Compliance Matrix — Decree 114/2018/ND-CP & TCVN 9398:2012¶
What this document is
This is a compliance matrix that maps the legal obligations for dam and reservoir safety management and the technical requirements for deformation monitoring of works onto what an Automatic Data Acquisition System (ADAQS) must actually be able to do.
Its purpose is to let owners, dam operators, design consultants and monitoring contractors answer one question: "Does my monitoring system satisfy the law and the standards — and what is my evidence?"
1. Purpose and scope¶
| Item | Content |
|---|---|
| Purpose | Turn legal and standards requirements into verifiable technical requirements for a monitoring system |
| Intended users | Dam owners; operators; design consultants; supervision consultants; monitoring contractors; inspection bodies |
| Works covered | Dams and reservoirs; buildings and industrial works; tunnels; deep excavations; embankments and soft ground |
| Primary basis | Decree 114/2018/ND-CP; TCVN 9398:2012 |
| Principle | Every requirement row must answer: what is measured — how often — how accurately — when does it alarm — where is the record kept |
2. Legal basis and current status¶
Check currency before relying on this
Vietnamese dam-safety law is in transition. The table below reflects the position at the time of writing — always re-check against the original texts and the latest amendments.
| Instrument | Subject | Status |
|---|---|---|
| Decree 114/2018/ND-CP (4 Sep 2018) | Dam and reservoir safety management | In force — the primary basis of this document |
| Resolution 12/2026/NQ-CP (effective 15 May 2026) | Urgent measures in dam and reservoir safety management in emergency situations | In force, applying until the decree replacing Decree 114/2018/ND-CP takes effect |
| Decree replacing Decree 114/2018/ND-CP | Being finalised by the Ministry of Agriculture and Environment for submission to the Government | Draft — not yet issued (monitor closely) |
| TCVN 9398:2012 | Surveying work in construction — General requirements | In force — Clause 9 governs settlement and displacement measurement |
| TCVN 9360:2012 (and the 2024 revision) | Determining settlement of civil and industrial works by geometric levelling | In force — directly referenced by TCVN 9398 |
Compliance risk to act on now
Resolution 12/2026/NQ-CP is an emergency instrument and will lapse when the replacement decree is issued. Any monitoring dossier that cites Resolution 12/2026 must be re-reviewed once the new decree is published. This is precisely why an ADAQS that can reconfigure thresholds and frequencies — rather than hard-coding them — has long-term compliance value.
3. Part A — Decree 114/2018/ND-CP compliance matrix¶
A.0 — Scope and classification of works¶
| Legal requirement | Content | What it means for the monitoring system |
|---|---|---|
| Article 1 | Applies to dams from 5 m in height or reservoirs from 50,000 m³ in total capacity | Establish up front whether the work falls within scope |
| Article 3 | Classification: especially important / large / medium / small by dam height, reservoir capacity and downstream criticality | The class determines monitoring frequency, instrument count and degree of automation |
Classification table (Article 3) — used to size the monitoring investment:
| Class | Dam height | Reservoir capacity |
|---|---|---|
| Especially important | ≥ 100 m | ≥ 1,000,000,000 m³ (or 500–1,000 million m³ with a critical downstream area) |
| Large | 15 m – < 100 m (or 10–<15 m with dam length ≥ 500 m, design spillway discharge > 2,000 m³/s) | 3,000,000 – < 1,000,000,000 m³ |
| Medium | 10 m – < 15 m | 500,000 – < 3,000,000 m³ |
| Small | < 10 m | < 500,000 m³ |
A.1 — Obligation to install monitoring equipment¶
| Article | Legal requirement | Responsible party | Derived technical requirement | ADAQS solution |
|---|---|---|---|---|
| Article 5 | Design/construction must include monitoring equipment per current standards; gated dams must have an operation monitoring system and information/warning equipment; large free-spillway dams must have warning equipment | Investor / design consultant | The equipment schedule must be quantified in the design dossier | Instrument register with identifiers, layout drawing, channel configuration |
| Article 14 | The owner must install monitoring equipment per standards; the operator must monitor, analyse, detect abnormalities, archive and report | Owner + operator | Must demonstrate abnormality-detection capability — i.e. thresholds and time-series comparison | Automatic alarm thresholds; trend detection; event log |
| Article 20 | Gated dams in operation without an operation monitoring system and warning equipment must install them within 2 years; large free-spillway dams within 3 years | Owner (bears the cost) | A hard deadline — use it to plan investment | Upgrade path: analogue → digital → automated |
A.2 — Specialised hydro-meteorological monitoring frequency (Article 15)¶
This is the most-requested table — the minimum monitoring frequency
Source: Article 15(4), Decree 114/2018/ND-CP.
| Dam type | Dry season | Flood season | During flood-control operation | Reservoir at/above spillway crest | Above design flood level |
|---|---|---|---|---|---|
| Gated (flood-regulating) dam | 2×/day (07:00, 19:00) | 4×/day (01:00, 07:00, 13:00, 19:00) | ≥ 1×/hour | — | 4×/hour |
| Free-spillway dam | 2×/day (07:00, 19:00) | 4×/day (01:00, 07:00, 13:00, 19:00) while level is below the spillway crest | — | 1×/hour | 4×/hour |
Consequences for the ADAQS:
| Requirement | Technical interpretation |
|---|---|
| 4×/hour frequency | Sampling interval ≤ 15 minutes in emergency mode |
| Mode switching driven by reservoir level | The system must escalate frequency automatically on threshold, with no manual step |
| Fixed clock times (01:00, 07:00…) | Requires time synchronisation and trustworthy timestamps |
| Publishing data to a website | Requires an API/data portal able to export reports and raw data |
| Sending data to several agencies | Requires role-based access and multiple output formats from a single data source |
A.3 — Dam safety inspection and audit¶
| Article | Obligation | Timing | Monitoring data required |
|---|---|---|---|
| Article 16 | Continuous inspection; pre-flood-season inspection; post-flood-season inspection; inspection after heavy rain/flood or earthquake | Reports before 15 April (Northern, North Central, Central Highlands, Southern regions) and before 15 August (South Central region) | Reports must contain analysed and processed monitoring results; highest reservoir level; largest flood inflow |
| Article 18 | First audit: in year 3 from impoundment to normal raised water level (or year 5); periodic audit every 5 years; extraordinary audit on discovery of damage | 3–5 years / 5-year cycle | Requires analysis of the historical monitoring series, supplementary survey, check of hidden defects, settlement, landsliding |
Implication: monitoring data cannot be recreated. If a cycle is lost, the periodic audit lacks its evidence. This is the strongest technical argument for automating and backing up data from day one.
A.4 — Warning thresholds and emergency situations¶
| Basis | Content | What it means for the system |
|---|---|---|
| Article 2 (definition) | "Emergency situation" = rain/flood exceeding design frequency; earthquake exceeding the design standard; or another impact endangering the dam | The system needs a separate emergency mode, distinct from normal operation |
| Article 15(4) | The spillway crest level and the design flood level are the two escalation thresholds for monitoring frequency | Requires elevation-based thresholds and automatic frequency change |
| Article 25 | Owner/operator must prepare and review annually a disaster-response and emergency-response plan | The plan must be tied to the system's actual alarm thresholds |
| Article 27 | Downstream flood maps must be produced within 3 years | Requires a sufficiently long, reliable level record to calibrate the model |
| Resolution 12/2026/NQ-CP | Governs reservoir operation in emergency situations; prioritises flood-cutting storage | The system must share level/discharge data in real time across reservoirs in the basin |
4. Part B — TCVN 9398:2012 compliance matrix¶
B.1 — Where deformation monitoring sits¶
| Clause | Requirement | Interpretation |
|---|---|---|
| 4.2 c) | Surveying for deformation monitoring comprises: establishing the base control network, the reference benchmark network and check points | Three tiers of monuments are mandatory — a few scattered measuring points will not do |
| 9.1.1 | Purpose: determine absolute and relative settlement/displacement, find the cause, establish stability parameters | Requires both absolute displacement (against the reference) and relative displacement (between points) |
| 9.1.2 | Measure settlement and displacement during construction and service, until stability is achieved | Monitoring is a long-term obligation, not something that ends at handover |
| 9.1.3 | Must determine: vertical displacement (settlement, deflection, heave); horizontal displacement; inclination; cracks | Four families of quantity → at least four families of instrument |
B.2 — Accuracy: the most demanding requirement in the standard¶
General principle (Clause 4.5):
The measure of accuracy is the mean square error. Limit error = 2 × mean square error.
Accuracy classes and limit errors (Clause 9, Table 6):
| Accuracy class | Limit error — settlement | Limit error — horizontal displacement | Typical application |
|---|---|---|---|
| 1 | 1 mm | 2 mm | Hard / semi-hard ground; design life > 50 years; important works |
| 2 | 1 mm | 5 mm | Sand and clay; highly deformable ground |
| 3 | 3 mm | 10 mm | Fill, soft ground, heavily compressed ground |
Allowable horizontal-displacement error by anticipated magnitude and stage (Clause 9, Table 5):
| Anticipated settlement/horizontal displacement | Sand — construction | Clay — construction | Sand — service | Clay — service |
|---|---|---|---|---|
| < 50 mm | 1 mm | 1 mm | 1 mm | 1 mm |
| 50 – < 100 mm | 2 mm | 1 mm | 1 mm | 1 mm |
| 100 – < 250 mm | 5 mm | 2 mm | 1 mm | 2 mm |
| 250 – < 500 mm | 10 mm | 5 mm | 2 mm | 5 mm |
| > 500 mm | 15 mm | 10 mm | 5 mm | 10 mm |
Limit error for horizontal displacement by ground type (Clause 9.3.2.4):
| Ground / work type | Limit error |
|---|---|
| Bedrock | ± 1 mm |
| Sand, clay and other compressible soils and rock | ± 3 mm |
| Earth-rock dams under high pressure | ± 5 mm |
| Fill and poorly compressible mud | ± 10 mm |
| Earth-fill works | ± 15 mm |
Where the direction of displacement is unknown, monitoring must be carried out along two mutually perpendicular directions.
Inclination measurement error (Clause 9.3.3.1):
| Object | Allowable error |
|---|---|
| Large foundation rafts, combined machinery | 0.000 01 × L (L = base length) |
| Walls of industrial and civil works | 0.000 1 × H (H = height) |
| Chimneys, towers, tall columns | 0.000 5 × H |
This is the single most important technical selling point
An error of ± 1 mm to ± 3 mm cannot be achieved by periodic manual measurement. This is exactly the gap that vibrating-wire (VW) sensors, digital inclinometers and automated acquisition systems fill — and the technical argument for moving from manual reading to an ADAQS.
B.3 — Reference benchmarks and stability assessment¶
| Clause | Requirement | Implementation implication |
|---|---|---|
| 9.2.2 | A reference benchmark network must be established before measuring horizontal displacement and inclination | Benchmarks must lie outside the deformation influence zone |
| 9.2.3 | The stability of the benchmark network must be assessed in every cycle | Benchmarks cannot be assumed fixed — the processing software needs a stability-check algorithm |
| 9.1.4 | Sequence: prepare the technical scheme → design reference and measuring monuments → set out → install → measure → compute and analyse | A technical scheme must be approved before construction |
B.4 — Monitoring cycles¶
| Clause | Provision |
|---|---|
| 9.1.2 | Cycles are tied to achieving stability; no single fixed interval is prescribed |
| 9.3.4.2 / 9.3.4.3 | Crack measurement must follow fixed cycles, with position and date marked |
| 9.2.3 | Benchmark network stability must be assessed in every cycle |
Monitoring cycle = legal frequency (Decree 114) ∩ stability condition (TCVN 9398)
Decree 114 sets a frequency floor (how many times per day). TCVN 9398 sets the stopping condition (when stability is achieved). A good ADAQS must satisfy both simultaneously.
B.5 — Methods and referenced standards¶
| Clause | Quantity | Methods | Reference |
|---|---|---|---|
| 9.3.1.1 | Settlement | Geometric levelling; trigonometric levelling; hydrostatic levelling; photogrammetry | Most common: geometric levelling |
| 9.3.1.2 | Settlement | Technical procedure | TCVN 9360:2012 |
| 9.3.2.1 | Horizontal displacement | Alignment method; angle–distance measurement | |
| 9.3.2.3 | Horizontal displacement (where no alignment can be established) | Angular/side intersection; triangulation; polygon traverse | |
| 9.3.3.2 | Inclination | Coordinates; horizontal angle; small angle; vertical projection; small zenith angle | |
| 9.3.4.4 | Cracks | Where width exceeds 1 mm, the depth must be measured |
B.6 — Records, archiving and acceptance¶
| Clause | Requirement | Evidence required |
|---|---|---|
| 10.2 | Records of the control network, setting-out network and displacement monitoring work must be compiled, accepted and handed over to the investor for retention throughout construction and service | Acceptance minutes; as-built monitoring dossier; a queryable digital database |
5. Part C — ADAQS requirements derived from Parts A + B¶
From the two sets of obligations, the minimum architecture of a monitoring system with sufficient compliance capability can be derived:
flowchart LR
A["Sensors<br/>VW piezometer,<br/>extensometer,<br/>inclinometer,<br/>crack meter,<br/>load cell"] --> B["Data logger<br/>Multi-channel,<br/>surge protected"]
B --> C["Telemetry<br/>Radio / 4G / satellite<br/>Wireless mesh"]
C --> D["Data platform<br/>Time-series<br/>database"]
D --> E["Analysis & alarming<br/>Thresholds, trends,<br/>benchmark stability"]
E --> F["Reports & records<br/>Periodic reports,<br/>data export,<br/>acceptance archive"]
E --> G["Warning dissemination<br/>SMS / email /<br/>on-site siren"]Traceability matrix — legal requirement ↔ system capability:
| # | Derived requirement | Basis | Mandatory system capability | Compliance evidence |
|---|---|---|---|---|
| 1 | Continuous monitoring independent of people | Decree 114 Art. 14 | Automatic logger, backup battery, buffered memory | Activity log, data-coverage chart |
| 2 | Frequency escalating on reservoir level | Decree 114 Art. 15(4) | Configurable thresholds + emergency mode | Approved threshold configuration sheet |
| 3 | Settlement error ≤ 1–3 mm | TCVN 9398 Table 6 | High-resolution sensors, periodic calibration | Calibration certificates |
| 4 | Horizontal displacement error ≤ 1–5 mm | TCVN 9398 9.3.2.4 | Inclinometer/alignment system meeting class 1–2 | Repeat-measurement results, error analysis |
| 5 | Benchmark stability assessed every cycle | TCVN 9398 9.2.3 | Processing software with stability checking | Benchmark stability report |
| 6 | Abnormality detection and timely alarm | Decree 114 Art. 14, 25 | Automatic thresholds, multi-channel notification | Alarm log, handling minutes |
| 7 | Long-term archiving and handover to the investor | TCVN 9398 10.2; Decree 114 Art. 18 | Backed-up database, raw data export | Digital dossier handover minutes |
| 8 | Reports to multiple agencies, on time | Decree 114 Art. 16 | Report templates, role-based access | Submitted reports with timestamps |
| 9 | Support for the 5-year periodic audit | Decree 114 Art. 18 | Continuous, unbroken historical data | Intact historical data series |
6. Part D — Phase-by-phase implementation checklist¶
- Determine whether the work falls within Decree 114 scope (Article 1)
- Classify the work (Article 3) → determine the monitoring class
- Prepare the monitoring technical scheme (TCVN 9398 – 9.1.4)
- Determine the target accuracy class (Table 6) and limit errors
- Design the base control network + reference benchmark network + check points (4.2c)
- Define the quantities to be measured: settlement, horizontal, inclination, cracks (9.1.3)
- Install monitoring equipment per current standards (Articles 5, 14)
- Install the operation monitoring system + warning equipment (Articles 5, 20)
- Configure alarm thresholds against reservoir elevations (Article 15(4))
- Calibrate sensors and retain calibration certificates
- Verify benchmark stability in the first cycle (9.2.3)
- Monitor at or above the minimum frequency (Article 15(4))
- Escalate frequency automatically on threshold
- Analyse, detect abnormalities, act (Article 14)
- Pre-flood-season / post-flood-season inspection (Article 16)
- Periodic reports before 15 April or 15 August (Article 16(3))
- Archive, back up and hand over records (TCVN 9398 – 10.2)
- First audit in year 3 or year 5 (Article 18)
- Periodic audit every 5 years (Article 18)
- Extraordinary audit on discovery of damage (Article 18)
- Analyse the historical monitoring series
- Re-check the legal basis once the decree replacing Decree 114 is issued
7. Part E — Minimum compliance dossier¶
| # | Document | Basis | Update frequency |
|---|---|---|---|
| 1 | Monitoring technical scheme | TCVN 9398 – 9.1.4 | Once, revised on change |
| 2 | Measuring point and benchmark layout drawing | TCVN 9398 – 4.2c | Once |
| 3 | Equipment calibration certificates | TCVN 9398 – 9 | Per manufacturer schedule |
| 4 | Benchmark network stability report | TCVN 9398 – 9.2.3 | Every cycle |
| 5 | Alarm threshold configuration sheet | Decree 114 – Art. 15(4), 25 | Reviewed annually |
| 6 | Monitoring log and alarm log | Decree 114 – Art. 14 | Continuous |
| 7 | Pre-/post-flood-season inspection report | Decree 114 – Art. 16 | Twice a year |
| 8 | Dam safety audit report | Decree 114 – Art. 18 | Every 5 years |
| 9 | Monitoring dossier handover minutes | TCVN 9398 – 10.2 | On handover/closure |
8. Appendices¶
AP-1 — Consolidated monitoring frequency table¶
| Mode | Applies to | Minimum frequency | Suggested ADAQS sampling interval |
|---|---|---|---|
| Dry season | All dam types | 2×/day | Once per hour (background) |
| Flood season | All dam types | 4×/day | Every 15 minutes |
| Flood-control operation | Gated dams | ≥ 1×/hour | Every 5 minutes |
| Level at/above spillway crest | Free-spillway dams | 1×/hour | Every 5 minutes |
| Above design flood level | All dam types | 4×/hour | Every 1 minute (emergency) |
AP-2 — Accuracy classes at a glance¶
| Class | Settlement limit error | Horizontal limit error | Typical ground |
|---|---|---|---|
| 1 | 1 mm | 2 mm | Bedrock, hard/semi-hard ground, important works |
| 2 | 1 mm | 5 mm | Sand, clay, highly deformable ground |
| 3 | 3 mm | 10 mm | Fill, soft ground, heavily compressed ground |
AP-3 — Instrument families mapped to standard requirements¶
| Quantity (TCVN 9398 – 9.1.3) | Typical accuracy class | Instrument family | Typical application |
|---|---|---|---|
| Pore water pressure / groundwater level | — | Vibrating-wire piezometer, pneumatic piezometer | Seepage through dam body and foundation, deep excavation |
| Horizontal displacement in borehole | 1–2 | Inclinometer (in-place array, manual probe, digital system) | Slope failure, tunnel walls, excavation retaining walls |
| Horizontal displacement outside the structure | 1–2 | Tiltmeter, optical alignment | Walls, columns, high-rise structures |
| Settlement / vertical displacement | 1–3 | Extensometer, magnetic settlement system, geometric levelling | Embankments, soft-soil consolidation, foundations |
| Inclination | 9.3.3.1 | Tiltmeter, structural tilt sensor | Towers, chimneys, retaining walls |
| Cracks | — | Crack meter, joint meter | Concrete structures, walls, tunnels |
| Load / stress | — | Load cell, strain gauge, stressmeter | Anchors, struts, steel structures |
| Vibration / blasting | — | Blast vibration monitor | Sites near residential areas |
AP-4 — English–Vietnamese glossary¶
| English | Tiếng Việt |
|---|---|
| Automatic Data Acquisition System (ADAQS) | Hệ thống thu thập dữ liệu tự động |
| Vibrating wire (VW) sensor | Cảm biến dây rung |
| Piezometer | Đầu đo áp lực nước lỗ rỗng / áp kế |
| Extensometer | Thiết bị đo biến dạng dọc trục |
| Inclinometer | Thiết bị đo chuyển dịch ngang lỗ khoan |
| Tiltmeter | Đầu đo độ nghiêng |
| Crack meter / joint meter | Đầu đo vết nứt / khe nối |
| Load cell | Đầu đo tải trọng |
| Strain gauge | Tenzơ đo biến dạng |
| Data logger | Đầu ghi dữ liệu |
| Telemetry | Truyền dữ liệu từ xa |
| Reference benchmark | Mốc chuẩn |
| Control network | Lưới khống chế |
| Monitoring cycle | Chu kỳ quan trắc |
| Warning threshold | Ngưỡng cảnh báo |
| Settlement | Độ lún |
| Horizontal displacement | Chuyển dịch ngang |
| Pore water pressure | Áp lực nước lỗ rỗng |
| Seepage | Thấm |
| Spillway | Tràn xả lũ |
| Normal raised water level (MNDBT) | Mực nước dâng bình thường |
| Design flood level (MNLTK) | Mực nước lũ thiết kế |
| As-built records | Hồ sơ hoàn công |
| Acceptance | Nghiệm thu |
9. Disclaimer¶
Read before using this in a statutory dossier
This document is a technical reference, prepared to help engineers and owners understand and organise legal requirements. It is not a legal instrument and does not replace the original texts.
- The provisions quoted from Decree 114/2018/ND-CP and TCVN 9398:2012 have been summarised and regrouped by theme; article numbers, clause numbers and specific figures must be verified against the original texts before being used in a design dossier, acceptance dossier or report to a regulator.
- Dam-safety provisions are being amended; always check the currency of the instrument and of any replacement at the time of use.
- The suggested ADAQS sampling intervals are technical recommendations, not legal requirements.
Compiled and maintained by: Vietnam Geotechnical Knowledge Base.
Sources checked: Decree 114/2018/ND-CP; Resolution 12/2026/NQ-CP; TCVN 9398:2012; TCVN 9360:2012 (and the 2024 revision).