construction 1. Documents for appraisal Investors in dam and reservoir construction who request approval of disaster response plans for the project or downstream area of the dam shall submit one set of documents directly or by post to the agency receiving the documents as prescribed in Clause 5 of this Article. The documents include: a) Submission requesting approval of disaster response plan for dam projects and downstream areas; b) Draft disaster response plan for dam projects and downstream areas; c) Report on technical calculation results; d) Written comments from relevant agencies and units; d) Other relevant documents attached (if any). 2. Contents of appraisal of disaster response plans for dam projects and downstream areas a) Check the legal basis of the dossier submitted for appraisal approval; b) Check and evaluate the reliability of documents used to prepare the plan; c) Comment and evaluate the reasonableness of the documents and draft plan. 3. Procedures for appraising disaster response plans for dam projects and downstream areas a) Within 03 working days from the date of receiving the dossier, the dossier receiving agency is responsible for reviewing and checking the dossier; in case the dossier is invalid, the dossier receiving agency shall notify in writing the organization or individual requesting approval of the plan to complete the dossier according to regulations; b) Within 20 working days from the date of receipt of a complete and valid dossier, the dossier receiving agency shall be responsible for appraising the dossier, conducting a field inspection if necessary, and submitting it to the competent authority for consideration and approval; in case the conditions for approval are not met, the dossier receiving agency shall return the dossier to the organization or individual requesting approval and notify the reason in writing. 4. Agency receiving dossiers and appraising disaster response plans for projects and downstream areas of dams a) The People's Committee at the commune level receives dossiers and appraises disaster response plans for projects and downstream areas of dams under the approval authority of the People's Committee at the commune level; b) The district-level specialized state management agency for irrigation receives dossiers and appraises disaster response plans for irrigation works and downstream areas under the approval authority of the district-level People's Committee; the district- level specialized state management agency for hydropower receives and appraises disaster response plans for hydropower works and downstream areas under the approval authority of the district-level People's Committee; c) The Department of Agriculture and Rural Development receives dossiers and appraises disaster response plans for projects and downstream areas of irrigation dams; the Department of Industry and Trade receives dossiers and appraises disaster response plans for projects and downstream areas of hydroelectric dams under the approval authority of the Provincial People's Committee. 5. Authority to approve disaster response plans for dam projects and downstream areas a) The People's Committee at the commune level approves the plan for dams, reservoirs and downstream areas of dams in one commune; b) The People's Committee at district level approves plans for dams, reservoirs and downstream areas of dams in the area of 02 or more communes in a district; c) The People's Committee at the provincial level approves plans for dams, reservoirs and downstream areas of dams in the locality, except for the provisions at Point a and Point b of this Clause; approves plans for dams, reservoirs and downstream areas of dams in two or more provinces after consulting with the relevant People's Committees at the provincial level. Article 8. Inspection of acceptance work of dams and reservoirs 1. Dams and reservoirs must be inspected for acceptance during construction and upon completion of construction according to the provisions of law on quality management and maintenance of construction works. 2. The State Council for Acceptance of Construction Works inspects the acceptance work of investors in the construction of dams and reservoirs of special importance and large-scale, technically complex dams and reservoirs according to the list decided annually by the Prime Minister. 3. The specialized construction agency under the Ministry of Agriculture and Rural Development shall inspect the acceptance work of investors in the construction of dams and irrigation reservoirs of level I and special level; dams and reservoirs assigned by the Prime Minister; dams and irrigation reservoirs whose exploitation and protection involve two or more provinces regardless of the investment capital source, except for dams and irrigation reservoirs specified in Clause 2 of this Article. 4. The specialized construction agency under the Ministry of Industry and Trade shall inspect the acceptance work of investors in the construction of dams and hydroelectric reservoirs of level I and special level; dams and hydroelectric reservoirs assigned by the Prime Minister; dams and hydroelectric reservoirs built in two or more provinces regardless of the investment capital source, except for dams and hydroelectric reservoirs specified in Clause 2 of this Article. 5. The Chairman of the Provincial People's Committee shall assign the specialized agency of irrigation and hydropower of the province to inspect the acceptance work of the investor under the investment decision authority of the province and the dams and reservoirs of irrigation and hydropower built in the area regardless of the investment capital source, except for dams and reservoirs specified in Clause 2, Clause 3 and Clause 4 of this Article. Article 9. Record keeping The establishment and storage of records of dam and reservoir projects are carried out in accordance with the provisions of law on storage, construction and the following regulations: 1. Investors in dam and reservoir construction are responsible for organizing the establishment and storage of construction completion records before accepting and putting the project into operation. 2. For dams and reservoirs in operation that do not have construction records, the organizations and individuals exploiting the dams and reservoirs are responsible for establishing and storing construction records no later than 03 years from the effective date of this Decree. 3. Managers; organizations and individuals exploiting dams and reservoirs are responsible for storing construction records for management and exploitation for a minimum period equal to the life of the project as prescribed by law. 4. For dams and reservoirs of special importance, large and medium, there must be electronic records stored and updated in the dam and reservoir database management system. Chapter III SAFETY MANAGEMENT OF DAMS AND RESERVOIR DURING THE OPERATION PHASE Article 10. Declaration and registration of safety of dams and reservoirs 1. Responsibility for declaring and registering the safety of dams and reservoirs a) Investors in dam and reservoir construction shall prepare and submit a safety registration declaration for the dam or reservoir to the competent state agency within 30 working days from the date of acceptance and putting into operation. b) For dams and reservoirs in operation that have not yet declared and registered the safety of the dam or reservoir, the organizations and individuals exploiting the dam or reservoir are responsible for preparing and submitting the declaration and registration of the safety of the dam or reservoir to the competent state agency within 45 working days from the effective date of this Decree. c) When adjusting the scale and purpose of use of a dam or reservoir in operation; or changing the owner, manager, organization or individual in operation, the organization or individual in operation must adjust the safety registration declaration of the dam or reservoir and send it to the competent state agency within 15 working days from the date of change . 2. Dam and reservoir safety registration form according to the form in the Appendix issued with this Decree. 3. Responsibility for receiving declarations and registration of safety of dams and reservoirs a) For dams and reservoirs The People's Committee at district level receives safety registration declarations for dams and small irrigation reservoirs in the area, synthesizes reports to the Department of Agriculture and Rural Development. The Department of Agriculture and Rural Development receives safety registration declarations for dams and irrigation reservoirs of special importance, large and medium in the area under its management. The Department of Agriculture and Rural Development synthesizes and builds a database on technical parameters and management information of dams and irrigation reservoirs in the area; reports to the Provincial People's Committee and the Ministry of Agriculture and Rural Development. b) For dams and hydroelectric reservoirs: The Department of Industry and Trade receives declarations and registrations for safety of dams and hydroelectric reservoirs; synthesizes and builds a database on technical parameters and management information of dams and hydroelectric reservoirs in the area; reports to the Provincial People's Committee and the Ministry of Industry and Trade. Article 11. Reservoir operation procedures 1. The process of operating reservoirs must comply with the provisions of the Law on Water Resources, the Law on Water Resources , relevant laws and be consistent with the process of operating inter- reservoirs in river basins approved by the Prime Minister. 2. Main content of reservoir operation process a) Legal basis for establishing procedures, principles of project operation, main technical parameters, and project tasks; b) Regulations on the operation process of sluice gates (if any ); specific regulations on the operation of reservoirs during flood and dry seasons in normal cases and in cases of drought, water shortage, saltwater intrusion, floods, inundation, waterlogging, water pollution and in emergency situations; c) Regulate the monitoring regime and provide information on specialized hydrometeorological monitoring according to the provisions of Article 15 of this Decree; d) Warning work when operating flood discharge in normal and emergency situations, warning when operating power generation includes: Regulations on the minimum time required to notify before operating the first water discharge gate; warning signal, warning time, warning location; responsibilities of organizations and individuals in issuing, transmitting, and implementing flood discharge operation orders; responsibilities of organizations and individuals in issuing, transmitting, and receiving flood discharge warnings; d) Regulations on minimum flow (if any); e) Stipulate the responsibilities and powers of relevant organizations and individuals in implementing the reservoir operation process according to Clause 6, Article 13 of this Decree; g) Regulations on implementation and cases of amendment and supplementation of reservoir operation procedures. 3. Responsibility for establishing and adjusting reservoir operation procedures a) Investors in dam and reservoir construction shall establish reservoir operation procedures and submit them to competent state agencies for approval before storing water and handing it over to organizations and individuals for exploitation, and state management agencies for irrigation, hydropower, and natural disaster prevention and control; b) For reservoirs in operation without an operating process, organizations and individuals exploiting dams and irrigation reservoirs or owners of dams and hydroelectric reservoirs are responsible for establishing an operating process and submitting it to the competent state agency for approval no later than 01 year from the effective date of this Decree; c) Every 5 years or when the operating process is no longer suitable, the organization or individual exploiting the dam or irrigation reservoir or the owner of the dam or hydroelectric reservoir is responsible for reviewing and adjusting the operating process and submitting it to the competent state agency for approval. Article 12. Appraisal, approval, adjustment and public announcement of reservoir operation procedures 1. Documents submitted for appraisal of reservoir operation process Organizations and individuals requesting approval of reservoir operation procedures shall submit 01 set of documents directly or by post to the document receiving agency as prescribed in Clause 2 of this Article. The documents include: a) Submission requesting approval of reservoir operation process; b) Draft reservoir operation procedures; c) Report explaining the results of technical calculations; d) Map of current status of the project; d) Written comments from relevant agencies and units; e) Other relevant documents attached. 2. Agency receiving dossiers and appraising reservoir operation procedures a) The General Department of Irrigation receives dossiers and organizes the appraisal of operating procedures for reservoirs under the approval authority of the Ministry of Agriculture and Rural Development. b) The Department of Industrial Safety Techniques and Environment receives dossiers and organizes the appraisal of hydroelectric reservoir operation procedures under the approval authority of the Ministry of Industry and Trade . c) The Department of Agriculture and Rural Development receives dossiers and organizes the appraisal of operating procedures for irrigation reservoirs under the approval authority of the Provincial People's Committee. d) The Department of Industry and Trade receives dossiers and organizes the appraisal of hydroelectric reservoir operation procedures under the approval authority of the Provincial People's Committee . d ) The specialized agency for state management of irrigation under the People's Committee at district level receives dossiers and organizes the appraisal of the operation process of irrigation reservoirs under the approval authority of the People's Committee at district level . 3. If necessary, the agency approving the operating procedures shall decide to establish a Council for reviewing the reservoir operating procedures. 4. The appraisal agency shall seek opinions on the draft operating procedure according to the following provisions: a) For reservoir operation procedures under the approval authority of the Ministry of Agriculture and Rural Development and the Ministry of Industry and Trade , the appraisal agency shall seek opinions from relevant organizations, individuals and experts; submit to the competent authority to seek opinions from relevant Ministries and Provincial People 's Committees ; b ) For draft operating procedures for reservoirs in the area under the approval authority of the Provincial People's Committee , consult the District People's Committee ; relevant organizations , individuals and experts; c) For the operation process of irrigation reservoirs under the approval authority of the District People's Committee, consult the Commune People's Committee; relevant organizations, individuals and experts. 5. Appraisal content a) Check the legal basis, the necessity of establishing reservoir operation procedures and documents for appraisal; b) Check and evaluate the reliability of documents used in calculations and calculation results of operating cases ; c) Comment and evaluate the reasonableness and feasibility of the draft operating procedure. 6. Appraisal procedure a) Within 03 working days from the date of receiving the dossier, the receiving agency shall review and check; in case the dossier is invalid, the receiving agency shall notify in writing the organization requesting approval of the operating procedure for completion according to regulations; b) Within 30 working days from the date of receiving a complete and valid dossier, the receiving agency shall organize an appraisal and submit it to the competent authority for consideration and approval. In case the conditions for approval are not met, the receiving agency shall notify in writing the organization requesting approval to supplement and complete the dossier . 7. Authority to approve and publicly announce reservoir operation procedures a) The Ministry of Agriculture and Rural Development approves and publicly announces the operating procedures of especially important irrigation reservoirs and irrigation reservoirs whose exploitation and protection involve two or more provinces; b) The Ministry of Industry and Trade approves and publicly announces the operating procedures of especially important hydroelectric reservoirs and hydroelectric reservoirs built in two or more provinces; c) The People's Committee at the provincial level approves, publicly announces or delegates to the People's Committee at the district level the approval and public announcement of the operating procedures of irrigation reservoirs in the area, except for reservoirs specified in Point a of this Clause and Clause 8 of this Article ; approves and publicly announces the operating procedures of hydroelectric reservoirs, except for reservoirs specified in Point b of this Clause and Clause 8 of this Article. 8. For small reservoirs, organizations and individuals directly exploiting them must establish operating procedures and publicly announce them. 9. Adjusting the reservoir operation process a) When the water demand or water source, scale, and tasks of the project change or the operating process is no longer suitable , the operating process must be adjusted; b) The content, order and procedures for adjusting reservoir operation processes shall comply with the provisions in Article 11; Clauses 1, 2, 3, 4, 5, 6, 7 and 8 of this Article. 10. The operating procedures are approved and publicly announced according to the following regulations: a) Announce on the electronic information portal or website of the approving authority, appraisal authority, management owner and exploiting organization or individual for especially important, large and medium reservoirs; b) Publicly disclose the operating procedures at the headquarters of the exploitation organization, the headworks and the People's Committees of relevant communes for small reservoirs. Article 13. Organization of implementation of reservoir operation process 1. Organizations and individuals exploiting dams and reservoirs are responsible for operating according to reservoir operation procedures and inter-reservoir operation procedures approved by competent state agencies and according to regulations inArticles 27, 28 and 45 of the Law on Water Resources andClause 3, Article 53 of the Law on Water Resources . 2. Reservoir operations must be recorded in the operation log by the organization or individual exploiting the dam or reservoir. 3. Every 5 years, organizations and individuals exploiting dams and irrigation reservoirs must review and evaluate the results of implementing the operating procedures and send them to the owners and managers of dams and reservoirs. 4. Every 5 years, owners of dams and hydroelectric reservoirs must review and evaluate the results of implementing the operating procedures and send them to the Department of Industry and Trade and the agency approving the operating procedures. 5. The Department of Agriculture and Rural Development reports the results of the synthesis of the implementation of the irrigation reservoir operation process in the area to the Provincial People's Committee and the Ministry of Agriculture and Rural Development. The Department of Industry and Trade reports the results of the synthesis of the implementation of the hydropower reservoir operation process in the area to the Provincial People's Committee and the Ministry of Industry and Trade. 6. Responsibilities and powers of organizations and individuals involved in implementing reservoir operation procedures a) Dam and reservoir managers are responsible for directing, organizing inspections and supervising the implementation of reservoir operation procedures and inter- reservoir operation procedures approved by competent state agencies; b) The Chairman of the Provincial People's Committee is responsible for directing the inspection and supervision of the implementation of reservoir operation procedures and inter-reservoir operation procedures under the province's management; directing the assurance of safety and deciding on measures to handle emergency incidents at dams and reservoirs under its management; reporting to the Prime Minister in emergency situations beyond the local response capacity; c) The Head of the Provincial Steering Committee for Natural Disaster Prevention and Control and Search and Rescue is responsible for organizing a permanent presence, closely monitoring the development of rain and floods, deciding on a regulation plan, issuing reservoir operation orders and deciding on emergency flood discharge operations for dams and reservoirs in the management area according to assigned authority and tasks; reporting to the Head of the Central Steering Committee for Natural Disaster Prevention and Control in emergency situations beyond the local response capacity; d) The Minister of Agriculture and Rural Development and the Minister of Industry and Trade are responsible for directing and organizing the inspection of the implementation of reservoir operation procedures and inter-reservoir operation procedures approved by competent state agencies by organizations exploiting dams and reservoirs managed by the ministry; directing the implementation of response measures in emergency situations, deciding on measures to handle emergency incidents at dams and reservoirs managed by the ministry; reporting to the Prime Minister and the Head of the Central Steering Committee for Natural Disaster Prevention and Control in emergency situations beyond the ministry 's response capacity; d) The Head of the Central Steering Committee for Natural Disaster Prevention and Control is responsible for directing flood prevention and control work in the downstream areas of dams according to assigned authority and responsibility; directing and supporting measures to respond to emergency situations in cases beyond the capacity of ministries, branches and localities. Article 14. Monitoring of dam and reservoir works 1. Dam and reservoir owners are responsible for installing dam and reservoir monitoring equipment according to national standards, national technical regulations and relevant legal regulations. 2. Responsibilities of organizations and individuals exploiting dams and reservoirs a) Monitor dams, reservoirs and related works according to regulations in design documents and national standards and national technical regulations to continuously monitor the safety and stability of the works; b) Analyze, evaluate, and process monitoring data; detect unusual signs for timely handling; store monitoring documents according to regulations; c) Report monitoring results to managers and owners of dams and reservoirs. Article 15. Specialized hydrometeorological observation 1. Dam and reservoir owners are responsible for ensuring funding for specialized hydrometeorological monitoring of dams and reservoirs. 2. Organizations and individuals exploiting dams and reservoirs must collect specialized hydrometeorological forecast and monitoring information according to national standards, national technical regulations and relevant legal provisions. 3. Specialized hydrometeorological monitoring content a) For dams and reservoirs with flood control gates, it is necessary to monitor rainfall in the basin, monitor water levels upstream and downstream of the dam; calculate inflow to the reservoir, discharge flow; forecast inflow to the reservoir, and the possibility of increasing reservoir water levels; b) For large dams and reservoirs with free overflow, it is necessary to monitor rainfall in the basin, water levels upstream and downstream of the dam; calculate inflow to the reservoir and discharge flow; c) For dams and reservoirs with free overflow, it is necessary to monitor water levels upstream and downstream of the dam and calculate discharge flow; it is encouraged to apply other regulations at Point b of this Clause; d) For dams and small reservoirs with free overflow, water levels upstream and downstream of the dam and the spillway must be monitored. 4. Monitoring mode a) For dams and reservoirs with flood control gates: Monitor twice a day at 7:00 and 19:00 during the dry season; 4 times a day at 01:00, 07:00, 13:00 and 19:00 during the flood season; in case of flood control operations, the minimum monitoring and calculation frequency is once an hour, and 4 monitoring times an hour when the reservoir water level is above the design flood level; b) For dams and reservoirs with free overflow: Monitor twice a day at 7:00 and 19:00 during the dry season; 4 times a day at 01:00, 07:00, 13:00 and 19:00 during the flood season when the reservoir water level is lower than the overflow threshold; once an hour when the reservoir water level is equal to or higher than the overflow threshold; 4 times an hour when the reservoir water level is above the design flood level. 5. Organizations and individuals exploiting dams and reservoirs must provide specialized hydrometeorological monitoring information and data and update them on the electronic information page of the organization or individual exploiting dams and reservoirs in accordance with the law on hydrometeorology and the following provisions : a) Dams and reservoirs with flood control gates and dams and reservoirs of special importance, large with free spillway: Provide information and data on hydrometeorological monitoring to dam and reservoir managers; state management agencies of irrigation and hydropower, disaster prevention agencies at all levels where there are dams and reservoirs, downstream areas of dams; Ministry of Agriculture and Rural Development, Ministry of Industry and Trade according to the management scope of the ministries; Central Steering Committee on disaster prevention and control in emergency situations ; b) Medium and small dams and reservoirs with free spillway: Provide information and data on hydrometeorological monitoring to dam and reservoir managers, state management agencies of irrigation and hydropower, disaster prevention agencies at all levels where there are dams, reservoirs, and downstream areas of dams. 6. Providing information and reports a) The provision of information and reports is carried out in one of the following forms: Directly, by fax, by computer network, by telephone, by radio communication device (ICOM) or other forms; b) The original document must be sent to the owner or manager for monitoring and management record keeping. 7. Dams and reservoirs in operation that do not have specialized hydrometeorological monitoring equipment must install specialized hydrometeorological monitoring equipment no later than 02 years for dams and reservoirs with flood control gates; and 03 years for dams and reservoirs with free overflow from the effective date of this Decree. Article 16. Inspection of dams and reservoirs 1. Organizations and individuals exploiting dams and reservoirs must inspect and evaluate the safety of dams and reservoirs according to the following regulations: a) Regularly inspect and visually observe the site to promptly grasp the current status of dams and reservoirs; b) Before the annual rainy season, it is necessary to inspect and assess the safety of dams and reservoirs; take proactive measures to prevent and promptly handle damage to ensure the safety of dams and reservoirs; c) After the annual rainy season, inspections must be conducted to detect damage; monitoring the progress of damage to dams and reservoirs; lessons learned from natural disaster prevention and control work ; proposing measures and plans to repair and overcome damage and degradation; d) Immediately after heavy rain, floods in the basin or strong earthquakes in the construction area, the safety status of the dam and reservoir must be inspected and assessed ; d) In case of detecting sudden damage to a dam or reservoir, it is necessary to immediately report to the owner , manager of the dam or reservoir, and competent state agency, and at the same time, take immediate measures to ensure the safety of the dam or reservoir. 2. Contents of the report on the current safety status of dams and reservoirs a) For dams and reservoirs of special importance and large size: The highest water level in the reservoir; the largest flood flow into the reservoir, time of occurrence, peak flood flow, total flood volume; dam monitoring results that have been analyzed, evaluated and processed; results of construction inspections before and after the rainy season; damage to the construction and repair and remediation work ; b) For medium and small dams and reservoirs: Highest water level in the reservoir; results of construction inspections before and after the rainy season; damage to the construction and repair and restoration work. 3. Time to send periodic reports on the safety status of dams and reservoirs a) Before April 15 every year for the Northern , North Central, Central Highlands and Southern regions; b) Before August 15 every year for the South Central region. 4. Responsibility for reporting the safety status of dams and reservoirs periodically every year: a) Organizations and individuals exploiting dams and irrigation reservoirs are responsible for sending reports to the Department of Agriculture and Rural Development for synthesis and reporting to the People's Committees of provinces with dams and irrigation reservoirs in the area and the Ministry of Agriculture and Rural Development; b) Owners of dams and hydroelectric reservoirs are responsible for sending reports to the Department of Industry and Trade for synthesis and reporting to the People's Committees of provinces with dams and hydroelectric reservoirs in the area and the Ministry of Industry and Trade; c) The Ministry of Agriculture and Rural Development and the Ministry of Industry and Trade are responsible for synthesizing and reporting to the Prime Minister on the safety status of dams and reservoirs under their management. 5. Organizations and individuals exploiting dams and reservoirs must immediately report to the People's Committee, the Command Committee for Natural Disaster Prevention and Control and Search and Rescue at all levels with dams and reservoirs in the area and relevant agencies as prescribed when an emergency situation occurs. Article 17. Responsibility for inspecting and assessing the safety of dams and reservoirs before the annual rainy season 1. The Ministry of Agriculture and Rural Development shall organize inspection and assessment of the safety of dams and irrigation reservoirs; decide on water storage plans and solutions to ensure safety for dams and irrigation reservoirs of special importance and dams and irrigation reservoirs whose exploitation and protection are related to two or more provinces. 2. The Ministry of Industry and Trade shall organize the inspection and assessment of the safety of dams and hydroelectric reservoirs, decide on water storage plans and solutions to ensure safety for dams and hydroelectric reservoirs of special importance and dams and hydroelectric reservoirs built in two or more provinces, except for dams and reservoirs specified in Clause 7 of this Article. 3. The People's Committee at the provincial level shall organize the inspection and assessment of the safety of dams and reservoirs; decide on water storage plans and solutions to ensure the safety of dams and reservoirs in the province, except for dams and reservoirs specified in Clause 1, Clause 2 and Clause 7 of this Article. 4. The assessment of dam and reservoir safety is carried out in the form of a Dam and Reservoir Safety Assessment Advisory Council. The Council is responsible for inspecting, researching, analyzing, evaluating, and advising on the safety level of dams and reservoirs, reservoir storage plans, and solutions to ensure the safety of dams and reservoirs. 5. Advisory Council for safety assessment of dams and reservoirs at the ministerial level a) The Ministry of Agriculture and Rural Development decides to establish an advisory council to assess the safety of dams and reservoirs under the Ministry's management; b) The Ministry of Industry and Trade decides to establish an advisory council to assess the safety of dams and hydroelectric reservoirs of special importance and dams and hydroelectric reservoirs built in two or more provinces, except for dams and reservoirs specified in Clause 7 of this Article; c) Council members include the chairman, vice chairman, secretary, reviewer and members who are representatives of specialized state management agencies on irrigation and hydropower under relevant ministries and localities, organizations and individuals exploiting dams and reservoirs and providing technical advice and support to the council. 6. Provincial dam and reservoir safety assessment advisory council a) The People's Committee at the provincial level decides to establish an advisory council to assess the safety of dams and reservoirs at risk of being unsafe within the province's management scope, except for dams and reservoirs specified in Clause 7 of this Article; b) Council members include the chairman, vice chairman, secretary, reviewer and members who are representatives of specialized state management agencies for irrigation and hydropower at the provincial level, representatives of the People's Committees at the district level with relevant dams and reservoirs in the area and technical consultants to support the council . 7. Advisory Council, safety assessment of dams and reservoirs on the Da River hydropower cascade a) The Minister of Science and Technology decides to establish an advisory council to assess the safety of dams and hydropower reservoirs on the Da River hydropower cascade, including dams and reservoirs of Hoa Binh, Son La, Lai Chau, Huoi Quang and Ban Chat; b) Council members include the chairman, vice chairman, secretary, reviewer and members who are representatives of specialized state management agencies on irrigation and hydropower under relevant ministries, branches and localities; organizations and individuals exploiting dams and reservoirs ; independent experts with experience in the field of construction of irrigation and hydropower works; c) The Council is responsible for inspecting and evaluating the safety of dams and hydroelectric reservoirs on the Da River hydroelectric cascade. Article 18. Safety inspection of dams and reservoirs 1. The first inspection shall be carried out in the third year from the date of water accumulation to the normal water level or in the fifth year from the date of water accumulation. 2. Periodic inspection every 5 years from the last inspection for dams and reservoirs of special importance, large and medium. 3. Surprise inspection a) When detecting damage, degradation, or unsafety of dams and reservoirs; b) When it is necessary to have a basis for deciding to extend the life of a dam or reservoir that has expired its design life or to serve as a basis for repairing or upgrading a dam or reservoir; c) According to the decision of the competent state agency specified in Clause 4 of this Article. 4. Authority to decide on surprise inspection a) The Ministry of Agriculture and Rural Development decides to conduct surprise inspections of dams and reservoirs of special importance; dams and reservoirs whose exploitation and protection involve two or more provinces; b) The Ministry of Industry and Trade decides to conduct surprise inspections of dams and hydroelectric reservoirs of special importance and dams and hydroelectric reservoirs built in two or more provinces; c) The Provincial People's Committee decides to conduct surprise inspections of dams and reservoirs in the province, except for dams and reservoirs specified in Point a and Point b of this Clause. 5. Main content of dam and reservoir safety inspection a) For dams and reservoirs of special and large importance: Check and analyze dam and reservoir monitoring documents; survey and investigate potential hazards and defects of works; check the status of landslides and sedimentation of reservoir beds; check the flood discharge capacity of reservoirs according to current national technical standards and regulations, updated hydrometeorological documents and changes in basins; assess the quality and safety of dams and reservoirs; b) For medium and small dams and reservoirs: Survey and probe for potential hazards and defects of the works; check the status of landslides and sedimentation of the reservoir bed; check the flood discharge capacity of the reservoir according to current national technical standards and regulations, updated hydrometeorological documents and changes in the basin; assess the quality and safety of dams and reservoirs. 6. Responsibility for safety inspection of dams and irrigation reservoirs a) Organizations and individuals exploiting dams and reservoirs are responsible for conducting inspections according to approved outlines; b) The manager of the dam or irrigation reservoir shall appraise the outline, estimate, and inspection results, approve them according to his/her authority, or submit them to the owner of the dam or reservoir for approval; and send the inspection results to the People's Committee of the province with the dam or irrigation reservoir in the area and the Ministry of Agriculture and Rural Development. 7. Owners of dams and hydroelectric reservoirs are responsible for organizing inspections, approving inspection outlines and results according to the provisions of law; reporting inspection results to the Department of Industry and Trade for synthesis and reporting to the People's Committee of the province where the dam or hydroelectric reservoir is built and the Ministry of Industry and Trade. Article 19. Appraisal and approval of outlines and results of safety inspection of dams and irrigation reservoirs 1. Documents for appraisal and approval Organizations and individuals requesting approval of the outline and results of dam safety inspection of irrigation reservoirs shall submit 01 set of documents directly or by post to the agency receiving documents as prescribed in Clause 2 of this Article. The documents include : a) Proposal for approval; b) Draft outline for safety inspection of dams and irrigation reservoirs; c) Other relevant documents attached (if any). 2. Agency receiving, appraising and approving documents a) The General Department of Irrigation receives dossiers, appraises, approves or submits to the owners of dams and reservoirs for approval the outline and results of safety inspection of dams and reservoirs of special importance and dams and reservoirs whose exploitation and protection are related to two or more provinces; b) The Department of Agriculture and Rural Development shall receive dossiers, appraise, approve or submit to the owners of dams and reservoirs for approval of the outline and results of safety inspection of large and medium-sized dams and reservoirs in the area and small dams and reservoirs related to 02 districts or more, except for dams and reservoirs specified in Point a of this Clause; c) The district-level specialized agency for state management of irrigation shall receive dossiers, appraise, approve or submit to the owner of the dam or reservoir for approval the outline and results of safety inspection of small irrigation dams and reservoirs in the area, except for dams and reservoirs specified in Point b of this Clause. 3. Appraisal content a) Check the legal basis of the dossier; b) Check and evaluate the reliability of used documents; c) Comment and evaluate the reasonableness of the documents. 4. Appraisal procedures and order a) Within 03 working days from the date of receiving the dossier, the dossier receiving agency is responsible for reviewing and checking the dossier; in case the dossier is invalid, the dossier receiving agency shall notify the organization or individual requesting approval of the dam and reservoir safety inspection outline to complete the dossier according to regulations; b) Within 15 working days from the date of receiving a complete and valid dossier, the dossier receiving agency is responsible for appraising the dossier, conducting a field inspection when necessary, and submitting it to the competent authority for consideration and approval if the conditions are met; if the conditions for approval are not met, the dossier receiving agency shall return the dossier to the organization or individual requesting approval and notify the reason in writing . Article 20. Maintenance, repair, upgrading, modernization of dams, reservoirs and installation of operational monitoring systems, information equipment, and safety warnings for dams and downstream areas 1. Dams and reservoirs must be maintained, repaired, upgraded and modernized in accordance with the provisions of law on quality management and maintenance of construction works and other relevant laws. 2. Dams and reservoirs must be repaired and upgraded to ensure the safety of the works and downstream areas before the annual rainy season in the following cases: a) Damaged, degraded, unsafe; b) Lack of flood discharge capacity according to current national technical standards and regulations; c) There is a risk of landslides and silting of the reservoir bed. 3. For dams and reservoirs with flood control gates in operation that do not have an operational monitoring system, information equipment, and safety warnings for the dam and downstream areas, they must be installed no later than 02 years from the effective date of this Decree. 4. For dams and large reservoirs with open spillways in operation that do not have information and safety warning equipment for the dam and downstream areas, they must be installed no later than 03 years from the effective date of this Decree. 5. Encourage the installation of information and safety warning equipment for dams and downstream areas of dams and medium and small reservoirs with free overflow. 6. For dams and reservoirs in operation that do not have a maintenance process for each construction item, the organization or individual exploiting the dam or reservoir is responsible for organizing the establishment and approval of the maintenance process after receiving written opinions from the dam or reservoir manager no later than 02 years from the effective date of this Decree. 7. Dam and reservoir owners are responsible for ensuring funding for maintenance, repair, upgrading, modernization, and installation of operational monitoring systems , information equipment , and safety warnings for dams, reservoirs, and downstream areas. Article 21. Scope of protection of dams and reservoirs 1. The protection range of dams and reservoirs includes the works and surrounding areas. 2. Within the protection range of dams and reservoirs, activities must ensure that they do not hinder the operation and safety of the works; there must be management roads and areas for maintenance and handling when incidents occur . 3. The vicinity of a reservoir includes the vicinity of the dam and the vicinity of the reservoir bed, which are regulated as follows: a) The vicinity of the dam is calculated from the foot of the dam outwards. For special- class dams, the minimum distance is 300 m; for class I dams, the minimum distance is 200 m; for class II dams, the minimum distance is 100 m; for class III dams, the minimum distance is 50 m; for class IV dams, the minimum distance is 20 m; b) The vicinity of the reservoir is calculated from the boundary line with elevation equal to the dam crest elevation down towards the reservoir bed. 4. When adjusting the scale and purpose of a dam or reservoir, the surrounding area must be adjusted in accordance with the provisions of Clause 3 of this Article; the agency approving the dam or reservoir protection plan has the authority to approve the adjustment of the scope of the surrounding area to protect the project. Article 22. Activities within the protection range of dams and reservoirs must have a license. 1. Within the protection range of dams and reservoirs , activities requiring a license from a competent state management agency include : a) Construction of new works; b) Establishing wharves and staging areas for raw materials, fuels, materials, supplies and vehicles; c) Drilling, digging for geological surveys; exploration, exploitation of minerals, construction materials, and exploitation of underground water; d) Discharging wastewater into reservoirs, except for small-scale wastewater discharges that do not contain toxic or radioactive substances; d) Planting perennial trees; e) Tourism, sports, scientific research, business and service activities; g) Operation of inland waterway vehicles, motor vehicles, except motorbikes, scooters, and rudimentary inland waterway vehicles; h) Aquaculture; i) Blasting and other explosive activities; k) Construction of underground works. 2. The issuance, re-issuance, extension, adjustment, suspension and revocation of licenses for activities within the protection scope of dams and irrigation reservoirs shall comply with the provisions of Chapter IV of Decree No. 67/2018/ND-CP dated May 14, 2018 of the Government detailing a number of articles of the Law on Irrigation. 3. The issuance, re-issuance, extension, adjustment, suspension and revocation of licenses for activities within the protection scope of dams and hydroelectric reservoirs shall comply with the provisions of Chapter IV of Decree No. 67/2018/ND-CP dated May 14, 2018 of the Government detailing a number of articles of the Law on Water Resources, except for the provisions inArticle 16, Article 17. The authority to grant , re- grant, extend, adjust, suspend , revoke licenses and the agency receiving application dossiers for license issuance are prescribed as follows: a) The Ministry of Industry and Trade shall grant, re-grant, extend, adjust, suspend, and revoke licenses for activities requiring licenses within the protection range of dams and hydroelectric reservoirs of special importance, except for activities specified in Point d, Clause 1 of this Article ; b) The Department of Industrial Safety Techniques and Environment is the agency receiving applications for Licenses under the authority of the Ministry of Industry and Trade; c) The People's Committee at the provincial level shall grant, re-grant, extend, adjust, suspend, and revoke licenses for activities within the protection range of dams and hydroelectric reservoirs in the locality, except for dams and hydroelectric reservoirs specified in Point a of this Clause; d) The Department of Industry and Trade is the agency receiving applications for Licenses under the authority of the Provincial People's Committee. Article 23. Protection of dams and reservoirs 1. Owners of dams and hydroelectric reservoirs; organizations and individuals exploiting dams and irrigation reservoirs are responsible for developing plans to protect dams and reservoirs. 2. The dam and reservoir protection plan includes the following main contents: a) Terrain characteristics, design parameters, construction layout diagram and boundary markers of the protection range of dams and reservoirs; b) Management, exploitation and protection of dams and reservoirs; c) Regular, periodic and ad hoc reporting and inspection regime; d) Regulations on limiting or prohibiting heavy-duty vehicles from circulating within the protected area of the construction; regulations on fire prevention and fighting; safety protection of document storage places, warehouses storing explosives, flammable substances, and toxic substances; d) Organize forces and assign responsibilities for protecting dams and reservoirs; equipment to support protection work; e) Organize inspection and control of people and vehicles entering and leaving the construction site; g) Prevent, detect and stop acts of encroachment and sabotage of dams and reservoirs and surrounding areas; h) Protection and handling when dams and reservoirs have incidents or are at risk of incidents; i) Resources to organize and implement the plan; k) Responsibilities of owners, managers, organizations, individuals exploiting dams, reservoirs, authorities at all levels and relevant agencies and units. 3. Dams and reservoirs must have boundary markers marking the protection area of the works according to regulations of the Minister of Agriculture and Rural Development. 4. Responsibility for marking the boundary of the protection range of dams and irrigation reservoirs a) Investors in dam and reservoir construction are responsible for marking the boundary of the dam and reservoir protection area. The cost of marking the boundary is included in the total investment in construction of the project; b) For dams and reservoirs in operation that have not yet been marked with protective boundary markers or whose protective boundary is no longer suitable , the organization or individual exploiting the dam or reservoir is responsible for marking the protective boundary markers. Funding for marking the boundary markers is taken from financial sources in management and exploitation and other legal sources . 5. Authority to approve dam and reservoir protection plans a) The Ministry of Agriculture and Rural Development approves plans to protect dams and reservoirs managed by the ministry; b) The Ministry of Industry and Trade approves plans to protect dams and reservoirs built in two or more provinces; c) The People's Committee at the provincial level approves or delegates to the People's Committee at the district level the approval of plans to protect dams and reservoirs in the area, except for dams and reservoirs specified in Point a and Point b of this Clause and Clause 6 of this Article. 6. Organizations and individuals exploiting dams and small reservoirs decide on plans to protect dams and reservoirs. 7. The organization and implementation of plans to protect dams and reservoirs important to national security shall comply with the provisions of this Decree and the law on protection of important works related to national security. Article 24. Setting up boundary markers to determine the protection range of hydroelectric dams 1. Cases where boundary markers must be placed a) Dams of hydroelectric reservoirs with a capacity of 500,000 m3 or more; b) Dam height from 15 m or more. 2. Develop a plan for placing boundary markers Owners of dams and hydroelectric reservoirs are responsible for presiding over and coordinating with the Department of Natural Resources and Environment, the People's Committees at the district level, and the People's Committees at the commune level where the dam is built to develop a plan to place boundary markers to determine the dam protection scope. 3. Contents of the boundary marker planting plan a) Determine the dam protection vicinity according to the provisions at Point a, Clause 3, Article 21 of this Decree; b) Determine the location of the marker; c) Mold specifications; d) Milestone management. 4. Approval of boundary marker planting plan a) The owner of a dam or hydroelectric reservoir shall submit one set of documents directly or by post to the People's Committee of the province where the dam is built. The documents include a request for approval and a plan for placing boundary markers; In case the dossier is invalid, within 05 working days from the date of receiving the dossier, the Provincial People's Committee shall notify in writing the owner of the dam or hydroelectric reservoir to complete the dossier according to regulations; b) Within 25 working days from the date of receiving complete and valid dossiers, the Provincial People's Committee shall be responsible for organizing the appraisal; c) In case the content of the boundary marker planting plan is consistent with current legal provisions and the characteristics of the dam construction site, within 05 working days from the date of appraisal, the Provincial People's Committee shall be responsible for approval. In case the content of the boundary marker planting plan is inconsistent with current legal provisions or inconsistent with the characteristics of the dam construction site, within 05 working days from the date of appraisal, the Provincial People's Committee shall be responsible for issuing a document requesting the owner of the dam or hydroelectric reservoir to adjust and supplement the boundary marker planting plan; d) For dams with a protection area within a district, the Provincial People's Committee shall consider and decide to decentralize approval to the District People's Committee where the dam is built. 5. Organizing boundary marker planting and boundary marker management a) Immediately after the boundary marker planting plan is approved, the owner of the dam or hydroelectric reservoir is responsible for presiding over and coordinating with the People's Committee at the district level and the People's Committee at the commune level where the dam is built to organize the boundary marker planting according to the approved plan; b) Within 10 working days from the date of completion of boundary marking, the owner of the dam or hydroelectric reservoir shall be responsible for handing over boundary markers to the People's Committee of the commune where the dam is built for management; c) In case the boundary marker is lost or damaged, the People's Committee of the commune where the boundary marker is lost or damaged must notify the owner of the dam or hydroelectric reservoir to replace it. Article 25. Disaster response plan and emergency response plan 1. Owners of dams and hydroelectric reservoirs; organizations and individuals exploiting dams and irrigation reservoirs are responsible for establishing, reviewing, adjusting and supplementing annual disaster response plans and emergency response plans. 2. Disaster response plans are implemented according to regulations atArticle 22 of the Law on Natural Disaster Prevention and Control . 3. Main content of the emergency response plan a) Reservoir operation scenario in case of emergency or dam failure; b) Flood map of downstream dam areas in case of emergency or dam failure as prescribed in Article 27 of this Decree; c) Emergency situations or dam failures; forecasts and response plans at headworks; d) Statistics of affected objects and impact levels according to scenarios; d) Regulations on the regime and methods of information, warnings and alarms to local authorities, state management agencies on irrigation, natural disaster prevention and control and people in affected areas; e) Response plan appropriate to each flood situation in the downstream area of the dam; g) Resources to organize and implement the plan; h) Responsibilities of owners, managers, organizations, individuals exploiting dams, reservoirs, authorities at all levels and relevant agencies and units. 4. For dams and reservoirs with flood control gates; large dams and reservoirs with free spillways in operation that do not have safety communication and warning equipment for the dam and downstream areas, safety communication and warning equipment for the dam and downstream areas must be installed. Article 26. Appraisal and approval of emergency response plans 1. Emergency response plan appraisal records Organizations and individuals requesting approval of emergency response plans shall submit one set of documents directly or by post to the agency receiving the documents as prescribed in Clause 5 of this Article. The documents include: a) Proposal for approval; b) Draft emergency response plan; c) Report on technical calculation results; d) Written comments from relevant agencies and units; d) Other relevant documents attached (if any). 2. Contents of assessment of emergency response plan a) Check the legal basis of the dossier submitted for appraisal approval; b) Check and evaluate the reliability of documents used to prepare the plan; c) Comment and evaluate the reasonableness of the documents and draft plan. 3. Procedure for assessing emergency response plans a) Within 03 working days from the date of receiving the dossier, the dossier receiving agency is responsible for reviewing and checking the dossier; in case the dossier is invalid, the dossier receiving agency shall notify in writing the organization or individual requesting approval of the plan to complete the dossier according to regulations; b) Within 20 working days from the date of receiving a complete and valid dossier, the dossier receiving agency is responsible for appraising the dossier. If the conditions are met, it shall submit it to the competent authority for consideration and approval. If the conditions are not met, the dossier receiving agency shall return the dossier to the organization or individual requesting approval and notify the reason in writing. 4. Agency receiving dossiers and assessing emergency response plans a) The People's Committee at the commune level receives dossiers and organizes the appraisal of emergency response plans under the approval authority of the People's Committee at the commune level; b) The specialized state management agency for irrigation under the People's Committee at the district level receives dossiers and organizes the appraisal of plans to respond to emergencies in irrigation reservoirs under the approval authority of the People's Committee at the district level; the specialized state management agency for hydropower under the People's Committee at the district level is responsible for receiving and appraising dossiers of plans to respond to emergencies in hydropower reservoirs under the approval authority of the People's Committee at the district level. c) The Department of Agriculture and Rural Development receives dossiers and organizes the appraisal of plans to respond to emergencies in irrigation reservoirs; the Department of Industry and Trade receives and appraises dossiers of plans to respond to emergencies in hydroelectric reservoirs under the approval authority of the Provincial People's Committee. 5. Authority to approve emergency response plans a) The People's Committee at the commune level approves the plan for dams, reservoirs and downstream areas of dams in one commune; b) The People's Committee at district level approves plans for dams, reservoirs and downstream areas of dams in the area of two or more communes in a district; c) The People's Committee at the provincial level approves plans for dams, reservoirs and downstream areas of dams in the locality, except for the provisions at Point a and Point b of this Clause; d) The Provincial People's Committee approves plans for dams, reservoirs and downstream areas of dams in two or more provinces after consulting with the relevant Provincial People's Committees. Article 27. Flood map of downstream dam area 1. Flood map is a map showing the scope and level of flooding of the downstream area of the dam when the reservoir discharges water according to the process, discharges flood in emergency situations ordam break 2. Basis for constructing flood maps of downstream dam areas a) For large and especially important reservoirs, flood maps of downstream dam areas are built according to current national technical standards and regulations; b) For medium and small reservoirs, flood maps of downstream dams are built on the basis of field surveys. 3. Responsibility for developing and approving flood maps for downstream areas of dams a) The downstream area of a dam is affected by flooding, the dam owner builds and approves the flood map of the downstream area of the dam; b) In the case of downstream areas affected by flooding from many dams in a province, the Provincial People's Committee is responsible for developing and approving flood maps for downstream areas of dams and transferring them to relevant organizations and individuals exploiting dams and reservoirs to develop emergency response plans ; c) In case the downstream area of a dam is affected by flooding from many dams in two or more provinces, the Ministry of Agriculture and Rural Development is responsible for developing and approving the flood map of the downstream area of the dam and transferring it to the People's Committee of the province, organizations and individuals exploiting the dam and reservoir related to develop a plan to respond to emergency situations. 4. Flood maps of downstream dam areas must be developed and approved no later than 03 years from the effective date of this Decree. Article 28. Dam and reservoir rescue 1. In case of an incident that may cause unsafety to dams and reservoirs , organizations and individuals exploiting dams and reservoirs for irrigation and owners of dams and reservoirs for hydropower must deploy emergency rescue, handle and remedy the incident, and at the same time report to the People's Committees, Command Committees for natural disaster prevention, control and search and rescue at all levels, and the Central Steering Committee for natural disaster prevention and control for rescue, support and timely implementation of response plans. 2. People's Committees, Command Committees for natural disaster prevention, control and search and rescue at all levels are responsible for: a) Organize dam and reservoir rescue in the area, participate in dam and reservoir rescue for other localities according to the provisions of law; b) Decide on emergency handling measures and remedial measures according to the provisions of the law on natural disaster prevention and control in case of floods and inundations caused by dam incidents causing damage to the downstream area of the dam in the area. In case of exceeding the capacity and authority, it is necessary to promptly report to the superior Command Committee for Natural Disaster Prevention and Control and Search and Rescue or the Central Steering Committee for Natural Disaster Prevention and Control for support and handling. 3. The Ministry of Agriculture and Rural Development and the Ministry of Industry and Trade are responsible for coordinating with the Provincial People's Committees to implement measures to mobilize forces, materials, and means to rescue dams and reservoirs under their management. 4. The Central Steering Committee for Natural Disaster Prevention and Control decides or reports and proposes to the Prime Minister to decide on mobilizing resources and measures to rescue dams and reservoirs, respond to ensure the safety of dams, reservoirs and downstream areas of dams according to the provisions of law on natural disaster prevention and control . 5. The National Committee for Incident, Disaster Response and Search and Rescue directs and organizes response to dam break incidents in cases beyond the capacity of the locality. Article 29. Database system on dams and reservoirs 1. Owners of dams and hydroelectric reservoirs; organizations and individuals exploiting dams and irrigation reservoirs are responsible for building a database on dams and reservoirs. 2. Database on dams and reservoirs must be updated regularly and continuously during the management and exploitation process. 3. Dams and reservoirs in operation that do not have a database on dams and reservoirs must develop a database on dams and reservoirs no later than 03 years from the effective date of this Decree. 4. The Department of Agriculture and Rural Development shall build a database system on dams and irrigation reservoirs in the area; update the database system on dams and irrigation reservoirs of the Ministry of Agriculture and Rural Development. 5. The Department of Industry and Trade builds a database system on dams and hydroelectric reservoirs in the area; updates the database system on dams and hydroelectric reservoirs of the Ministry of Industry and Trade. Article 30. Funding for implementing dam and reservoir safety management 1. Distinguishing development investment expenditure tasks and regular expenditures using state budget capital to implement contents on safety management of dams and irrigation reservoirs a) Regular expenditures include: Expenditures on management and operation of dams and reservoirs; costs for record keeping as prescribed in Article 9; establishment and adjustment of reservoir operation procedures as prescribed in Clause 3, Article 11; dam and reservoir monitoring as prescribed in Article 14; specialized hydrometeorological monitoring as prescribed in Article 15; inspection and assessment of dam and reservoir safety as prescribed in Articles 16 and 17; dam safety inspection as prescribed in Article 18; dam and reservoir maintenance, repair of operational monitoring systems, safety warning information equipment for dams and downstream areas, system operating costs as prescribed in Article 20; establishment and implementation of protection plans, disaster response plans, and emergency response plans as prescribed in Articles 23 and 25; Develop flood maps for downstream areas of dams as prescribed in Article 27 for dams and reservoirs in operation; conduct dam rescue and handle small-scale incidents as prescribed in Article 28; develop a database system on dams and reservoirs as prescribed in Article 29 of this Decree; b) Development investment expenditure contents include funds for investment in construction , repair and upgrading of dams and reservoirs; installation of dam and reservoir monitoring equipment specified in Article 14; installation of specialized hydrometeorological monitoring equipment specified in Article 15; installation, repair, upgrade and modernization of operational monitoring systems and safety warning information equipment for dams and downstream areas specified in Article 20; marking the boundary of dam and reservoir protection areas specified in Article 23; development of flood maps for downstream areas of dams specified in Article 27 in cases where dams and reservoirs are newly constructed or repaired or upgraded; dam rescue and incident handling (except for small- scale incidents ) specified in Article 28 of this Decree. Investment capital management complies with the provisions of the Law on Public Investment and current regulations. 2. Funding for implementing the contents of dam and reservoir safety management is implemented according to the current state budget decentralization, specifically as follows: a) For the contents of dam and reservoir safety management expenses under the central government's expenditure tasks, including development investment capital and public service expenses arranged from the central budget and other legally mobilized sources. b) For the contents of dam and reservoir safety management expenses under the local expenditure tasks, including development investment capital and career expenses, arranged from the local budget and other legally mobilized sources. For localities with budget difficulties, the Prime Minister shall consider and provide support from the central budget according to the provisions of the State Budget Law and the Public Investment Law. c) The Ministry of Agriculture and Rural Development shall prepare investment capital plans and budget estimates for ensuring the safety of dams and reservoirs of special importance for irrigation; dams and reservoirs of irrigation related to two or more provinces and dams and reservoirs of irrigation supported by the central budget with expenditure contents according to the provisions of this Decree, and shall synthesize and send them to the Ministry of Planning and Investment and the Ministry of Finance according to the provisions of the State Budget Law and the Law on Public Investment. 3. For dams, hydroelectric reservoirs and irrigation dams and reservoirs built by organizations and individuals, the owners are responsible for ensuring funding for the implementation of dam and reservoir safety management. 4. The budget for developing flood maps for downstream areas affected by flooding of many dams in two or more provinces is allocated by the central budget to the Ministry of Agriculture and Rural Development for implementation. Chapter IV RESPONSIBILITY FOR IMPLEMENTATION Article 31. Responsibilities of ministries and ministerial-level agencies 1. Responsibilities of the Ministry of Agriculture and Rural Development: a) Promulgate under authority or submit to competent state agencies for promulgation, organize the implementation of plans, policies and legal documents on safety management of dams and irrigation reservoirs; b) Develop national standards, promulgate national technical regulations and economic- technical norms on safety management of dams and irrigation reservoirs; c) Implement legal regulations on dam and reservoir safety management; direct and guide localities to implement legal regulations on dam and reservoir safety management; d) Organize the implementation of the declaration and registration of dam and reservoir safety; archive records of dams and reservoirs; establish, approve and implement reservoir operation procedures; install and monitor dams and reservoirs; install specialized hydrometeorological monitoring equipment; inspect and evaluate the safety of dams and reservoirs ; inspect the safety of dams and reservoirs; maintain and establish maintenance procedures; install operational monitoring systems and safety warning information equipment for dams and downstream areas; set up boundary markers for dam and reservoir protection; establish and organize the implementation of protection plans, disaster response plans, and emergency response plans; build a database system on dams and reservoirs for dams and reservoirs of special importance and dams and reservoirs whose exploitation and protection involve two or more provinces; d) Organize statistics, build and manage databases on dams and irrigation reservoirs; e) Organize scientific research and apply advanced technology in dam and reservoir safety management; strengthen specialized units in dam and reservoir safety management; train and foster professional skills for those participating in dam and reservoir safety management activities; g) Organize information, communication and education to raise public awareness of dam and reservoir safety; h) Inspect, examine, handle violations of the law, resolve complaints and denunciations regarding the safety management of dams and irrigation reservoirs; i) Guidelines for safety inspection of dams and irrigation reservoirs; k) Synthesize the budget plan to ensure the safety of dams and irrigation reservoirs under its management into the annual budget revenue and expenditure estimates of the Ministry of Agriculture and Rural Development and send them to the Ministry of Finance and the Ministry of Planning and Investment; l) Preside over the synthesis and propose central budget support for localities to ensure the safety of dams and irrigation reservoirs, and submit to the Prime Minister for decision. 2. The Ministry of Industry and Trade is responsible for implementing state management of dam and hydropower reservoir safety, including: a) Promulgate under authority or submit to competent state agencies for promulgation, organize the implementation of plans, policies and legal documents on safety management of dams and hydroelectric reservoirs; b) Investigate and build a database of dams and hydroelectric reservoirs; c) Organize information, communication and education to raise public awareness of dam and hydroelectric reservoir safety; d) Inspect, examine, handle violations of the law, resolve complaints and denunciations regarding the safety management of dams and hydroelectric reservoirs; d) Perform other state management responsibilities on safety of dams and hydroelectric reservoirs. 3. The Ministry of Planning and Investment shall preside over and coordinate with the Ministry of Finance and relevant agencies to balance and arrange funds for medium- term public investment expenditures for 5 years, annually handle important and urgent dams and reservoirs for irrigation, and perform the task of managing the safety of dams and reservoirs according to the provisions of the Law on Public Investment , the Law on State Budget and relevant laws. 4. The Ministry of Finance shall preside over and coordinate with the Ministry of Agriculture and Rural Development to balance and arrange annual public funding for the management of dam and reservoir safety under the central government's expenditure tasks; funding for rescue and handling of incidents at dams and reservoirs; funding for implementing other legal provisions on the management of dam and reservoir safety according to the provisions of the State Budget Law and relevant laws. 5. Ministries and ministerial-level agencies, within the scope of their tasks and powers, are responsible for coordinating with the Ministry of Agriculture and Rural Development and the Ministry of Industry and Trade to perform state management of dam and reservoir safety. Article 32. Responsibilities of the Provincial People's Committee 1. Instruct, disseminate and organize the implementation of legal documents on the safety management of dams and reservoirs in the area. 2. Responsible for the safety of dams and reservoirs in the area. 3. Organize inspections, checks, and handle administrative violations in the management of dam and reservoir safety in the area. 4. Assign and decentralize responsibilities of specialized management agencies and authorities at all levels in performing state management functions on the safety of dams and reservoirs managed by localities. 5. Arrange annual funding from local budget sources to pay for the task of managing the safety of dams and reservoirs managed by localities according to the provisions of this Decree and relevant laws. 6. Strengthen specialized units for dam and reservoir safety management; provide training and professional development for those involved in dam and reservoir safety management activities in the area. 7. Perform other relevant state management responsibilities regarding dam and reservoir safety within the scope of management. Article 33. Transitional provisions 1. For reservoir operation process a) Reservoir operation procedures approved before the effective date of this Decree shall continue to be implemented until re-approved; b) Draft procedures for operating hydroelectric reservoirs submitted to competent authorities for approval before the effective date of this Decree shall continue to be appraised and promulgated in accordance with Decision No. 285/2006/QD-TTg dated December 25, 2006 of the Prime Minister regulating the authority to promulgate and organize the implementation of procedures for operating hydroelectric reservoirs. 2. For dams and reservoirs that have been marked with boundary markers of the dam protection vicinity and the reservoir protection corridor before the effective date of this Decree, they shall be kept intact and handed over to the People's Committee of the commune where the dam or reservoir is built for management. 3. Regarding flood and storm prevention plan to ensure dam safety during flood season 2018 a) Flood and storm prevention plans to ensure dam safety during the 2018 flood season approved before the effective date of this Decree shall continue to be implemented until the end of 2018; b) Draft flood and storm prevention plans to ensure dam safety during the 2018 flood season submitted to competent authorities for approval before the effective date of this Decree shall be appraised, promulgated and implemented until the end of 2018 in accordance with the provisions of Decree No. 72/2007/ND-CP dated May 7, 2007 of the Government on dam safety management. Article 34. Entry into force 1. This Decree takes effect from the date of signing and promulgation. 2. Decree No. 72/2007/ND-CP dated May 7, 2007 of the Government on dam safety management ceases to be effective from the effective date of this Decree . 3. AbolitionClause 1, Clause 2, Clause 3, Clause 4 and Clause 11, Article 4 of Decree No. 67/2018/ND-CP dated May 14, 2018 of the Government detailing a number of articles of the Law on Water Resources. The classification of dams and reservoirs is carried out according to the provisions of Article 3 of this Decree. 4. Abolish Decision No. 285/2006/QD-TTg dated December 25, 2006 of the Prime Minister regulating the authority to promulgate and organize the implementation of hydropower reservoir operation procedures. Article 35. Responsibility for implementation Ministers, Heads of ministerial-level agencies, Heads of Government agencies, Chairmen of People's Committees of provinces and centrally run cities and relevant organizations and individuals are responsible for implementing this Decree./. Recipients: - CentralSecretariat;- Prime Minister, Deputy Prime Ministers;- Ministries, ministerial-level agencies, Government agencies; -People's Councils, People's Committees of provinces and centrally run cities- Central Office and Party Committees;- Office of the General Secretary;- Office of the President- Nationalities Council and Committees of the National Assembly- Office of the National Assembly- Supreme People's Court; - Supreme People's Procuracy;- StateAudit;National Financial Supervisory Commission; -Social Policies; - Vietnam Development Bank- Central Committee of the Vietnam Fatherland Front; - Central agenciesof mass organizations- Government Office: BTCN, PCNs, Assistant to the Prime Minister, General Director of the Electronic Information Portal, Departments, Bureaus, affiliated units, Official Gazette;- Archives: VT, NN (2). XH ON BEHALF OF THE GOVERNMENT PRIME MINISTER Nguyen Xuan Phuc APPENDIX DECLARATION FORM FOR DAM AND RESERVOIR SAFETY REGISTRATION (Attached to Decree No. 114/2018/ND-CP dated September 4, 2018 of the Government) SOCIALIST REPUBLIC OF VIETNAM Independence - Freedom - Happiness --------------- …….,date….month….year……. DECLARATION Dam and reservoir safety registration 1. Name of dam and reservoir: 2. Construction site in province , district , commune 3. Main tasks: Irrigation water supply □ Power generation □ Flood reduction and reduction □ Domestic water supply □ Industrial water supply □ 4. Construction period: Starting year ………………………… ; Ending year ............................ 5. Construction cost: .......................................................................................................... 6. Source of construction investment capital: ............................................................................................ 7. Name of dam owner Address: ............................................................................................................................. .... Phone: …………………………………………… Fax: ............................................................ Email: ................................................................................................................................... Website: ............................................................................................................................. .. 8. Organizations and individuals exploiting dams (related to dam management): Address: ............. Phone: ……………………………………… Fax: ................................................................................ Email: ................................................................................................................................... 9. Reservoir 9.1. Construction level: .............................................................................................................. 9.2. Location (commune, district, province): ................................................................................................... 9.3. Basin area (Km 2 ): ................................................................................................ 9.4. Capacity corresponding to MNDBT (10 6 m 3 ): ................................................................................ 9.5. Useful capacity (10 6 m 3 ): .............................................................................................. 9.6. Dead volume (10 6 m 3 ): ................................................................................................ 9.7. Flood prevention capacity (10 6 m 3 ): ............................................................................................ 9.8. Design flood level (m): .............................................................................................. 9.9. Flood level tested (m): .............................................................................................. 9.10. Normal water level (m): ................................................................................................ 9.11. Dead water level (m): ..................................................................................................... 9.12. Maximum water level occurred (m): ................................................................................ 9.13. Lowest water level (m): .............................................................................................. 10. Main dam 10.1. Length of dam crest (m): ................................................................................................................ 10.2. Maximum height (m): ................................................................................................ 10.3. Dam crest elevation (m): ................................................................................................................ 10.4. Elevation of seawall crest (m): .............................................................................. 10.5. Type of dam (earthen dam, concrete gravity dam, rockfill dam...): ................................................................. 10.6. Quality status: Normal □ Damaged □ Description of damage (if any): ........................................................................................................ 11. Auxiliary dams 11.1. Length (m): .............................................................................................................. 11.2. Height (m): .............................................................................................................. 11.3. Dam crest elevation (m): ................................................................................................................ 11.4. Elevation of seawall crest (m): .............................................................................. 11.5. Structure : ........................................................................................................................ 11.6. Quality status: Normal □ Damaged □ Description of damage (if any): ........................................................................................................ 12. Water intakes 12.1. Name of sewer: ................................................................................................................... 12.2. Location (under which dam?): ................................................................................................. 12.3. Design flow rate (Q tk m 3 /s): 12.4. Materials: ........................................................................................................................ 12.5. Flow mode: No pressure □ With pressure □ 12.6. Length of sewer (m): ...................................................................................................... 12.7. Sewer size (m): ................................................................................................... 12.8. Bottom elevation of culvert (m): ................................................................................................ 12.9. Quality status: Good □ Damaged □ Description of damage (if any): ........................................................................................................ 13. Flood spillway 13.1. Overflow name: ...................................................................................................................... 13.2. Location: ............................................................................................................................ 13.3. Design discharge flow (Q x discharge tk m 3 /s): 13.4. Overflow threshold elevation (m): ............................................................................................ 13.5. Overflow width (m): ..................................................................................................... Number of compartments: ………………….. Overflow compartment width: ................................................................ 13.6. Structure: ........................................................................................................................ 13.7. Form: ................................................................................................................... 13.8. Form of energy dissipation: ..................................................................................................... 13.9. Opening and closing form: ..................................................................................................... 13.10. Quality status: Good □ Damaged □ Description of damage (if any): ........................................................................................................ 14. Other drainage works 14.1. Name of project: .............................................................................................................. 14.2. Design flow rate (Q tk m 3 /s): ........................................................................................ 14.3. Structure: ........................................................................................................................ 14.4. Flow mode: No pressure □ With pressure □ 14.5. Length (m): .............................................................................................................. 14.6. Dimensions (m): ............................................................................................................ 14.7. Threshold elevation (m): ................................................................................................. 14.8. Quality status: Normal □ Damaged □ Description of damage (if any): ........................................................................................................ 15. Management line: Yes □ No □ 15.1. Length: …………………. (m) 15.2. Road surface: Soil □ Aggregate □ Asphalt, concrete □ 15.3. Road quality: Good □ Bad □ Normal □ 16. Types of monitoring 16.1. Construction monitoring Seepage monitoring □ Displacement monitoring □ Stress □ 16.2. Specialized hydrometeorological monitoring Rain Gauge Automatic □ Manual □ Number of stations: ............................................................................................................................. ....... . Current status description: ............................................................................................................................... .... Water level measurement: Automatic □ Manual □ Number of stations: ............................................................................................................................. ....... . Current status description: ............................................................................................................................... .... 17. Operation monitoring system Yes □ No □ Current status description: ............................................................................................................................... .... 18. Dam and reservoir database Yes □ No □ Current status description: ............................................................................................................................... .... 19. Operating Procedure Yes □ No □ 19.1. Year of approval: 19.2. Adjustment year: 20. Protection plan Yes □ No □ 20.1. Year of approval: ............................................................................................................ 20.2. Adjustment year: ............................................................................................................ 21. Marking the boundary of the protection range of dams and reservoirs Yes □ No □ 22. Emergency response plan Yes □ No □ 22.1. Year of approval: ............................................................................................................ 22.2. Adjustment year: ............................................................................................................ 23. Disaster response plan Yes □ No □ 23.1. Year of approval: ............................................................................................................ 23.2. Adjustment year: ............................................................................................................ 24. Safety inspection of dams and reservoirs 24.1. Number of inspections: .......................................................................................................... 24.2. Year of implementation: .............................................................................................................. 25. Dam and reservoir records storage: Full □ Incomplete □ None □ 26. Safety warning information equipment for dams and downstream areas: Yes □ No □ 27. Gate valve operation process, construction maintenance process 27.1. Valve operation procedure Yes □ No □ 27.2. Construction maintenance process Yes □ No □ 28. Mining management process Summary of major incidents, repair and upgrade contents that have been performed, year of implementation. 29. General assessment of dam safety 29.1. General assessment 29.2. Proposal Date……month…..year….. (Organization, individual mining the dam signs and st