water and waste services quality assessment guide · water supply, sewerage and municipal waste...

TECHNICAL GUIDES 19

Water and waste services

quality assessment guide

2nd generation of the assessment system

Water and waste services

quality assessment guide


TECHNICAL FILE

Title:

Water and waste services assessment guide - 2nd generation of the

assessment system

Authors:

LNEC – Helena Alegre, Rafaela Matos, Eduarda Beja Neves, Adriana Cardoso and Patrícia Duarte.

ERSAR – Jaime Melo Baptista, Fernanda Maçãs, Carlos Pereira, Paula Freixial,

Filomena Lobo, Luís Simas, Alexandra da Cunha, Cristina Aleixo, Rita Ferreira,

Rute Rodrigues, Maria João Moinante, Francisco Mira, Maria José Franco, Rita

Ramos, Miguel Nunes, Ricardo Lopes, João Silva, Alexandra Costa, Lurdes

Ramos, Cristina Rodrigues, Filipe Ruivo, Cecília Alexandre, Pedro Gonçalves,

Isabel Andrade, David Alves and Edgar Carvalho.

Collaboration:

We would like to thank all the water and waste service operators, whose

comments and suggestions allowed us to develop and consolidate the service

quality assessment system.

Translation: Mareen Wehling

Translation revision: Álvaro Carvalho (ERSAR/DEP), Margarida Monte

(ERSAR/DEN-A), João Silva (ERSAR/DEN-R)

Publishing: Water and Waste Services Regulation Authority (ERSAR). National Laboratory for Civil Engineering (LNEC).

Graphic design: Dimensão 6, comunicação, design, publicidade, Lda.

Typesetting and layout: Cor comum – Serviços gráficos, Lda.

Printing: Cor comum – Serviços gráficos, Lda.

Print run: 700 copies

Place and date of publication: 2nd print, reviewed. Lisbon, October 2013. This translation published in Lisbon, June 2017.

ISBN: 978-989-8360-11-3

Legal deposit: 348501/12

FOREWORD BY ERSAR

In accordance with its organic law, ERSAR’s regulation strategy

comprises three areas. The first involves the structural regulation of

the sector and means contributing to a better organization of the

sector and clarifying its rules. The second area is dedicated to the

behavioural regulation of the operators in this sector, in the legal and

contractual monitoring throughout the life cycle, of economic

regulation, service quality, drinking water quality and interface with

consumers. The third area is directed at complementary regulatory

activities, including the development and regular dissemination of

information and technical support to the operators.

In this context, ERSAR is responsible not only for promoting the

assessment of the service quality levels of all water and waste

services operators, but also for collecting and disseminating this

information and for developing and publicizing comparative

summaries thereof.

This “Water and waste services quality assessment guide – 2nd

generation of the assessment system” follows the application of a 1st

generation of the assessment system from 2004 to date, focused on

utilities and finalists of the Water and Waste Service Quality Awards.

Seven years after the implementation of the 1st generation, it was

decided to make some improvements and to correct certain aspects

in order to deliver greater functionality and provide it with greater

technical accuracy, simultaneously increasing its applicability to all

operators, without changing its contents and meaning.

While the first generation was based on 20 indicators for each of the

water supply, sewerage and municipal waste management services,

the 2nd generation is based on only 16 quality indicators for each of

the three services.

This assessment system of 2nd generation indicators has been

implemented since 2012 based on operational data of 2011. It has

been applied to all water and waste services operators in mainland

Portugal, regardless of their state or municipal ownership and their

governance model, by direct management, delegated in partnership

or concession. The results are the reference source of information

about these services in mainland Portugal, and they are widely

publicized, namely in the Annual Report on Water and Waste

Services in Portugal (RASARP).

Two years after the implementation of this system and benefiting

from the experience of two annual cycles of universal regulation,

ERSAR publishes the 2nd edition of this guide. Some concepts and

indicators were reviewed and adapted.

In order to enable a comparative analysis with the 1st generation of

quality of service indicators, ERSAR publishes both versions of this

guide in its website (www.ersar.pt).

More than ten years after implementation, this system remains a key

tool for regulation and is an excellent example of collaboration among

complementary bodies – the regulator, a benchmark R&D centre

(National Laboratory of Civil Engineering) and the universe of

regulated operators. This system in fact welcomed many

contributions and comments sent by the water and waste services

operators during the consultation period, whose professional and

constructive collaboration is appreciated, highlighting the growing

maturity of the industry and their sense of responsibility towards

society.

The aim of this system is to contribute to better protection of user

interests, optimizing the price versus quality of service (effectiveness

and efficiency), further protecting the economic sustainability of the

operators and their legitimate interests and to protect the

environmental aspects associated with their activity.

Jaime Melo Baptista

(Chairman of the board of directors of ERSAR)

Carlos Lopes Pereira

(Member of the board of directors of ERSAR)

FOREWORD BY LNEC

Under its four-year planned research programme, LNEC has been

focusing for more than two decades on strategic R&D in the area of

water and waste services quality assessment, having established

itself as a leader in the definition of assessment methodologies

based on performance indicators and in the definition of the key

principles for its implementation. More recently, this activity has also

expanded to the field of infrastructure asset management and of

collaborative projects in Portugal and abroad.

It is once again with great satisfaction that we continue the previous

collaboration in the context of a 2nd assessment generation, this time

extended to all Portuguese operators. This project naturally benefits

from all the practical experience gained and from the framework of a

set of international ISO 24500 standards on the performance

assessment of water services in which the LNEC actively

participated. Projects in Europe, Brazil, India and China are also

highlights of this process, as well as cooperation within the

specialized groups of the International Water Association (IWA). In

Portugal, the projects AWARE-P (www.aware-p.org) and iGPI

(ww.iniciativaGPI.org) are also worth mentioning.

We share with ERSAR the understanding that the highly positive

results achieved at the end of the 1st generation of the assessment

system were a valuable starting point for a progressively universal

and more consolidated approach in assessing the quality of water

and waste services.

It remains our firm belief that the increasingly active and mature

involvement, contribution and practical experience of users is crucial

to move towards effective sustainability of these services in Portugal.

Carlos Pina

(Chairman of LNEC)

Rafaela de Saldanha Matos

(Director of LNEC's Hydraulic and Environment Department)

http://www.aware-p.org/

CONTENTS

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2. Description of the guide . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

3. Regulation model for the sector. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

4. Service quality assessment system. . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

4.1 Assessment system components . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

4.2 Key changes made in the 2nd generation of the service quality assessment. ......................................... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12

4.3 Operator profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

4.4 System profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

4.5 Service quality indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

4.6 Service quality context factors . . . . . . . . . . . . . . . . . . . . 20

4.7 Data of the service quality assessment system . . . 21

5. Implementation procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

5.1 General procedure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

5.2 Preparation of data by the operator . . . . . . . . . . . . . . . . . . . 24

5.3 Provision of data by the operator . . . . . . . . . . . . . . . . . 24

5.4 Validation of data by ERSAR for all operators. . . . . . . . . . . . . . . . 26

5.5 Processing of data and interpretation of results by

ERSAR for each operator . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

5.6 Processing of data and interpretation of results by

ERSAR for all operators . . . . . . . . 27

5.7 Publication and dissemination of the annual report

of the service quality assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27

6. System of water supply indicators . . . . . . . . . . . . . . . . 29


6.2 System profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30




7. System of urban wastewater management indicators . . . . . 39

7.1 Operator profile. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

7.2 System profile. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40




8. System of municipal waste management indicators . . . . . . . . . 49


8.2 System profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50

8.3 Service quality indicators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51


8.5 Data of the service quality assessment system. . . 56

9. Final remarks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

10. References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

Annex A1. Quality of the water supply service - definitions. . . . . .

63

Water supply service quality indicators. . 63

Indicators used in the system profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74

Annex A2. Data on the water supply service . . . 75

Annex A3. Urban wastewater management service quality - definitions . . . . 119

Urban wastewater management service quality indicators .. . 119

Indicators used in the system profile ......... . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130

Annex A4. Data on the urban wastewater management service. 131

Annex A5. Quality of the municipal waste management service – definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179

Municipal waste management service indicators…... . . . . . . . . . . . . . 179

Annex A6. Data on the municipal waste management service . . . . . . 193

Annex A7. Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..... . . . . . . . . . . . . . . . 227

Annex A8. Calculation of the uncertainty of indicators . . . . . . . . . . . . . . . . . 243

LIST OF FIGURES

Figure 1 – ERSAR regulation model . . . . . . . . . . . . . . …………… . . . . . . . . . . . . . . . . . 9

Figure 2 – Components of the service quality assessment

system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

11

Figure 3 – Flowchart of implementation procedures of the

water and wastewater service quality system.... 23

Figure A1 – Components of the water balance.................................... . . . . . . . . . 235

LIST OF TABLES

Table 1 – Water supply service quality indicators. . . . . . . . . . . . . . ............... 17

Table 2 –Urban wastewater management service quality indicators. . ................................................................................................................ 18

Table 3 – Municipal waste management service quality indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............... 19

Table 4 – Data accuracy bands . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ………………………………. 25

Table 5 – Reliability bands of the information source . . . . . . . ..................... 26

Table 6 – Water supply operator profile . . . ...................................................................... 29

Table 7 – Water supply system profile . . . . . . . ..................................................... . . . . 30

Table 8 – Water supply service quality indicators.. . . . . . . . . . . . . . . . . ........................... 31

Table 9 – Data on the assessment system of the water supply service quality . . . . . . . . . . . . . . . . . …………... . ………………... . 36

Table 10 – Profile of the urban wastewater management service operator . . . . . . . . . . . . . . . . . . . . . . . . …………... . . . . . . . . . .............................. . . 39

Table 11 – Urban wastewater management system profile. . . . . . . . . 40

Table 12 – Urban wastewater management service quality indicators . . . . . . . . . . . . . . . . ............................................................................... 41

Table 13 – Data on the assessment system of the Urban wastewater management service quality . . . . …………….,,,,,,,,,,,,46

Table 14 – Municipal waste management operator profile..... . . . . . . . 49

Table 15 – Municipal waste management system profile.......... . . . . 50

Table 16 – Municipal waste management service quality indicators . . . . . . 51

Table 17 – Data on the assessment system of the urban waste management service quality . . . . . . . . . . . . . . ………………………………………………….. 56

Table A1 – Components of the water balance ......................... . . . . . . . . . . . . . . . . . . . . . . . . . . 236

Table A2 – Accuracy intervals of the data . ........................ . ..... . . . . . . . . . . . . . . .. . . . . . . . . . . . . . 243

INTRODUCION 1

1. INTRODUCTION

The purpose of this guide is to present and specify the 2nd generation

of the water supply, urban wastewater management and municipal

waste management service quality assessment system.

This system is a key part of the regulatory model under

implementation by ERSAR, briefly described in this Guide and more

fully described in [1], in particular as regards the regulation of the

service quality, in order to allow a quantified assessment.

In accordance with the provisions of Article 5 1e) of Decree-Law No.

277/2009 of 2 October, ERSAR is responsible not only for regulating

the quality of the service provided by the operators, but also for

assessing the performance of these bodies and promoting the

improvement of service levels. It is within the framework of these

assignments that we wish to promote the water and wastewater

service quality assessment system.

The 2nd generation of the service quality assessment system resulted

from the critical analysis of the system of indicators adopted in the 1st

generation and their application since 2004 to all of the utilities and

took into account the current state of knowledge and international

experience gained since then.

In addition to identifying and specifying all the components of the

assessment system, and particularly the set of service quality

indicators to be used in each of the three kinds of services,

assessment procedures are also achieved through the information to

be obtained, the calculation of indicators, their analysis from a

benchmarking perspective, and the production of a summary report.

3 DESCRIPTION OF THE GUIDE

2. DESCRIPTION OF THE GUIDE

This guide is structured as follows:

■ Regulatory model for the sector: Chapter 3 summarises the

regulatory model adopted by ERSAR already widely

disseminated among the operators, in order to make clear the

role of the assessment system in regulating the service quality.

■ Tools used to assess the service quality: Chapter 4 provides a

general presentation of the service quality assessment system

defined by ERSAR, including components on the profile of the

operator and system, the service quality indicators, the context

factors and the data.

■ Implementation procedures: Chapter 5 presents a detailed

description of all the procedures that should be implemented on

an annual basis, either by the operators or by ERSAR, from

gathering the necessary information to the publication and

dissemination of the final report.

■ System of service quality indicators for public water supply: In

Chapter 6 a detailed presentation is made of the service quality

assessment system defined by ERSAR for water supply services;

this chapter is supplemented with Annexes A1 and A2.

■ System of service quality indicators for urban wastewater

management services: Chapter 7 provides a detailed

presentation of the service quality assessment system defined by

ERSAR for sewerage services; this chapter is complemented with

Annexes A3 and A4.

■ System of service quality indicators for municipal waste

management: Chapter 8 provides a detailed presentation of the

service quality assessment system defined by ERSAR for

municipal waste management services; this chapter is

complemented with Annexes A5 and A6.

Annex A7 provides the terminology necessary for the correct

understanding of the text in this document.

Annex A8 contains information on the definition of reliability and

uncertainty and on how to calculate the propagation of the

uncertainty of data.

4 WATER AND WASTE SERVICES QUALITY ASSESSMENT GUIDE

Note that this Guide is applicable to all operators, regardless of

whether they provide a bulk service or a retail service. However, not

all service quality indicators may be applicable and concepts and

calculations may differ, as stated below.

5 REGULATION MODEL FOR THE SECTOR

3. REGULATION MODEL FOR THE SECTOR

Public water supply, sewerage services and municipal waste

management are structural public services, essential to the general

well-being, public health and collective security of the population, to

economic activities and to environmental protection. These services

should be provided under the principles of universal access,

continuity and quality of service, efficiency and equitable tariffs.

The primary concern of the regulation of these services is thus to

protect the interests of users by promoting the quality of the service

provided by operators and ensuring the balance of tariffs, embodied

in the principles of essentiality, indispensability, universality, equity,

reliability and cost-effectiveness. It should also ensure, where

applicable, equality and transparency in the access to these services

and in their provision as well as in contractual relations, ensuring

economic, financial, infrastructural and operational sustainability of

utilities, be they public or private, municipal or multi-municipal. The

safeguard of the remaining unregulated business fabric of the sector,

which supports the operators and the environmental aspects, must

also be secured.

Until recently, the regulatory powers of the ERSAR were confined to

multi-municipal, municipal and intermunicipal concession systems,

with the exception of the quality control of drinking water, an area in

which ERSAR has been the national authority since 25 December

2003.

With the enforcement of Decree-Law no. 194/2009 of 20 August, all

operators of municipal and intermunicipal services, regardless of

their governance model, are now subject to a more harmonized

regime in terms of ERSAR’s intervention capacity.

The regulatory model of ERSAR intends to ensure:

■ The overall sustainability of the sector through an appropriate

national strategy, a good legal framework, the existence of

information and ongoing innovation and research and

development (R&D);


■ Social sustainability through physical access and affordability to

the service, quality of service and quality of drinking water;

■ Sustainability of the operators, particularly in terms of economic

outlook, infrastructure and human resources;

■ Environmental sustainability in the use of environmental

resources and preventing pollution.

The strategy of ERSAR will involve three major areas, as described

below:

■ The structural regulation of the sector, which aims to contribute to

a better organisation of the sector and to clarify its rules;

■ The behavioural regulation of the operators active in this sector,

in terms of legal and contractual monitoring throughout the life

cycle, economic regulation, service quality, drinking water quality

and interface with consumers;

■ And complementary regulatory activities, which include the

preparation and regular dissemination of information and

technical support to the operators.

The structural adjustment of the sector should contribute to a better

organisation and to clarify aspects such as restrictions on the entry

of the operators in the market and functional separation measures,

which define the bodies or types of bodies that can participate in the

activity. This regulation is a form of direct control over the

environment and indirect control of operators, reducing or eliminating

the possibility of unwanted behaviour. It strongly determines the

form, content and nature of behavioural regulation, so it should be

complementary. Structural regulation further includes a set of

measures to consolidate and modernise the sector’s business fabric.

An example of this is support for the general development of the

sector by following up the preparation, implementation and

monitoring of strategies, the preparation and review of relevant

legislation and the publication of recommendations.

In addition, the strategy of ERSAR further aims to regulate the

behaviour of the operators' active in the regulated markets

concerning legal, contractual and economic aspects, service quality,

drinking water quality and interface with consumers, which are

described below.


Legal and contractual control involves monitoring the operators

throughout their life cycle in their creation, tender processes,

contracting, contractual fulfilment, contractual changes and service

cessations, and the settlement of conflicts through conciliation

procedures among operators.

Economic regulation is the most important form of behavioural

regulation of operators, to the extent that the activities carried out

exclusively tend to generate inefficiency costs and boost prices

higher than those resulting from competitive markets, to the

detriment of the affordability of users. Economic regulation includes

a systematic assessment of the economic performance of the

operators and the assessment of the reasonableness of tariffs to end

users, on the one hand, and the assessment of the investments of

operators, to the extent that they directly affect their economic and

financial sustainability in the future, on the other. User interests are

best secured through proper design of investment projects in the

sector and proper financial coverage thereof, aspects that are vital to

ensure the continuity of long-term service and maintenance in the

short, medium and long term of service levels.

The regulation of service quality is a form of behavioural regulation

that is inseparable of economic regulation, conditioning the

behaviours permitted to operators regarding the quality of service

they provide. Here the use of performance indicators is vital, as they

are an instrument for assessing the efficiency and effectiveness of

the operator on particular aspects of the activity or behaviour of

systems. Indicators express the level of service quality provided to

users effectively covered, making a direct and transparent

comparison between management objectives and results, simplifying

an otherwise complex situation. They should be used as important

regulation tools, allowing for the standardised gathering of

information and performance assessment based on clear definitions

and a common language.

The regulation of the quality of drinking water essentially involves a

set of procedures that include the assessment of the water quality

control programs, follow-up of the monitoring by operators, the

supervision of analysis laboratories, the prosecution of administrative

offence,


monitoring of non-compliance with parametric values and the receipt,

validation, processing, interpretation, publication and dissemination

of the results of water quality programs.

The regulation of the interface with consumers is essentially the

analysis of consumer complaints about the service being provided.

The strategy of ERSAR further involves preparing and disclosing

information to the public by gathering and disseminating information

on the sector and operators, providing information and promoting

greater and better public participation. It intends to consolidate a true

information culture that is concise, credible and easily understood by

all, extended to all operators regardless of the management models

adopted for the provision of the services concerned. Finally, the

strategy involves technical support to the operators by preparing

technical publications in partnership with knowledge centres, by

promoting (directly and indirectly) seminars and conferences,

supporting third-party events, conducting opinion polls and

promoting research and development (R&D) in the industry.

The regulation model therefore includes the use, by the regulatory

authority, of mechanisms to evaluate the service quality provided by

operators, and their comparison with the results of other similar

operators operating in different geographical areas (benchmarking).

The results of the assessment and of the benchmarking shall be

publicly displayed insofar as this encourages operators to progress

in terms of efficiency, as they naturally wish to be placed in a

favourable position, thus embodying a fundamental right of all users.

It intends to consolidate a culture of concise, credible and easy to

interpret information.

As a result of the experience accumulated over the first generation

of indicators and in view of the extension of the regulatory

intervention to all operators of municipal systems, resulting from the

publication of Decree-Law no 194/2009 of 20 August, it became

essential to move towards establishing a more appropriate

instrument to assess all operators subject to regulation, the ultimate

objective of this Guide, without prejudice to this enlargement being

implemented gradually.

The competence of ERSAR on the quality of water for human

consumption, which only covers operators that ensure


the water supply service, is a special case of service quality, insofar

as ERSAR, as mentioned above, was assigned the status of national

authority, as stated in Decree-Law No. 243/2001 of 5 September,

since been replaced by Decree-Law No. 306/2007 of 27 August,

which transposes Directive 98/83/EC of 3 November.

In terms of future prospects, it should also be noted that Decree-Law

No. 194/2009 of 20 August assigned to ERSAR the power, by

regulation, to set minimum quality standards for aspects that are

directly related to the quality of service provided to users and

perceived directly by them as well as the compensation payable for

non-compliance, which will correspond to a more intense level of

regulatory intervention in terms of service quality.

This Guide falls under this regulatory framework, summarised in

Figure 1.

Figure 1

ERSAR regulation model

11 SERVICE QUALITY ASSESSMENT SYSTEM

4. SERVICE QUALITY ASSESSMENT SYSTEM

4.1 Assessment system components

As stated above, given the complexity of the regulation of the service

quality provided by the operators carried out by ERSAR, it is crucial

that a service quality assessment system be used, which this Guide

presents.

The core instruments of this system are the service quality indicators

that allow for a quantified assessment of the fulfilment of the service’s

key objectives.

Figure 2 outlines the components of the service quality assessment

system and respective data flows, which are described in detail

below.

Figure 2

Components of the service quality assessment system

ERSAR's assessment of service quality is based on the

implementation of a system consisting of a set of service quality

indicators as well as information to support the interpretation of the

results. This includes the profile of the operator, the system profile,

contextual factors not included in said profiles and basic data that

feed this information.


The section below contains the main changes made in the 2nd

generation of the service quality assessment. Sections 4.3 to 4.7

describe each of the components of the service quality assessment

system.

4.2 Key changes made in the 2nd generation of the service quality assessment

The 2nd generation of the service quality assessment system broadly

coincides with the previous one, preserving a significant part of the

service quality indicators. However, the experience gained in

applying the 1st generation of the assessment, the need to prepare

the 2nd generation to be applied to all operators and the publication

of ISO 24500 standards relating to the performance evaluation of

water services made important contributions to the improvement and

consolidation of the system. Although the ISO 24500 standards only

cover water supply and wastewater services, the general principles

advocated also apply to municipal waste management services.

The main changes made in the 2nd generation of the service quality

assessment as compared to the 1st generation are the following:

■ The system of indicators is organised according to the ISO 24500

standards principles, which establish the clear identification of the

assessment goals, the criteria to be adopted in assessing the

fulfilment of each goal and the performance indicators

corresponding to each criterion. Note that the changes made by

the application of these standards have proved to be merely

selective, since the structure adopted for the indicators of the 1st

generation is very similar to the said principles.

■ The number of indicators to be assessed in each sector has

dropped from twenty to sixteen, thereby simplifying the system.

■ Greater prominence is given to specific aspects deemed relevant

(e.g. access to the service, which now includes physical access

and affordability).

■ Adjustments have been made to the definitions of some indicators

and data and to some reference values.

■ The criteria used to allocate data reliability levels have been more

clearly defined.


■ Minimum criteria of data acceptability have been established, i.e.

data whose reliability is lower than the minimum defined will be

deemed unavailable.

■ It has become clear in the entire system and in this Guide that the

goal is to assess the quality of the service provided and not

specifically or solely the performance of the operator providing

the service.

After applying the principles of the ISO 24500 standards the following

objectives and criteria were identified, which aim to ensure that the

services provided are appropriate and sustainable and that they meet

environmentally friendly practices:

■ Protection of user interests, to be assessed based on

accessibility criteria (physical and economic) and quality of the

service provided.

■ Operator sustainability, based on the economic sustainability of

the service, infrastructural sustainability and physical productivity

of human resources.

■ Environmental sustainability, to be assessed according to the

criteria of efficiency in the use of environmental resources and

prevention of pollution.

4.3 Operator profile

Operator profile means all aspects that briefly and unequivocally

characterise it. In addition to the identification, it includes information

such as the governance model, the user of the system(s), the existing

households, the typology of the intervention area, the revenue water,

the shareholder composition, the duration of the contract and existing

certifications.

Operators are classified according to the type of systems managed.

The Guide adopts the following groups:

■ Bulk system operators: includes operators that provide bulk state

or municipal services, as well as certain retail services (see

definition of “Bulk systems” in Annex A7).

■ Retail system operators: includes operators that provide retail

state or municipal services, as well as marginally having certain

bulk service infrastructures (see definition of “Retail systems” in

Annex A7).


Sections 6.1, 7.1 and 8.1 present the aspects related to the profile of

the operator to be provided by the water supply, urban wastewater

management and municipal waste operators, respectively.

4.4 System profile

The system profile of the operator means the main characteristics

that describe the set of infrastructure and equipment supporting the

service provided.

Sections 6.2, 7.2 and 8.2 present the aspects related to the system

profile to be provided by the water supply, urban wastewater

management and municipal waste management operators,

respectively.

4.5 Service quality indicators

The service quality indicators adopted are performance indicators. A

performance indicator is understood to be a quantitative assessment

measure of the efficiency or effectiveness of an element of the

service provided by the operator. Efficiency measures the extent to

which available resources are used optimally to produce the service.

Effectiveness measures the extent to which specifically and

realistically defined management objectives are fulfilled ([2], [3], [5],

[6], [7] and [8]).

On the whole, the selected performance indicators translate, in

summary form, the most relevant aspects of the service quality in an

accurate and balanced manner. Each indicator quantifies the

performance from a given point of view, in a given area and during a

given period, thus facilitating the assessment of the achievement of

goals and the analysis of trends over time. In this way an analysis,

which is by nature complex, is simplified.

A performance indicator should contain relevant information;

however, it is inevitably a partial view of the reality of management

as a whole, and in general does not incorporate all of its complexity.

Used out of context it can therefore lead to misinterpretation.

Performance indicators should always be analysed as a whole, with

thorough knowledge, and associated with the context in which they

operate.


Performance indicators are typically expressed as ratios between

data of the operator. They may be dimensionless (for example, data

expressed as a %) or intensive, i.e. that express intensity in some

way (for example, data expressed in €/m3) rather than extension. The

denominator for the calculation should represent one dimension of

the system under assessment or the operator (e.g., the number of

domestic service connections, the length of ducts or sewers, number

of vehicles or the annual expenditure). The use of denominators

likely to vary significantly from year to year due to factors external to

the operator (e.g. the annual consumption of water which depends

on meteorological factors, inter alia) should be avoided, unless this

variation is reflected in the numerator in the same proportion.

Each indicator corresponds to a processing rule, specifying all the

data necessary for the calculation, the unit to be used and the

respective algebraic combination. The data to calculate the indicators

can be generated and controlled directly by the operator (internal

data) or generated externally (external data). The ERSAR indicator

system tried to keep the calculation of service quality indicators

based on external data down to a minimum, as the operator has little

room for manoeuvre in terms of quality control. In these cases,

ERSAR collects this data directly and enters it into the system.

In order to have instruments to assess the service quality vis-a-vis

the previously mentioned regulation goals three groups of service

quality indicators were defined:

■ Indicators that reflect the adequacy of the interface to users: this

group of indicators aims to assess whether the service provided

in the year under assessment was appropriate, particularly in

terms of greater or lesser physical access and affordability to the

service and the quality with which it is provided; this group is

further subdivided into the two aspects mentioned: accessibility

of the service and quality of the service provided.

■ Indicators that reflect the sustainability of service management:

this group of indicators aims to assess whether basic measures

are being taken to ensure that the service provided is sustainable;

this group is further subdivided into the aspects of economic

sustainability of the service, infrastructural sustainability of the

service and physical productivity of human resources.


■ Indicators that reflect the environmental sustainability: this group

of indicators aims to assess the level of protection of

environmental aspects associated with the operator’s activities;

this group is further subdivided into efficiency aspects in the use

of environmental resources and the prevention of pollution.

Sixteen indicators were defined to assess the quality of the water

supply service (listed in Table 1), indicating their scope of application

depending on the type of system.


Table 1

Water supply service quality indicators

WATER SUPPLY SERVICE QUALITY INDICATORS Bulk Retail

Protection of user interests

Accessibility of the service to users

AA01 – Service coverage (%)

AA01 – Affordability of the service (%)

Quality of the service provided

AA03 – Service interruptions

[No./(delivery point ⋅ year)]

[No./(1000 service connections ⋅

year)]

AA04 – Safe water (%)

AA05 – Response to complaints and suggestions (%)

Operator sustainability

Economic sustainability

AA06 – Cost recovery ratio (%)

AA07 – Connection to the service (%)

AA08 – Non-revenue water (%)

Infrastructural sustainability

AA09 – Adequacy of treatment capacity (%)

AA10 – Mains rehabilitation (%/year)

AA11 – Mains failures [No./(100 km ⋅ year)]

Physical productivity of human resources

AA12 – Adequacy of human resources

(No./ 106 m3 ⋅ year)

(No./1000 service connections)

Environmental sustainability

Efficiency in the use of environmental resources

AA13 – Real water losses

[m3/(km ⋅ day)]

[l/(water connection ⋅ day)]

AA14 – Fulfilment of the water abstraction licensing (%)

AA15 – Standardised energy consumption

[kWh/(m3 ⋅ 100 m)]

Efficiency in the prevention of pollution

AA16 – Sludge disposal (%)

•

•

•

n.a.

•

•

•

•

•

•

•

•

•

n.a.

•

n.a.

• •

•

•

•

n.a.

•

•

•

•

•

•

•

•

•

n.a.

•

n.a.

•

• • •

n.a. – not applicable

Section 6.3 specifies each of the service quality indicators.

Similarly, sixteen quality indicators were defined for the urban

wastewater management service, listed in Table 2, showing their

scope of application depending on the type of system.


Table 2

Urban wastewater management service quality indicators

URBAN WASTEWATER MANAGEMENT

SERVICE QUALITY INDICATORS

Bulk Retail



AR01 – Service coverage (%)

AR02 – Affordability of the service (%)


AR03 – Flooding occurrences

[No./(100 km of sewers ⋅ year)]

[No./(1000 service connections ⋅

year)]

AR04 – Response to complaints and suggestions (%)



AR05 – Cost recovery ratio (%)

AR06 – Connection to the service

(%)


AR07 – Adequacy of treatment capacity (%)

AR08 – Sewer rehabilitation (%/year)

AR09 – Sewer collapses [No./(100 km ⋅ year)]


AR10 – Adequacy of human resources

[No./(106 m3 ⋅ year)]

[No./(100 km ⋅ year)]



AR11 – Standardised energy consumption

[(kWh/(m3 ⋅ 100 m)]


AR12 – Proper treatment of collected wastewater (%)

AR13 – Emergency discharge control (%)

AR14 – Wastewater analyses carried out (%)

AR15 – Compliance with discharge parameters (%)

AR16 – Sludge disposal (%)

•

•

•

n.a.

•

•

•

•

• •

•

n.a.

•

•

•

•

•

•

•

•

n.a.

•

•

•

•

•

• •

n.a.

•

•

•

•

•

•

•


Section 7.3 specifies each of these service quality indicators.

Finally, sixteen indicators were defined to assess the quality of the

municipal waste management service (listed in Table 3), indicating

their scope of application depending on the type of system.


Table 3

Municipal waste management service quality indicators

MUNICIPAL WASTE MANAGEMENT SERVICE

QUALITY INDICATORS

Bulk Retail



RU01 – Service coverage (%)

RU02 – Selective collection coverage (%)

RU03 – Affordability of the service (%)


RU04 – Washing of containers (-)

RU05 – Response to complaints and suggestions (%)



RU06 – Cost recovery ratio (%)


RU07 – Packaging waste recycling (%)

RU08 – Organic waste recovery (%)

RU09 – Incineration (%)

RU10 – Landfill use (%)

RU11 – Renewal of waste collection vehicles (km/vehicle)

RU12 – Efficient use of waste collection vehicles [kg/(m3 ⋅ year]


RU13 – Adequacy of human resources (No./1000 t)



RU14 – Use of energy resources (kWh/t)

(tep/1000t)


RU15 – Quality of the leachate after treatment (%)

RU16 – Greenhouse gas emissions (kg CO2/t)

•

•

•

•

•

•

•

•

•

•

•

n.a

•

•

n.a

•

•

•

•

•

•

•

•

•

n.a.

n.a.

n.a.

•

•

•

n.a.

•

n.a.

•


Section 8.3 specifies each of the service quality indicators.

The selection of proposed indicators took into account requirements

for each indicator individually and requirements relating to all

indicators. Individually, each indicator requires:

■ A strict definition, with a concise meaning and unambiguous

interpretation;

■ The possibility of calculation for all operators with no significant

additional effort;


■ The possibility of verification under audit;

■ Simplicity and ease of interpretation;

■ Quantified, objective and impartial measurement in a specific

aspect of service quality to avoid subjective or distorted

judgements.

Collectively, the indicators were defined to ensure the following

requirements:

■ Adequate representation of the main relevant aspects of service

quality, allowing for a global representation;

■ Absence of overlap in meaning or goals between indicators;

■ Reference to the same time period (one calendar year is the

assessment period adopted by ERSAR);

■ Reference to the same geographical area, which should be well

defined and coincide with the intervention area of the operator of

the respective service;

■ Applicability to operators with different characteristics and

degrees of development.

It should be noted that, in addition to the regulatory objectives

referred to in this Guide, the service quality indicators are particularly

relevant as a tool to support the management of systems, so as to

promote the continuous improvement of the efficiency and

effectiveness of service. ERSAR therefore recommends that

operators use this tool to assess the fulfilment of their own

management objectives, and not restrict themselves to the sixteen

service quality indicators adopted for regulatory purposes (presented

here), but rather use a more comprehensive set deemed relevant for

each operator. To this end, manuals of good practice are referenced

in [2], [3] and [4].

4.6 Service quality context factors

Context factors are designed to help with the interpretation of certain

indicators. The operator and system profiles already include the main

context factors that ERSAR will generally take into account in this

process. However, this service quality assessment system provides

the possibility of including other context factors not contemplated at

the outset. To this end, the operators may identify, for any indicator,

context factors they consider decisive for the interpretation by

ERSAR. Context factors are not subject to any pre-defined format,

but should


always refer to auditable information. Context factors do not affect

the outcome of the evaluation, but may be taken into account by

ERSAR in the assessment made.

4.7 Data of the service quality assessment system

In order to characterise the operator profile, the system profile, the

service quality indicators and the service quality context factors, the

operator needs to collect, compile and send to ERSAR a set of

internal data on the operator and on the operating system. It is up to

ERSAR to supplement this data with the necessary external data.

Sections 6.5, 7.5 and 8.5 specify the data for each activity carried out

with the indication of their respective use, as well as the operator

responsible for their supply.

All data provided by the operators must meet the following

requirements:

■ Conform to the definition established by ERSAR;

■ Refer to the time corresponding to the assessment;

■ Refer to the geographical intervention area of the operator for

the service in question;

■ Be as accurate and reliable as technically and economically possible.

Self-assessment (by the operator) of the quality of the basic data

used to calculate the indicators is essential in order for users of the

information produced to be aware of the reliability associated with it,

thus avoiding misinterpretation. The quality of the data provided by

the operators to ERSAR should therefore be explained in terms of

data accuracy and reliability of their source of information, as referred

to in Section 5.2 and Annex A8 – Calculation of the uncertainty of

indicators.

23 IMPLEMENTATION PROCEDURE

5. IMPLEMENTATION PROCEDURE

5.1 General procedure

The methodology applied by ERSAR in the service quality

assessment process involves a sequence of stages in order to form

a clear, rational and transparent system.

The following sections therefore present the procedures necessary

for the implementation of this methodology, from the collection of

data by the operator to the dissemination of the results by ERSAR

(Figure 3), which will be used for the annual assessment of the water

and wastewater service quality.

Figure 3

Implementation procedures of the water and waste services quality assessment

system

Tasks of the operator’s responsibility

Preparation of the data by the operator

- Gathering of data

- Self-assessment of the quality of the data

Until March

Supply of data by the operator

- Introduction of data in the Portal

- Submission of data to ERSAR

During March

Tasks of ERSAR’s responsibility

Validation of data by ERSAR for the group of operators

- Compilation and crossed validation of data

- Clarification of doubts

- Audits

During April and June

Processing of data and interpretation of results by ERSAR for each operator

- Analysis of the evolution of indicators over time

- Interpretation of the indicators

- Promotion of a period of contradictory

- Consolidation of indicators

During June and August

Processing of data and interpretation of results by ERSAR for the group of operators

- Aggregation of operators in groups

- Summary of the results per indicator for each group

- Comparative analysis of the indicators per group of operators

During August and September

Publication and dissemination of the annual report on the service quality assessment

- Preparation of the annual assessment report

- Submission of the report to the operators

- General dissemination of the report

From September to November


5.2 Preparation of data by the operator

The service quality assessment system is applicable to all water and

wastewater service operators. In cases where the operation of the

system is transferred to another operator during the reference year,

the entry of data in the service quality module on the ERSAR website

is the responsibility of the operator that was active on 31 December,

who should ensure the collection of the base-year data.

However, in duly justified and exceptional circumstances, a request

for the suspension of the submission of data for the reference year

can be made to ERSAR until 31 December, in which case the

operator that transferred the system management should be

informed.

Until March, the operators must:

■ Collect internal and external data, taking into account the service

quality assessment indicators applicable to them - depending on

whether they provide a bulk or retail service. When collecting

data operators should bear in mind the specifications of this

Guide, particularly as regards the concepts, the units, the

reference period, the definitions, and any comments contained in

the sheets in annex.

■ Perform a self-assessment of data quality in terms of data

accuracy band and reliability band of the information source,

according to the criteria set out below.

5.3 Provision of data by the operator

During the month of March, the operators must:

■ Enter the data into the ERSAR Portal.

■ Submit to ERSAR the data previously entered in the Portal.

The operator’s competent body must recognise the information

submitted in advance.

Note that the system of indicators applies individually to each of the

operator’s main activities (water supply, urban wastewater

management service and municipal waste management).


With regard to the self-assessment of data mentioned above, it

should be noted that, according to the metrological terminology, the

accuracy of a measurement is the closeness between the result of a

measurement with the true value (conventionally) of the measuring.

In this case, the accuracy accounts for the error relative to the data

acquisition and processing, including the error resulting from any

extrapolation between one-off measures and the total value supplied.

Since in general it is not possible to know with precision the error

associated with each set of data, but it is easier to know its order of

magnitude, the accuracy of the data must be reported to ERSAR

according to the classification in bands, presented in Table 4.

Table 4

Data accuracy bands

Data accuracy band Error associated with the data provided

0 - 5% Less than or equal to ± 5%

5 - 20% More than ± 5%, but better than or equal

to ± 20%


to ± 50%


to ± 100%


to ± 300%

> 300% More than ± 300%

This information can be used to estimate the accuracy band of the

service quality assessment indicators, according to the methodology

presented in Annex A8. The assessment of data quality should be

complemented with an indication of the reliability of the information

source, according to the classification given in Table 5.


Table 5

Reliability bands of the information source

Reliability band of the

information source

Associated concept

***

Data based on extensive measurements,

reliable records, procedures and properly

documented research or tests recognised as

the best method of calculation.

**

Similar to the previous one, but with some

non-significant data gaps, such as part of the

documentation missing, old calculations, or

having relied on unconfirmed records, or

some data having been included by

extrapolation.

*

Data based on estimates or extrapolations

from a limited sample.

5.4 Validation of data by ERSAR for all operators

From April to June ERSAR will:

■ Compile and validate the data provided by all the operators.

■ Clarify doubts with the operators, in particular any shortcomings

or data inconsistencies.

■ Conduct audits among operators to validate the submitted

information and verify their reliability.

5.5 Processing of data and interpretation of results by ERSAR for each operator

From July to August ERSAR will:

■ Analyse the evolution over time (historical evolution) of the

indicators by operator (naturally only from the second year of

application onwards).


■ Interpret the indicators by operator, taking into account the values

and reference intervals defined by ERSAR and the context

factors.

■ Promote a contradictory period, allowing the operator to check

the indicators and context factors used and submit them to the

holder (predictably in July).

■ Consolidate the indicators by operator.

5.6 Processing of data and interpretation of

results by ERSAR for all operators

In August to September ERSAR will:

■ Organise the operators into groups (by type of service provided,

i.e. bulk or retail service).

■ Summarise the results by indicator, for each group of operators,

using tables and graphs with the individual values of each

operator.

■ Make a comparative analysis of indicators by group of operators,

with a critical assessment of the results, bearing in mind the

dominant context factors and reference values defined for each

indicator.

5.7 Publication and dissemination of the annual

report of the service quality assessment

In September and October ERSAR will:

■ Prepare Volume 3 of the annual report on the service quality

assessment provided by the regulated water, wastewater service

and municipal waste management operators (RASARP), which

will include:

– An ongoing assessment of the service quality provided where

comparisons will be made among operators, preceded by the

establishment of groups of operators comparable with each

other and taking into account context factors;


– An individual assessment of the service quality provided by

each operator, where the results will be compared to the

statistical parameters of the group of operators. In those cases,

where the assessment process is being applied to an operator

for the second or more consecutive years, their assessment will

also include an analysis of the evolution of the service quality

provided over time.

■ Submit the water, wastewater service and municipal waste management annual report to the operators.

■ Disseminate the water, wastewater service and municipal waste

management annual report via the means deemed necessary.

The schedule is provisional and may be adjusted each year.

29 SYSTEM OF WATER SUPPLY INDICATORS

6. SYSTEM OF WATER SUPPLY INDICATORS


Under this service quality assessment system, the operator profile

is characterised by the following information:

Table 6

Water supply operator profile

Identification of the operator (-) (dAA01ab) (p. 75)

Complete official name and head-office address of the operator

Management model (-) (dAA02ab) (p. 76)

Management model adopted

Term of the contract (-) (dAA06ab) (p. 78)

Initial and final year of the period covered by the contract, where applicable

Shareholder composition (-) (dAA05ab) (p. 78)

Entities holding the capital paid-up by the operator and respective

percentages, where applicable

Households (No.) (dAA09ab) (p. 82)

Total number of existing households in the intervention area of the

operator of the water supply system

Revenue water (m3/year) (dAA16ab) (p. 89)

Total consumption authorised and invoiced in the retail systems

and water invoiced in bulk systems (including exported water)

Typology of the area of intervention (-) (dAA04ab) (p. 77)

Classification of the operator's intervention area in terms of

typology of area of intervention of the respective municipalities

Environmental management systems certification (-) (dAA55ab) (p. 114) Specification of certification relative to water supply service

provided by the operator according to ISO Standard 14001 or

similar

Quality management systems certification (-)(dAA55ab) (p. 114) Specification of certification relative to water supply service


similar

Health and safety management systems certification (-)

(dAA57ab) (p. 114) Specification of certification relative to the operator's water supply

activity according to OHSAS Standard 18001 or similar

Other certifications (-) (dAA58ab) (p. 115) Specification of other certifications relative to the operator's water

supply activity


6.2 System profile

The water supply system profile should be characterised by the

following information:

Table 7

Water supply system profile

Surface water abstraction (No.) (dAA35ab) (p. 102)

Number of surface water abstractions under the operator's

responsibility

Groundwater abstraction (No.) (dAA34ab) (p. 101)

Number of groundwater abstractions under the operator's

responsibility

Water treatment plants (No.) (dAA37ab) (p. 103)

Number of water treatment plants under the operator's

responsibility

Total mains length (km) (dAA30ab) (p. 109)

Total length of the transport and distribution pipes (service

connections not included)

Density of service connections (No. of service connections/km of network)(p. 74)

Number of existing service connections per unit of length of the

supply network

Pumping stations (No.) (dAA36ab) (p. 102)

Number of pumping stations under the operator's responsibility

Storage tanks (No.) (dAA39ab) (p. 103)

Number of water reservoirs under the operator's responsibility

Reserve capacity of treated water (days) (p. 74)

Supply autonomy of water treated by the abstraction or distribution

reservoirs

Self-produced energy (%) (p. 74)

Percentage of energy consumed that is produced domestically by

the operator in the water supply service's facilities

Infrastructure asset knowledge and management index (-) (dAA44ab) (p. 107)

Index with values between 0 and 100, calculated based on the

information available on the infrastructure, interventions and level

of asset management



With regard to the sixteen service quality indicators to be calculated

by ERSAR for each operator (see 4.5), Table 8 lists the respective

objectives and definitions. The sheets contained in Annex A1, which

are structured according to the assessment objectives and criteria

mentioned above, have more detailed definitions and benchmarks

for each indicator.

Table 8




AA01 – Service coverage (%) (p. 63/64)

This indicator is designed to assess the adequacy of the user

interface in terms of accessibility of the service, with regard to the

possibility of connecting users to the operator’s physical

infrastructure.

It is defined as the percentage of the total number of households

located in the operator’s intervention area for which there are bulk

supply infrastructures that are connected or connectable to the

retail system (concept to be applied to bulk operators) or as a

percentage of the total number of households located in the

operator’s intervention area for which water distribution service

infrastructures are available (concept to be applied to retail system

operators).

AA02 – Affordability of the service (%) (p. 64)



economic capacity of households to pay for the service provided

by the operator.

It is defined as the weight of the average charge with the water

supply service in the average disposable income per household in

the system’s intervention area (concept to be applied to bulk and

retail system operators).


Table 8 (cont.)



AA03 – Service interruptions

[No./(delivery point ⋅ year)] or [No./(1000 service connections ⋅ year)] (p. 65)


interface in terms of the quality of the service provided, with regard

to the frequency of interruptions in the service provided by the

operator.

It is defined as the weighted average number of interruptions per

delivery point, with the weighting factor being the number of

households with effective bulk service that depend on each

delivery point (concept to apply to operators in high systems) or

the number of interruptions in supply per 1000 service

connections (concept to be applied to retail system operators).

AA04 – Safe water (%) (p. 66)



to the quality of the water supplied by the operator.

It is defined as the percentage of tests carried out from among

those required and that complied with the parametric values

(concept to be applied to bulk and retail system operators).

AA05 – Response to complaints and suggestions (%) (p. 66)



to the reply by the operator to complaints and suggestions.

It is defined as the percentage of written complaints and

suggestions that received a written response within a period of no

more than 22 working days (concept to be applied to bulk and




AA06 – Cost recovery ratio (%) (p. 67)

This indicator is intended to assess the level of sustainability of

the service management in economic and financial terms, with

regard to the company's ability to generate its own forms of

covering the costs arising from its activity.

It is defined as the ratio between the total income and gains and

the total spending (concept to be applied to bulk and retail system

operators).


Table 8 (cont.)


AA07 – Connection to the service (%) (p. 67/68)

This indicator is designed to assess the sustainability of the

operator in economic and financial terms, with regard to

connecting users to the operator’s physical infrastructure.


located in the operator’s intervention area for which the foreseen

bulk service infrastructure is available and is effectively provided

(concept to be applied to bulk system operators) or as a


operator’s intervention area for which the water distribution service

infrastructure is available and is effectively provided (with the

existence of a water connection and contract) (concept to be

applied to retail system operators).

AA08 – Non-revenue water (%) (p. 68)

This indicator is designed to assess the level of sustainability of


regard to economic losses corresponding to water which, despite

being abstracted, treated, transported, stored and distributed, is

not invoiced to users.

It is defined as the percentage of water that enters the system and

is not invoiced (concept to be applied to bulk and retail system

operators).


AA09 – Adequacy of treatment capacity (%) (p. 69)


the service management in terms of infrastructure, with regard to

the existence of adequate capacity of treatment plants.

It is defined as the percentage of the existing treatment capacity

that was used in appropriate conditions for its size (concept to be

applied to bulk and retail system operators).

AA10 – Mains rehabilitation (%/year) (p. 69)



the ongoing rehabilitation of pipes to ensure their gradual

renovation and an acceptable average age of the network.

It is defined as the average annual percentage of transport and

distribution pipes more than ten years old that were rehabilitated

in the last five years (concept to be applied to bulk and retail

system operators).


Table 8 (cont.)


AA11 – Mains failures [No./(100 km • year)] (p. 70)



the reduced frequency of leaks or ruptures in the pipes.

It is defined as the number of leaks or ruptures in pipes per unit of

length (concept to be applied to bulk and retail system operators).


AA12 – Adequacy of human resources (No./106 m3 • year)

or (No./1000 mains) (p. 70/71)


the operator in terms of physical productivity of human resources,

with regard to the existence of adequate personnel.

It is defined as the equivalent of full-time personnel of the water

supply service per unit of volume of treated water exported

(concept to be applied to bulk and retail system operators) or the

equivalent of full-time personnel of the water supply service per

1000 mains (concept to be applied to retail system operators).



AA13 – Actual water losses [m3/(km • day)] or [l/(water connection • day)] (p. 71/72)

This indicator is designed to assess the environmental

sustainability of the service in terms of the efficient use of

environmental resources, with regard to actual water losses (leaks

and ruptures), as a scarce resource that requires rational

management.

It is defined as the volume of actual losses per unit of length of

pipe (concept to be applied to bulk and retail system operators) or

as the volume of actual losses per water connection (concept to

be applied to retail system operators).

AA14 – Fulfilment of the water abstraction licensing (%) (p. 72)


sustainability of the service in terms of the efficient use of the

safety of abstraction, with regard to adequate protection of water

abstractions, as a scarce resource that requires rational

management.

It is defined as the percentage of the volume of water abstracted

in licensed abstractions that meets the requirements of

abstraction licences (concept to be applied to bulk and retail

system operators).


Table 8 (cont.)


AA15 – Standardised energy consumption

[kWh/(m3 • 100m)] (p. 73)



environmental resources, with regard to the adequate use of

energy resources as a scarce resource that requires rational

management.

It is defined as the standard average energy consumption of

pumping stations (concept to be applied to bulk and retail system

operators).


AA16 – Sludge disposal (%) (p. 73)


sustainability of the service in terms of the efficient prevention of

pollution, with regard to the final destination of the sludge resulting

from water treatment as a potential source of contamination of

natural resources.

It is defined as the percentage of sludge drained from the system's

treatment facilities to an appropriate destination (concept to be



The service quality assessment system provides the possibility of

including other context factors not covered in the operator or system

profile, which ERSAR can use to interpret and compare service

quality indicators. To this end the operator can identify, for any

indicator, any context factor that it considers decisive for the

interpretation to be made by ERSAR, provided the information is

auditable.


All data to be provided annually by operators to ERSAR, which are

necessary to characterise the operator and system profiles and to

calculate the service quality indicators, are presented in Table 9 and

are detailed in the sheets of Annex A2.


Table 9

Data of the quality assessment system of the water supply service

DATA ON THE ASSESSMENT SYSTEM OF THE

WATER SUPPLY SERVICE QUALITY

Bulk Retail

IDENTIFICATION OF THE OPERATOR

dAA01 – Identification of the operator (-)

dAA02 – Management model (-)

dAA03 – System user(s) (-)

dAA04 – Typology of the area of intervention (-)

dAA05 – Shareholder composition (-)

dAA06 – Term of the contract (-)

HOUSEHOLDS

dAA07 – Households supplied (No.)

dAA08 – Households connected to the public network but not supplied (No.)

dAA09 – Households (No.)

COMPLAINTS

dAA10 – Complaints and suggestions (No./year)

dAA11 – Responses to complaints and suggestions (No./year)

INTERRUPTIONS AND FAILURES

dAA12 – Service interruptions

[(No. interruptions • No. households)/(point of entry • year)] or (No./year)

dAA13 – Mains failures (No./year)

WATER BALANCE / WATER VOLUMES dAA14 – System input volume (m3/year)

dAA15 – Authorised consumption (m3/year)

dAA16 – Revenue water (m3/year)

dAA17 – Non-revenue water (m3/year)

dAA18 – Real losses (m3/year)

dAA19 – Water abstracted in licensed abstractions (m3/year)

dAA20 – Water abstracted (m3/year)

dAA21 – Treated water exported (m3/year)

DRINKING WATER QUALITY CONTROL

dAA22 – Mandatory analyses carried out on water quality

(No./year)

dAA23 – Analyses carried out on parameters with a parametric value (No./year)

dAA24 – Mandatory regulatory analyses on water quality

(No./year)

dAA25 – Analysis carried out in compliance with the

parametric value (No./year)

•

•

n.a.

•

•

•

•

•

•

•

•

•

• •

n.a.

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

• •

•

•

•

•

•

•

n.a.

•

•

•

•


Table 9 (cont.)


DATA OF THE QUALITY ASSESSMENT SYSTEM OF

THE WATER SUPPLY SERVICE

Bulk Retail

ENERGY

dAA26 – Energy consumption for pumping (kWh/year)

dAA27 – Standardisation factor (m3/year • 100 m)

dAA28 – Self-produced energy (kWh/year)

dAA29 – Energy consumption (kWh/year)

INFRAESTRUCTURE AND ITS USE dAA30 – Total mains length (km)

dAA31 – Average mains length (km)

dAA32 – Mains rehabilitated in the past five years (km)

dAA33 – Service connections (No.)

dAA34 – Groundwater abstractions (No.)

dAA35 – Surface water abstractions (No.)

dAA36 – Pumping stations (No.)

dAA37 – Water treatment plants (No.)

dAA38 – Other treatment plants (No.)

dAA39 – Storage tanks (No.)

dAA40 – Water storage capacity in transport and

distribution (m3)

dAA41 – Overutilization of treatment plants (m3)

dAA42 – Underutilization of treatment plants (m3)

dAA43 – Total capacity of treatment plants (m3)

dAA44 – Infrastructure asset knowledge and management

index (-)

TREATMENT SLUDGE

dAA45 – Sludge with proper disposal (t/year) dAA46 –

Initial sludge stored (t/year)

dAA47 – Sludge produced in the system (t/year)

dAA48 – Sludge from other systems (t/year)

dAA49 – Final sludge stored (t/year)

ECONOMY

dAA50 – Total income and gains (€/year)

dAA51 – Total expenditures (€/year)

dAA52 – Average charge with the water supply service

(€/year)

dAA53 – Average disposable household income (€/year)

dAA54 – Approved tariff (€/m3)

•

•

•

•

•

•

•

n.a.

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

n.a.


Table 9 (cont.)



THE WATER SUPPLY SERVICE

Bulk Retail

CERTIFICATIONS

dAA55 – Environmental management systems certification (-)

dAA56 – Quality management systems certification (-)

dAA57 – Health and safety management systems

certification (-)

dAA58 – Other certifications (-)

HUMAN RESOURCES

dAA59 – Water supply personnel (No.)

dAA60 – Water supply personnel in outsourcing (No.)

•

•

•

•

• •

•

•

•

•

• •

39 SYSTEM OF URBAN WASTEWATER MANAGEMENT INDICATORS

7. SYSTEM OF URBAN WASTEWATER MANAGEMENT INDICATORS




Table 10

Profile of the urban wastewater management service operator

Identification of the operator (-) (dAR01ab) (p. 129)


Management model (-) (dAR02ab) (p. 129)


Term of the contract (-) (dAR06ab) (p. 132)

Initial and final year of the period covered by the contract, where

applicable

Shareholder composition (-) (dAR05ab) (p. 132)

Entities holding the capital paid-up by the operator and

respective percentages, where applicable

Households (No.) (dAR11ab) (p. 137)

Total number of existing households in the intervention area of

the operator of the urban wastewater management system

Households served by controlled on-site systems (No.) (dAR09) (p.136)

Number of households located in the operator's intervention area

for which the collection and drainage infrastructure are connected

and running and for which there is wastewater treatment.

Volume of activity (106 m3/year (dAR22ab) (p. 146)

Revenue wastewater

Typology of the area of intervention (-) (dAR04ab) (p. 131)

Classification of the operator's intervention area in terms of

typology of urban area of the respective municipalities

System user(s) (-) (dAR03b) (p. 130)

Bulk system(s) to which the retail system is connected

Environmental management systems certification (-) (dAR56ab) (p. 170)

Specification of certification relative to the wastewater service


similar


Table 10 (cont.)

Profile of the urban wastewater management service operator

Quality management systems certification (-)(dAR57ab) (p. 170)



similar

Health and safety management systems certification (-) (dAR58ab) (p. 171)


provided by the operator according to OHSAS Standard 18001 or

similar

Other certifications (-) (dAR59ab) (p. 171)

Specification of other certifications relative to the operator's

wastewater activity

7.2 System profile

The wastewater system profile should be characterised by the

following information:

Table 11

Urban wastewater management system profile

Wastewater treatment plants (No.) (dAR36ab) (p. 157)

Number of wastewater treatment plants under the operator's

responsibility

Total length of sewers (km) (dAR31ab) (p. 153)

Total length of sewers managed by the operator

Submarine outfalls (No.) (dAR42ab) (p. 161)

Number of underwater outfalls under the operator's responsibility

Pumping stations (No.) (dAR35ab) (p. 156)

Number of pumping stations under the operator's responsibility

Flow measurement index (-) (dAR26ab) (p. 149)

Index with values between 0 and 100, calculated on the basis of

the existence of flow measurement in treatment plants, combined

sewer overflows and bypass, pumping stations, at the collection

points, in the drainage network and next to industrial users

Self-produced energy (%) (p. 128)

Percentage of energy consumed that is produced domestically by

the operator in the wastewater service's facilities


Table 11 (cont.)

Wastewater system profile

Utilisation of treated wastewater (%) (p. 128)

Percentage of the volume of treated wastewater that was used

Licensing of discharges (%) (p. 128)

Percentage of wastewater treatment plants with a valid

discharge licence

Infrastructure asset knowledge and management index (-) (dAR45ab) (p. 163)

Index with values between 0 and 100, calculated based on the

information available on infrastructure, on interventions made and

on the asset management level


With regard to the sixteen service quality indicators to be calculated

by ERSAR for each operator (see 4.5), Table 12 lists the respective

objectives and definitions. The sheets contained in Annex A3, which

are structured according to the assessment objectives and criteria

mentioned above, have more detailed definitions and benchmarks

for each indicator.

Table 12




AR01 – Service coverage (%) (p. 117/118)



possibility of connecting users to the operator’s physical

infrastructure.


located in the operator’s intervention area for which there are bulk

supply infrastructures that are connected or connectable to the

retail system (concept to be applied to bulk operators) or as a


operator’s intervention area for which collection and drainage

service infrastructures are available (concept to be applied to retail

system operators).


Table 12 (cont.)


AR02 – Affordability of the service (%) (p. 118)




by the operator.

It is defined as the weight of the average charge with the urban

wastewater management service in the average disposable

income per household in the system’s intervention area (concept

to be applied to bulk and retail system operators).


AR03 – Flooding occurrences [No./(100 km of collector • year)]

or [No./(1000 service connections • year)] (p. 119)


interface in terms of the protection of people and goods, with

regard to flooding.

It is defined as the number of flood events on public roads and

properties, originated in public sewers, per 100 km of collector

(concept to be applied to bulk system operators) or the number of

flood events on public roads and properties originating in the

public sewers, per 1000 service connections (concept to be


AR04 – Response to complaints and suggestions (%) (p. 120)



to the reply by the operator to complaints and suggestions.







AR05 – Cost recovery ratio (%) (p. 120)

This indicator is intended to assess the level of sustainability of the

service management in economic and financial terms, with regard

to the company's ability to generate its own forms of covering the

costs arising from its activity.



operators).


Table 12 (cont.)


AR06 – Connection to the service (%) (p. 121)


operator in economic and financial terms, with regard to

connecting users to the operator’s physical infrastructure.


located in the operator’s intervention area for which the foreseen

bulk service infrastructure is available and is effectively provided

(concept to be applied to bulk system operators) or as a


operator’s intervention area for which the wastewater service

infrastructure is available and is effectively provided (with the

existence of a water connection and contract) (concept to be



AR07 – Adequacy of treatment capacity (%) (p. 122)


service management in terms of infrastructure, with regard to the

existence of adequate capacity in treatment plants.

It is defined as the percentage of the existing treatment capacity

that was used in appropriate conditions for its size (concept to be


AR08 – Sewer rehabilitation (%/year) (p. 122)



ongoing rehabilitation of sewers to ensure their gradual renovation

and an acceptable average age of the network.

It is defined as the average annual percentage of sewers more

than ten years old that were rehabilitated in the last five years

(concept to be applied to bulk and retail system operators).

AR09 – Sewer collapses [No./(100 km • year)] (p.123)



reduced frequency of collapses in sewers

It is defined as the number of collapses in sewers per 100 km of

collector (concept to be applied to bulk and retail system

operators).


Table 12 (cont.)



AR10 – Adequacy of human resources [No./(106 m3 • year)] or [No./(100 km • year)] (p. 123/124)


service management in terms of physical productivity of the

operator's human resources, with regard to the existence of

adequate personnel.

It is defined as the equivalent of full-time personnel of the urban

wastewater management service per unit of volume of wastewater

collected (concept to be applied to bulk and retail system

operators) or the equivalent of full-time personnel of the urban

wastewater management service per 100 km of collector (concept

to be applied to retail system operators).



AR11 – Standardised energy consumption [(kWh/(m3 • 100 m)] (p. 125)



environmental resources, with regard to the adequate use of

energy resources as a scarce resource that requires rational

management.

It is defined as the standard average energy consumption of

pumping stations (concept to be applied to bulk and retail system

operators).


AR12 - Proper treatment of collected wastewater (%) (p.125)

This indicator is designed to assess the operator's level of

sustainability in terms of efficiently preventing pollution, with

regard to the discharge of waste collected and not treated into the

receiving environment.

It is defined as the percentage of the number of households

located in the operator's intervention area with drainage service

for which public networks are available and connected to an

appropriate destination in terms of treatment (concept to be



Table 12 (cont.)


AR13 – Emergency discharge control (%) (p. 126)



regard to the control of untreated wastewater discharges into the

receiving environment, as required by Council Directive

91/271/EEC and 2004/35/EC.

It is defined as the percentage of monitored and operational

combined sewer overflows drained directly into the receiving

environment (concept to be applied to bulk and retail system

operators).

AR14 – Wastewater analyses carried out (%) (p. 126)



regard to compliance with legal requirements for monitoring

wastewater discharges.

It is defined as the total number of tests carried out from those

required in the discharge licence or, in its absence, by the

applicable legislation (concept applied to bulk and retail system

operators).

AR15 – Compliance with the discharge parameters (%) (p.127)



regard to compliance with legal parameters for monitoring

wastewater discharges.

It is defined as the percentage of the equivalent of the population

that is served with treatment plants that ensure compliance with

the discharge licence (concept applied to bulk and retail system

operators).

AR16 – Sludge disposal (%) (p. 127)


sustainability of the service in terms of the efficient prevention of

pollution, with regard to the final destination of the sludge resulting

from water treatment as a potential source of contamination of

natural resources.

It is defined as the percentage of sludge drained from the system's

treatment facilities to an appropriate destination (concept to be





profile, which ERSAR can use to interpret and compare performance

indicators. To this effect the


operator can identify, for any indicator, any context factor that it

considers decisive for the interpretation to be made by ERSAR,

provided the information is auditable.


All data to be provided annually by the operators to ERSAR, which

are necessary to characterise the operator and system profiles and

to calculate the service quality indicators, are presented in Table 13

and are detailed in the sheets of Annex A4.

Table 13

Data of the quality assessment system of the urban wastewater management service


THE URBAN WASTEWATER MANAGEMENT

SERVICE

Bulk Retail


dAR01 – Identification of the operator (-)

dAR02 – Management model (-)

dAR03 – System user(s) (-)

dAR04 – Typology of the area of intervention (-)

dAR05 – Shareholder composition (-)

dAR06 – Term of the contract (-)

HOUSEHOLDS

dAR07 – Households supplied (No.)

dAR08 – Households not connected but with available

service (No.)

dAR09 – Households served by controlled on-site systems

(No.)

dAR10 – Households connected to the sewerage system but

without treatment (No.)

dAR11 – Households (No.)

POPULATION EQUIVALENTS

dAR12 – Population equivalent with satisfactory treatment

(valid discharge licence) (p.e.)

dAR13 – Population equivalent with satisfactory treatment

(expired discharge licence) (p.e.)

dAR14 – Population equivalent served by treatment

plants (p.e.)

COMPLAINTS

dAR15 – Complaints and suggestions (No./year)

dAR16 – Responses to complaints and suggestions (No./year)

•

•

•

•

•

•

•

•

n.a. •

•

•

•

•

•

•

•

•

•

•

•

•

•

•

• •

•

•

•

•

•

•


Table 13 (cont.)

Data on the assessment system of the urban wastewater management service quality



SERVICE

Bulk Retail

INTERRUPTIONS, LEAKS AND RUPTURES

dAR17 – Flooding (No./year)

dAR18 – Weirs with unsatisfactory operation (No.)

dAR19 – Sewer structural collapses (No./year)

WATER QUALITY CONTROL

dAR20 – Wastewater quality analyses required (No./year)

dAR21 – Wastewater quality analyses carried out (No./year)

WASTEWATER AND ENERGY

dAR22 – Revenue wastewater(m3/year)

dAR23 – Collected wastewater (m3/year)

dAR24 – Treated wastewater in WWTP (m3/year)

dAR25i – Volume of treated wastewater supplied to other

entity (m3/year)

dAR25ii – Volume of treated wastewater used for own

purposes (m3/year)

dAR26 – Flow measurement index (-)

dAR27 – Self-produced energy (kWh/year)

dAR28 – Energy consumption (kWh/year)

dAR29 – Energy consumption for pumping (kWh/year)

dAR30 – Standardisation factor (m3/year • 100 m)

INFRAESTRUCTURE AND ITS USE dAR31 – Total sewers length (km)

dAR32 – Average sewers length (km)

dAR33 – Sewers rehabilitated in the past five years (km)

dAR34 – Service connections (No.)

dAR35 – Pumping stations (No.)

dAR36 – Wastewater treatment plants (No.)

dAR37 – Collective septic tanks (No.)

dAR38 – Treatment plants with valid discharge permit

(No.)

dAR39 – Overutilization of treatment plants (m3)

dAR40 – Underutilization of treatment plants (m3)

dAR41 – Total capacity of treatment plants (m3)

dAR42 – Submarine outfalls (No.)

dAR43 – Weirs (No.)

dAR44 – Unmonitored weirs (No.)

dAR45 – Infrastructure asset knowledge and management index (-)

•

•

•

•

•

•

• •

•

•

•

•

•

•

•

•

•

n.a.

•

•

•

•

•

•

•

•

•

• •

•

•

•

•

•

•

• •

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

•

• •


Table 13 (cont.)

Data of the quality assessment system of the urban wastewater management service



SERVICE

Bulk Retail

TREATMENT SLUDGE

dAR46 – Sludge with proper disposal (t/year)

dAR47 – Initial sludge stored (t/year)

dAR48 – Sludge produced in the system

(t/year)

dAR49 – Sludge from other systems (t/year)

dAR50 – Final sludge stored (t/year)

ECONOMY

dAR51 – Total income and gains (€/year)

dAR52 – Total expenditures (€/year)

dAR53 – Average charge with the wastewater service (€/year)

dAR54 – Average disposable household income (€/year)

dAR55 – Approved tariff (€/m3)

CERTIFICATIONS

dAR56 – Environmental management systems

certification (-)

dAR57 – Quality management systems certification (-)

dAR58 – Health and safety management systems

certification (-)

dAR59 – Other certifications (-)

HUMAN RESOURCES

dAR60 – Wastewater service personnel (No.)

dAR61 – Wastewater service personnel in outsourcing (No.)

•

•

•

•

•

•

•

•

•

•

•

•

•

•

• •

•

•

•

•

•

•

•

•

•

n.a.

•

•

•

•

• •

49 SYSTEM OF MUNICIPAL WASTE MANAGEMENT INDICATORS

8. SYSTEM OF MUNICIPAL WASTE MANAGEMENT INDICATORS




Table 14

Municipal waste management operator profile

Identification of the operator (-) (dRU01ab) (p. 189)


Management model (-) (dRU02ab) (p. 189)


Term of the contract (-) (dRU06ab) (p. 192)

Initial and final year of the period covered by the contract, where

applicable

Shareholder composition (-) (dRU05ab) (p. 192)

Entities holding the capital paid-up by the operator and

respective percentages, where applicable

Households (No.) (dRU09ab) (p. 194)

Total number of existing households in the operator's

intervention area

Volume of activity (t) (dRU13a or dRU12ab) (p. 197/196)

For bulk system operators, the quantity of waste that enters

the operator's bulk treatment infrastructures

For retail operators, the total quantity of municipal waste

collected in the operator's intervention area

Typology of the area of intervention (-) (dRU04ab) (p. 191)

Classification of the operator's intervention area with regard to

the typology of urban area of the respective municipalities

System user(s) (-) (dRU03b) (p. 190)

Bulk system(s) to which the retail system is connected

Volume of activity for recycling (t/year) (dRU17a or dRU17b) (p. 199)

For bulk operators, the quantity of municipal waste forwarded for

recycling

For retail operators, the quantity of municipal waste collected

selectively for recycling


Table 14 (cont.)

Municipal waste management operator profile

Municipal waste directly sent to landfill (t/year) (dRU19a) (p.200)

For bulk operators, the quantity of municipal waste deposited

directly in a landfill

Environmental management systems certification (-) (dRU55ab) (p. 220)

Specification of certification relative to municipal waste

management provided by the operator according to ISO Standard

14001 or similar

Quality management systems certification (-) (dRU56ab) (p. 220)


management provided by the operator according to ISO Standard

9001 or similar

Health and safety management systems certification (-) (dRU57ab) (p. 221)


management provided by the operator according to OHSAS

Standard 18001 or similar

Other certifications (-) (dRU58ab) (p. 221)

Specification of other certifications relative to the operator's

municipal waste management activity

8.2 System profile

The municipal waste management system profile should be

characterised by the following information:

Table 15

Municipal waste management system profile

Recycling containers (No.) (dRU46ab) (p. 217)

Total number of existing recycling containers

Recycling depots (No.) (dRU47ab) (p. 217)

Total number of existing recycling depotss

Vehicles assigned to waste collection (No.) (dRU29ab) (p. 205)

Number of vehicles assigned to municipal waste collection

Sorting plants (No.) (dRU48a) (p. 218)

Total number of existing sorting plants

Organic recovery units (No.) (dRU49a) (p. 218)

Total number of existing organic recovery units

Incineration units (No.) (dRU50a) (p. 218)

Total number of existing incineration units


Table 15 (cont.)

Municipal waste management system profile

Landfills (No.) (dRU51a) (p. 219)

Total number of existing landfills

Transfer stations (No.) (dRU52ab) (p. 219)

Total number of existing transfer plants

Containers capacity (m3) (dRU54b) (p. 220)

Capacity utilisation of existing containers in the year under review


The goals and definitions of each of the sixteen service quality indicators (see 4.5) to be calculated by ERSAR for each operator are presented in Table 16. The sheets contained in Annex A5, which are structured according to the assessment objectives and criteria mentioned above, have more detailed definitions and benchmarks for each indicator.

Table 16




RU01 – Service coverage (%) (p. 175/176)


interface in terms of physical access to the service, with regard to

the proximity of users to the municipal waste collection equipment

and to their capacity to receive municipal waste for processing in

their infrastructures.

It is defined as the percentage of municipal waste collected in the

operator's intervention area that enter the bulk processing

infrastructures (concept to be applied to bulk system operators),

or as the percentage of the number of households with mixed

collection service at a distance of less than 100 m (includes door-

to-door) in the operator's intervention area (concept to be applied

to bulk system operators).


Table 16 (cont.)


RU02 – Selective collection coverage (%) (p.177)


interface in terms of their proximity to the selective waste

collection equipment.

It is defined as the percentage of households with selective

collection service per recycling bin (at a maximum distance of

around 200 m) and/or door-to-door collection, made available by

the operator in its intervention area (concept to be applied to bulk

and retail system operators).

RU03 – Affordability of the service (%) (p. 177/178)




by the operator.

It is defined as the weight of the average charge with the municipal

waste management service in the average disposable income per

household in the system’s intervention area (concept to be applied

to bulk and retail system operators).


RU04 – Washing of containers (-) (p.178)

This indicator is designed to assess the level of adequacy of the

user interface in terms of service quality, with regard to the

washing of containers in order to allow for their handling in clean

and safe conditions.

It is defined as the frequency of washing of containers, given by

the ratio between the number of selective collection containers to

be washed and the total number of selective collection containers

(concept to be applied to bulk system operators) and the number

of mixed collection containers to be washed and the total number

of mixed collection containers (concept to be applied to retail

system operators).

RU05 – Response to complaints and suggestions (%) (p.179)


interface in terms of the quality of the service, with regard to the

reply by the operator to complaints and suggestions.






Table 16 (cont.)




RU06 – Cost recovery ratio (%) (p.179)



regard to the company's ability to generate its own forms of

covering the costs arising from its activity.



operators).


RU07 – Packaging waste recycling (%) (p. 180)



the recycling of packaging waste.

It is defined as the percentage of packaging waste collected in the

operator's intervention area and taken back for recycling (concept

to be applied to bulk system operators), or as the percentage of

packaging waste collected selectively in the operator's

intervention area (concept to be applied to retail system

operators).

RU08 – Organic waste recovery (%) (p.181)


the service management in terms of infrastructures with regard to

the organic recovery of waste, according to the effort defined in

the Strategic Plan for each system or group of systems.

It is defined as the percentage of waste subject to organic recovery

in the operator's intervention area (concept to be applied to bulk

system operators).

RU09 – Incineration (%) (p.181)

This indicator is designed to assess the level of the operator's

sustainability in terms of infrastructure with regard to waste

incineration.

It is defined as the percentage of incinerated waste in the

operator's infrastructures in its intervention area (concept to be

applied to bulk system operators).


Table 16 (cont.)


RU10 – Landfill use (%) (p.182)



the utilisation of the landfill's annual fitting capacity, which makes

it possible to identify situations of overutilisation.

It is defined as the percentage used of the annual landfill capacity

available in the operator's infrastructures in its intervention area

(concept to be applied to bulk system operators).

RU11 – Renewal of waste collection vehicles (km/vehicle) (p.182)



the utilisation rate of the fleet of vehicles used to collect urban

waste, in order to ensure their gradual renovation and an

acceptable state of conservation.

It is defined as the average distance travelled per vehicle assigned

to the waste collection service (concept to be applied to bulk and


RU12 – Efficient use of waste collection vehicles [kg/(m3 ⋅ year] (p.183)



the profitability of the fleet of vehicles, in order to optimise the

capacity of vehicles.

It is defined as the quantity of waste collected in an mixed manner

per annual capacity utilisation of collection vehicles (concept to be



RU13 – Adequacy of human resources (No./1000 t) (p.183/184)


the service management in terms of physical productivity of the

human resources, with regard to the existence of an adequate

number within the organisation.

It is defined as the total number of full-time staff of the waste

management service per 1000 t of waste that enters the bulk

treatment infrastructures in the operator's intervention area

(concept to be applied to bulk system operators) or the total

number of full-time staff of the municipal waste management

service per 1000 t of municipal waste collected in the operator's

intervention area (concept to be applied to retail system

operators).


Table 16 (cont.)




RU14 – Use of energy resources [(kWh/t) or (tep/1000t)] (p.185)


service management in environmental terms, with regard to the

adequate use of energy resources as a scarce resource that

requires careful management.

It is defined as the energy consumed and produced per ton of

waste that enters the operator's bulk treatment infrastructures

(concept to be applied to bulk system operators) or as the total

consumption of fuel per 1000 tons of municipal waste collected in

an mixed manner in the operator's intervention area (concept to

be applied to retail system operators).


RU15 – Quality of leachate after treatment (%) (p.186)


the service management in environmental terms, with regard to

the quality control of leachate originating in the treatment plants,

as a potential source of contamination of natural resources when

not properly managed.

It is defined as the total number of tests carried out on leachate

treated whose results are in conformity with the applicable

legislation (concept applied to bulk system operators).

RU16 – Greenhouse gas emissions (kg CO2/t) (p.186/187)


the service management in environmental terms, with regard to

the prevention of greenhouse gas emissions originating from

waste collection vehicles.

It is defined as the total quantity of CO2 emissions originating from

vehicles used for the selective collection of packaging per ton of

waste collected in the operator's intervention area (concept to be

applied to bulk system operators) or as the total quantity of CO2

emissions originating from vehicles used for mixed collection per

ton of waste collected in the operator's intervention area (concept

to be applied to retail system operators).




profile, which ERSAR can use to interpret


and compare performance indicators. To this end the operator can

identify, for any indicator, any context factor that it considers decisive

for the interpretation to be made by ERSAR, provided the information

is auditable.


All data to be provided annually by operators to ERSAR, which are

necessary to characterise the operator and system profiles and to

calculate the service quality indicators, are presented in Table 17 and

are detailed in the sheets of Annex A6.

Table 17

Data of the quality assessment system of the municipal waste management service

DATA OF THE QUALITY ASSESSMENT SYSTEM OF THE

URBAN WASTEWATER MANAGEMENT SERVICE

Bulk Retail


dRU01 – Identification of the operator (-)

dRU02 – Management model (-)

dRU03 – System user(s) (-)

dRU04 – Typology of the area of intervention (-)

dRU05 – Shareholder composition (-)

dRU06 – Term of the contract (-)

HOUSEHOLDS

dRU07 – Households with unsorted waste collection

service (No.)

dRU08 – Households with selective waste collection (No.)

dRU09 – Households (No.)

COMPLAINTS

dRU10 – Complaints and suggestions (No./year)

dRU11 – Responses to complaints and suggestions (No./year)

WASTE QUANTITY

dRU12 – Municipal waste collected (t/year)

dRU13 – Total waste entering treatment facilities (t/year)

dRU14 – Municipal waste that enters the bulk treatment

infrastructures (t/year)

dRU15 – Packaging waste taken back for recycling (t/year)

dRU16 – Packaging waste selectively collected (t/year)

•

•

n.a.

•

•

•

n.a.

•

•

•

•

• •

•

•

•

•

•

•

•

•

•

•

•

•

•

•

• n.a.

n.a. n.a.

•


Table 17 (cont.)

Data on the assessment system of the municipal waste management service quality


THE URBAN WASTEWATER MANAGEMENT SERVICE

Bulk Retail

dRU17 – Volume of activity for recycling (t/year) dRU18 – Municipal waste sent to organic recovery (t/year) dRU19 – Municipal waste directly sent to landfill

(t/year)

dRU20 – Waste sent to incineration (t/year)

dRU21 – Municipal waste sent to landfill (t/year)

dRU22 – Non-municipal waste sent to landfill (t/year)

dRU23 – Landfill licensed capacity (t/year)

dRU24 – Unsorted municipal waste collection (t/year)

dRU25 – Target for packaging waste sent for recycling

(t/year)

dRU26 – Target for packaging waste selectively collected

(t/year)

dRU27 – Treatment capacity for biodegradable municipal

waste (t/year)

VEHICLES, EQUIPMENT AND THEIR USE

dRU28 – Kilometres travelled by collection vehicles (km)

dRU29 – Vehicles assigned to waste collection (No.)

dRU30 – Capacity of waste collection vehicles

(m3/year)

dRU31 – CO2 emissions from waste collection vehicles

(kg CO2)

dRU32 – Number of containers washed (No./year)

dRU33 – Number of containers (No./year)

QUALITY OF LEACHATE

dRU34 – Analyses carried out on treated leachate (No./year)

dRU35 – Analyses carried out on treated leachate in

compliance with the legislation (No./year)

ENERGY

dRU36 – Fuel consumption (tep/year)

dRU37 – Energy consumed from the external network (kWh/year)

dRU38 – Energy sold obtained from energy recovery

(kWh/year)

ECONOMY

dRU39 – Average charge with the municipal waste

management service (€/year)

dRU40 – Average disposable household income (€/year)

•

• •

•

•

•

•

n.a.

•

n.a.

•

•

•

n.a.

•

•

•

•

•

n.a.

•

•

•

•

•

n.a. n.a.

n.a.

n.a.

n.a.

n.a.

•

n.a.

•

n.a.

•

•

•

•

•

•

n.a.

n.a.

•

n.a.

n.a.

•

•


Table 17 (cont.)

Data of the quality assessment system of the municipal waste management service

DATA OF THE QUALITY ASSESSMENT SYSTEM OF THE

MUNICIPAL WASTE MANAGEMENT SERVICE

Bulk Retail

dRU41 – Total income and gains (€/year)

dRU42 – Total expenditures (€/year)

dRU43 – Approved tariff (€/t)

HUMAN RESOURCES

dRU44 – Waste management service personnel (No.)

dRU45 – Waste management service personnel in

outsourcing (No.)

INFRASTRUCTURES

dRU46 – Recycling containers (No.)

dRU47 – Recycling depots (No.)

dRU48 – Sorting plants (No.)

dRU49 – Organic recovery units (No.)

dRU50 – Incineration units (No.)

dRU51 – Landfills (No.)

dRU52 – Transfer stations (No.)

dRU53 – Incineration capacity utilisation (t/year)

dRU54 – Containers capacity (m3)

CERTIFICATIONS

dRU55 – Environmental management systems certification (-)

dRU56 – Quality management systems certification (-)

dRU58 – Other certifications (-)

dRU57 – Health and safety management systems

certification (-)

•

•

•

•

•

•

•

•

•

•

•

•

•

n.a.

•

•

• •

•

•

n.a.

•

•

•

•

n.a.

n.a.

n.a.

n.a.

•

n.a.

•

•

•

• •

59 FINAL REMARKS

9. FINAL REMARKS

This edition of the Water and waste service quality assessment guide

is the first version corresponding to the 2nd assessment generation.

Multiple aspects of the assessment system were improved, mainly

due to the experience gained during the first five years of application.

Nevertheless, in this review process care was taken not to

significantly change the data collection structure that the service

quality assessment process obliges among operators. In this sense,

clarifications were added and some indicators were improved, others

were deleted to simplify the system and a small number of new

indicators deemed relevant and more appropriate to the objectives to

be assessed were included, largely due to the sensitivity acquired

during the intense contact with operators.

In line with this guide, the data entry interface will be made available

on https://portal.ersar.pt.

We believe that the version of the service quality assessment system

established for the 2nd generation of application will continue to

contribute not only to protect the interests of users but also to

safeguard the interests of regulated operators and the entire sector

in general.

61 REFERENCES

10. REFERENCES

[1] “As linhas estratégicas do modelo de regulação a implementar

pelo Instituto Regulador de Águas e Resíduos”, IRAR, Baptista,

J. M., Pássaro, D. A. and Santos, R. F., Lisbon, April 2003.

[2] “Indicadores de desempenho para serviços de abastecimento

de água”, IWA/LNEC/IRAR, Alegre, H., Hirner, W., Baptista,

J. M. and Parena, R., September 2004.

[3] “Indicadores de desempenho para serviços de águas

residuais”, IWA/LNEC/IRAR, Matos, R., Cardoso, A., Ashley,

R., Duarte, P., Molinari, A. and Schulz, A., September 2004.

[4] “Elaboração de Normas Técnicas de Gestão de Tecnossistemas

de Confinamento de Resíduos Urbanos”, 7.º Relatório - Versão

Final dos Indicadores de Desempenho, Relatório 182/00 - GIAmb,

LNEC, Neves, E. B., Silva, P. A., 2000 (prepared by Instituto dos

Resíduos).

[5] ISO 24510:2007 (E). Activities relating to drinking water and

wastewater services – Guidelines for the assessment and for the

improvement of the service to users. First edition, 2007 12 01.


wastewater services — Guidelines for the management of

wastewater utilities and for the assessment of wastewater

services. First edition, 2007 12 01.


wastewater services – Guidelines for the management of drinking

water utilities and for the assessment of drinking water services.

First edition, 2007

12 01.

[8] Performance indicators for water supply services, second edition,

Manual of Best Practice Series, IWA Publishing, London, ISBN:

1843390515 (305 p.) Alegre, H.; Baptista, J. M.; Cabrera Jr., E.,

Cubillo, F.; Duarte, P.; Hirner, W.; Merkel, W.; Parena, R., (2006).

63 ANNEX A1. QUALITY OF THE WATER SUPPLY SERVICE - DEFINITIONS

ANNEX A1. QUALITY OF THE WATER SUPPLY SERVICE - DEFINITIONS


The following convention is used In the sheets presented in this Annex:

■ AAXXa – when the indicator is used only for bulk system

operators;

■ AAXXa – when the indicator is used only for retail system

operators;

■ AAXXab – when the indicator is used both for bulk and retail

system operators, represented by AAXXa and AAXXb,

respectively.

PROTECTION OF USER INTERESTS


AA01a – Service coverage (%)

Percentage of the total number of households located in the operator's

intervention area for which there are bulk infrastructures that are connected or

connectable to the retail system.

AA01a = (dAA07a + dAA08a) / dAA09a × 100

dAA07a – Households supplied (No.)

dAA08a – Households connected to the public network but not supplied (No.)

dAA09a – Households (No.)

Reference values for bulk systems

Good service quality 100

Average quality of service [85; 100]

Unsatisfactory service quality [0; 85]

IWA code: – Previous ERSAR code: AA01a (adapted)


AA01b – Service coverage (%)


intervention area for which water distribution service infrastructures are available.

AA01b = (dAA07b + dAA08b) / dAA09b × 100

dAA07b – Households supplied (No.)

dAA08b – Households connected to the public network but not supplied (No.)

dAA09b – Households (No.)

Reference values for retail systems

Reference values for predominantly urban intervention areas

Good service quality [95; 100]

Average service quality [80; 95]


Reference values for medium urban intervention areas




Reference values for predominantly rural intervention areas




IWA code: – Previous ERSAR code: –

AA02ab – Affordability of the service (%)

Weight of the average charge with the water supply service in the average

income available per household in the system's intervention area.

AA02ab = dAA52ab / dAA53ab × 100

dAA52ab – Average charge with the water supply service (€/year)

dAA53ab – Average disposable household income (€/year)


retail systems

Good service quality [0; 0,25] [0; 0,50]

Average service quality ]0,25; 0,50] ]0,50; 1,00]

Unsatisfactory service quality ]0,50; +∞ [ ]1,00; +∞ [

For bulk systems, this indicator does not consider the inefficiencies of retail

systems as this aspect is not relevant in the respective assessment.




AA03a – Service interruptions [No./(delivery point • year)]

Weighted average number of interruptions per delivery point, with the weighting

factor being the number of households with effective bulk service that depend on

each delivery point.

AA03a = dAA12a / dAA07a


dAA12a – Service interruptions

[(No. interruptions • No. households)/(point of entry • year)]


Good service quality 0.00

Average service quality [0.00; 0.20]

Unsatisfactory service quality [0,20; +∞]


AA03b – Service interruptions [No./(1000 service connections • year)]

Service interruptions per 1000 service connections.

AA03b = dAA12b / dAA33b × 1000

dAA12b – Service interruptions (No./year)

dAA33b – Service connections (No.)


Good service quality [0,0; 1,0]

Average service quality ]1,0; 2,5]

Unsatisfactory service quality ]2,5; +∞ [

IWA code: QS14 (adapted) Previous ERSAR code: AA03b (adapted)


AA04ab – Safe water (%)

Percentage of tests carried out from among those required that complied with

the parametric values.

AA04ab = (dAA25ab / dAA23ab) × (dAA22ab / dAA24ab) × 100

dAA22ab – Mandatory analyses carried out on water quality (No./year)


dAA24ab – Mandatory regulatory analyses on water quality (No./year)

dAA25ab – Analysis carried out in compliance with the parametric value (No./year)

Reference values for bulk and retail systems

Good service quality [98,50; 100]

Average service quality [94,50; 98,50[

Unsatisfactory service quality [00,00; 94,50[


AA05ab – Response to complaints and suggestions (%)

Percentage of written complaints and suggestions that received a written reply

within no more than 22 working days.


dAA10ab – Complaints and suggestions (No./year)

dAA11ab – Responses to complaints and suggestions (No./year)


retail systems

Good service quality 100 100

Average service quality [95; 100[ [85; 100[

Unsatisfactory service quality [0; 95[ [0; 85[

Requests that reflect that the expectations of the sender in relation to the

service were not met should be included.

IWA code: QS34 Previous ERSAR code: AA06


SUSTAINABILITY OF SERVICE MANAGEMENT


AA06ab – Cost recovery ratio (%)

Ratio between total income and gains and total costs.

AA06ab = dAA50ab / dAA51ab x 100

dAA50ab – Total income and gains (€/year)

dAA51ab – Total expenditures (€/year)



Average service quality [90; 100[ or ]110; 120]

Unsatisfactory service quality [0; 90[ or ]120; +∞ [

IWA code: Fi30 Previous ERSAR code: –

AA07a – Connection to the service (%)


intervention area for which the foreseen bulk service infrastructures are available

and have effective service.

AA07a = dAA07a / (dAA07a + dAA08a) × 100





Average service quality [98,0; 100,0]

Unsatisfactory service quality [0,0; 98,0]



AA07b – Connection to the service (%)

Percentage of the number of households located in the operator's intervention

area for which water distribution infrastructures are available and have effective

service (with a water connection and contract, even if temporarily suspended

during part of the year under review).

AA07b = dAA07b / (dAA07b + dAA08b) × 100




Good service quality [95,0; 100]

Average service quality [90,0; 95,0[



AA08ab – Non-revenue water (%)

Percentage of water entering the system that is not invoiced.


dAA14ab – Water entering the system (m3/year)

dAA17ab – Non-revenue water (m3/year)


retail systems

Good service quality [0,0; 5,0] [0,0; 20,0]


Unsatisfactory service quality ]7,5; 100,0] ]30,0; 100,0]

IWA code: Fi46 Previous ERSAR code: AA10



AA09ab – Adequacy of treatment capacity (%)

Percentage of the existing treatment capacity used in conditions adapted to its

size.

AA09ab = [1 - (dAA41ab + dAA42ab) / dAA43ab] × 100

dAA41ab – Overutilization of treatment plants (m3)

dAA42ab – Underutilization of treatment plants (m3)

dAA43ab – Total capacity of treatment plants (m3)

Reference values for bulk and retail systems Good service quality [90; 100]




AA10ab – Mains rehabilitation (%/year)

Annual average percentage of transport and distribution pipes more than ten

years old rehabilitated in the last five years.

AA10ab = dAA32ab / dAA31ab × 100 / 5

dAA31ab – Average mains length (km)

dAA32ab – Mains rehabilitated in the past five years (km)

Reference values for bulk and retail systems Good service quality [1,0; 4,0]

Average service quality [0,8; 1,0] or [4,0; 100]


It should be noted that the inverse of the average value of this indicator

throughout the system's life corresponds to the number of years of installation of

the pipes.

In the case of operators that do not have a historical record for the entire 5-year

period, the indicator must be calculated for the period with data available.

IWA code: Op16 (adapted) Previous ERSAR code: AA14 (adapted)


AA11ab – Mains failures [No./(100 km ⋅ year)]

Number of leaks or ruptures in pipes per 100 km of mains.


dAA13ab – Leaks or ruptures in mains (No./year)

dAA30ab – Total mains length (km)


retail systems

Good service quality [0; 15] [0; 30]

Average service quality ]15; 30] ]30; 60]

Unsatisfactory service quality ]30; +∞ [ ]60; +∞ [

This indicator excludes leaks or ruptures in pipes that were demonstrably caused

by third parties to whom the repair was invoiced. When calculating this indicator,

generally from the registration of work orders, repairs due to the active control of

leaks should be excluded.

IWA code: Op31 Previous ERSAR code: AA16


AA12a – Adequacy of human resources (No./106 m3 • year)

Full-time personnel of the water supply service per unit of volume of exported

treated water.

AA12a = (dAA59a + dAA60a) / dAA21a × 106

dAA21a – Treated water exported (m3/year)

dAA59a – Water supply personnel (No.)

dAA60a – Water supply personnel in outsourcing (No.)




Average service quality [0,5; 1,0[ or ]2,0; 2,5]

Unsatisfactory service quality [0,0; 0,5[ or ]2,5; +∞ ]









IWA code: – Previous ERSAR code: AA17a (adapted)


AA12b – Adequacy of human resources (No./1000 service connections)

Full-time personnel of the water supply service per 1000 service connections.

AA12b = (dAA59b + dAA60b) / dAA33b × 1000


dAA59b – Water supply personnel (No.)

dAA60b – Water supply personnel in outsourcing (No.)





Unsatisfactory service quality [0; 1,5[ or ]3,5; - ]









IWA code: – Previous ERSAR code: AA17b

ENVIRONMENTAL SUSTAINABILITY


AA13a – Real water losses [m3/(km • day)]

Volume of actual losses per unit of length of pipe.

AA13a = dAA18a / (dAA30a × 365)

dAA18a – Real losses (m3/year)

dAA30a – Total mains length (km)

Reference values for bulk systems retail systems

Good service quality [0,0; 5,0] [0,0; 3,0]


Unsatisfactory service quality ]7,5; +∞[ ]5,0; +∞[

This indicator applies to bulk system operators and to retail system operators

when the density of service connections is less than 20/km of network.

IWA code: Op24 Previous ERSAR code: –


AA13b – Real water losses [l/(service connection • day)]

Volume of rea losses per service connection.

AA13b = (dAA18b / dAA33b) × (1000 / 365)

dAA18b – Real losses (m3/year)




Average service quality ]100; 150]

Unsatisfactory service quality ]150; +∞[

This indicator applies to retail system operators if the density of service

connections is equal to or more than 20/km of network.

IWA code: Op23 Previous ERSAR code: –

AA14ab – Fulfilment of the water abstraction licensing (%)

Percentage of the volume of water abstracted in licensed abstractions that meets

the requirements of abstraction licences.


dAA19ab – Water abstracted in licensed abstractions (m3/year)

dAA20ab – Water abstracted (m3/year)



Average service quality [90; 100[

Unsatisfactory service quality [0; 90[

This indicator is designed to assess the amount of water collected in unlicensed

water sources under the operator's activity (possibly undergoing a licensing

process) or in licensed abstractions where the limits granted are being exceeded.

IWA code: – Previous ERSAR code: AA11


AA15ab – Standardised energy consumption [kWh/(m3 • 100 m)]

Standardised average energy consumption of pumping stations.

AA15ab = dAA26ab / dAA27ab

dAA26ab – Energy consumption for pumping (kWh/year)

dAA27ab – Standardisation factor (m3/year • 100 m)


Good service quality [0,27; 0,40] (average efficiency between 68 and 100%)

Average service quality ]0,40; 0,54] (average efficiency between 50 and 68%)

Unsatisfactory service quality ]0,54; 5,00[ (average efficiency lower than 50%)

This indicator is the average amount of energy consumed per m3 raised to a

suction head of 100 m. This indicator corresponds to the inverse of the group's

average pumping efficiency. 0,40 kWh / (m3 • 100 m) corresponds to an average

pumping efficiency of: 9810 N x 100m / (3600 J/Wh) / 400 Wh x 100 = 68%.

The minimum theoretical value, corresponding to a motor and pump efficiency of 100%, is 0.27 kWh/m3 • 100.

IWA code: Ph5 Previous ERSAR code: AA19


AR16ab – Sludge disposal (%)

Percentage of sludge drained from the system's treatment facilities to an

appropriate destination.

AA16ab = dAA45ab / (dAA46ab + dAA47ab + dAA48ab - dAA49ab) × 100

dAA45ab – Sludge with proper disposal (t/year)

dAA46ab – Initial sludge stored (t/year)

dAA47ab – Sludge produced in the system (t/year)

dAA48ab – Sludge from other systems (t/year)

dAA49ab – Final sludge stored (t/year)





IWA code: – Previous ERSAR code: AA20 (adapted)


Indicators used in the system profile

Density of service connections (No. of service connections/km of network)

Number of existing service connections per unit of length of the supply network.

Expressed as:

dAA33b / dAA30b

dAA30b – Total mains length (km)



Reserve capacity of treated water (days)

Supply autonomy of water treated by the abstraction or distribution reservoirs.

Expressed as:

dAA40ab / dAA14ab × 365

dAA14ab – Water entering in the system (m3/year)

dAA40ab – Water reserve capacity in transport and distribution (m3)

This indicator provides an indication, in average terms, of how long it is possible

to ensure the supply of water to consumers in the case of an interruption in

supply.

IWA code: Ph3 Previous ERSAR code: AA13

Self-produced energy (%)

Percentage of energy consumed that is produced domestically by the operator

in the water supply service's facilities

Expressed as:

dAA28ab / dAA29ab × 100

dAA28ab – Self-produced energy (kWh/year)

dAA29ab – Energy consumption (kWh/year)


75 ANNEX A2. DATA ON THE WATER SUPPLY SERVICE

ANNEX A2. DATA ON THE WATER SUPPLY SERVICE

The following convention is used In the sheets presented in this Annex:

■ dAAXXa – when the data is used only for bulk system operators;

■ dAAXXb – when the data is used only for retail system operators;

■ dAAXXab – when the data is used both for bulk and retail system

operators, represented by dAAXXa and dAAXXb, respectively.

Identification of the operator

dAA01ab - Identification of operator (-)

Complete official name and head-office address of the operator.

Data from: ERSAR / Operator

Relative to the last day of the year under review

The head-office address includes the street address, telephone and fax

number, email address and website, if available.

Used for: Operator profile

IWA code: – Previous ERSAR code: dAA01

Reliability: n.a.


dAA02ab - Management model (-)

Management model adopted, i.e. public state-owned company; state-owned

multimunicipal concession; municipal or inter-municipal direct management

through municipal services, municipalized or inter-municipalized services or

municipal association; municipal or inter-municipal delegation through a

municipal company, inter-municipal company or local public companies;

municipal concession.


Relative to the year under review



Reliability: n.a.

dAA03b - dAA03 – System user(s) (-)

Bulk system(s) to which the retail system is connected.



Used for: Operator profile (only retail system operators) IWA code: –

Previous ERSAR code: –

Reliability: n.a.


Size

(inhab)

Typology

PRA AUA PUA

Mu

nic

ipa

litie

s

< 5000 1 5000 - 10 000 2

10 000 - 25 000 3 25 000 - 60 000 4 60 000 - 90 000 5

> 90 000 6

dAA04ab – Typology of the area of intervention (-)

Classification of the operator's intervention area in terms of typology of the

respective municipalities.

Data from: ERSAR

Relative to the most recent Census

The typology comprises three levels:

– Predominantly Urban Areas (PUA)

– Medium Urban Areas (AUA)

– Predominantly Rural Areas (PRA).

As a basic principle the municipality is the geographic unit of analysis.

The operator's intervention area is classified as follows:

dAA04ab = ((C1 × p1) + (C2 × p2) + … + (Cn × pn)) / ∑ (p1 + p2 + … + pn)

dAA04ab – weighted average of the system, with the typologies being defined

by the following intervals: APU ]4, 6], AMU ]2, 4] e APR ]0, 2].

C – quantification of the typology assigned to the municipality

p – resident population of the municipality

where C of each municipality is assigned given the simple average of the

values resulting from the tables below:

Classification of the municipalities

according to the population

density

Classification according to the size

of the most populated place

Population

density

(inhab/km2)

Typology

PRA AUA PUA

Mu

nic

ipalit

ies

< 50 1 50 - 100 2

100 - 300 3 300 - 500 4 500 - 750 5

> 750 6

If the operator's intervention area does not cover the entire municipality, it will be

calculated based on the corresponding part.

This calculation methodology adapts for municipalities the principles laid down

for civil parishes in Resolution No. 2717/2009 – 8ª (2008) of the Permanent

Section of Statistical Coordination, published in the Government Gazette, II

Series, No. 188, of 28 September 2009.

In the case of operators for which the supply commitment is based on volumes

to be supplied and not on specific locations of delivery points, the serviced areas

will be treated as predominantly urban areas, since the delivery points can be

considered as consumption points with many concentrated users.

Used for: Operator profile and reference values:


AA12a – Adequacy of human resources (No./106 m3 • year) AA12b – Adequacy of human resources (No./1000 service

connections)


Reliability: n.a.


dAA05ab – Shareholder composition (-)

Entities holding the capital paid-up by the operator and respective percentages,

where applicable.


Relative to the tax year



Reliability: n.a.

dAA06ab - Term of the contract (-)

Initial and final year of the period covered by the contract, where applicable.





Reliability: n.a.


Households


Number of households located in the operator's intervention area for which there

are connected and operational bulk infrastructures.

Data from: Operator


This value should preferably be determined based on data collected from retail

system operators; alternatively, it can be determined through reliable and

updated sources of the operator.

The bulk system operator shall provide each of the retail system operators with

a list of the foreseen places/parishes and request information on whether the

corresponding retail infrastructures have been built, are operational and in

service from the bulk system. It must be considered all households integrated in

the retail system, regardless of the connection to the retail system.

The number of households to be considered in each place/parish should be the

figure published by the National Institute of Statistics. Intermediate estimates

published between Census, based on Construction statistics, are considered

valid.

See definition of households in Annex A7 - Terminology.

Used for: AA01a – Service coverage (%)

AA03a – Service interruptions [No./(delivery point • year)]


Operator profile – Households served (No.)


Reliability:

*** – Data obtained by counting based on reliable and current sources;

** – Data obtained by counting based on reliable and current sources and on

the operator's estimates that do not represent more than 10% of the

total value;

* – Data obtained by counting based on reliable and current sources and on

the operator's estimates that represent more than 10% of the total value.



Number of households located in the operator's intervention area for which water

distribution infrastructures are available and have effective service (with a water

connection and contract, even if temporarily suspended during part of the year

under review).

Data from: Operator


In order to estimate the number of households supplied, operators should use

the "number of domestic users" as an estimate of the number of "households with

effective service", based on the duly corrected number of domestic meters,

namely to exclude any duplication of meters (e.g.: condominium meter).


Used for: AA01b – Service coverage (%) AA07b – Connection to the service (%)

Operator profile – Households served (No.)

IWA code: E1 (adapted) Previous ERSAR code: dAA35b

Reliability:

*** – Value based on the operator's customer management system;

** – Value based on the customer management system and on the operator's

estimates that do not represent more than 10% of the total value;

* – Value based on the operator's estimates that represent more than 10%

of the total value;




are bulk infrastructures that are not connected but which can be connected to the

retail system.

Data from: Operator


This value can be obtained by the difference between the number of households

located in the operator's intervention area where the foreseen bulk service

infrastructures have been built and are operational and dAA07a - Households

supplied (No.).




service from the bulk system.

The number of households to be considered in each place/parish should be the

figure published by the National Institute of Statistics. Intermediate estimates

published between Census, based on Construction statistics, are considered

valid.





Reliability:

*** – Value based on the number of households counted via public network

availability notifications;

** – Value based on the number of households counted via public network

availability notifications and on the operator's estimates that do not

represent more than 10% of the total value;

* – Value based on the number of households counted via public network

availability notifications and on the operator's estimates that represent

more than 10% of the total value.



Number of households located in the operator's intervention area for which

water distribution infrastructures are available, but not connected to the public

network (due to the non-existence of a water connection or contract active

during the year under review).

Data from: Operator



Used for: AA01b – Service coverage (%)

AA07b – Connection to the service (%)


Reliability:

*** – Value based on lists of public network availability notifications;

** – Value based on lists of public network availability notifications and on the

operator's estimates that do not represent more than 10% of the total value;


of the total value.

dAA09ab – Households (No.)

Total number of existing households in the intervention area of the operator of

the water supply system.

Data from: Operator

Relative to the last day of the year under review The values published by the National Institute of Statistics (INE) should be

adopted. Intermediate estimates published between Census, based on

Construction statistics, are considered valid.

For retail systems isolated households located in the operator's intervention

area should be considered.




IWA code: E3 (adapted) Previous ERSAR code: dAA46

Reliability:



the operator's estimates that do not represent more than 10% of the total value;




Complaints

dAA10ab – Complaints and suggestions (No./year)

Total number of written complaints and suggestions relative to the water supply

service.

Data from: Operator


Complaint or other written suggestion means any written document (written,

recorded or just signed by the claimant/applicant), received by any means (in

person, via post, courier or electronic form, fax, etc.) that draw attention to any

aspect of the service provided directly by the operator or its representatives,

namely service providers acting on its behalf.

All written complaints and suggestions should be considered, including those that

are unfounded.

Only written complaints and suggestions in which the author and respective

address (physical or electronic) are properly identified should be considered.

If more than one activity subject to assessment is carried out, written complaints

and suggestions that cannot be assigned specifically to one of them (for example,

failure or delay in receiving an invoice that includes more than a service, delay in

attendance), should be accounted for in all of them.

The concept presented is justified as it was considered that all critical remarks

made in writing by users deserve an answer in writing from the operator.

Used for: AA05ab – Response to complaints and suggestions (%)

IWA code: F23 (adapted) Previous ERSAR code: dAA39 (adapted)

Reliability:

*** – Value based on information gathered in the information system dedicated

to managing complaints and other suggestions, or based on the

complaints and suggestions management system in paper form when the

volume of complaints received is less than 50;

** – Value based on the complaints and suggestions management

system in paper form;

* – Value based on the general filing system, not organised into a dedicated

module.


dAA11ab – Responses to complaints and suggestions (No./year)

Number of written replies, issued within a period of no more than 22 working

days, to written complaints and suggestions relative to the water supply service.

Data from: Operator


For the purposes of this indicator, answers that do not show an effective analysis

of the concrete situation, namely because they fit into systematic procedures

designed to acknowledge receipt of the complaint or suggestion, or because they

correspond to communications which merely inform that the complaint or

suggestion was forwarded to another department or service of the operator, are

not considered.

Used for: AA05ab – Response to complaints and suggestions (%)

IWA code: F22 (adapted) Previous ERSAR code: dAA38 (adapted)

Reliability:





** – Value based on the complaints and suggestions management system in

paper form;


module.


Σ

Interruptions, leaks and ruptures

dAA12a – Service interruptions [(No. interruptions • No. households)/ (delivery point • year)]

Sum, for all delivery points, of the product between the number of interruptions

in the delivery point lasting more than 6 hours and the number of households that

depend on it. n

dAA12a = Pei × Ai

i=l

where:

n = number of delivery points

Pei = number of interruptions in delivery point i Ai = number of households that depend on delivery point i.

Data from: Operator


In this context, interruptions due to a systematic intermittent supply should be

included, as should interruptions in supply to users that were unplanned or

planned and unannounced (by written notice) at least 48 hours in advance,

lasting for more than 6 hours (counted until the complete re-establishment of

supply).

Planned interruptions lasting for more than 6 hours than that notified

should also be included.

The number of interruptions to be considered is obtained by the quotient

between the duration of the interruption (in hours) and 6.

Used for: AA03a – Service interruptions [No./(delivery point • year)]


Reliability:

***– Value where the parts that were obtained by record of interruptions in

delivery points and in the operator's Geographic Information System

represent more than 95% of the result;

** – Value where the parts that were obtained by record of interruptions in


represent between 95% and 75% of the result;

* – Value where the parts that were obtained by record of interruptions in


represent less than 75% of the result.


dAA12b – Service interruptions (No./year)

Total number of interruptions in water supply lasting for more than 6 hours.

Data from: Operator


In this context, interruptions due to a systematic intermittent supply should be

included, as should interruptions in supply to users that were unplanned or

planned and unannounced (by written notice) at least 48 hours in advance,

lasting for more than 6 hours (counted until the complete re-establishment of

supply), caused by ruptures or interruptions in the water supply system and by

subsequent repair/renovation measures.

Planned interruptions lasting for more than 6 hours than that notified

should also be included.

The number of interruptions to be considered is obtained by the quotient between

the duration of the interruption (in hours) and 6.

Used for: AA03b – Service interruptions [No./(1000 service connections • year)]

IWA code: – Previous ERSAR code: dAA30 (adapted)

Reliability:

***– Value based on records made, in their entirety, in an operation and

maintenance program;

** – Value based on records made in an operation and maintenance program

and on other records;

* – Value based on records made in other instruments.


dAA13ab – Mains failures (No./year)

Number of mains failures, including those in valves and accessories.

Data from: Operator


For reasons of expediency, leaks and ruptures in pipes can be recorded from the

repair records, assuming that all the leaks or ruptures detected in pipes are

repaired and recorded.

Leaks and ruptures caused and with repair costs covered by third parties should

not be counted since they are not the operator's direct responsibility.

Repairs of leaks and ruptures detected under the active control of leaks/ruptures

should also be excluded.

Used for: AA11ab – Mains failures [No./(100 km ⋅ year)] IWA code: D28

Previous ERSAR code: dAA29

Reliability:




and on other records;


Water balance / water volumes

dAA14ab – Water entering in the system (m3/year)

Volume of water entering the supply system.

Data from: Operator


The volume of water entering the system should include the water abstracted

and all the raw and treated imported water.

See definitions of water balance components in Annex A7 - Terminology.

Used for: AA08ab – Non-revenue water (%)

System profile - Reserve capacity of treated water (days) IWA

code: A3 Previous ERSAR code: dAA07

Reliability:

*** – Value based on measurements that contribute with more than 95% of the

data value;

** – Value based on measurements that contribute between 75 and 95% of

the data value;

* – Value based on measurements that contribute between 75% and 50% of the data value.


dAA15b – Authorised consumption (m3/year)

Authorised total consumption, measured and/or not measured, of registered

users, of the operator and others who are implicitly or explicitly authorised to do

so by the water supplier, for domestic, commercial, industrial and other use.

Includes exported water.

Data from: Operator


Note that authorised use can include consumption for fire-fighting and fire-fighter

training, washing of pipes and sewers, street washing, watering municipal parks,

feeding public fountains, protection against low temperatures, construction

works, etc. This consumption can be invoiced or not invoiced, measured or

unmeasured, according to local practice.

'Others' includes all registered users who does not qualify as domestic, industrial

or distributors, such as commercial, public or institutional users.


IWA code: A14 Previous ERSAR code : dAA14

Reliability:


data value;

** – Value based on measurements that contribute between 75 and 95% of the

data value;

* – Value based on measurements that contribute between 75 and 50% of the

data value.


dAA16ab – Revenue water (m3/year)

Total invoiced authorised consumption (including exported water).

Data from: Operator


Includes measured invoiced consumption and unmeasured invoiced

consumption (estimated). Note that authorised consumption can include

consumption for fire-fighting and fire-fighter training, washing of pipes and

sewers, street washing, watering municipal parks, feeding public fountains,

protection against low temperatures, construction works, etc. This consumption

can be invoiced or not invoiced, measured or unmeasured, according to local

practice.

The value of this data item should take into account the minimum flows.


Used for: Operator profile – Volume of activity

IWA code: A10 Previous ERSAR code: dAA16

Reliability:

*** – Value based on invoice records for more than 95% of the data value;

** – Value based on invoice records for more than 75% and less than 95% of

the data value;

* – Value based on invoice records for more than 50% and less than 75% of

the data value.

dAA17ab – Non-revenue water (m3/year)

Difference between the water entering the system and the invoiced authorised consumption (Including exported water).

Data from: Operator


Non-revenue water includes not only actual and apparent losses but also non-

invoiced authorised consumption.


Used for: AA08ab – Non-revenue water (%)


Reliability:

The lesser of the two reliabilities indicated in dAA16a – Invoiced water

(m3/year) and in dAA14ab – Water entering the system (m3/year).


dAA18ab – Real losses (m3/year)

Total volume of physical water losses from the system in terms of pressure, until

the customer's meter.

Data from: Operator


The volume of losses during the reference period, through all types of water

leaks, ruptures and overflows, depends on the frequencies of the flows and the

average duration of leaks.

Water uses that occur in treatment plants should be counted as non-invoiced

authorised consumption.

See definitions relative to the water balance.

Used for: AA13a – Actual water losses [m3/(km • day)]

AA13b – Actual water losses [l/(water connection • day)]

IWA code: A19 Previous ERSAR code : dAA15

Reliability:

*** – Value based on measurements, research and tests to determine losses,

namely in measurement and control areas, existence of active leakage

control programs, recording of volumes occurring in exceptional situations

or in current situations in more than 90% of the system;

** – Value based on measurements, research and tests to determine losses,


control programs, recording of volumes occurring in exceptional

situations or in current situations in more than 75% and less than 90% of

the system;

* – Value based on measurements, research and tests to determine losses,


control programs, recording of volumes occurring in exceptional

situations or in current situations in less than 75% of the system or in

current situations in more than 75% and less than 90% of the system.


dAA19ab – Water abstracted in licensed abstractions (m3/year)

Volume of water abstracted in licensed abstractions that meet the requirements

of abstraction licences.

Data from: Operator


In this variable, it should only be considered the volume of water abstracted

during the period when the abstraction is licensed. It shall not be considered the

volume of water that exceeds the maximum annual volume indicated in the

license.

Used for: AA14ab – Fulfilment of the water abstraction licensing (%)


Reliability:


data value;

** – Value based on measurements that contribute with more than 75% and

less than 95% of the data value;

* – Value based on measurements that contribute with more than 50% and

less than 75% of the data value.

dAA20ab – Water abstracted (m3/year)

Volume of water abstracted by the supply system.

Data from: Operator


Used for: AA14ab – Fulfilment of the water abstraction licensing (%)


Reliability:


data value;

** – Value based on measurements that contribute with more than 75% and

less than 95% of the data value;

* – Value based on measurements that contribute with more than 50% and

less than 75% of the data value.


dAA21a – Treated water exported (m3/year)

Total volume of treated water exported to another operator.

Data from: Operator


Used for: AA12a – Adequacy of human resources (No./106 m3 • year)


Reliability:


data value;

** – Value based on measurements that contribute with more than 75% and less

than 95% of the data value;

* – Value based on measurements that contribute with more than 50% and less

than 75% of the data value.

Drinking water quality control


Number of legally required tests carried out in the consumer's tap, in the case of

retail distribution systems, and at the delivery point, in the case of bulk distribution

systems, pursuant to Decree-Law No. 306/2007 of 27 of August.

Data from: ERSAR


The following parameters are not considered as their testing is not mandatory:

acrylamide, epichlorohydrin, vinyl chloride, tritium, α- total β- total and total

indicative dose.

The value to be used should be the difference between the number of required tests (legally required tests) and the number of tests missing in relation to those required. Any verification tests carried out following the treatment of non-compliance with

the parametric values occurred are not considered.

Used for: AA04ab – Safe water (%)

IWA code: D46 Previous ERSAR code: dAA31

Reliability:

*** – Value based on implementation data of the Water Quality Control

Program subject to inspection by ERSAR.

** – n.a.

* – n.a.


dAA23ab – Analyses carried out on parameters with a parametric value (No./year)

Number of tests with parametric value carried out on treated water taken from

the consumer's tap, in the case of retail distribution systems, and at the delivery

point, in the case of bulk distribution systems, pursuant to Decree-Law No.

306/2007 of 27 of August.

Data from: ERSAR




indicative dose.

The value corresponds to all of the tests carried out with parametric value by an

operator, which can be higher than the minimum frequency. Only tests conducted

under the Water Quality Control Program (PCQA) should be considered, and

verification tests should not be included.



Reliability:

*** – Value based on implementation data of the Water Quality Control Program

subject to inspection by ERSAR.

** – n.a.

* – n.a.

dAA24ab – Tests carried out on the water quality (No./year)

Number of legally required tests carried out in the consumer's tap, in the case of

retail distribution systems, and at the delivery point, in the case of bulk distribution

systems, pursuant to Decree-Law No. 306/2007 of 27 of August.

Data from: ERSAR Relative

to the year under review



indicative dose.

The value corresponds to the minimum legal frequency specified in Decree-Law

No. 306/2007, of 27 August.

Used for: AA04ab – Safe water (%) IWA code: D57 Previous ERSAR code: dAA33

Reliability:



** – n.a.

* – n.a.


dAA25ab – Analysis carried out in compliance with the parametric value (No./year)

Number of tests with parametric value carried out on treated water taken from

the consumer's tap, in the case of retail distribution systems, and at the delivery

point, in the case of bulk distribution systems, pursuant to Decree-Law No.

306/2007 of 27 of August.

Data from: ERSAR Relative to the year under review

All the tests conducted under the Water Quality Control Program (PCQA) should

be counted.



Reliability:



** – n.a.

* – n.a.


Energy

dAA26ab – Energy consumption for pumping (kWh/year)

Total energy consumed in water pumping stations (excluding private pumping

stations).

Data from: Operator


This figure is the sum of the actual energy consumption of all of the system's

water pumping equipment and shall be determined from the energy consumption

meters.

When assessing the total energy consumption for pumping in the system, the

consumption of small pumps can be neglected if their influence on the degree of

confidence of the data is insignificant.

This figure should include elevations relative to abstractions.

Used for: AA15ab – Standardised energy consumption [kWh/(m3 ⋅ 100 m)]

IWA code: 18 Previous ERSAR code: dAA25

Reliability:

*** – Value based on actual readings of energy meters made by the operator

or the entity supplying the electricity. In those cases that an energy meter

is associated to more than one installation, the utility shall demonstrate

the methodology used in the distribution of consumption by component

for the purposes of validation;

** – n.a.

* – n.a.


Σ

dAA27ab – Standardisation factor (m3/year • 100 m)

Sum of the standardisation factor of all pumping stations.

n

dAA27ab = Vi × hi / 100 i=1

Vi is the volume (m3) pumped by pumping facility i; hi is the suction head (m) of pumping facility i.

Data from: Operator


Pumping facility means an electric pump group or set of groups installed in

parallel with the same lifting height.

For pumps with significant variation in the suction head over the reference period,

it may be necessary to subdivide this period into a limited number of time

intervals. For example, if 1/3 of the time a pump raises a flow of 10 m3/h at a

suction head of 50 m, and 2/3 of the time it raises a flow of 12 m3/h at a height of

42 m, dAA27i will be:

dAA27i = ((10 x 24 x 365/3) x 50 + (12 x 24 x 365 x 2/3) x 42) / 100

The contribution of small pumps can be neglected if their influence on the

degree of confidence given is insignificant.

This figure should include elevations relative to abstractions.

Used for: AA15ab – Standardised energy consumption [kWh/(m3 ⋅ 100 m)]


Reliability:

*** – Standardization factor where the parts obtained by measuring volumes

and calculating suction heads represent more than 95% of the result;

** – Standardization factor where the parts obtained by measuring volumes

and calculating suction heads represent between 95% and 75% of the

result;

* – Standardization factor where the parts obtained by measuring volumes

and calculating suction heads represent less than 75% of the result;


dAA28ab – Self-produced energy (kWh/year)

Energy produced domestically by the operator in the water supply service's

facilities

Data from: Operator


The energy produced internally by the operator, including energy recovery

processes, for example, through co-generation, the use of solar energy panels,

or other processes, should be considered.

Used for: System profile - Own energy production


Reliability:


that contribute with more than 95% of the data value;

** – Value based on actual readings of energy meters made by the operator

that contribute between 75% and 95% of the data value;

* – Value based on actual readings of energy meters made by the operator

that contribute with less than 75% of the data value.

dAA29ab – Energy consumption (kWh/year)

Energy consumed by the operator for the operation of the water supply system.

Data from: Operator


The energy relative to pumping stations that relied on fossil fuel must be

converted into kW/h.

Only the energy consumed in the supply network and in the treatment facilities

should be considered.

Used for: System profile - Own energy production


Reliability:


or the entity supplying the electricity;

** – n.a.

* – n.a.


Infrastructures and their use

dAA30ab – Total mains length (km)

Total length of the transport and distribution pipes (service connections not included).

Data from: Operator


New pipes that are not yet in service or old pipes that have already been shut

down should not be included.

Used for: AA11ab – Leaks of ruptures in pipes [No./(100 km • year)]

AA13a – Actual water losses [m3/(km • day)]

System profile – Density of service connections (No. of service

connections/km of network) IWA code: C8 Previous ERSAR code: dAA23

Reliability:

*** – Value based on final screens and on land registers or

current Geographical Information systems belonging to the operator;

** – Value based on land registers, on Geographical Information systems or

on final screens belonging to the operator for at least

75% of the total mains length;

* – Value based on land registers belonging to the operator for less than

75% of the total mains length.


Σ

dAA31ab – Average mains length (km)

One fifth of the sum, for the last 5 years, of the length of transport and distribution

pipes (not including service connections) over 10 years old.

5

dAA31ab = %× dAA31abi

i=1

i = year (5 corresponds to the last year of the reference period)

dAA31bi = Length of the transport and distribution pipes over 10 years old in year

i; the length of the sections rehabilitated in year i (km) should be

included.

Data from: Operator/ERSAR

Relative to a 5-year period

Pipes that have been shut down should not be used.

In the first year the operator shall provide ERSAR with the 5 values of data

dAA31bi; in subsequent years, it should provide only the value corresponding to

year 5 (year under review), with the In the first year the managing body shall

provide ERSAR 5 values dAA31bi data; in subsequent years, should provide only

the value corresponding to 5 year (year under review), with the value of dAA31

being calculated automatically based on the existing data in ERSAR.

Used for: AA10ab – Mains rehabilitation (%/year)


Reliability:

*** – Value based on final screens and on land registers or on current

Geographical Information systems belonging to the operator, provided

that this system contains reliable information on the age of all pipes less

than 10 years old;

** – Value based on land registers, on Geographical Information

Systems or on final screens belonging to the operator for at least 75% of

the length of the network, provided that this system contains current and

reliable information on the age of all pipes less than 10 years old;

* – Value based on land registers belonging to the operator for less than

75% of the length of the network, provided that the information is

fairly reliable to identify sections less than 10 years old.


Σ

dAA32ab – Mains rehabilitated in the past five years (km)

Length of the transport and distribution pipes over 10 years old rehabilitated in

the last 5 years.

5

dAA32ab = dAA32abi i=1


dAA31abi = Length of the transport and distribution pipes over 10 years

old in year i and that were rehabilitated in year i


Relative to a 5-year period

This data includes not only renewed or replaced pipes but also pipes rehabilitated

using other techniques.

The age of pipes refers to the date of the respective rehabilitation. Pipes less

than 10 years old rehabilitated should not be counted.

In the first year the operator shall provide ERSAR with the 5 values of data

dAA32abi; in subsequent years, it should provide only the value corresponding

to year 5 (year under review), with the value of dAA32 calculated automatically

based on the existing data in ERSAR.

Used for: AA10ab – Mains rehabilitation (%/year)


Reliability:

*** – Value based on work sheets and land registers or current Geographic

Information Systems belonging to the operator, provided they relate to

pipes more than 10 years old;

** – Value based on land registers, on Geographical Information Systems or

on work sheets belonging to the operator for at least 75% of the length

of the network, provided they relate to pipes more than 10 years old;

* – Value based on land registers belonging to the operator for at least 50%

of the length of the network, provided they relate to pipes more than 10

years old.



Total number of service connections under a load.

Data from: Operator


When there is no reliable information on the number of service connections, the

number of buildings with a water under a load can be used as a first estimate.

This value should however be corrected as it is lower than the actual number due

to the fact that some buildings have more than one water connection and that

there are service connections to other consumption points outside buildings (for

example, fire hydrants, floor hydrants and standpipes).

This data should include service connections under a load, even if they do not

have an associated supply service.

This variable should consider the service connections that do not temporarily

have service or those that are waiting for the connection to the building network,

regardless the type of service associated.

See definition of water connection in Annex A7 - Terminology.

Used for: AA03b – Service interruptions [No./1000 service connections • year)]

AA12b – Adequacy of human resources (No./1000 service connections)

AA13b – Actual water losses [l/(water connection • day)]

System profile – Density of service connections (No. of water connections/km of network)

IWA code: C24 Previous ERSAR code: dAA24

Reliability:

*** – Value based on updated registered information;

** – Value based on updated registered information or on statistical data on

the number of existing buildings published by Statistics Portugal for at

least 85% of the data value;

* – Value based on updated registered information or on statistical data on

the number of existing buildings published by Statistics Portugal for at

least 50% of the data value.


dAA34ab – Groundwater abstractions (No.)

Number of groundwater abstractions under the operator's responsibility.

Data from: Operator

Relative to the year under review Groundwater is all the water below the soil surface in direct contact with the

ground and subsoil. Examples of groundwater abstractions are boreholes, wells,

drains, mines, galleries, etc.

Each groundwater extraction point must be considered individually, irrespective

of the number of corresponding abstraction licences.

All operational abstractions committed to the drinking water supply service under

the operator's responsibility should be recorded, regardless of whether they were

used this year or not.

Used for: Operator profile.

IWA code: – Previous ERSAR code: dCAA01

Reliability: n.a.


dAA35ab – Surface water abstractions (No.)

Number of surface water abstractions under the operator's responsibility.

Data from: Operator

Relative to the year under review Examples of groundwater abstractions are by water tower, by well, combination

of well- tower, by floating rafts, etc.

All operational abstractions committed to the drinking water supply service

under the operator's responsibility should be recorded, regardless of whether

they were used this year or not.



Reliability: n.a.

dAA36ab – Pumping stations (No.)

Number of pumping stations under the operator's responsibility.

Data from: Operator

Relative to the year under review Pumping stations integrated in abstractions and in the treatment process

should not be counted.

Pumping stations containing pump groups that pump to different destinations

should be recorded as a single group if located in the same building.

Pumping stations containing only small electric pump groups that have not

been accounted for in dAA27ab – Standardisation factor (m3/year ⋅ 100 m) should not be counted.

Used for: System profile


Reliability: n.a.


dAAR37ab – Wastewater treatment plants (No.)

Number of water treatment plants under the operator's responsibility.

Data from: Operator




Reliability: n.a.

dAA38ab – Other treatment plants (No.)

Number of small treatment plants under the operator's responsibility that only

carry out operations of disinfection and correction of aggressiveness.

Data from: Operator

Relative to the year under review Small treatment plants that only carry out operations of disinfection and/or

correction of aggressiveness using limestone gravel beds or lime injection

should be considered.



Reliability: n.a.

dAA39ab – Storage tanks (No.)

Number of water reservoirs under the operator's responsibility.

Data from: Operator

Relative to the year under review Each reservoir may correspond to more than one cell or even to more than one

reservoir, provided they are functionally integrated. They should be regarded

as existing treated water reservoirs in treatment plants.

Reserves resulting from suction wells should not be considered as reservoirs.



Reliability: n.a.


dAA40ab – Water reserve capacity in transport and distribution (m3)

Total volume of transport, distribution and treated water reservoirs in treatment

plants.

Data from: Operator

Relative to the last day of the year under review Reserves resulting from suction wells and reserves relative to treatment plants

should not be considered as reservoirs.

Used for: System profile - Reserve capacity of treated water (days)

IWA code: C2 Previous ERSAR code: dAA21

Reliability:

*** – Value based on final screens or on-site measurements;

** – Value based on final screens, on-site measurements, implementation;

projects and on estimates;

* – Value based on estimates.


Σ Σ

dAA41ab – Overutilization of treatment plants (m3)

For treatment plants, sum of the installed treatment capacity corresponding to the

days when the daily treatment volumes exceed 90% of the treatment capacity.

n

dAA41ab =

i=1

365

Vdimid x jid

d=1

Vdimid – Daily treatment capacity provided for in the design for water treatment

plant i on each day d (m3)

Jid – 1, if water treatment plant i operated with volumes greater than 90% x

Vdimid on day d; 0, otherwise

N – Number of water treatment plants (No.)

Data from: Operator

Relative to the year under review Only treatment plants that have been in operation for at least one year should be

considered.

To calculate this figure, ERSAR has made available on its website under

"Documentation/Technical Reports" an Excel file attached to this Evaluation

Guide, which contains the calculation algorithm.

Used for: AA09ab – Adequacy of treatment capacity (%)


Reliability:

*** – Value from records on daily volume measurements;

** – n.a.

* – n.a.


Σ Σ

dAA42ab – Underutilization of treatment plants (m3)

For treatment plants, sum of the installed treatment capacity corresponding to

the days when the daily volumes are less than 70/S(*)% of the treatment

capacity, throughout the year under review.

n

dAA42ab = i=1

365

Vdimid x kid d=1

Vdimid – Daily treatment capacity provided for in the design for water

treatment plant i on each day d (m3)

kid – 1, if water treatment plant i treated a volume of less than 70/S(*)% × Vdimid on day d; 0, otherwise

n – Number of water treatment plants (No.)

Data from: Operator


Only treatment plants that have been in operation for at least one year should be

considered. As the calculation of this figure is relatively complex, ERSAR

provided on its website under "Documentation/Technical Reports" an Excel file

attached to this Evaluation Guide, which contains the calculation algorithm.

Only the daily volumes of water and the treatment capacity of each plant need to

be entered in this file.

Although this calculation is automatic using this file, the procedure used is

described below:

The data is based on the verification of the underutilization of the treatment plant

by setting a threshold value (70%), fixed by a seasonal correction factor (s), if

applicable.

(*) S therefore corresponds to a seasonal correction that accommodates any

seasonal pressures and that is the lower value of the two options:

S = “Average daily volume 30 max.”/”Daily volume of treated water” or

S = fs

When S < 1, it is considered as S = 1, when S > 3 it is considered

as S = 3. and

fs – seasonal factor

This factor can vary between 1 and 3 and is calculated for the year under review as follows:

fs = “Average daily volume 30 max.”/Percentile 20 of the values of the “Daily

volume of treated water” where:

“Average daily volume 30 max.” - is the peak season production by the

average daily volume of 30 consecutive days with greater water

production and the 20 percentile of the values of the "daily volume of

treated water" - is the off-season production.



Reliability:

*** – Value from records on daily volume measurements;

** – n.a.

* – n.a.


Σ Σ

dAA43ab – Total capacity of treatment plants (m3)

Sum of the installed treatment capacity in all water treatment plants.

n

dAA43ab =

i=l

365

Vdimid x kid

d=l

Vdimi – Average daily treatment capacity provided for in the design for

water treatment plant i (m3)

n – Number of water treatment plants (No.)

Data from: Operator


Only treatment plants that have been in operation for at least one year should be

considered.






Reliability:

*** – Value based on design projects;

** – n.a.

* – n.a.


dAA44ab – Infrastructure asset knowledge and management index (-)

The index is determined by the accumulation of the following points relating to classes A, B and C, and can vary between 0 and 100.

No points relating to classes B and C will be admitted if 10 points were not

reached relating to class A:

Class A – Existence of a network blueprint (in paper form or in a geographical

information system)

0 – absence of a network blueprint on a topographical chart at a scale of

between 1:500 and 1:2000;

10 – existence of a network blueprint on a topographical chart at a scale of

between 1:500 and 1:2000;


between 1:500 and 1:2000 updated the year before.

Class B – Registered information on the elements making up the network

+10 – information on the structure of pipes (diameter and material);

+10 – information on the age of pipes;

+10 – location and description of the network accessories (isolation valves,

section cups, network flow meters, etc.);

+10 – location of the service connections in a registration database (retail

operators) or delivery points (bulk operators).

Class C – Registered information on network interventions

+10 – location and identification of the network interventions (repairs,

purges, renovation works, etc.) (0 for an execution of less than 80%);

+10 – existence and implementation of a multi-annual program for the

renovation of service connections (0 for an execution of less than

80%).

A multi-annual plan is a detailed work program with estimated costs

for a minimum period of three years;

+10 – existence of a multi-annual plan for the renovation of pipes;

+10 – implementation of a multi-annual plan for the renovation of pipes;

(0 for an execution of less than 80%).

Data from: Operator


Scales corresponding to resolutions higher than 1:500 are unusual because they

require high resources for data collection and the benefit does not generally

correspond. However, for calculating this index, larger scales (e.g. 1:200, 1:300)

should be treated as 1:500.

Treatment plants, reservoirs and pumping stations are excluded from this index

as they are easily identifiable.

If there are varying degrees of knowledge on various network systems, a

weighted index should be carried out based on the length of the networks.

This index was prepared based on the "Index de connaissance et de gestion de

réseaux d'eau patrimoniale potable" from the French legislation: Circulaire n°

12/DE du 28 avril 2008. Mise en œuvre du rapport sur le prix et la qualité des

services publics d’eau et d’assainissement en application du décret n° 2007-675

du 2 mai 2007.

Used for: System profile IWA code: – Previous ERSAR code: –

Reliability: n.a.


Treatment sludge

dAA45ab – Sludge with proper disposal (t/year)

Total weight sludge drained from the system's treatment facilities to an


Data from: Operator


In accordance with the applicable legislation, the recovery or disposal of sludge

is considered an appropriate destination, as is the transfer to other treatment

facilities that do not belong to systems managed by the operator.

Used for: AR16ab – Sludge disposal (%)


Reliability:

*** – Value based on the raw volume or weight of sludge, for more than 90% of

the total weights used to calculate the value;

** – Value based on the raw volume or weight of sludge, for more than 50%

and less than 90% of the total weights used to calculate the value;

* – Value based on the raw volume or weight of sludge, for less than 50% of

the total weights used to calculate the value.

dAA46ab – Initial sludge stored (t/year)

Total weight of the sludge stored in the system's facilities at the beginning of

the year (1 January of the year under review).

Data from: Operator

Relative to the first day of the year under review

The transitional packaging the sludge inside the operator's facilities must meet

all containment requirements, in particular to avoid inadequate environmental

impact resulting from the possible leakage or leaching.

This data corresponds to all the sludge stored in the system's facilities, even

those that are not well packaged.



Reliability:








dAA47ab – Sludge produced in the system (t/year)

Total weight of the sludge produced in the system.

Data from: Operator




Reliability:







dAA48ab – Sludge from other systems (t/year)

Total weight of the sludge from systems managed by other operators.

Data from: Operator




Reliability:








dAA49ab – Final sludge stored (t/year)

Total weight of the sludge stored in the system facilities at the end of the year

(31 December), provided they are properly packaged, does not constitute a

source of pollution to the environment or negative impacts on the nearby

population.

Data from: Operator


The transitional packaging the sludge inside the operator's facilities must meet





Reliability:








Economy

dAA50ab – Total income and gains (€/year)

Sum of the values from calculations based on "Class 7 – Income" of the

Accounting Standardisation System, i.e. sales of goods and services, changes

in production inventories, work delivered to the operator, subsidies, reversal of

depreciations, reversal of impairment losses and provisions, valuation gains and

other income and gains, interest income, dividends and comparable income.

Items from the International Financial Reporting Standards should also be

included, such as income from construction services. Deviations from cost

recovery should be excluded. Operators applying the Official Plan of Public

Accounting should use the same items, with the required adaptations.

Data from: Operator


They should be calculated as follows: Operating income (sales, provision of

services, additional income and other operating income) + financial income and

gains + other gains.

Used for: AA06ab – Cost recovery ratio (%)


Reliability:

*** – Value based on accounting records from the computer system;

** – Value based on accounting records that in general are not based on the

computer system;

* – Value based on purely manual records.

dAA51ab – Total expenditures (€/year)

Total expenditures (administrative, operating, financial and others) incurred in

the year under review related to the water supply service.

Data from: Operator


They should be calculated as follows: Operating expenses (cost of sales,

supplies and external services, staff expenses, depreciation and amortization for

the year and other expenses and operating losses) + financial expenses + other

expenses.



Reliability:



computer system;



dAA52a – Average charge with the water supply service (€/year)

Value of the average annual charge with bulk water supply relative to the

consumption of 120 m3 of water per household in the system's intervention area,

based on the approved rate:

dAA52a = 120 × dAA54a

where dAA54 – Approved tariff (€/m3)

Data from: Operator


The total annual charge should be calculated for the consumption of 120 m3 at

the bulk system's delivery point.

Used for: AA02ab – Affordability of the service (%)


Reliability:

*** – Value based on the application of the tariff to the volumes;

** – n.a. * – n.a.

dAA52b – Average charge with the water supply service (€/year)

Value of the annual charges borne by a household for the consumption of

120 m3 of water in the system's intervention area.

Data from: Operator


The total annual charge incorporates a fixed component and a variable

component of the tariff for domestic users. For the purposes of the fixed tariff

component, a nominal diameter of 15 mm of meter should be considered. Where

this size does not exist, the next higher meter should be considered.



Reliability:

*** – Value based on the tariff in force on the 31st December;

** – n.a.

* – n.a.


i

dAA53ab – Average disposable household income (€/year)

Average disposable income per household in the system's intervention area,

calculated as follows:

n

Σ RMNagreg x IPCi x Presidi

dAA53ab = i=1

Where:

Σ Presid

RMNagreg = domestic average disposable income per household, and IPCi = purchasing power index by municipality, Presid i. = resident population by municipality

Data from: ERSAR calculated based on INE data


At the time of preparing this guide, the data provided by the INE are:

Average household disposable income by municipality - INE.

IPCc by municipality – INE – purchasing power index by

municipality.

When a system serve more than one municipality, the household income by

municipality should be weighted, based on information from estimates of the

resident population for the year under review published by INE.

This data is used to assess the affordability of water supply, sanitation and urban

wastewater management and municipal waste management services (similar to

dAR54ab - Average household disposable income (€/year) and dRU40ab -

Average disposable household income (€/year)).



Reliability:

*** – Value based on figures for the year under review;

** – Value based on figures for the year under review and previous

years;

* – Value based on figures for previous years.

dAA54a – Approved tariff (€/m3)

Tariff approved by the responsible body.




dAA52a – Average charge with the water supply service (€/year)


Reliability: n.a.


Certifications

dAA55ab – Certification of environmental management system (-)

Specification of certification relative to water supply service provided by the

operator according to ISO Standard 14001 or similar.

Data from: Operator


The certification entity, the reference standard and the certification date or, if the

certification process is ongoing, the date scheduled for the same, must be

provided.



Reliability: n.a.

dAA56ab – Certification of quality management system (-)

Specification of certification relative to water supply service provided by the


Data from: Operator




provided.



Reliability: n.a.

dAA57ab – Health and safety management systems certification (-)

Specification of certification relative to the operator's water supply activity

according to OHSAS Standard 18001 or similar.

Data from: Operator




provided.



Reliability: n.a.


dAA58ab – Other certifications (-)

Specification of other certifications relative to the operator's water supply

activity.

Data from: Operator




provided.



Reliability: n.a.

Human resources

dAA59ab – Water supply personnel (No.)

Operator's full-time personnel assigned to the water supply service.

Data from: Operator


Includes directors and executive directors.

Includes Mayor and / or Councillor, when applicable. It includes tasks such as procurement, accounting, treasury, inspection and workshops.

The operator's personnel should be distributed among the water supply activities,

urban wastewater management and municipal waste management services.

Holidays, sick leave and maternity leave must be considered as time in service.

Long-term leave (equal to or greater than 12 months), or service commissions,

requisitions and transfers of service to other activities should not be included.


AA12b – Adequacy of human resources (No./1000 service

connections)

IWA code: Adapted from B10 Previous ERSAR code: dAA20 (adapted)

Reliability:

*** – Value based on information collected in the staff management computer

system identifying the staff assigned to the water supply service;

** – Value based on the staff management system in paper

format that allows for the identification of the staff assigned to the water

supply service;

* – Value based on the general information management and

filing system that allows for the estimation of the staff assigned to the

water supply service, with a margin of error or no more than 30%.


dAA60ab – Water supply personnel in outsourcing (No.)

Full-time personnel assigned to the external services related to the current

activity on a going concern perspective, in relation to water supply activity.

Data from: Operator


An estimate should be made of the personnel external to the operator that are

assigned to the main activity in terms of operation and maintenance, such as:

infrastructure operations; infrastructure maintenance; emergency pickets; leak

detection and repair; registration; geographic information system; tests on the

water quality; transport of treatment sludge; interruptions and replacement of

meter services; invoicing and collection services; accounting and financial

services; call centres; commercial disclosure, trainees and self-employed

workers.

This figure should exclude the personnel external to the operator that although

assigned to the main activity, do not perform operation and maintenance

activities, such as: preparation of engineering projects; execution and

supervision of works; legal services; services related to human resources;

computing; archaeology; expertise; vehicle maintenance; security services, etc.

It should also not include the personnel external to the operator that are not

assigned to the main activity, such as gardening; cleaning; maintenance of air

conditioning; canteen service and other activities related to well-being and

comfort, etc.


AA12b – Adequacy of human resources (No./1000 service

connections)


Reliability:

*** – Value based on or provision of services contracts or on written

information supplied by the service providers;

** – Value based on or provision of services contracts or on written information

supplied by the service providers and estimates drawn up by the operator

that do not represent more than 10% of the value of the sum of dAA60ab

- Water supply personnel in outsourcing (No.) and dAA59ab - Employees

assigned to the water supply service (No.);

* – Value based on or provision of services contracts or on written information


that do not represent more than 30% of the value of the sum of dAA60ab

- Water supply personnel in outsourcing (No.) with dAA59ab - Employees

assigned to the water supply service (No.).

119 ANNEX A3. URBAN WASTEWATER MANAGEMENT SERVICE QUALITY - DEFINITIONS

ANNEX A3. URBAN WASTEWATER MANAGEMENT SERVICE QUALITY - DEFINITIONS


The following convention is used in the sheets presented in this Annex:

■ ARXXa – when the indicator is used only for bulk system

operators;

■ ARXXa – when the indicator is used only for retail system

operators;

■ ARXXab – when the indicator is used both for bulk and retail

system operators, represented by ARXXa and ARXXb,

respectively.



AR01a – Service coverage (%)


intervention area for which there are bulk infrastructures that are connected or

connectable to the retail system.

AR01a = (dAR07a + dAR08a) / dAR11a × 100

dAR07a – Households supplied (No.)

dAR08a – Households not connected but with available service (No.)

dAR11a – Households (No.)





IWA code: – Previous ERSAR code: AR01a


AR01b – Service coverage (%)


intervention area for which collection and drainage service infrastructures are

available.

AR01b = (dAR07b + dAR08b) / dAR11b × 100

dAR07b – Households supplied (No.)

dAR08b – Households not connected but with available service (No.)

dAR11b – Households (No.)















AR02ab – Affordability of the service (%)

Weight of the average charge with the urban wastewater management service

in the average income available per household in the system's intervention

area.

AR02ab = dAR53ab / dAR54ab × 100

dAR53ab – Average charge with the wastewater service (€/year)

dAR54ab – Average disposable household income (€/year)


retail systems

Good service quality [0; 0,25] [0; 0,50]



For bulk systems this indicator does not take into account the existence of

inefficiencies in the retail system, as it was felt that this aspect should not be

taken into account in the respective assessment.




AR03a – Flooding occurrences [No./(100 km of collector • year)]

Number of flood events on public roads and/or properties, originated in public

sewers, per 100 km of collector.

AR03a = dAR17a / dAR31a × 100

dAR17a – Flooding (No./year)

dAA30a – Total length of sewers (km)


Good service quality [0; 0,5]


Unsatisfactory service quality ]2,0; +∞]

The number of flood events should be counted based on events recorded. This

indicator can provide significant annual variations, an aspect that can only be

answered when interpreting the results.

IWA code: wOp37 and wOp38 (adapted) Previous ERSAR code: –

AR03b – Flooding occurrences [No./(1000 service connections • year)]


sewers, per 100o service connections.

AR03b = dAR17b / dAR34b x 1000

dAR17b – Flooding (No./year)

dAR34b – Service connections (No.)

Reference values for retail systems Good service quality [0; 0.25]

Average service quality ]0.25; 1.0]

Unsatisfactory service quality ]1.0; +∞]

The number of flood events should be counted based on events recorded. This

indicator can provide significant annual variations, an aspect that can only be

answered when interpreting the results.

IWA code: – Previous ERSAR code: AR03b (adapted)


AR04ab – Response to complaints and suggestions (%)




dAR15ab – Complaints and suggestions (No./year)

dAR16ab – Responses to complaints and suggestions (No./year)


retail systems






IWA code: wQS27 (adapted) Previous ERSAR code: AR04

SUSTAINABILITY OF THE SERVICE MANAGEMENT


AA05ab – Cost recovery ratio (%)


AR05ab = dAR51ab / dAR52ab x 100

dAR51ab – Total income and gains (€/year)

dAR52ab – Total expenditures (€/year)




Unsatisfactory service quality [0 ;90[ or ]120; +∞ [

IWA code: wFi30 (adapted) Previous ERSAR code: –


AR06a – Connection to the service (%)


intervention area for which the bulk service infrastructures are available and have

effective service.

AR06a = dAR07a / (dAR07a + dAR08a) × 100




Good service quality 100.0

Average service quality [100.0; 90.0[

Unsatisfactory service quality [90.0; 0.0]


AR06b – Connection to the service (%)


area for which infrastructures of access to the wastewater service are available

and have effective service (with a water connection and contract).

AR06b = dAR07b / (dAR07b + dAR08b) × 100



Reference values for retail systems Good service quality [100.0; 99.0]






AR07ab – Adequacy of treatment capacity (%)

Percentage of the existing treatment capacity that used in conditions adapted to

its size.

AR07ab = [1 - (dAR39ab + dAR40ab) / dAR41ab] ×

100 dAR39ab – Overutilization of treatment plants (m3)

dAR40ab – Underutilization of treatment plants (m3)

dAR41ab – Total capacity of treatment plants (m3)

Reference values for bulk and retail systems Good

service quality [80; 100]



This indicator applies to all wastewater treatment plants with a treatment

capacity equal to or greater than 10,000 population equivalents.

Treatment plants with lower capacity which have daily measurement records

should also be considered.

The treatment capacity to consider is that included in the discharge licence or,

failing that, the one provided for in the treatment plant project.


AR08ab – Sewer rehabilitation (%/year)

Annual average percentage of sewers over 10 years old rehabilitated in the last

5 years.

AR08ab = dAR33ab / dAR32ab × 100 / 5

dAR32ab – Total length of sewers (km)

dAR33ab – Sewers rehabilitated in the past five years (km)

Reference values for bulk and retail systems Good service

quality [1,0; 4,0]

Average service quality [0,8; 1,0[ or [4,0; 100[


It should be noted that the inverse of the average value of this indicator

throughout the system's life corresponds to the number of years of installation of

the sewers.

In the case of operators that do not have a historical record for the entire 5-year

period, the indicator must be calculated for the period with data available.

IWA code: wOp21 (adapted) Previous ERSAR code: AR11 (adapted)


AR09ab – Sewer structural collapses [No./(100 km ⋅ year)]

Number of structural collapses per 100 km of collector.


dAR19ab – Sewer structural collapses (No./year)



retail systems

Good service quality 0.0 0.0



Collapses occurring in service connections are not included. This indicator

excludes collapses in sewers demonstrably caused by third parties to whom the

repair was invoiced.

IWA code: wOp40 (adapted) Previous ERSAR code: AR15


AR10a – Adequacy of human resources [No./(106 m3 • year)]

Full-time personnel of the urban wastewater management service per unit of

volume of exported treated water.

AR10a = [(dAR60a + dAR61a) / dAR23a] × 106

dAR23a – Collected wastewater (m3/year)

dAR60a – Wastewater service personnel (No.)

dAR61a - Wastewater service personnel in outsourcing (No.)



Good service quality [3.0; 4.0]


Unsatisfactory service quality [0,0; 2,5[ or ]4,5; +∞]

Reference values for medium urban intervention areas Good

service quality [3,0; 4,5]







IWA code: wPe2 (adapted) Previous ERSAR code: AR16a


AR10b – Adequacy of human resources (No./100 km • year)]

Full-time personnel of the urban wastewater management service per 1000 of

collector.

AR10b = [(dAR60b + dAR61b) / dAR31b] × 100

dAR31b – Total length of sewers (km)

dAR60b – Wastewater service personnel (No.)

dAR61b – Wastewater service personnel in outsourcing (No.)





Unsatisfactory service quality [0; 2,5[ or ]12,5; +∞]




Unsatisfactory service quality [0; 2,5[ or ]14,0; +∞ ]




Unsatisfactory service quality [0; 2,5[ or ]15,5; +∞]

IWA code: wPe2 (adapted) Previous ERSAR code: AR16b




AR11ab – Standardised energy consumption [kWh/(m3 • 100 m)]

Standardised average energy consumption of pumping stations.

AR11ab = dAR29ab / dAR30ab

dAR29 – Energy consumption for pumping (kWh/year)

dAR30ab – Standardisation factor (m3/year • 100 m)


Good service quality [0,27; 0,45] (average efficiency between 60 and 100%)

Average service quality ]0,45; 0,68] (average efficiency between 40 and 60%)

Unsatisfactory service quality ]0,68; 5,0[ (average efficiency lower than 40%)

This indicator is the average amount of energy consumed per m3 raised to a

suction head of 100 m. This indicator corresponds to the inverse of the group's

average pumping efficiency. 0.454 kWh / (m3 • 100 m) corresponds to an average

pumping efficiency of: 9810 N x 100m / (3600 J/Wh) /454 Wh x 100 = 60%.

The minimum theoretical value, corresponding to a motor and pump efficiency of 100%, is 0.27 kWh/m3 · 100.

IWA code: wOp20 (adapted) Previous ERSAR code: –


AR12ab - Proper treatment of collected wastewater (%)


area with drainage service for which public networks are available, which are

linked to an appropriate destination in terms of treatment.

AR12ab = (dAR07ab + dAR08ab - dAR10ab) / (dAR07ab + dAR08ab) × 100

dAR07ab – Households supplied (No.)

dAR08ab – Households not connected but with available service (No.)

dAR10ab – Households connected to the sewerage system but without treatment (No.)







AR13ab – Emergency discharge control (%)

Percentage of weirs with direct discharge into the receiving environment that are

monitored and operate satisfactorily.

AR13ab = [1 - (dAR18ab + dAR44ab) / dAR43ab] × 100

dAR18ab – Weirs with unsatisfactory operation (No.)

dAR43ab – Weirs (No.)

dAR44ab – Unmonitored weirs (No.)





The control of the frequency of untreated wastewater discharges into the

receiving environment is required by Council Directive 91/271/EEC and

paragraphs 1 and 2 of Article 10 of the Water Framework Directive 2000/60/EC

of the European Parliament and of the Council as well as by Articles 7 and 12 of

Directive 2004/35/EC.


AR14ab – Wastewater analyses carried out (%)

Percentage of the total number of tests carried out from those required in the

discharge licence or, in its absence, by the applicable legislation.


dAR20ab – Wastewater quality analyses required (No./year)

dAR21ab – Wastewater quality analyses carried out (No./year)

This indicator should consider:

- treatment plants that have been in operation for at least one year;

- all treatment plants with a capacity of no less than 2000 p.e.;

- all treatment plants with a capacity of less than 2000 p.e. which have a valid or

expired discharge licence, as no discharge requirements are set out in the

legislation.





This indicator has a maximum value of 100%, since for each parameter the

number of tests to be counted should be limited to the required value.

IWA code: wOp44 (adapted) Previous ERSAR code: Ar17


AR15ab – Compliance with the discharge parameters (%)

Percentage of the population equivalent served with treatment plants that

ensure compliance with the discharge permit.

AR15ab = (dAR12ab + dAR13ab) / dAR14ab × 100

dAR12ab – Population equivalent with satisfactory treatment (valid discharge licence)

(p.e.)

dAR13ab – Population equivalent with satisfactory treatment (expired discharge

licence) (p.e.)

dAR14ab – Population equivalent served by treatment plants (p.e.)


- treatment plants that have been in operation for at least one year;


- all treatment plants with a capacity of less than 2000 p.e. which have a valid or

expired discharge licence, as no discharge requirements are set out in the

legislation.





IWA code: wEn1 (adapted) Previous ERSAR code: AR18

AR16ab – Sludge disposal (%)

Percentage of sludge drained from the system's treatment facilities to an


AR16ab = dAR46ab / (dAR47ab + dAR48ab + dAR49ab - dAR50ab) × 100

dAR46ab – Sludge with proper disposal (t/year)

dAR47ab – Initial sludge stored (t/year)

dAR48ab – Sludge produced in the system

(t/year) dAR49ab – Sludge from other systems

(t/year) dAR50ab – Final sludge stored (t/year)





IWA code: wEn8 (adapted) Previous ERSAR code: AR20 (adapted)


Indicators used in the system profile

Self-produced energy (%)

Percentage of energy consumed that is produced domestically by the operator

in the wastewater service's facilities.

Expressed as:

dAR27ab / dAR28ab × 100

dAR27ab – Own energy production (kWh/year)

dAR28ab – Energy consumption (kWh/year)


Utilisation of treated wastewater (%)

Percentage of the volume of treated wastewater used.

Expressed as:

(dAR25iab + dAR25iiab) / dAR24ab × 100

dAR24ab – Treated wastewater (m3/year)

dAR25iab – Volume of treated wastewater supplied to other entity (m3/year)

dAR25iiab – Volume of treated wastewater used for own purposes (m3/year)

IWA code: wEn2 Previous ERSAR code: –

Licensing of discharges (%)

Percentage of wastewater treatment plants with a valid discharge licence.

Expressed as:

dAR38ab / (dAR36ab + dAR37ab) × 100

dAR36ab – Wastewater treatment plants (No.)

dAR37ab – Collective septic tanks (No.)

dAR38ab – Treatment plants with valid discharge permit (No.)


131 ANNEX A4. DATA ON THE URBAN WASTEWATER MANAGEMENT SERVICE

ANNEX A4. DATA ON THE URBAN WASTEWATER MANAGEMENT SERVICE


■ dARXXa – when the data is used only for bulk system operators;

■ dARXXb – when the data is used only for retail system operators;

■ dARXXab – when the data is used both for bulk and retail system

operators, represented by dARXXa and dARXXb, respectively.


dAR01ab - Identification of operator (-)







IWA code: – Previous ERSAR code: dAR01

Reliability: n.a.


dAR02ab - Management model (-)











Reliability: n.a.

dAR03b – System user(s) (-)






Reliability: n.a.


Size

(inhab)

Typology

PRA AUA PUA

Mu

nic

ipa

litie

s

< 5000 1 5000 - 10 000 2

10 000 - 25 000 3 25 000 - 60 000 4 60 000 - 90 000 5

> 90 000 6

dAR04ab – Typology of the area of intervention (-)

Classification of the operator's intervention area in terms of typology of the

respective municipalities.

Data from: ERSAR

Relative to the most recent Census



– Medium Urban Areas (AUA)


As a basic principle the municipality is the geographic unit of analysis.


dAR04ab = ((C1 × p1) + (C2 × p2) + … + (Cn × pn)) / ∑ (p1 + p2 + … + pn)

dAR04ab – weighted average of the system, with the typologies being

defined by the following intervals: APU ]4, 6], AMU ]2, 4] e

APR ]0, 2].

C – quantification of the typology assigned to the

municipality p – resident population of the

municipality

where C of the each municipality is assigned given the simple average of the



according to the population

density


of the most populated place

Population

density

(inhab/km2)

Typology

PRA AUA PUA

Mu

nic

ipalit

ies

< 50 1 50 - 100 2

100 - 300 3 300 - 500 4 500 - 750 5

> 750 6







Used for: Operator profile and reference values of: AR01b –

Service coverage (%)

AR10a – Adequacy of human resources (No./106 m3 • year)

AR10b – Adequacy of human resources [No./(100 km • year)]


Reliability: n.a.


dAR05ab – Shareholder composition (-)

Entities holding the capital paid-up by the operator and respective percentages,

where applicable.





Reliability: n.a.

dAR06ab – Term of the contract (-)






Reliability: n.a.


Households



are operational bulk infrastructures connected to the retail system.

Data from: Operator


This value should preferably be determined based on data collected from bulk

system operators; alternatively, it can be determined through reliable and

updated sources of the operator.





The number of households considered in each place/parish should be the figure

published by the National Institute of Statistics. Intermediate estimates published

between Census, based on Construction statistics, are considered valid.


Used for: AR01a – Service coverage (%)


AR12a – Proper treatment of collected wastewater (%)

Operator profile - Households served (No.)


Reliability:

*** – Value based on reliable and updated and sources of information;

** – Value based on the number of households counted via public network

availability notifications and on the operator's estimates that do not

represent more than 10% of the total value;

* – Value based on the number of households counted via public network

availability notifications and on the operator's estimates that represent

more than 10% of the total value.



Number of households located in the operator's intervention area for which the

collection and drainage service infrastructures are connected and operational

(with existence of service connection and contract, even if suspended during a

part of the year under analysis).

Data from: Operator



Used for: AR01b – Service coverage (%)


AR12a – Appropriate destination of collected wastewater (%)

Operator profile - Households served (No.)

IWA code: wC28 (adapted) Previous ERSAR code:

Reliability:

*** – Value based on lists of client invoices with wastewater collection and

drainage service;

** – Value based on lists of client invoices with wastewater collection and

drainage service and on the operator's estimates that do not represent

more than 10% of the total value;


of the total value;

137 ANNEX A4. .DATA ON THE URBAN WASTEWATER MANAGEMENT SERVICE



are bulk infrastructures that are not connected but which can be connected to the

retail system.

Data from: Operator


This value can be obtained by the difference between the number of households

located in the operator's intervention area where the foreseen bulk service

infrastructures have been built and are operational and dAR07a - Households

supplied (No.).





The number of households considered in each place/parish should be the figure

published by the National Institute of Statistics. Intermediate estimates published

between Census, based on Construction statistics, are considered valid.

See definition of households in Annex A7 - Terminology. Used for: AR01a – Service coverage (%)


AR12a - Proper treatment of collected wastewater (%)


Reliability:



the operator's estimates that do not represent more than 10% of the total

value;





Number of households located in the operator's intervention area not connected

to the public network but for which collection and drainage service infrastructure

are available.

Data from: Operator


Households connected to drainage systems that do not have treatment service

in the treatment plant should be counted.


Used for: AR01b – Service coverage (%)


AR12b - Proper treatment of collected wastewater (%)


Reliability:



the operator's estimates that do not represent more than 10% of the

total value;


the operator's estimates that represent more than 10% of the total

value.

dAR09b – Households served by controlled on-site systems (No.)

Number of households located in the operator's intervention area with on-site

systems (eg. Septic tanks) for which sludge or wastewater removal is provided

by the operator by own means or by third parties.

Data from: Operator


This data is obtained from the system registry according to point 1.5 of ERSAR's Recommendation no. 1/2007. If there is no registry, it can be obtained by adding: - The registry of users subject to specific tariffs, according to point 6.3

of ERSAR's Recommendation no. 1/2007, that requested sludge or wastewater removal in the last two years;

- The registry of users subject to general tariffs, according to point 6.4 of ERSAR's Recommendation no. 1/2007, that requested sludge or wastewater removal in the last two years;

Used for: Operator profile – Households served by on-site systems (No.)


Reliability:


** – n.a.

* – n.a.

139 ANNEX A4. .DATA ON THE URBAN WASTEWATER MANAGEMENT SERVICE

dAR10ab – Households connected to the sewerage system but without treatment (No.)

Number of households located in the operator's intervention area for which

collection and drainage public networks are available and operational, but for

which there is no wastewater treatment the system itself nor is wastewater

properly forwarded to a second operator.

Data from: Operator



Used for: AR12ab - Proper treatment of collected wastewater (%) IWA

code: – Previous ERSAR code: –

Reliability:

*** – Value based on lists of client invoices with wastewater collection and

drainage service but without treatment;

** – Value calculated based on lists of client invoices with wastewater collection

and drainage service but without treatment and on the operator's

estimates that do not represent more than 10% of the total value;

* – Value calculated based on the operator's estimates that represent more

than 10% of the total value.

dAR11ab – Households (No.)

Total number of existing households in the intervention area of the operator of

the urban wastewater management system.

This value refers to the number of classic family households published by

Statistics Portugal.

Data from: ERSAR



Used for: AR01a – Service coverage (%)

AR01b – Service coverage (%)


Reliability:


** – n.a.

* – n.a.


Σ

Population Equivalents

dAR12ab – Population equivalent with satisfactory treatment (valid discharge licence) (p.e.)

Sum of the population equivalent, dAR12abi, which is served with treatment

plants ensuring compliance with the discharge license, where

T

dAR12ab = Σ dAR12i where i=1

dAR12abi = P(i)x

Where:

N

n=1

(Ac(i)n + Anc(i)n)

At(i)n

N

T = number of treatment plants;

P(i) = number of equivalent inhabitants of the treatment plant (i);

N = number of parameters subject to self-control according to the

discharge licence;

At(i)n = total number of tests conducted on parameter (n) in the treatment

plant (i); the parameters whose compliance is checked by the annual average, assume the value of 1.

Ac(i)n = total number of tests that conform to the parameter (n) in the

treatment plant (i); the parameters whose compliance is checked by

the annual average, may assume the value of 0 in the case of non-

compliance or 1 in the case of compliance.

Anc(i)n= total number of non-compliant tests until they make up the number

allowed in accordance with table No.3 of Annex I of Dec. Law No.

152/97.

Data from: Operator


The population equivalent relative to neighbouring municipalities for which

wastewater is treated by the operator should be included and the population

equivalent for wastewater treated in plants under the responsibility of other

operators should be excluded. Treatment plants under the operator's

responsibility whose operation is entrusted to third parties should be included in

the service quality assessment. Only treatment plants that have been in operation

for at least one year should be considered. The population equivalent relative to

treatment plants without a discharge licence for reasons attributable to the

operator and treatment plants that do not yet have their first discharge licence

should not be included.



- all treatment plants with a capacity of less than 2000 e.p. which have a valid

discharge licence, as no discharge requirements are set out in the legislation.

Used for: AR15ab – Compliance with discharge parameters (%)

IWA code: wA1 Previous ERSAR code: dAR08

Reliability:

*** – Value based on the charge of CBO5 of more than 90% of the population

equivalent served;

** – Value based on the charge of CBO5 of more than 75% and less than 90%

of the population equivalent served;

* – Value based on the charge of CBO5 of more than 50% and less than 75%

of the population equivalent served or other criteria of an equivalent reliability.


dAR13ab – Population equivalent with satisfactory treatment (expired discharge licence) (p.e.)

Sum of the population equivalent, dAR13abi, that is served with treatment plants

ensuring compliance with an expired discharge licence, for which a timely

application was made for renewal and which continues to comply with the limits

of the discharge parameters of the previous licence, calculated in the same way

as dAR12ab.

Data from: Operator





operators should be excluded.

This indicator should consider all treatment plants that have been in operation for at least one year.

Treatment plants whose discharge permits do not require analytical control should not be considered.

Used for: AR15ab – Compliance with the discharge parameters (%)


Reliability:


equivalent served;

** – Value based on the charge of CBO5 of more than 75% and less than

90% of the population equivalent served;

* – Value based on the charge of CBO5 of more than 50% and less than

75% of the population equivalent served or other criteria of equivalent

reliability.


dAR14ab – Population equivalent served by treatment plants (p.e.)

Population equivalent served by treatment plants under the operator's

responsibility.

Data from: Operator


This value is estimated using the average charge of CBO5 of the waste that

reaches the treatment plant and the definition of population equivalent.




operators should be excluded. Treatment plants under the operator's

responsibility whose operation is entrusted to third parties should be included in

the service quality assessment.

Only treatment plants and collective septic tanks that have been in operation for

at least one year should be considered.

Treatment plants whose discharge permits do not require analytical control

should not be considered.

Used for: AR15ab – Compliance with discharge parameters (%)

IWA code: wE5 Previous ERSAR code: dAR07

Reliability:


equivalent served;

** – Value based on the charge of CBO5 of more than 75% and less than

90% of the population equivalent served;

* – Value based on the charge of CBO5 of more than 50% and less than

75% of the population equivalent served or other criteria of equivalent

reliability.


Complaints

dAR15ab – Complaints and suggestions (No./year)

Total number of written complaints and suggestions relative to the wastewater

service.

Data from: Operator


Complaint or other written suggestion means any written document (written,






are unfounded.


address (physical or electronic) are properly identified should be considered.

If more than one activity subject to assessment is carried out, written complaints



attendance), should be accounted for in all of them.

The concept presented is justified as it was considered that all critical remarks

made in writing by users deserve an answer in writing from the operator.

Used for: AR04ab – Response to complaints and suggestions (%)

IWA code: wF12 (adapted) Previous ERSAR code: dAR36

Reliability:





** – Value based on the complaints and suggestions management

system in paper form;


module.


dAR16ab – Responses to complaints and suggestions (No./year)


days, to written complaints and suggestions relative to the wastewater service.

Data from: Operator


For the purposes of this indicator, answers that do not show an effective analysis

of the concrete situation, namely because they fit into systematic procedures

designed to acknowledge receipt of the complaint or suggestion, or because they

correspond to communications which merely inform that the complaint or

suggestion was forwarded to another department or service of the operator, are

not considered.

Used for: AR04ab – Response to complaints and suggestions (%)

IWA code: wF20 (adapted) Previous ERSAR code: dAR37

Reliability:





** – Value based on the complaints and suggestions management system in

paper form;


module.


Interruptions, leaks and ruptures

dAR17ab – Flooding (No./year)


sewers.

Data from: Operator

Relative to the period under review

Includes floods that occurred in the domestic wastewater network or in individual

networks, originating in public sewers that were subject to

registration/participation.

The number of properties affected by each flood event should be included.

Used for: AR03a – Flooding occurrences [No./(100 km of collector • year)]

AR03b – Flooding occurrences [No./(1000 service connections •

year)]

IWA code: wD41, wD42 Previous ERSAR code: dAR27 (adapted)

Reliability:

*** – Value based on records made entirely in an operation and maintenance

program, complaints management information system and intervention

records;

** – Value based on records made in an operation and maintenance program,

complaints management information system, intervention records and

other instruments;



dAR18ab – Weirs with unsatisfactory operation (No.)

Number of emergency weirs in pumping stations and wastewater treatment

plants that monitor discharges and where the annual number of discharges for

normal operation conditions is greater than:

– 30 per year, if the receiving environment is not sensitive;

– 10 per year, if the receiving environment is not sensitive but can be used for

recreational purposes or crosses public recreational areas;

– 6 per year, if the receiving environment is sensitive;

– 3 per year, if the receiving environment can be used for bathing activities;

If the sewer overflow has a discharge licence, the conditions set out therein must

be complied with.

Data from: Operator


The number of days on which discharges were made should be included as an

overflow in a sewer overflow value.

See definitions of emergency discharge control settings in Annex A7 - Terminology.

Used for: AR13ab – Emergency discharge control (%)


Reliability:

*** – Value based on records of events made by direct observation or through

the use of appropriate equipment for more than 90% of the number of

overflows reported;

** – Value based on records of events made by direct observation or through

the use of appropriate equipment for less than 90% and more than 30%

of the number of overflows reported;

* – Value based on records of events made by direct observation or through

the use of appropriate equipment for less than 30% of the number of

discharges reported.


dAR19ab – Sewer structural collapses (No./year)

Number of structural collapses in sewers.

Data from: Operator


Collapses occurring in service connections are not included. This indicator

excludes collapses in sewers that were demonstrably caused by third parties to

whom the repair was invoiced.

Used for: AR09ab – Sewer collapses [No./(100 km ⋅ year)]

IWA code: wD44 (adapted) Previous ERSAR code: dAR28

Reliability:




and on other instruments;


Wastewater quality control

dAR20ab – Wastewater quality analyses required (No./year)

Total number of tests required in the discharge licence or, in its absence, by the

applicable legislation.

Data from: Operator


The tests required in the discharge licences or, in their absence, through the

interpretation of the legislation in force should be included. This data should only

account for the tests under the operator's responsibility and carried out at points

where tests are compulsory.

This variable should consider:

- All treatment plants that have been in operation for at least one year;

- All treatment plants with a capacity of no less than 2000 p.e.;

- All treatment plants with a capacity of no less than 2000 e.p. which have a valid

or expired discharge permit, as no discharge requirements are set out in the

legislation.

This variable should not consider the analyses that were not carried out due to

lack of treated wastewater flow, if those situations were duly justified and reported

to the environmental authority.

Used for: AR14ab – Wastewater analyses carried out (%)

IWA code: wD57 Previous ERSAR code: dAR30

Reliability:

*** – Value based on the tests required in the discharge licences;

** – Value based on the tests required in the discharge licences

and through the interpretation of legislation;

* – Value based on the tests required through the interpretation of

legislation.


dAR21ab – Wastewater quality analyses carried out (No./year)

Total number of tests required and carried out on wastewater (in the discharge

licence or, in its absence, in compliance with the legislation in force).

Data from: Operator


This data should only account for the tests under the operator's responsibility

and carried out at points where tests on the quality of wastewater are

compulsory.

This variable should consider:

- All treatment plants that have been in operation for at least one year;

- All treatment plants with a capacity of no less than 2000 p.e.;

- All treatment plants with a capacity of no less than 2000 e.p. which have a valid

or expired discharge permit, as no discharge requirements are set out in the

legislation.

This variable should not consider the analyses that were not carried out due to

lack of treated wastewater flow, if those situations were duly justified and reported

to the environmental authority.

Used for: AR14ab – Wastewater analyses carried out (%)

IWA code: wD46 Previous ERSAR code: dAR29

Reliability:

*** – Value based on the test reports of the results that were considered for

verification of the required tests and sent to the Regional Water Authority

(ARH);

** – Value based on the test reports of the results that were considered for

verification of the required tests and sent to the ARH and on other

records;



Wastewater and energy

dAR22a – Revenue wastewater (m3/year)

Volume of wastewater invoiced to users.

Data from: Operator


In the case of bulk operators, the value of this date should take into account

minimum flows.

Used for: Operator profile – Volume of activity (106 m3/year)


Reliability:

*** – Value based on measurements on more than 95% of water

invoiced;

** – Value based on measurements on more than 75% and less

than 95% of water invoiced;

* – Value based on measurements on less than 75% of water invoiced.

dAR22b – Revenue wastewater (m3/year)

Volume of wastewater invoiced to users. For retail operators this figure is the

volume of supply invoiced to end users who also have the urban wastewater

management service.

Data from: Operator

Relative to the year under review Volumes received from other operators should not be included.

This variable should account the total amount of billed wastewater in the

utility's intervention area.

Used for: Operator profile – Volume of activity (106 m3/year)


Reliability:

*** – Value based on measurements on more than 95% of water invoiced;

** – Value based on measurements on more than 75% and less than 95% of

water invoiced;

* – Value based on measurements on less than 75% of water invoiced.


dAR23ab – Collected wastewater (m3/year)

Total annual volume of wastewater collected.

Data from: Operator

Relative to the year under review The wastewater generated within the operator's intervention area which is

treated in facilities under the responsibility of other operators should be

included in this value. Wastewater from the intervention areas of other

operators should be excluded.

In the case of bulk systems, the volume of wastewater collected taken into

account is the sum of the volumes measures in the collection points. Estimates

should be made for the collection points that do not have flow meters.

Used for: AR10a – Adequacy of human resources [No./(106 m3 • year)]

System profile – Use of treated wastewater (%)


Reliability:

*** – Value based on measurements on more than 95% of water collected;


water collected;

* – Value based on measurements on less than 75% of water collected.

dAR24ab – Volume of treated wastewater in WWTP (m3/year)

Volume of wastewater treated in wastewater treatment plants under

responsibility of the utility.

Data from: Operator

Relative to the year under review Used for: System profile - Use of treated wastewater (%)


Reliability:

*** – Value based on measurements on more than 95% of treated

wastewater;


treated wastewater; * – Value based on measurements on less than 75% of treated wastewater.


dAR25iab – Volume of treated wastewater supplied to other entity (m3/year)

Volume of wastewater treated in wastewater treatment plants and supplied to

other operators for re-use.

Data from: Operator

Relative to the year under review Volumes received from other operators should not be included. Used for:

System profile - Use of treated wastewater (%)


Reliability:

*** – Value based on measurements on more than 95% of water treated;

** – Value based on measurements on more than 75% and less than 95%

of water treated;

* – Value based on measurements on less than 75% of water treated.

dAR25iiab – Volume of treated wastewater used for own purposes (m3/year)

Volume of wastewater treated in wastewater treatment plants and used for

the operator's own use.

Data from: Operator

Relative to the year under review Volumes received from other operators should not be included. Used for:

System profile - Use of treated wastewater (%)

IWA code: wA12 (adapted) Previous ERSAR code: –

Reliability:

*** – Value based on measurements on more than 95% of water treated;


water treated;

* – Value based on measurements on less than 75% of water treated.


dAR26ab – Flow measurement index (-)

The index is determined by the accumulation of the following points relating to

classes A, B, C, D and E and can vary between 0 and 100.

Class A – measurements in treatment plants

+20 – at least one measuring point at the entrance or exit in all treatment

plants with more than 10,000 p.e.;

+10 – at least one measuring point at the entrance or exit of treatment plants,

for more than 80% of the flow collected in all WWTP;

+5 – measurements at the entrance or exit of wastewater treatment plants for

more than 90% of the flow collected in all WWTP.

Class B – measurements of overflows and bypass in treatment plants

+10 – measurements of overflowed flows in emergency sewer overflows of

treatment plants that receive more than 90% of the flow collected;

+10 – measurements of overflowed flows in bypass in relation to wastewater

treatment plants that collect more than 90% of the flow collected.

Class C – measurements of overflows in pumping stations

+10 – measurements of overflowed flows in pumping stations that represent

more than 90% of total elevated flows (including overflowed flows

related to stops in pumping stations and excessive inflows).

Class D – measurements in the network

+10 – measurements in network sewer overflows for more than 90% of

sewer overflows;

+5 – measurements at selected points of the network for the purpose of

monitoring and managing the system operation.

Class E – measurements for invoicing purposes (for bulk systems)

+5 – measurements at collection points for more than 50% of invoiced flows;

+5 – measurements for more than 70% of invoiced flows;

+5 – measurements for more than 90% of invoiced flows;

+5 – layout of the assignment of all flows to the system for all users.

Data from: Operator

Relative to the year under review This index varies between 0 and 100. If there are classes that are not applicable

to the system, a conversion factor proportional to the score of the applicable

classes will be applied.

Used for: System profile - Flow meter index


Reliability: n.a.


dAR27ab – Self-produced energy (kWh/year)

Energy produced domestically by the operator in the urban wastewater

management service's facilities.

Data from: Operator

Relative to the year under review The energy produced internally by the operator, including energy recovery

processes, for example, through co-generation, the use of solar energy panels,

or other processes, should be considered.

Used for: System profile - Self-produced energy

IWA code: wD17 (adapted) Previous ERSAR code: –

Reliability:

*** - Value based on actual readings of energy meters made by the operator for

values greater than or equal to 95% of the produced energy;

** - Value based on actual readings of energy meters made by the operator for

values between 75% and 95% of the produced energy;

* - Value based on actual readings of energy meters made by the operator for

values of less than 75% of the produced energy.

dAR28ab – Energy consumption (kWh/year)

Energy consumed by the operator for the operation of the wastewater system.

Data from: Operator

Relative to the year under review The energy relative to pumping stations that relied on fossil fuel must be

converted into kW/h.

Only the energy consumed in the drainage network and in the treatment

facilities should be considered.

Used for: System profile - Self-produced energy


Reliability:

*** – Value based on actual readings of energy meters made by the operator or

the entity supplying the electricity, for values greater than or equal to 95%

of the energy consumed;

** – n.a.

* – n.a.


dAR29ab – Energy consumption for pumping (kWh/year)

Total energy consumed in the wastewater pumping stations

(excluding private pumping stations).

Data from: Operator

Relative to the year under review This figure is the sum of the actual energy consumption of all of the system's

water pumping equipment and shall be assessed from the energy consumption

meters.

When assessing the total energy consumption for pumping in the system, the

consumption of small pumps can be neglected if their influence on the degree of

confidence of the data is insignificant.

This value should not include elevations at the entrance to the treatment plants,

if it is possible to individualise the energy consumption of the pumping facility.

Used for: AR11ab – Standardised energy consumption [kWh/(m3 ⋅ 100 m)]


Reliability:

*** – Value based on actual readings of energy meters made by the operator or

the entity supplying the electricity, for values greater than or equal to 95%

of the energy consumed for pumping. In those cases that one energy meter

is associated to more than one infrastructure, the utility must present the

methodology applied for the consumption's partition;

** – n.a.

* – n.a.


Σ

dAR30ab – Standardisation factor (m3/year • 100 m)

Sum of the standardisation factor of all pumping stations.

n

dAR30ab = Vi x hi / 100 i=1

Vi is the volume (m3) pumped by pumping facility i; hi is the suction head (m) of pumping facility i.

Data from: Operator

Relative to the year under review Pumping facility means an electric pump group or set of groups installed in

parallel with the same lifting height.

For pumps with significant variation in the suction head over the reference period,

it may be necessary to subdivide this period into a limited number of time

intervals. For example, if 1/3 of the time a pump raises a flow of 10 m3/h at a

suction head of 50 m, and 2/3 of the time it raises a flow of 12 m3/h at a height of

42 m, dAR30i will be:

dAR30i = ((10 × 24 × 365/3) × 50 + (12 × 24 × 365 × 2/3) × 42) / 100

The contribution of small pumps can be neglected if their influence on the

degree of confidence given is insignificant.

This value should not include elevations at the entrance to the treatment plants,

provided that it is possible to individualise the energy consumption of the

pumping facility.

Used for: AR11ab – Standardised energy consumption [kWh/(m3 ⋅ 100 m)]

IWA code: wD16 Previous ERSAR code: –

Reliability:

*** – Standardization factor where the parts obtained by measuring volumes

and calculating suction heads represent more than 95% of the result;

** – Standardization factor where the parts obtained by measuring volumes and

calculating suction heads represent between 95% and 75% of the result;

* – Standardization factor where the parts obtained by measuring volumes and

calculating suction heads represent less than 75% of the result;


Infrastructures and their use dAR31ab – Total length of sewers (km)

Total length of sewers managed by the operator.

Data from: Operator

Relative to the year under review For bulk operators, the length of the emissaries and/or interceptors should be

included. The length of the service connections should not be included

Used for: AR03a – Flooding occurrences [No./(100 km of collector • year)]

AR09ab – Sewer collapses [No./(100 km ⋅ year)]


IWA code: wC1 Previous ERSAR code: dAR16

Reliability:

*** – Value based on final screens and on land registers or current Geographical

Information systems belonging to the operator;

** – Value based on land registers, on Geographical Information systems or on

final screens belonging to the operator for at least 75% of the total sewers

length;

* – Value based on land registers belonging to the operator for less than 75% of

the total sewers length.


Σ


One fifth of the sum, for the last 5 years, of the length of sewers (not including

service connections) more than 10 years old.

5

dAR32ab = %× dAR32abi

i=1


dAA32abi = Length of sewers over 10 years old; the length of the sections

rehabilitated in year i (km) should be included.

Data from: Operator/ERSAR Relative to a 5-year period Shut down collectors should not be used.

In the first year the operator must supply ERSAR with the 5 values of data

dAR32i; in subsequent years, it need only supply the value corresponding to

year 5 (year under review), with the value of dAR32 being calculated

automatically based on data existing within ERSAR.

Used for: AR08ab – Sewer rehabilitation (%/year)


Reliability:


Geographical Information systems belonging to the operator, provided that

this system contains reliable information on the age of all sewers less than

10 years old;


on final screens belonging to the operator for at least 75% of the network,

provided that this system contains current and reliable information on the

age of all sewers less than 10 years old;

* – Value based on land registers belonging to the operator for less than 75%

of the length of the network, provided that the information is fairly reliable

to identify sections less than 10 years old.


Σ

dAR33ab – Sewers rehabilitated in the past five years (km)

Length of sewers over 10 years old that were rehabilitated in the last 5 years.

5

dAR33ab = dAR33abi

i=1


dAR33abi = Length of sewers over 10 years old in year i that were rehabilitated

in year i (km)


Relative to a 5-year period This data includes not only renewed or replaced sewers but also sewers

rehabilitated using other techniques.

The age of sewers refers to the date of the respective rehabilitation. Collectors

less than 10 years old that were rehabilitated should not be counted.

In the first year the operator must supply ERSAR with the 5 values of data

dAR33i; in subsequent years, it need only supply the value corresponding to

year 5 (year under review), with the value of dAR33 being calculated

automatically based on data existing within ERSAR.

Used for: AR08ab – Sewer rehabilitation (%/year)


Reliability:

*** – Value based on work sheets and land registers or current Geographic

Information Systems belonging to the operator, provided they relate to

sewers more than 10 years old;


on final screens belonging to the operator for at least 75% of the length of

the network, provided they relate to sewers more than 10 years old.

* – Value based on land registers belonging to the operator for at least 50% of

the length of the network, provided they relate to pipes more than 10 years

old.


Economy

dAR34b – Service connections (No.)

Total number of service connections in service. Data from: Operator

Relative to the period under review When there is no reliable information on the number of service connections, the

number of buildings with a connection in service can be used as a first estimate.

This value should however be corrected taking into account that it is lower than

the actual number due to the fact that some buildings have more than one service

connection.

In this variable it shall be considered the service connections that temporarily do

not have service or those that are waiting for the connection to the building

network, regardless the type of service associated.

Used for: AR03b – Flood events [No./(1000 service connections • year)]

IWA code: wC29 Previous ERSAR code: dAR18

Reliability:

*** – Value based on updated registered information;

** – Value based on updated registered information or on statistical data on the

number of classic buildings published by Statistics Portugal for at least 85%

of the data value.

* – Value based on updated registered information or on statistical data on the

number of classic buildings published by Statistics Portugal for at least 50%

of the data value.

dAR35ab – Pumping stations (No.)

Number of pumping stations under the operator's responsibility.

Data from: Operator

Relative to the year under review Pumping stations integrated in the treatment facilities or on the premises should

not be included.

Pumping stations containing pump groups that pump to different destinations

should be recorded as a single group if located in the same building. Pumping

stations containing only small electric pump groups that have not been accounted

for in dAR30ab – Standardisation factor (m3/year ⋅ 100 m) should not be counted.


IWA code: wC6 Previous ERSAR code: dCAR01

Reliability: n.a.


dAR36ab – Wastewater treatment plants (No.)

Number of wastewater treatment plants under the operator's responsibility,

including those that have been in operation for less than a year and those that

are being renovated.

Data from: Operator

Relative to the year under review Used for: System profile

System profile - Discharge licensing (%)

IWA code: – Previous ERSAR code: dCAR02

Reliability: n.a. dAR37ab – Collective septic tanks (No.)

Number of collect septic tanks under the operator's responsibility, including those

that have been in operation for less than a year and those that are being

renovated.

Data from: Operator

Relative to the year under review A collective septic tank is a system with a septic tank followed by a means of

disposal, with all infiltration or filtration solutions being recognised as a means of

disposal.


System profile - Discharge licensing (%)


Reliability: n.a. dAR38ab – Treatment plants with valid discharge permit (No.)

Number of wastewater treatment plants under the operator's responsibility with a

valid discharge licence, including those that have been in operation for less than

a year and those that are being renovated.

Data from: Operator

Relative to the last day of the year under review This data includes septic tanks with a valid discharge licence and tanks that are

expressly exempt from a licence.

Used for: System profile - Discharge licensing (%)


Reliability: n.a.


Σ Σ

dAR39ab – Overutilization of treatment plants (m3)


days when the daily treatment volumes exceed 95% of the treatment capacity.

n 365

dAR39ab = Vdimid x jid

i=1 d=1

Vdimid – Daily treatment capacity provided for in the design for water

treatment plant i on each day d (m3) Jid – 1, if wastewater treatment plant i operated with volumes greater

than 95% x Vdimid on day d; 0, otherwise N – Number of wastewater treatment plants (No.)

Data from: Operator


considered.

In wastewater treatment plants which possess equalising bodies (or other

equivalent hydraulic structures), the inflowing volume to be compared with Vdimi

must be obtained from the sum of the volume measured downstream the

equalising with the volumes of possible discharges in bypass carried out

upstream.

This data applies to all wastewater treatment plants with a treatment capacity

equal to or greater than 10,000 population equivalents.



The treatment capacity to consider is that included in the treatment plant project

or, failing that, which provided for in the discharge licence.




Used for: AR07ab – Adequacy of treatment capacity (%)


Reliability:

*** – Value from records on daily measurements of wastewater volumes.

** – n.a.

* – n.a.


Σ Σ

dAR40ab – Underutilization of treatment plants (m3)


days on which the daily volumes of wastewater are less than 70/S(*)% of the

treatment capacity.

n 365

dAR40ab = Vdimid x kid d=1

i=1 d=1

Vdimid – Daily treatment capacity provided for in the design for wastewater

treatment plant i on each day d (m3)

kid – 1, if water treatment plant i treated a volume of less than 70/S(*)% × Vdimid on day d; 0, otherwise

n – Number of wastewater treatment plants

Data from: Operator


considered.

In wastewater treatment plants which possess equalising bodies (or other

equivalent hydraulic structures), the inflowing volume to be compared with Vdimi

must be obtained from the sum of the volume measured downstream the equalising

with the volumes of possible discharges in bypass carried out upstream.

This data applies to all wastewater treatment plants with a treatment capacity equal

to or greater than 10,000 population equivalents.

Treatment plants with lower capacity which have daily measurement records should

also be considered.

The treatment capacity to consider is that included in the treatment plant project or,

failing that, which provided for in the discharge licence.

The calculation of this figure is relatively complex, therefore ERSAR has made

available on its website under "Documentation/Technical Reports" an Excel file

attached to this Evaluation Guide, which contains the calculation algorithm.

Only the daily volumes of wastewater and the treatment capacity of each plant need

to be entered in this file.

Although this calculation is automatic using this file, the procedure used is

described below:

The data is based on the verification of the underutilization of the treatment plant

by setting a threshold value (70%), fixed by a seasonal correction factor (s), if

applicable.

(*) S therefore corresponds to a seasonal correction that accommodates any

seasonal pressures and that is the lower value of the two options:

S = “Average daily volume 30 max.”/”Daily volume of raw wastewater” or

S = fs

When S < 1, it is considered as S = 1, when S > 3 it is considered as S = 3. and

fs – seasonal factor (See next page)

ANNEX A4. DATA ON THE URBAN WASTEWATER MANAGEMENT SERVICE 163

dAR40ab – Underutilization of treatment plants (m3) (Cont.)

This factor can vary between 1 and 3 and is calculated for the year under

review as follows:

fs = “Average daily volume 30 max.”/Percentile 20 of the values of the “Daily

volume of raw wastewater” where:

“Average daily volume 30 max.” - is the peak season of wastewater inflow through

the average daily volume of 30 consecutive days with greater wastewater inflow

and the 20 percentile of the values of the "Daily volume of treated water" - is the

off-season production.



Reliability:

*** – Value from records on daily measurements of wastewater volumes.

** – n.a.

* – n.a.


Σ Σ

dAR41ab – Total capacity of treatment plants (m3)

Sum of the installed treatment capacity in all wastewater treatment plants for

the entire reference period.

n 365

dAR41ab = Vdimid

i=l d=l

Vdimi – Daily treatment capacity provided for in the wastewater treatment

plant i (m3)

N – Number of wastewater treatment plants (No.)

Data from: Operator

Relative to the reference period Only treatment plants that have been in operation for at least one year should be

considered.

This data applies to all wastewater treatment plants with a treatment capacity

equal to or greater than 10,000 population equivalents.



The treatment capacity to consider is that included in the treatment plant project

or, failing that, which provided for in the discharge licence.






Reliability:

*** – Value based on the engineering project or on the discharge permit;

** – n.a.

* – n.a.

dAR42ab – Submarine outfalls (No.)

Number of underwater outfalls under the operator's responsibility.

Data from: Operator

Relative to the year under review Used for: System profile


Reliability: n.a.

ANNEX A4. DATA ON THE URBAN WASTEWATER MANAGEMENT SERVICE 165

dAR43 – Weirs (No.)

Number of emergency sewer overflows located in pumping stations and in

treatment plants.

Data from: Operator

Relative to the year under review Used for: AR13ab – Emergency discharge control (%)


Reliability:


Geographical Information Systems belonging to the operator;



length;



dAR44ab –Unmonitored weirs (No.)

Number of emergency sewer overflows of pumping stations and of wastewater

treatment plants that do not monitor overflows.

Data from: Operator

Relative to the year under review Used for: AR13ab – Emergency discharge control (%)


Reliability:


Geographical Information Systems belonging to the operator;



length;




dAR45ab – Infrastructure asset knowledge and management index (-)

The index is determined by the accumulation of the following points relating to classes A, B and C, and can vary between 0 and 100.

No points relating to classes B and C will be admitted if 10 points were not

reached relating to class A:

Class A – Existence of a network blueprint (in paper form or in a geographical

information system)

0 – absence of a network blueprint on a topographical chart at a scale of

between 1:500 and 1:2000 (excluding service connections);


between 1:500 and 1:2000 (excluding service connections);


between 1:500 and 1:2000 updated in the previous year (excluding

service connections).

Class B – Registration information on the elements making up the network

+10 - information on the characterisation of sewers (section, material, year of

installation);

+10 – existence of information on the altimetry of the network of sewers

(includes pavement and floor levels);

10 - location and description of network accessories (pumping stations,

network sewer overflows, retention basins, siphons, inverted siphons,

grit chambers and grid chambers);

10 - information on service connections (retail operators) or collection points

(bulk operators) on register.

Class C – Information on network interventions

+10 - existence and implementation of a network inspection and survey plan (0 for an execution of less than 80%);

+10 – location and identification of the network interventions (repairs,

maintenance, clearance, renovation and cleaning works) (0 for an

execution of less than 80%);

+10 – existence of a multi-annual plan for the renovation of sewers. A multi-

annual plan is a detailed work program with estimated costs for a

minimum period of three years;

+10 – implementation of a multi-annual plan for the renovation of sewers; (0 for an execution of less than 80%).

Data from: Operator

Relative to the last day of the year under review Note: Treatment plants are excluded from this index as they are easily

identifiable.

If there are varying degrees of knowledge on various network systems, a

weighted index should be carried out based on the length of the networks.

This index was prepared based on the “Indice de connaissance et de gestion

patrimoniale de réseaux de collecte des eaux usées” from French legislation:

Circulaire n° 12/DE du 28 avril 2008 Mise en œuvre du rapport sur le prix et la

qualité des services publics d’eau et d’assainissement en application du décret

n° 2007-675 du 2 mai 2007.



Reliability: n.a.


Treatment sludge

dAR46ab – Sludge with proper disposal (t/year)

Total weight sludge drained from the system's treatment facilities to an


Data from: Operator

Relative to the year under review In accordance with the applicable legislation, the recovery or disposal of sludge

is considered an appropriate destination, as is the transfer to other treatment

facilities that do not belong to systems managed by the operator.



Reliability:


the sum of the total weights used to calculate the value;

** – Value based on the raw volume or weight of sludge, for more than 50% and

less than 90% of the sum of the total weights used to calculate the value;


the sum of the total weights used to calculate the value; dAR47ab – Initial sludge stored (t/year)

Total weight of the sludge stored in the system's facilities at the beginning of the

year (1 January).

Data from: Operator

Relative to the first day of the year under review The transitional packaging the sludge inside the operator's facilities must meet all

containment requirements, in particular to avoid inadequate environmental


This data corresponds to all the sludge stored in the system's facilities, even

those that are not well packaged.



Reliability:






the sum of the total weights used to calculate the value.


dAR48ab – Sludge produced in the system (t/year)

Total weight of the sludge produced in the system.

Data from: Operator

Relative to the year under review Used for: AR16ab – Sludge disposal (%)


Reliability:







dAR49ab – Sludge from other systems (t/year)

Total weight of the sludge from systems managed by other operators.

Data from: Operator

Relative to the year under review Used for: AR16ab – Sludge disposal (%)


Reliability:





* – Value based on the raw volume or weight of sludge, for less than 50% of the

sum of the total weights used to calculate the value.


dAR50ab – Final sludge stored (t/year)

Total weight of the sludge stored in the system facilities at the end of the year

(31 December), provided they are properly packaged, does not constitute a

source of pollution to the environment or negative impacts on the nearby

population.

Data from: Operator

Relative to the last day of the year under review The transitional packaging the sludge inside the operator's facilities must meet





Reliability:

*** – Value based on the raw volume or weight of sludge, for more than 90%

of the sum of the total weights used to calculate the value;


and less than 90% of the sum of the total weights used to calculate the

value;


the sum of the total weights used to calculate the value.

Economy dAR51ab – Total income and gains (€/year)


Accounting Standardisation System, i.e. sales of goods and services, changes

in production inventories, work delivered to the operator, subsidies, reversal of

depreciations, reversal of impairment losses and provisions, valuation gains

and other income and gains, interest income, dividends and comparable

income. Items from the International Financial Reporting Standards should also

be included, such as income from construction services. Deviations from cost



Data from: Operator

Relative to the year under review They should be calculated as follows: Operating income (sales, provision of

services, additional income and other operating income) + financial income and

gains + other gains.



Reliability:



computer system;



dAR52ab – Total expenditures (€/year)

Sum of the values from calculations based on "Class 6 – Expenditure" of the

Accounting Standardisation System, i.e. Operating expenses (cost of sales,


the year and other expenses and operating losses), financial expenses, other

expenses, losses of financing, added to the value of "Class 8 – Results 812", i.e.,

deferred tax assets and liabilities. Items from the International Financial Reporting

Standards should also be included, such as expenditures with construction

services. Operators applying the Official Plan of Public Accounting should use

the same items, with the required adaptations.

Data from: Operator

Relative to the year under review They should be calculated as follows: Operating expenses (cost of sales, supplies

and external services, staff expenses, depreciation and amortization for the year

and other expenses and operating losses) + financial expenses + other

expenses.



Reliability:



computer system;



dAR53a – Average charge with the wastewater service (€/year)

Value of the annual charges borne by a household for the bulk service of urban

wastewater management related to the consumption of 120 m3 of water in the

system's intervention area.

dAR53a = 120 × 0,90 × dAR55a

where dAR55a – Approved tariff (€/m3)

Data from: Operator


The total annual charge should be calculated for the collection and treatment of

120 m3 accounted for at the bulk system's collection point, considering an inflow

coefficient of 0.90.

An inflow factor of 90% is considered according to the provisions of paragraph 1

of item 3.3.1.3 – Calculation base of ERSAR Recommendation No. 1/ 2009,

relative to Tariff recommendations.

Used for: AR02ab – Affordability of the service (%)


Reliability:

*** – Value based on the application of the tariff to the volumes;

** – n.a. * – n.a.


dAR53b – Average charge with the wastewater service (€/year)

Value of the annual charges borne by a household for the urban wastewater

management service related to the consumption of 120 m3 of water in the


Data from: Operator


The total annual charge incorporates the fixed and the variable components of the tariff for domestic users.



Reliability:

*** – Value based on the tariff in force on the 31st December;

** – n.a.

* – n.a.


i

dAR54ab – Average disposable household income (€/year)


calculated as follows: n


dAR54ab = i=1

Σ Presid

RMNagreg = is the domestic average disposable income per household, and IPCi = is the purchasing power index by municipality, Presid i. is the resident population by municipality



At the time of preparing this guide, the data provided by the INE are:


IPCc by municipality – INE – purchasing power index by municipality.




This data is identical to the data used to assess the water supply service.



dAR53ab - Average household disposable income (€/year) and dRU40ab -

Average disposable household income (€/year)).



Reliability:


** – Value based on figures for the year under review and previous

years;



dAR55a – Approved tariff (€/m3)





dAR53a – Average charge with the wastewater service (€/year)


Reliability: n.a.

Certifications

dAR56ab – Certification of environmental management system (-)

Specification of certification relative to the wastewater service provided by the


Data from: Operator




provided.



Reliability: n.a.

dAR57ab – Certification of quality management system (-)



Data from: Operator




provided.



Reliability: n.a.


dAR58ab – Health and safety management systems certification (-)


operator according to OHSAS Standard 18001 or similar.

Data from: Operator




provided.



Reliability: n.a.

dAR59ab – Other certifications (-)

Specification of other certifications relative to the operator's wastewater activity.

Data from: Operator




provided.



Reliability: n.a.


Human resources

dAR60ab – Wastewater service personnel (No.)

Operator's full-time personnel assigned to the urban wastewater management

service.

Data from: Operator


Includes directors and executive directors.

Includes Mayor and / or Councillor, when applicable. It includes tasks as procurement, accounting, treasury, inspection and workshops.

The operator's personnel should be distributed in full among the water supply

activities, urban wastewater management and municipal waste management

services.

Holidays, sick leave and maternity leave must be considered as time in service.

Long-term leave (equal to or greater than 12 months), or service commissions,

requisitions and transfers of service to other activities should not be included.

Used for: AR10a – Human resources [No./(106 m3 • year)]


IWA code: wB3 Previous ERSAR code: dAR15 (adapted)

Reliability:


system identifying the staff assigned to the urban wastewater

management service;

** – Value based on the staff management system in paper format that

allows for the identification of the staff assigned to the urban

wastewater management service;

* – Value based on the general information management system and file used

to estimate the personnel assigned to urban wastewater management

with a margin of error not exceeding 30%.


dAR61ab – Wastewater service personnel in outsourcing (No.)

Full-time personnel assigned to the external services related to the current

activity on a going concern perspective, in relation to urban wastewater

management activity.

Data from: Operator


An estimate should be made of the personnel external to the operator that is


infrastructure operations; infrastructure maintenance; emergency pickets;

clearance works; registration; geographic information system; detection and

repair of breakdowns in equipment; tests on the water quality; transport of

treatment sludge; pest control operations; environmental awareness; invoicing

and collection services; accounting and financial services; call centres;

commercial disclosure, trainees and self-employed workers.

The personnel external to the operator that although assigned to the main

activity, do not perform operation and maintenance activities, such as:

preparation of engineering projects; execution and supervision of works; legal

services; services related to human resources; safety; computing; archaeology;

expertise; vehicle maintenance, etc. should not be included.

The personnel external to the operator that are not assigned to the main activity,

such as gardening; cleaning; maintenance of air conditioning; canteen service

and other activities related to well-being and comfort, etc. should also be

excluded.

Used for: AR10a – Adequacy of human resources (No./106 m3 • year)



Reliability:

*** – Value based on or provision of services contracts or on written

information supplied by the service providers;



that do not represent more than 10% of the value of the sum of dAR61ab

- Outsourced personnel of the water supply service (No.) with dAR60ab -

Employees assigned to urban wastewater management (No.);



that do not represent more than 30% of the value of the sum of dAR61ab

- Outsourced personnel of the water supply service (No.) with dAR60ab -

Employees assigned to urban wastewater management (No.).

179 ANNEX A5. MUNICIPAL WASTE MANAGEMENT SERVICE QUALITY - DEFINITIONS

ANNEX A5. MUNICIPAL WASTE MANAGEMENT SERVICE QUALITY - DEFINITIONS



■ RUXXa – when the indicator is used only for bulk system

operators;

■ RUXXb – when the indicator is used only for retail system

operators;

■ RUXXab – when the indicator is used both for bulk and retail

system operators.



RU01a – Service coverage (%)

Percentage of municipal waste collected in the operator's intervention area that

enter the treatment infrastructures.

RU01a = dRU14a / dRU12ab × 100

dRU12ab – Municipal waste collected (t/year)

dRU14a – Municipal waste that enters the treatment infrastructures (t/year)

Reference values for bulk systems Good service quality [95; 100]



Previous ERSAR code: RU01a


RU01b – Service coverage (%)

Percentage of the number of households (family and collective) in the operator's

intervention area with unsorted waste collection service at a distance of less than

100 m1 from the edge of the building (includes all households with doorstep

unsorted waste collection systems).

RU01b = dRU07b / dRU09ab × 100

dRU07b – Households with unsorted waste collection service (No.)

dRU09ab – Households (No.)














The calculation of this indicator is subject to criteria of user’s distance to waste

container, frequency of unsorted collection and to the safeguard of public health,

environment and quality of life of citizens. These criteria also apply in cases

where the collection is contracted to other operators. In predominantly rural areas

the distance measured from the edge of the building to the waste container can

be extended up to 200 m in cases provided for in an approved service regulation.

Previous ERSAR code: RU01b

1 No. 4 of Article 59 of Decree-Law No. 194/2009, of 20 August.


RU02ab –Selective collection coverage (%)

Percentage of households (family and collective) in the operator’s intervention

area with selective collection service through drop-off recycling containers at a

distance of less than 200 m (includes all households with doorstep selective

collection systems).

RU02ab = dRU08ab / dRU09ab × 100

dRU08ab – Households with selective waste collection service (No.)















The calculation of this indicator is subject to criteria of user’s distance to selective

drop-off container and also applies in cases where the selective collection is

contracted to other operators.

When the selective collection system is entrusted to another operator, the

number of households with selective collection service should be requested from

that operator.

Previous ERSAR code: RU02

RU03a – Affordability of the service (%)

Weight of the average charge with the municipal waste management service in

the average income available per household in the system's intervention area.

RU03a = dRU39a / dRU40ab × 100

dRU39a – Average charge with the municipal waste management service (€/year)

dRU40ab – Average disposable household income (€/year)


Good service quality [0; 0.25]

Average service quality [0.25; 0.50]

Unsatisfactory service quality [0.50; +∞]



RU03b – Affordability of the service (%)

Weight of the average charge with the municipal waste management service in

the average income available per household in the system's intervention area.

RU03b = dRU39b / dRU40ab × 100

dRU39b – Average charge with the municipal waste management service (€/year)



Good service quality [0; 0.50]


Unsatisfactory service quality ]1.00; +∞]



RU04ab – Washing of containers (-)

Frequency of the washing of containers.

RU04ab = dRU32ab / dRU33ab

dRU32ab – Number of containers washed (No./year)

dRU33ab – Number of containers (No./year)

Reference values for bulk and retail systems alta baixa Good service quality [2,0; 6,0[ [12,0; 24,0[

Average service quality [1,0; 2,0[ [6,0; 12,0[

or [6,0; 12,0[ or [24,0; 30,0[

Unsatisfactory service quality [0,0; 1,0[ [0,0; 6,0[

or [12; +∞[ or [30; +∞[

Retail systems should only consider unsorted waste collection containers.

Bulk systems should only consider selective collection containers for packaging waste.



RU05ab – Reply to written complaints and suggestions (%)



RU05ab = dRU11ab / dRU10ab × 100

dRU10ab – Complaints and suggestions (No./year)

dRU11ab – Responses to complaints and suggestions (No./year)


retail systems






Previous ERSAR code: RU04

OPERATOR SUSTAINABILITY


RU06ab – Cost recovery ratio (%)


RU06ab = dRU41ab / dRU42ab x 100

dRU41ab – Total revenews and gains (€/year)

dRU42ab – Total expenditures (€/year)

Reference values for bulk and retail systems Good service quality [100; 110]


Unsatisfactory service quality [0 ;90[ or ]120; +∞ [




RU07a – Packaging waste recycling (%)

Percentage of packaging waste selectively collected in the operator's

intervention area and sent for recycling.

RU07a = dRU15a / dRU25a × 100

dRU15a – Packaging waste sent for recycling (t/year)

dRU25a – Target for packaging waste sent for recycling (t/year)

Reference values for bulk systems Good service quality [95; +∞]




RU07b – Packaging waste recycling (%)

Percentage of packaging waste selectively collected in the operator's

intervention area.

RU07b = dRU16ab / dRU26b × 100

dRU16ab – Packaging waste selectively collected (t/year)

dRU26a – Target for packaging waste selectively collected (t/year)

When the selective collection of packaging waste is the responsibility of another

operator, the amount of packaging waste selectively collected should be

requested from that operator.

Reference values for retail systems Good service quality [95; +∞]





RU08a – Organic waste recovery (%)

Percentage of waste subject to organic recovery in the operator's intervention

area.

RU08a = dRU18a / dRU27a × 100

dRU18a – Municipal waste sent to organic recovery (t/year)

dRU27a – Treatment capacity for biodegradable municipal waste (t/year)

Reference values for bulk systems Good service quality [95; 100]



Organic recovery of waste is its composting and/or anaerobic digestion.

The concept of biodegradable municipal waste contained in the Strategic Plan for Waste (PERSU II) should be adopted.


RU09a – Incineration (%)

Percentage of waste incinerated in the operator's infrastructures in its

intervention area.

RU09a = dRU20a / dRU53a × 100

dRU20a – Waste sent to incineration (t/year)

dRU53a – Incineration capacity (t/year)







RU10a – Landfill use (%)

Percentage used of the annual landfill capacity available in the operator's

infrastructures in its intervention area.

RU10a = (dRU21a + dRU22a) / dRU23a × 100

dRU21a – Municipal waste sent to landfill (t/year) dRU22a –

Non-municipal waste sent to landfill (t/year)

dRU23a – Landfill licensed capacity (t/year)




Unsatisfactory service quality ]110; +∞]


RU11ab – Renewal of waste collection vehicles (km/vehicle)

Average distance travelled by the waste collection vehicles.

RU11ab = dRU28ab / dRU29ab

dRU28ab – Total distance travelled by waste collection vehicles (km)

dRU29ab – Unsorted waste collection vehicles (No.)

Reference values for bulk and retail systems Good service quality [0; 250 000]

Average service quality ]250 000; 350 000]

Unsatisfactory service quality [350 000; +∞[

Only vehicles assigned to unsorted waste collection and selective packaging

waste collection should be considered in the calculation of this indicator. Vehicles

that collect bulky waste, garden waste and other specific waste collections such

as street cleaning services, should be excluded, as should waste transfer large

capacity vehicles.

All waste collection vehicles which, although not part of the operator's fleet of

vehicles, ensure the collection of waste on an ongoing basis, should be counted.

Vehicles used in the context of concessions/conclusion of contracts for collection

services in replacement of vehicles and reinforcement in the case of waste

production peaks should be excluded.



RU12b – Efficient use of waste collection vehicles [kg/(m3 ⋅ year]

Quantity of unsorted waste collection by annual capacity utilisation of waste

collection vehicles.

RU12b = dRU24b / dRU30b × 1000

dRU24ab –Unsorted municipal waste collection (t/year)

dRU30b – Capacity of waste collection vehicles (m3/year)



Average service quality [350; 400] e [500; 550]

Unsatisfactory service quality [0; 350[ e [550; +∞[

Only unsorted waste collection vehicles, regardless of their capacity and

technical characteristics should be included.



RU13a – Adequacy of human resources (No./1000 t)

Full-time personnel assigned to the waste management service per 1000 t of

waste entering the treatment facilities in the operator's intervention area.

RU13a = (dRU44ab + dRU45ab) / dRU13a × 1000

dRU13a – Total waste that enters treatment facilities (t/year)

dRU44ab – Waste management service personnel (No.)

dRU45ab – Waste management service personnel in outsourcing (No.)




Average service quality [0,2; 0,3[ and ]0,6; 0,7]



Good service quality [0,3; 0,7] Average

service quality [0,2; 0,3[ and ]0,7; 0,8]

Unsatisfactory service quality [0,0; 0,2[ and ]0,8; +∞]


Good service quality [0,3; 0,8] Average

service quality [0,2; 0,3[ and ]0,8; 0,9]




RU13b – Adequacy of human resources (No./1000 t)

Full-time personnel assigned to the municipal waste management service per

1000 t of municipal waste collected in the operator's intervention area.

RU13b = (dRU44ab + dRU45ab) / dRU12ab × 1000

dRU12ab – Municipal waste collected (t/year)

dRU44ab – Waste management service personnel (No.)


















Efficiency in the use of environmental resources RU14a – Use of energy resources (kWh/t)

Energy consumed and produced per ton of waste entering the

operator's treatment facilities.

RU14a = (dRU37a – dRU38a) / dRU13a

dRU13a – Total waste that enters the treatment facilities (t/year)

dRU37a – Energy consumption from the external network (kWh/year)

dRU38a – Energy sold obtained from energy recovery (kWh/year) Reference values for bulk systems Good service quality [-∞; 6]


Unsatisfactory service quality ]7; +∞]


RU14b – Use of energy resources (tep/1000t)

Total fuel consumption per 1000 tons of unsorted municipal waste

collected in the operator's intervention area.

RU14b = dRU36b / dRU24b x 1000

dRU24ab – Unsorted municipal waste collection (t/year)

dRU36b – Fuel consumption (tep/year)





Unsatisfactory service quality ]5,5; +∞[









Only vehicles assigned to unsorted collection should be considered in

the calculation of this indicator; vehicles that collect bulky waste, garden

waste and other specific waste collections such as street cleaning

services should be excluded, as should waste transfer large capacity

vehicles.

Previous ERSAR code: RU18b



RU15a – Quality of the leachate after treatment (%)

Percentage of the total number of tests conducted on treated leachate from

landfill whose results comply with the applicable legislation.

RU15a = dRU35a / dRU34a × 100

dRU34a – Analyses carried out on treated leachate (No./year)

dRU35a – Analyses carried out on treated leachate in compliance with the legislation (No./year)





This indicator is designed to assess compliance with applicable legislation on

control of discharges of treated leachate carried out by the operator.

Also consider the process wastewater from other treatment facilities managed

by the operator such as organic recovery and incineration units.


RU16a – Emissions of greenhouse gases (kg CO2/t)

Total amount of CO2 emissions from vehicles used for selective packaging

collection per ton of waste collected in the operator's intervention area.

RU16a = dRU31ab / dRU16ab


dRU31ab – CO2 emissions from waste collection vehicles (kg CO2)




Average quality service ]40; 50]

Unsatisfactory quality service ]50; +∞[

Reference values for medium urban intervention areas Good

quality service [0;50]


Unsatisfactory quality service ] 60;+∞[


Good quality service [0; 60]



Only vehicles used for selective collection should be included in the calculation

of this indicator.



RU16b – Emissions of greenhouse gases (kg CO2/t)

Total amount of CO2 emissions from vehicles used for unsorted collection per ton

of waste collected in the operator's intervention area.

RU16b = dRU31ab / dRU24b


dRU31ab – CO2 emissions from waste collection vehicles (kg/CO2)







Good quality service [0;14]




Good quality service [0; 15] Average

quality service ]15; 18] Unsatisfactory

quality service ]18; +∞[

Only vehicles used for unsorted collection should be considered in the calculation

of this indicator; vehicles that collect bulky waste, garden waste and other specific

waste such as street cleaning services should be excluded, as should waste

large capacity transfer vehicles.


193 ANNEX A6. DATA ON THE MUNICIPAL WASTE MANAGEMENT SERVICE

ANNEX A6. DATA ON THE MUNICIPAL WASTE MANAGEMENT SERVICE

In the sheets presented in this Annex the following convention is used:

■ dRUXXa – when the data is used only for bulk system

operators;

■ dRUXXb – when the data is used only for retail system

operators;

■ dRUXXab – when the data is used both for bulk and retail

system operators.


dRU01ab - Identification of operator (-)








Reliability: n.a.

dRU02ab - Governance model (-)









Used for: Operator profile Previous ERSAR code: –

Reliability: n.a.


dRU03b – System user(s) (-)






Reliability: n.a.


Size

(inhab)

Typology

PRA AUA PUA

Mu

nic

ipa

litie

s

< 5000 1 5000 - 10 000 2

10 000 - 25 000 3 25 000 - 60 000 4 60 000 - 90 000 5

> 90 000 6

dRU04ab – Typology of the area of intervention (-)

Classification of the operator's intervention area in terms of typology of urban

area of the respective municipalities.

Data from: ERSAR Relative

to the most recent Census



– Medium Urban Areas (MUA)


As a basic principle, the municipality is the geographic unit of analysis.


dRU04ab = ((C1 × p1) + (C2 × p2) + … + (Cn × pn)) / ∑ (p1 + p2 + … + pn)

dRU04ab – weighted average of the system, with the typologies being

defined by the following intervals: APU ]4, 6], AMU ]2, 4] e APR

]0, 2].

C – quantification of the typology assigned to the

municipality p – resident population of the

municipality

where C of the each municipality is assigned given the simple average of the



according to the population density


of tthe most populated place

Population

density

(inhab/km2)

Typology

PRA AUA PUA

Mu

nic

ipalit

ies

< 50 1 50 - 100 2

100 - 300 3 300 - 500 4 500 - 750 5

> 750 6







Used for: Operator profile and reference values of: RU01b –

Service coverage (%)


RU13a or RU13b – Adequacy of human resources (No./1000 t)

RU16a or RU16b – Emissions of greenhouse gases (kg CO2/t)


Reliability: n.a.


dRU05ab – Shareholder composition (-)

Entities holding the capital paid-up by the operator and respective percentages.





Reliability: n.a.

dRU06ab – Term of the contract (-)






Reliability: n.a.


Households

dRU07b – Households with unsorted waste collection service (No.)

Number of households in the operator's intervention area with unsorted municipal

waste collection.

Data from: Operator


The quantification of this data follows two criteria: unsorted waste collection

equipment installed at a distance of less than 100 meters from the edge of the

building (includes all households in areas with doorstep unsorted waste collection

systems) and frequency of collection to safeguard public health, environment and

quality of life. In cases of predominantly rural areas, the distance from the edge

of the building to the waste container can be extended up to 200 m, provided for

in an approved service regulation.

The number of households with unsorted waste collection service is calculated

by the operator and must be supported on geographical information which will be

validated by INE (National Statistical Institute), combining the record for the

waste containers locations and the geographical database for the existing

buildings managed by INE.

The operator reports a shape file for the existing waste containers and a shape

file for doorstep waste collection areas based on a shape file template defined

by ERSAR/INE. Operators which do not run the requested data on a GIS

(Geographical Information System), must report the geographic information of

the containers on an Excel file, where each container must correspond to a point

(X, Y coordinate) and each doorstep waste collection area to a polygon.

Used for: RU01b – Service coverage (%)

Previous ERSAR code: dRU39

Reliability:

*** – Waste containers or collection circuits (in the case of doorstep collection)

georeferenced in GIS shape file, according to the INE data model

(available from ERSAR);

** – Waste containers listed in standard Excel file with identification of

geographical coordinates;

* – Waste containers listed in standard Excel file with identification of

geographic coordinates of a sample representing at least 75% of the total

number of existing containers.


dRU08ab – Households with selective waste collection service (No.)

Number of households with selective collection service provided by the operator

in its intervention area.

Data from: Operator


The quantification of this data follows the criteria of a maximum distance of 200

m to the drop-off recycling containers and should include all households with

doorstep selective collection systems).

When the selective collection system is entrusted to another operator, the

geographic information on the location of the recycling containers should be

requested from that operator.

The number of households with selective waste collection service is calculated

by the operator and must be supported on geographical information which will be

validated by INE (National Statistical Institute), combining the record for the

location of waste recycling containers and the geographical database for the

existing buildings managed by INE.

The operator reports a shape file for the existing packaging waste drop-off

containers (bring system) and a shape file for doorstep packaging waste selective

collection areas (kerbside collection) based on a shape file template defined by

ERSAR/INE. Operators which do not run the requested data on a GIS

(Geographical Information System), must report the geographic information of

the packaging waste containers on an Excel file, where each container must

correspond to a point (X, Y coordinate) and each doorstep waste collection area

to a polygon.

Each coordinate reported refers to a set of 3 containers grouped together (green

container for glass, blue container for paper/cardboard and yellow container for

plastics and metals. Isolated containers should not be reported.

Used for: RU02ab –Selective collection coverage (%)

Previous ERSAR Code: dRU07

Reliability:

*** – Recycling drop-off containers or collection circuits (in the case of selective

doorstep collection) georeferenced in GIS shape file, according to the INE

data model (available from ERSAR);

** – Recycling drop-off containers listed in standard Excel file with

identification of geographical coordinates;

* – Recycling drop-off containers listed in standard Excel file with

identification of geographic coordinates of a sample representing at least

75% of the total number of existing containers.



Total number of existing households (family and collective) in the operator's intervention area.

Data from: Operator

Relative to the last day of the year under review Used for: RU01b – Service coverage (%)


Operator profile


Reliability:

*** – Data obtained from INE records updated in the year under review;

** – Not applicable;

* – Not applicable.


Complaints dRU10ab – Complaints and suggestions (No./year)

Total number of written complaints and suggestions relative to the municipal

waste management service.

Data from: Operator

Relative to the year under review Complaint or other written suggestion means any written document (written,






are unfounded.


address (physical or electronic) are properly identified should be considered. If

more than one activity subject to assessment is carried out, written complaints



attendance), should be accounted for in all of them. The concept presented is

justified as it was considered that all critical remarks made in writing by users

deserve an answer in writing from the operator.

Used for: RU05ab – Reply to written suggestions and complaints (%)


Reliability:


to managing complaints and other suggestions, or based on the complaints

and suggestions management system in paper form when the volume of

complaints received is less than 50;

** – Value based on the complaints and others requests in paper form;


module.


dRU11ab – Responses to complaints and suggestions (No./year)


days, to written complaints and suggestions relative to the municipal waste

management service.

Data from: Operator

Relative to the year under review For the purposes of this indicator, answers that do not show an effective

analysis of the concrete situation, namely because they fit into systematic

procedures designed to acknowledge receipt of the complaint or suggestion, or

because they correspond to communications which merely inform that the

complaint or suggestion was forwarded to another department or service of the

operator, are not considered.

Used for: RU05ab – Reply to written suggestions and complaints (%)


Reliability:


to managing complaints and other suggestions, or based on the complaints

and suggestions management system in paper form when the volume of

complaints received is less than 50;

** – Value based on the complaints and others requests in paper form;


module.

Waste quantity dRU12ab – Municipal waste collected (t/year)

Total amount of municipal waste collected in the operator's intervention area.

Data from: Operator

Relative to the year under review Used for: RU01a – Service coverage (%)


Operator profile – Volume of activity


Reliability:

*** – Value based on the weight of all the waste collected;

** – Value based on the weight of 75% to 99% of the waste collected;

* – Value based on the weight of less than 75% of waste collected.


dRU13a – Total waste that enters the treatment facilities (t/year)

Quantity of waste that enters the operator's treatment facilities.

Data from: Operator

Relative to the year under review Includes municipal waste and non- municipal waste.

The construction and demolition waste used as landfill daily cover materials or in

the construction of access roads to the landfill cells should not be counted in, as

it should not any type of landfill cover materials.

Used for: RU09a – Incineration (%)

RU13a – Adequacy of human resources (No./1000 t)

RU14a – Use of energy resources (kWh/t) Operator profile


Reliability:




dRU14a – Municipal waste that enters the treatment facilities (t/year)

Quantity of municipal waste generated in the operator's intervention areas that

enter its treatment facilities.

Data from: Operator

Relative to the year under review The construction and demolition waste used as landfill daily cover materials or

in the construction of access roads to the landfill cells should not be counted in,

as it should not any type of landfill cover materials. Municipal waste collected

selectively should be counted in.

Used for: RU01a –Service coverage (%)


Reliability:





dRU15a – Packaging waste sent for recycling (t/year)

Quantity of packaging waste sent for recycling.

Data from: ERSAR


Used for: RU07a – Packaging waste recycling (%)


Reliability:

*** – Value based on final results of the operator of the integrated system for

the management of packaging waste (SIGRE);

** – n.a.

* – n.a.


Quantity of packaging waste collected selectively.

Data from: Operator

Relative to the year under review Used for: RU07b – Packaging waste recycling (%)

RU16a – Emissions of greenhouse gases (kg CO2/t)


Reliability:





dRU17a – Volume of activity for recycling (t/year)

Quantity of municipal waste sent for recycling.

Data from: Operator

Relative to the year under review The contribution of all municipal waste flows should be counted in. It should

also be counted all biodegradable waste entering the stage of biological

treatment.



Reliability:


** – Value based on the weight of between 75 and 99% of waste collected.


dRU17b – Volume of activity for recycling (t/year)

Quantity of municipal waste collected selectively for recycling.

Data from: Operator


The contribution of all waste flows defined as municipal waste should be

counted.



Reliability:





dRU18a – Municipal waste sent to organic recovery (t/year)

Quantity of biodegradable municipal waste that entered the stage of biological

treatment by composting and/or anaerobic digestion.

Data from: Operator

Relative to the year under review Used for: RU08a – Organic waste recovery (%)


Reliability:


** – Value based on the weight of 75% to 99% of the waste collected.


dRU19a - Municipal waste directly sent to landfill (t/year)

Amount of municipal waste collected in the operator's intervention area and

directly sent to landfill.

Data from: Operator

Relative to the year under review Used for: Operator profile

Previous ERSAR code:

Reliability:





dRU20a – Waste sent to incineration (t/year)

Quantity of waste collected and sent for incineration during the reference

period.

Data from: Operator

Relative to the year under review The quantity of rejected waste from other waste processing facilities should

be considered in this data.

Used for: RU09a – Incineration (%)


Reliability:




dRU21a – Municipal waste sent to landfill (t/year)

Quantity of municipal waste sent to landfill.

Data from: Operator

Relative to the year under review The quantity of rejected waste produced in other waste processing facilities

that are sent for landfilling should be included in this data.

Used for: RU10a –Landfill use (%)


Reliability:





dRU22a – Non-municipal waste sent to landfill (t/year)

Quantity of non-municipal waste sent to the operator's landfill(s).

Data from: Operator

Relative to the year under review Used for: RU10a –Landfill use (%) Previous ERSAR code: dRU19

Reliability:




dRU23a – Landfill licenced capacity (t/year)

Maximum annual quantity of waste to be deposited in landfill provided for in

the licence.

Data from: Operator

Relative to the year under review The value to be included corresponds to that of the operating licence. Should

this not exist, the environmental licence or, in its absence, the landfill capacity

value included on the project should be considered.

Should this value not be known on a year-by-year basis, it should be calculated

by dividing the total landfill capacity by its projected life.

Used for: RU10a –Landfill use (%) Previous ERSAR code: dRU20

Reliability:

*** – Value of the annual capacity defined in the operating licence/

environmental license/project;

** – Value based on the overall value of the operating licence/ environmental

license/project;

* – Value based on an estimate.



Total amount of unsorted municipal waste collected in the operator's

intervention area.

Data from: Operator


Only waste from the undifferentiated collection activity should be considered.

Used for: RU12b – Efficient use of waste collection vehicles [kg/(m3 ⋅ year]

RU14b – Use of energy resources (tep/1000 t)



Reliability:




dRU25a – Target for packaging waste sent for recycling (t/year)

Total quantity of packaging waste target defined for the bulk operator (t/year).

Data from: ERSAR

Relative to the year under review Used for: RU07a – Packaging waste recycling (%)


Reliability: n.a.

dRU26b – Target for packaging waste selectively collected (t/year)

Total quantity of packaging waste target defined for the retail operator

(municipality). This target is extrapolated from the bulk operator target, taking

into account the population in each municipality. .

Data from: ERSAR

Relative to the year under review Used for: RU07b – Packaging waste recycling (%)


Reliability: n.a.


dRU27a – Treatment capacity for biodegradable municipal waste (t/year)

Processing capacity for biodegradable municipal waste of the organic recovery

units.

Data from: ERSAR

Relative to the year under review Used for: RU08a – Organic waste recovery (%) Previous ERSAR code: –

Reliability: n.a.

Vehicles, equipment and their use dRU28ab – Kilometres travelled by collection vehicles (km)

Total number of kilometres travelled by vehicles assigned to the municipal

waste collection service.

Data from: Operator

Relative to the year under review Sum of the records of the odometer of each vehicle assigned to unsorted and

selective collection on the last day (31st December) of the year under review.

The records of the vehicles that carry out bulky waste, garden waste and other

specific waste collections should not be included here.

Used for: RU11ab – Renewal of the waste collection vehicle fleet (km/vehicle)


Reliability:

*** – Value based on information gathered in the fleet management's

information system.

** – Value based on the fleet management system in paper form;

* – Value based on the general information management and filing system


dRU29ab – Vehicles assigned to waste collection (No.)

Number of vehicles assigned to municipal waste collection.

Data from: Operator

Relative to the last day of the year under review Total number of vehicles assigned to mixed and selective collection on the last

day of the year under review (31st December); vehicles that collect bulky waste,

garden waste and other specific waste collections, as well as waste transfer

vehicles, should not be included..

All vehicles, which, although not part of the operator's fleet of vehicles, ensure

the collection of waste on an ongoing basis, should be counted. Vehicles used

in the context of concessions/conclusion of contracts for collection services in

replacement of vehicles and reinforcement in the case of waste production

peaks should be excluded.

Used for: RU11ab – Renewal of the waste collection vehicles (km/vehicle)

System profile


Reliability:


information system.


* – Value based on the general information management and filing system.

dRU30b – Capacity of waste collection vehicle fleet (m3/year)

Total capacity of the unsorted waste collection vehicle fleet of all municipal

waste discharges made during the year.

Data from: Operator


In calculating this data, the sum of the volume capacities of all waste collection

vehicles making at least one discharge at the treatment facilities of the bulk

system should be considered.

Only vehicles assigned to the unsorted collection of waste, regardless of their

capacity and technical characteristics should be included.

Used for: RU12b – Efficient use of waste collection vehicles (kg/m3)


Reliability:


information system.




Σ

dRU31ab – CO2 emissions from waste collection vehicles (kg CO2)

Total amount of CO2 emissions from vehicles used for unsorted collection of

municipal waste and selective collection of packaging waste.

Data from: Operator

Relative to the year under review The calculation of this data is based on the formula below.

n

dRU31ab = FCi × PCIi × 0,99 × FEi

i=1

Where:

I = type of fuel used

FCi = type of fuel i consumed (t) (in the case of gas oil the litres should

be multiplied by conversion factor (FC) 0.835x10-3 and in the case

of natural gas the m3 should be multiplied by conversion factor (FC)

0.84x10-3)

PCIi = Lower Calorific value of type of fuel (GJ/t), supplied by DGEG -

Directorate-General of Energy and Geology (in the case of gas oil

the value 43.3 should be assumed and in the case natural gas

45.1)

0.99 = oxidisable carbon fraction in the fuel

FEi = CO2 emission factor (kg CO2/GJ) (in the case of gas oil the value 74 should be assumed and in the case of natural gas 64.1)

Order No. 17313/2008.

Used for: RU16a – Emissions of greenhouse gases (kg CO2/t)



Reliability:

*** – Value based on information gathered in the information management

system that includes management of fuel consumed;

** – Value based on the fuel consumption management system in paper

form;



dRU32ab – Number of containers washed (No./year)

Total number of municipal waste containers washed by the operator in the


Data from: Operator

Relative to the year under review Bulk operators should only consider selective collection containers and retail

operators should only consider unsorted collection containers.

Doorstep containers and underground containers should be excluded.

Used for: RU04ab – Washing of containers (-)


Reliability:

*** – Value based on information from the automatic counting of the washing

of containers;

** – Value based on information from the manual counting of the washing of

containers/recycling containers;

* – Value based on written information reported by the service provider and

validated by the operator.

dRU33ab – Number of containers (No./year)

Total number of municipal waste containers.

Data from: Operator


Bulk operators should only consider selective collection containers and retail

operators should only consider unsorted collection containers.

Doorstep containers and underground containers should be excluded.

Used for: RU04ab – Washing of containers (-)


Reliability:

*** – Value based on the geographic information system updated on the 31st

of December;

** – Value based on information provided on a record updated on the 31st of

December;

* – Value based on an estimate from the number of existing containers on

the previous year and the number of new containers installed on the

current year.


Quality of leachate dRU34a – Analyses carried out on treated leachate (No./year)

Number of tests carried out on treated leachate from among those required by

law.

Data from: Operator

Relative to the year under review To be defined based on discharge conditions provided for in the respective

licence, Where leachate is rejected in a wastewater discharge network, the tests

required in accordance with paragraph 7 and 8 of Article 66 of Decree-Law No.

236/98, of 1 August should be carried out as a minimum requirement, in

compliance with the emission limit values set forth in Annexes XVIII and XX.

Used for: RU15a – Quality of the leachate after treatment (%)

Previous ERSAR code: dRU31 Reliability:


maintenance program, with analytical results from an accredited laboratory;


and other records, with analytical results where one or more parameters

are from an accredited laboratory;

* – Value based on analytical results from a non-accredited laboratory.


dRU35a – Analyses carried out on treated leachate in compliance with the legislation (No./year)

Number of tests carried out on leachate treated from among those

required by law and in compliance therewith.

Data from: Operator

Relative to the year under review To be defined based on discharge conditions provided for in the respective licence, where leachate is rejected in a wastewater discharge network, compliance with the tests required in accordance with paragraph 7 and 8 of Article 66 of Decree-Law No. 236/98, of 1 August should be checked, in compliance with the emission limit values set forth in Annexes XVIII and XX to this law.

Emission limit value, understood as the monthly average, defined as the

arithmetic mean of the daily averages referring to the days of operation of one

month, which should not be exceeded. The daily value, calculated based on a

representative sample of the wastewater discharged during a period of twenty-

four hours, must not exceed twice the monthly average value (the sample in a

period twenty-four hours should be made taking into account the discharge rate

of wastewater generated) pursuant to Annex XVIII of Decree-Law No. 236/98, of

1 August, only applicable when conducting tests at intervals of less than one

month, so that a monthly average can be calculated.

Used for: RU15a – Quality of the leachate after treatment (%)


Reliability:


maintenance program, with analytical results from an accredited laboratory;


and other records, with analytical results where one or more parameters

are from an accredited laboratory;

* – Value based on analytical results from a non-accredited laboratory.


Energy dRU36b – Fuel consumption (tep/year)

Total quantity of fuel consumed by vehicles used for the unsorted collection of

municipal waste.

Data from: Operator

Relative to the year under review The consumption of fuel should be expressed in units of toe (tonne of

equivalent petroleum) (1000 l of diesel = 0.873 tep).

Used for: RU14b – Use of energy resources (kWh/t) (tep/1000 t)


Reliability:


system that includes management of fuel consumed;

** – Value based on the fuel consumption management system in paper form;

* – Value based on the general information management and filing system.

dRU37a – Energy consumption from the external network (kWh/year)

Energy consumed from the external electricity supplier in the operator's intervention area.

Data from: Operator

Relative to the year under review Used for: RU14a – Use of energy resources (kWh/t)


Reliability:

*** – Value based on information provided by EDP;

** – Value based on an own energy consumption management system;



dRU38a – Energy sold obtained from energy recovery

Energy obtained by energy recovery of waste either through incineration with

energy recovery or through landfill biogas to energy in the operator's

intervention area that is sold.

Data from: Operator

Relative to the year under review Used for: RU14a – Use of energy resources (kWh/t)


Reliability:


system that includes management of energy consumed;

** – Value based on the energy consumption management system in paper

form;


Economy

dRU39a – Average charge with the municipal waste management service (€/year) Value of the annual charges borne by a household with the municipal waste

management service: dRU39a = 1,2 tons/ano × dRU43a where dRU43a –

Approved tariff (€/t)

Data from: Operator


The value of the annual charges should be calculated based on the domestic

waste per capita (1.2 kg/inhab.day) and on the average household (2.8

inhab/household), with the household composition obtained from the INE

database.

Used for: RU03ab – Affordability of the service (%)


Reliability:

*** – Value based on the application of the approved tariff;

** – n.a.;

* – n.a.


dRU39b – Average charge with the municipal waste management service (€/year) Value of the annual charge borne by a household with the municipal waste

management service, which is based on a consumption of 120 m3 of water.

Data from: Operator

Relative to the year under review These charges should be included in the fixed and variable rates for domestic

consumers.


Previous ERSAR code: – Reliability:

*** – Value based on the tariff in force on the 31st of December;

** – n.a.;

* – n.a.;


i



calculated as follows: n


i=1

dRU40ab =

Σ Presid

RMNagreg = is the domestic average disposable income per household, and IPCi = is the purchasing power index by municipality, Presid i. is the resident population by municipality.


Relative to the year under review At the time of preparing this guide, the data provided by the INE are:


IPCc by municipality – INE – purchasing power index by municipality.






dAA53ab - Average household disposable income (€/year) and dAR54ab -

Average household disposable income (€/year)).



Reliability:


** – Value based on figures for the year under review and

previous years;



dRU41ab – Total income and gains (€/year)

Total income and gains (operating, financial and others) generated in the year

under review related to the waste management service.

Data from: Operator



Accounting Standardisation System, i.e. sales of goods and services, changes in

production inventories, work delivered to the operator, subsidies, reversal of

depreciations, reversal of impairment losses and provisions, valuation gains and

other income and gains, interest income, dividends and comparable income.

Items from the International Financial Reporting Standards should also be

included, such as income from construction services. Deviations from cost



Used for: RU06ab – Cost recovery ratio (%)


Reliability:

*** – Value based only on accounting records from the cost accounting system;

** – Value based on accounting records from the cost accounting system

complemented by estimates or extrapolations;

* – Value based on estimates or extrapolations, and residual information from

the accounting system.

dRU42ab – Total expenditures (€/year)

Total expenditures (operating, financial and others) incurred in the year under

review related to the waste management service.

Data from: Operator

Relative to the year under review Sum of the values from calculations based on "Class 6 – Expenditure" of the

Accounting Standardisation System, i.e. Operating expenses (cost of sales,


the year and other expenses and operating losses), financial expenses, other

expenses, losses of financing, added to the value of "Class 8 – Results 812", i.e.,

deferred tax assets and liabilities. Items from the International Financial Reporting

Standards should also be included, such as expenditures with construction

services. Operators applying the Official Plan of Public Accounting should use

the same items, with the required adaptations.

Used for: RU06ab – Cost recovery ratio (%)


Reliability:

*** – Value based only on accounting records from the cost accounting system;

** – Value based on accounting records from the cost accounting system

complemented by estimates or extrapolations;

* – Value based on estimates or extrapolations, and residual information from

the accounting system.


dRU43a – Approved tariff (€/t)





dRU39a – Average charge with the municipal waste management service (€/year)


Reliability:

*** - Value based on the tariff in force on the 31st of December;

** – n.a.;

* – n.a.;

Human resources dRU44ab – Waste management service personnel (No.)

Operator's full-time personnel assigned to waste management.

Data from: Operator

Relative to the year under review Includes directors and executive directors.

The operator's personnel should be distributed in full among the water supply

activities, urban wastewater management and municipal waste management

services.

Used for: RU13a – Adequacy of human resources (No./1000 t)


Previous ERSAR code: dRU24 (adapted)

Reliability:


system, taking into account the personnel identified in provision of

services contracts;

** – Value based on lists of personnel in need of distribution estimates of a

significant part of human resources;

* – Value based on lists of personnel in need of distribution estimates of a

significant part of human resources.



Full-time personnel assigned to services related to the current activity on a going

concern perspective.

Data from: Operator

Relative to the year under review An estimate should be made of the personnel external to the operator that are


infrastructure operations; infrastructure maintenance; emergency pickets;

detection and repair of breakdowns in equipment; registration; geographic

information system; tests on the quality of groundwater and leaching water, air

quality and stability of the landfill; characterisation of waste; invoicing and

collection services; accounting and financial services; call centres; environmental

awareness; commercial disclosure; control and weighing; trainees and

independent workers..

The personnel external to the operator that although assigned to the main activity,

do not perform operation and maintenance activities, such as: preparation of

engineering projects; execution and supervision of works; computing;

archaeology; expertise; etc. should not be included.

The personnel external to the operator that are not assigned to the main activity,

such as gardening; cleaning; maintenance of air conditioning; canteen service

and other activities related to well-being and comfort, etc. should also be

excluded.

Used for: RU13a – Adequacy of human resources (No./1000 t)



Reliability:

*** – Value based on or provision of services contracts or on written information

supplied by the service providers identifying the number of workers and the

number of working hours;



that do not represent more than 10% of the value of the sum of dRU45ab -

Outsourced personnel (No.) with dRU44ab - Employees assigned to waste

management (No.);



that do not represent more than 30% of the value of the sum of dRU45ab -

Outsourced personnel (No.) with dRU44ab - Employees assigned to waste

management (No.).


Infrastructures dRU46ab – Recycling containers (No.)

Total number of existing recycling containers.

Data from: Operator Relative to the last day of the year under review

In calculating this data only consider containers grouped together in three,

including at least one green container for glass, one blue container for

paper/cardboard and one yellow container for plastics and metals.

Isolated containers should not be reported.



Reliability:

*** – Value based on the geographic information system updated on the 31st of

December;


December;

* – Value based on an estimate from the number of existing containers on the

previous year and the number of new containers installed on the current year

dRU47ab – Recycling depots (No.)

Total number of existing recycling depots.

Data from: Operator

Relative to the last day of the year under review Used for: System profile


Reliability:

*** – Value based on information processed in updated records;

** – Value based on information processed in records with at least 25% of

estimated information;

* – Value based on information processed in records with at least 50% of

estimated information.


dRU48a – Sorting plants (No.)

Total number of existing sorting plants.

Data from: Operator



Reliability:






dRU49a – Organic recovery units (No.)

Total number of existing organic recovery units.

Data from: Operator



Reliability:






dRU50a – Incineration units (No.)

Total number of existing incineration units.

Data from: Operator



Reliability:







dRU51a – Landfills (No.) Total number of existing landfills.

Data from: Operator

Relative to the last day of the year under review In calculating this data, only the number of municipal waste landfills should be

counted.



Reliability:






dRU52ab – Transfer stations (No.)

Total number of existing transfer stations.

Data from: Operator

Relative to the last day of the year under review In calculating this data, only the number of municipal waste transfer stations

should be counted.



Reliability:






dRU53a – Incineration capacity (t/year)

Annual installed incineration capacity.

Data from: Operator

Relative to the year under review Used for: RU09a


Reliability: n.a.


dRU54b – Containers capacity (m3)

Annual installed capacity of containers.

Data from: Operator

Relative to the year under review Total existing capacity of containers, including doorstep containers, surface

and underground containers used for the unsorted collection of municipal waste

should be counted.



Reliability:

*** – Value based on the geographic information system updated on the 31st

of December;


December; * – Value based on an estimate from the number of existing containers on the previous year and the number of new containers installed on the current year

Certifications

dRU55ab – Certification of environmental management system (-)

Specification of certification relative to municipal waste management provided

by the operator according to ISO Standard 14001 or similar

Data from: Operator

Relative to the year under review The certification entity, the reference standard and the certification date or, if

the certification process is ongoing, the date scheduled for the same, must be

provided.


Previous ERSAR code: dCRU01

Reliability: n.a.

dRU56ab – Certification of quality management system (-)


by the operator according to ISO Standard 9001 or similar

Data from: Operator



provided.

Used for: Operator profile Previous ERSAR code: dCRU02

Reliability: n.a.


dRU57ab – Health and safety management systems certification (-)


by the operator according to OHSAS Standard 18001 or similar

Data from: Operator



provided.



Reliability: n.a.

dRU58ab – Other certifications (-)

Specification of other certifications relative to the operator's municipal waste

management activity.

Data from: Operator



provided.



Reliability: n.a.

227 ANNEX A7. TERMINOLOGY

ANNEX A7. TERMINOLOGY

This annex presents definitions of terms used in this guide or useful

to their understanding and whose interpretation should be clarified,

grouped into:

■ General definitions relative to drinking water supply;

■ General definitions relative to urban wastewater management;

■ General definitions relative to municipal waste management;

■ Definitions relative to components of the water balance;

■ Definitions relative to financial aspects.

General definitions relative to water supply

Drinking

water

Water in its original state or after treatment, intended for

drinking, cooking, preparation of food, personal hygiene or

other domestic purposes, regardless of its origin and the

form in that it is provided to the consumer.

Household Distinctive and independent place which, due to the way

that it was built, reconstructed, enlarged or transformed, is

intended for residential purposes, provided that, at the

reference time, it is not being totally used for other

purposes (definition of the National Institute of Statistics).

Analysis Test conducted on a water sample relative to a parameter.

In the context of the present document, the number of tests

is the result of the number of samples taken times the

number of parameters analysed.

Leaks or

ruptures

in pipes

Event detected in a transport and/or distribution pipe that

requires repair/renovation measures. This includes not

only leaks or ruptures in pipes, but also defects in valves

or accessories caused by:

■ Inadequate selection or manufacturing defects of the

materials, flaws in construction or related to operation, in

pipes, joints, valves and other installations;

■ Corrosion or other phenomena of deterioration of the

materials, externally or internally, primarily (but not

exclusively) in metallic and cement-based materials;

■ External mechanical damage, for example due to

excavation, including damage caused by third parties;

■ Earth movements related to effects caused by ice,

periods of drought, heavy traffic, earthquakes, floods or

other motives.

Leaks or ruptures which occur at the joint between the pipe

and the water connection should be considered leaks or

ruptures in pipes if they imply interruption of their operation

and as leaks or ruptures in service connections in all other

situations.

Repairs in pipes resulting from the active control of leaks

should not be included in leaks and ruptures in pipes.


Leak or rupture in

water connection Definition in everything identical to that of leaks or

ruptures in pipes, but applied to service connections.

Active control of

leaks

Strategy to control losses, periodically or continuously, via

network monitoring, enabling the detection and repair of

any burst pipes that have not been reported. Includes

regular inspections (acoustic leak detection, domestic

effluent measurement) and/or monitoring of water leakage.

Does not include repairs of reported burst pipes.

Plants Pumping stations, treatment plants and other points of

control or monitoring of the water supply system.

Delivery point Point from which the ownership of the piping is no longer

of the operator and becomes that of the user.

Water connection Authorised pipes that make the connection between the

main pipe and the measurement point or check valve of the

customer, as applicable. In the case of more than one

consumer sharing the same physical connection to the

public main pipeline (e.g. buildings of apartments with

individual contracts for each household), it should be

counted as a single connecting branch, regardless of the

number of consumers served.

All the branches in service should be counted, including

those of registered users (resident and non-resident,

stating temporary branches), fire hydrants, floor hydrants,

standpipes or other points of authorised consumption not

directly linked to a main pipe.

Rehabilitation Any physical intervention that extends the life of an existing

system and/or improves its structural and hydraulic

performance, involving an alteration of its condition or

technical specification (series of measures to restore or

improve the performance of an existing wastewater

drainage system - NP EN 752 definition).

In general, rehabilitation refers to the system or one of its

sectors and not to individual components (e.g. isolated

main pipeline, electric pump or valve). For the purposes of

this Guide, the rehabilitation of pipes should count the pipe

extensions that were effectively intervened and not parts of

systems where occasional repairs have been made, even

if these have contributed to the improvement of their overall

performance.

Structural rehabilitation includes replacement and

renovation. Hydraulic rehabilitation includes replacement,

reinforcement and, eventually, renovation.

Reconstruction This is a particular case of replacement in which the

function of the new installation is the same as that of the

existing one. In practice, this normally means that it has the

same nominal diameter (case of pipes), the same nominal

power (pumping system), etc.


Recovery All methods of recovery of existing installations, aimed at

the achievement of the intended performance. Recovery is

synonymous with renovation and applies to electric pumps

and other electromechanical equipment.

Reinforcement Construction of an additional installation to supplement

the capacity of another existing one or which shall be

used as an alternative.

Renovation Any physical intervention which extends the life of the

system, as a whole or in part, which improves its

performance as a whole or in part, maintaining its initial

capacity and function.

Renovation can include repair.

Repair Intervention aimed at correcting localised anomalies.

Coating Application in situ of a non-structural coating which

provides protection to an existing pipe against corrosion,

such as cement mortar or epoxy coating, after removal of

all deposits inside. Coating is renovation work.

Reported

burst pipes

Burst pipes communicated to the competent sector of the

operator, both by the actual personnel or by third parties,

resulting from the visual observation of the leak or from

complaints from users relative to interruption or lower

pressure of the water supply.

Bulk system Series of infrastructures essentially intended for the

abstraction, treatment and transport (including pumping

and storage) of water for public supply, excluding

distribution, operated and managed by an operator.

Retail system Series of infrastructures essentially intended for the

distribution (including pumping and storage) among final

consumers of water for public supply, imported or not from

a retail system, operated and managed by an operator.

This may possibly integrate some infrastructures for

abstraction, treatment and/or transport.

Replacement Replacement of an existing installation by a new one when

the existing one is no longer used for its initial purpose.

The capacity of the new installation can be different from

the one replaced.

In the case of pipes, the installation of structural internal

coatings should be stated as replacement.


General definitions relative to urban wastewater management

Treated

wastewater

Wastewater after being submitted to primary, secondary or

higher level treatment for the purpose of reducing the

pollution caused in the collection environment as well as its

associated risks to public health, thus complying with the

quality requirements imposed by the competent licensing

entity.

Household Distinctive and independent place which, due to the way





Analysis Test conducted on a water sample relative to a parameter.

In the context of the present document, the number of tests

is the result of the number of samples taken times the

number of parameters analysed.

Structural collapse of

a collector

Loss of load capacity of a collector which gives rise to its

destruction.

The collapse may be total or partial.

Flooding Situation in which domestic and industrial wastewater

and/or rainwater overflows from a connecting branch or

collector, or cannot even reach them, accumulating at the

surface and possibly affecting buildings or other

constructions.

Obstruction Blockage of a collector or water connection which prevents

or alters the normal conditions of the discharge of

wastewater.

Collection point Point from which the ownership of the piping is no longer

held by the user and becomes that of the operator.

Property For the purposes of the present Guide, property is

considered household, a residential unit or part of a

building used for work of property owners or tenants,

visitors (if the property is visited for any motive), or for

recreational purposes.

For apartment blocks, the property corresponds to each

household; for business properties, the property

corresponds to the space occupied by a specific business.

All rural real estate is also considered property.


Rehabilitation Any physical intervention that extends the life of an existing

system and/or improves its structural and hydraulic

performance, involving an alteration of its condition or

technical specification (series of measures to restore or

improve the performance of an existing wastewater

drainage system - NP EN 752 definition).

In general, rehabilitation refers to the system or one of its

sectors and not to individual components (e.g. collector,

manhole, electric pump). For the purposes of this Guide,

the rehabilitation of sewers should state the pipe

extensions that were effectively intervened and not parts of

systems where occasional repairs have been made, even

if these have contributed to the improvement of their overall

performance.

Structural rehabilitation includes replacement and

renovation. Hydraulic rehabilitation includes replacement,

reinforcement and, possibly, renovation.

Reconstruction This is a particular case of replacement in which the

capacity of the new installation is the same as that of the

existing one. In practice, this normally means that it has the

same equivalent diameter (case of sewers), the same

nominal power (pumping systems), etc.

Recovery All methods of recovery of existing installations, aimed at

achieving the intended performance. Recovery is

synonymous with renovation and applies to electric pumps

and other electromechanical equipment.

Reinforcement Construction of an additional installation to supplement

the capacity of another existing one or which shall be

used as an alternative.

Renovation Any physical intervention which extends the life of the

system, as a whole or in part, which improves its

performance as a whole or in part, maintaining its initial

capacity and function (Works which include the entirety or

part of an existing wastewater system and that improve its

current performance - NP EN 752-5 definition).

Repair Intervention to correct localised anomalies (Rectification of

localised defects - NP EN 752-5 definition).

Coating Application in situ of a non-structural coating which

provides protection to an existing pipe against corrosion,

such as cement mortar or epoxy coating, after removal of

all deposits inside. Coating is renovation work.

Bulk system Series of infrastructures essentially for the interception,

treatment and final destination of wastewater, operated

and managed by an operator.


Retail system Series of infrastructures essentially intended for the

collection and drainage of wastewater directly for final

users, operated and managed by an operator. This may

include some infrastructures for interception, treatment and

final destination of wastewater.

Replacement Replacement of an existing installation by a new one when

the existing one is no longer used for its initial objective

(construction of a new branch or collector, on the alignment

or not of an existing branch or collector, replacing it - NP

EN 752-5 definition).

The capacity of the new installation can be different from

the one replaced.

In the case of main pipelines, the installation of structural

internal coatings should be stated as replacement.

General definitions relative to municipal waste management

Households Distinctive and independent place which, due to the way





Analysis Test conducted on a sample of leachate relative to a

parameter.

In the context of the present document, in most cases the

number of tests is the result of the number of samples

taken times the number of parameters analysed.

Landfills Installation for elimination of waste through its deposit

under or on top of the natural surface.

Recycling container Group of containers for the selective discarding of glass,

paper/cardboard and packaging, placed on a public road

or other public space.

Transfer

stations

Installation where the waste is unloaded for the purpose of

its preparation for transport to another location of

treatment, recovery or elimination.

Waste flows Type of product, component of a category of waste

transversal to all sources, namely packaging, domestic

electric appliances, batteries, accumulators, tyres or

solvents.

Waste management The collection, transport, valorisation and elimination of

waste, including the supervision of these operations, the

maintenance of the elimination sites after their closure, as

well as the measures adopted as trader or broker.


Installation of

incineration

Any technical equipment allocated to thermal waste

treatment, with or without recovery of the heat produced by

combustion, including the implantation site and entire

installation, namely the incinerator, its waste, fuel or air

feeding systems, the appliances and devices to control the

operations of incineration, registration and continuous

surveillance of the incineration conditions.

Recycling Any recovery operation, including the reprocessing of

organic materials, through which the component materials

of the waste are once again transformed into products,

materials or substances for their original purpose or other

purposes but which do not include energy valorisation or

reprocessing into materials which should be used as fuel

or in filling operations.

Collection Gathering of waste, including the preliminary sorting and

storage of the waste, for its transport to a waste treatment

installation.

Mixed collection

Collection of municipal waste without prior selection.

Selective collection Collection carried out in a manner to maintain the waste

flow separated by type and nature with a view to facilitating

specific treatment.

Waste Any substances or object whose owner discards or

intends or is obliged to discard.

Construction

and demolition

waste

Waste derived from construction, reconstruction,

expansion, alteration, conservation and demolition works

and the collapse of constructions.

Bulky waste Bulky object that is no longer used, derived from houses

which, due to their bulk, form or size, cannot be collected

by normal means of removal. This objective is commonly

called "monster" or "mono".

Packaging waste

Any packaging material included in the definition of waste,

endorsed in the legislation in force on this matter, excluding

production waste.

Green waste Waste derived from the cleaning and maintenance of

gardens, public green spaces or cultivation and residential

zones, namely pruning and trimming waste, tree trunks,

grass cuttings and weeds.

RU Municipal waste and any other waste which, due to its

nature or composition, is similar to domestic waste.

RUB Biodegradable waste from green spaces, namely that of

gardens, parks, sport fields, as well as biodegradable

waste derived from household food and kitchens, units

supplying meals, retail outlets and similar waste from food

processing facilities.


Bulk system System where municipal waste treatment (sorting, transfer,

deposit in landfill, composting, anaerobic digestion and

incineration) is carried out, which may in some cases also

include the selective collection of the packaging flow.

Retail system System where the mixed collection of municipal waste is

carried out, including transport from the site of treatment

and/or selective collection of specific flows of municipal

waste with transport up to the treatment site.

Transport Transfer operation of waste from one place to another.

Treatment Any operation involving the recovery or elimination of

waste, including preparation prior to recovery or elimination

and the economic activities referred to in Annex IV of

Decree- Law 178/2006, of 5 September, as amended by

Decree-Law 73/2011, of 17 June, of which it is an integral

part.

Sorting Waste separation operation using manual or mechanical

processes, without altering its characteristics, with a view

to its treatment.

Recovery Any operation, namely those stipulated in Annex II of

Decree-Law 178/2006, of 5 September, as amended by

Decree-Law 73/2011, of 17 June, the main outcome of

which is the transformation of waste so as to serve a useful

purpose, replacing other materials which, otherwise, would

have been used for a specific purpose or the preparation

of waste for this purpose at the facility or in the economy

as a whole.

Definitions relative to components of the water balance

(adapted from [2])

The calculation of the water balance is an indispensable step in the

evaluation of actual losses and requires estimates of the volumes of

water at each water flow control point marked in Figure A1.

Calibrated meters should be used whenever possible. When

unavailable, it is necessary to use estimates based on other available

data or employ other reliable engineering techniques.

Table A1 illustrates the form of calculation and presents the

recommended terminology for the calculation of the water balance of

one or more sections of a water supply system (for example,

networks of raw water, water supply or distribution). If there is data

for the calculation of the water balance in any other format or with

another terminology, this data will have to be converted into the

components of Table A1, in terms of volumes per year, before

calculating any service quality indicator.


Figure A1

Components of the water balance and location of the water flow control points.

The definitions relative to the elements represented in Figure A1 and

Table A1 are indicated below. Due to the variety of interpretations of

the term "unaccounted water" all over the world, the working parties

on "Water losses" and "performance indicators" do not recommend

their use. However, should this term be used, it should be defined

and calculated as non-invoiced water in Table A1.


Table A1

Components of the water balance and location of the flow control points

A B C D E

Water

entering

the

system

[m3/year]

Authorised

consumption

[m3/year]

Invoiced

authorised

consumption

[m3/year]

Metered invoiced consumption

(including exported water)

[m3/year]

Invoiced water

[m3/year]

Unmetered invoiced consumption

[m3/year]

Non-invoiced

authorised

consumption

[m3/year]

Metered non-invoiced consumption

[m3/year]

Invoiced

water

(commercial

losses)

[m3/year]

Unmetered non-invoiced

consumption

[m3/year]

Water

losses

[m3/year]

Apparent

losses

[m3/year]

Unauthorised use

[m3/year]

Water losses due to

metering errors

[m3/year]

Real

losses

[m3/year]

Real losses in the main

pipelines of raw water and in

treatment (when applicable)

[m3/year]

Leaks in the supply and/or

distribution pipelines

[m3/year]

Leaks and overspills in the

supply and/or distribution

reservoirs

[m3/year]

Leaks in the service connections

(upstream from the metering

point)

[m3/year]

Note: Water consumption by registered customers who pay indirectly through local or national taxes is

considered invoiced authorised consumption for purposes of calculation of the water balance.


Raw water,

imported

or exported

Volume of raw water transferred to and from other supply

and distribution systems (the transfers may occur at any

point between the abstraction and treatment plant), during

the reference period.

Water abstracted Volume of water obtained from raw water abstractions for

entry into water treatment facilities (or directly in supply and

distribution systems), during the reference period.

Water entering

the system

Volume of water that enters the water supply system,

during the reference period.

Note: If the water balance refers to part of the overall system, the

water entering the system should correspond to this part of the

system.

Water provided

for supply

Volume of treated water entering the supply system,


Water provided

for distribution

Volume of treated water entering the distribution system,


Water provided

for direct

distribution

Difference between the water provided for distribution and

the exported treated water (whenever it is not possible to

separate supply from distribution, the water provided for

direct distribution corresponds to the difference between

the water provided for supply and the exported treated

water).

Water provided

for treatment

Volume of raw water entering the treatment facilities,


Non-revenue water Difference between the water entering the system and the

invoiced authorised consumption.

Non-invoiced water includes not only the real and

apparent losses, but also the non-invoiced authorised

consumption.

Water produced Volume of treated water which is provided to the supply

pipelines or directly to the distribution system, during the

reference period.

Treated water,

imported

or exported

Volume of treated water transferred to and from the system

(the transfers may occur at any point downstream from the

treatment), during the reference period. If existent, the

volume of water without prior treatment which is abstracted

and distributed to the consumers (only with disinfection)

should also be counted as "treated water" in the context of

the water balance.


Authorised

consumption

Volume of water, metered or unmetered, provided to

registered consumers, to the actual operator and to others

who may be implicitly or explicitly authorised to do so for

domestic, commercial and industrial purposes, during the

reference period. Includes exported water.

Note (1): Authorised consumption can include fire-fighting,

washing of sewer pipes and sewers, street washing, irrigation of

municipal green spaces, supply of fountains and public taps,

anti-freeze protection, supply of water for construction works,

etc. This consumption can be invoiced or non-invoiced, metered

or unmetered, according to the local practice.

Note (2): Authorised consumption includes water leaks and

wastage by registered customers, which are not metered.

Note (3): In this Guide, this is used to express the volume of

activity.

Water losses Difference between the water entering the system and the

authorised consumption.

The water losses can be considered for the system, or

calculated in relation to subsystems such as the untreated

water network, the water supply system or distribution

system.

In each case the components of the calculation are

considered according to the situation. Water losses are

divided into actual losses and apparent losses.

Apparent losses Accounts for all types of inaccuracies associated to

measurements of the water produced and water

consumed, as well as unauthorised consumption (due to

theft or illicit use).

Note: The default records of the produced water meters and the

overestimated records of customer meters, lead to an

underestimation of the real losses. The overestimated records of

produced water and the default records of customer meters lead

to an overestimation of actual losses.

Real losses Actual water losses of the system under pressure, up to

the customer meter, during the reference period.

The volume of losses through all types of cracks, burst

pipes and overspills depends on the frequency, water flow

and average duration of each leak.

Note: Although the physical losses located downstream of the

customer meter are excluded from the calculation of actual

losses, they are very often significant (especially when there is

no metering) and worthy of attention in the context of the

management of consumption.


Definitions relative to the control of emergency discharges

The quality of the service rendered with respect to wastewater and

rainwater systems cannot be considered acceptable if it is all the

aspects covered in this assessment but maintains a frequency of

discharges to the receiving environment which places in question its

quality and sustainability.

Thus, and pursuant to Regulatory Decree 23/95, article 115, the

public wastewater drainage systems are essentially composed of

networks of sewers, treatment facilities and final discharge devices.

Article 118 of this Decree establishes that the design of public

wastewater drainage systems should involve the prior and careful

analysis of the final destination given to the effluents, both from the

point of view of protection of natural resources and of public health

and the overall economics of the work.

Directive of Directive 91/271/EEC (Directive relative to the treatment

of urban wastewater) consists of the protection of surface water from

the harmful effects of discharges of urban wastewater, which is

included in the much wider objective of protection of the environment.

Article 3 of this Directive establishes that urban drainage systems

should meet the conditions stipulated in subparagraph A) of Annex I

of the diploma, i.e.:

■ Drainage systems should take into account the requirements of

urban wastewater management. The design, construction and

maintenance of drainage systems should comply with the best

technical expertise that does not entail excessive costs, namely

regarding: the volume and characteristics of urban wastewater;

the prevention of leaks; the limitation of the pollution of the

receiving water, in the case of floods caused by storms.

■ Member States should take decisions relative to measures aimed

at limiting the pollution derived from discharges caused by

storms, taking into account that in practice it is not possible to

build drainage systems and treatment plants capable of treating

all the wastewater such as, for example, in situations of

occurrence of exceptional torrential rains. These measures could

be based on dilution rates in relation to the dry season water flow,

or specify a particular permissible number of discharges per year.

Article 10 stipulates that Member States should assure that the urban

wastewater treatment plants to be installed in order to comply with

the requirements established in article 4, 5, 6 and 7 should be

designed, constructed, operated and maintained so as to


guarantee sufficiently effective operation under all normal local

climatic conditions. The design of treatment plants should take into

consideration seasonal load variations.

Directive 2000/60/EC of the European Parliament and Council

(Water Framework Directive), states in number 1 of Article 10 that

the Member States shall assure that all the discharges referred to in

number 2 for surface water shall be controlled pursuant to the

combined approach established in the same article. Number 2 of

Article 10 stipulates that Member States shall assure the

establishment and/or execution of: a) Controls of emissions based

on the best techniques available; or b) Pertinent emission threshold

values; or c) In the case of diffuse impacts, controls which include,

whenever necessary, the best environmental practices, established:

in Council Directive 96/61/EC, of 24 September 1996, relative to the

integrated prevention and control of pollution, in Council Directive

91/271/EEC, of 21 May 1991, relative to urban wastewater treatment,

in Council Directive 91/676/EEC, of 12 December 1991, relative to

the protection of water against pollution caused by nitrates of

agricultural origin, in the directives endorsed under the terms of

article 16 of the present directive, at the very latest 12 years after the

date of enforcement of the present directive, unless indicated

otherwise in the legislation in question.

The control in systems of urban drainage of discharge of excess

rainfall has shown very divergent developments in the different

Member States. While the discharges of treatment plants are

licensed in all Member States, this is not the case of discharges of

excess rainfall, with the existence of situations where licensing is not

yet required. This control is generally carried out through the

limitation of the frequency of discharges.

In the United Kingdom, the concern relative to this issue has led to

developments since around 20 years ago. A methodology was

developed (Urban Pollution Management ) to assess the impact of

this type of discharge, which might be adopted by other Member

States (FWR, 1994). This methodology has been followed in the

United Kingdom and has demonstrated the importance of its use in

the implementation of the European directives.

According to what is recommended in this methodology, regarding

discharges in water used for different purposes, the frequencies

proposed to assess the proposed indicator are as follows:

■ Less than or equal to 30 discharges/year, if the receiving

environment is not sensitive;


■ Project rules in other cases:

– Less than or equal to 10 discharges/year, if the receiving

environment is not sensitive but may be used for recreational

purposes or crosses over public recreational zones (maximum

project value used in Holland);

– Less than or equal to 6 discharges/year, if the receiving

environment is sensitive (project value used in the United

Kingdom);

– Less than or equal to 3 per bathing season, if the receiving

environment may be used for bathing activities.

REFERENCES

FWR (1994). Urban Pollution Management Manual: A Planning Guide for the

Management of Urban Wastewater Discharges During Wet Weather. FR/CL 0002,

Foundation for Water Research, Marlow, United Kingdom, ISBN 0-9521712-1-X.

Zabel, T., Milne, I., Mckay, G. (2001). Approaches adopted by the European Union

and Selected Member States for the control of Urban Pollution. Urban Water 3

(2001), pp. 25-32.

243 ANNEX A8. CALCULATION OF THE UNCERTAINTY OF INDICATORS

ANNEX A8. CALCULATION OF THE UNCERTAINTY OF INDICATORS

This annex presents a summary of how ERSAR shall calculate the

uncertainty of the service quality indicators from the uncertainty of

the data provided by the operators. Section 5.3 introduced the notion

of data reliability and accuracy, stipulating that for each data provided

to ERSAR the corresponding accuracy interval should be indicated,

based on the following classification:

Table A2

Accuracy intervals of the data

Accuracy interval of the data Error associated to the data provided

0 - 5% Better than or equal to ± 5%

5 - 20% Worse than ± 5%, but better than or

equal to ± 20%


equal to ± 50%


equal to ± 100%

100 - 300% Worse than ± 100%, but better than

or equal to ± 300%

> 300 % Worse than ± 300%

It was mentioned that the accuracy is the approximation between the

result of the measurement and the conventionally true value of the

measured size, representing the relative error (expressing the ratio

between the absolute error and the variable as a percentage).

The calculation of the service quality indicators derive from simple

algebraic operations (additions, subtractions, multiplication and

divisions) between this data. The uncertainty of the data is

propagated to the indicators, in a distinctive manner according to the

operations in question. The form of propagation of uncertainty for

each of the aforesaid operations is presented below, followed by a

general expression to be used in more complex functions, where

these are simple cases of application.


Case of addition

In addition, the absolute error of the result is equal to the geometric

sum of the absolute errors of the parts.

This is illustrated with the addition:

C = A+B

Thus, considering the uncertainties of A and B, and where ΔA and

ΔB are the respective absolute errors, we should apply:

C± ∆C = A ± ∆A + B± ∆B That is,

± ∆C = ± ∆A ± ∆B

In the most pessimistic case,

| ∆C | = | ∆A | + | ∆B |

This expression correspond to the calculation of an upper bound of |

∆C |, and was used for a long time. However, nowadays the random

nature of errors is taken into account. Since errors are random

variables, the probability of all the errors of all the parts

simultaneously being the maximums considered is very small.

Assuming the simplifying hypothesis that the errors are distributed

statistically in accordance with a normal law, it is demonstrated that

the most correct way to estimate the value of ∆C (with the same

degree of confidence of ∆A and ∆B) is through the geometric sum of

the parts, in other words:

Using a similar rationale for the cases of the remaining algebraic

operations, the results presented below are obtained.

Case of subtraction

In subtraction, the absolute error of the result is also equal to the

geometric sum of the absolute errors of the parts. If:

C = A-B

Then:

Two important properties are noted derived from the fact that the

absolute errors are the same in addition and in subtraction. If A and

B are positive:

245 ANNEX A8. CALCULATION OF THE UNCERTAINTY OF INDICATORS

■ The uncertainty of the result (given by the ratio between the absolute error of

C and C) is lower in the case of additions than in the case of subtractions;

■ In making additions, the uncertainty propagates in a decreasing

direction compared to the uncertainty of the parts;

■ In making subtractions, the uncertainty propagates in an

increasing direction compared to the uncertainty of the parts.

Case of multiplication

In multiplication, the relative error (ε) of the result is equal to the geometric sum of the relative errors of the factors. If:

C = A * B

Then: Case of division

In division, the relative error (ε) of the result is also equal to

the geometric sum of the relative errors of the factors. If:

C = A / B

Then:

We find that the uncertainty is propagated in the same way in

multiplication and division, increasing in both cases.

General expression of propagation of uncertainty

Provided that it is possible to assume the hypothesis of the normal

distribution of errors, the general expression for calculation of

propagation of errors for a function f(w, x, y, ...) is:

That is:

■ For each data:

– The partial derivative of the function relative to this data is calculated;

– This is multiplied by the respective absolute error.

■ The geometric sum of the parts relative to each one of the data

is performed to obtain the absolute error of the result.

Water and waste service quality assessment guide

-


ERSAR is responsible for promoting the assessment of the quality service

levels of all water and waste service operators in Mainland Portugal. ERSAR

should also collect and disclose this information, and prepare and publicise

comparative summaries.

This “Water and waste service quality assessment guide – 2nd generation of

the assessment system” follows the application of a 1st generation of the

assessment system from 2004 up to the present, which was focused on

operators operating under concession arrangements.

Six years after the implementation of the 1st generation, it was decided to make

some improvements and to correct certain aspects in order to deliver greater

functionality and provide it with greater technical accuracy, simultaneously

increasing its applicability to all operators, without changing its contents and

meaning. While the 1st generation was based on 20 quality indicators for each

of the water supply, urban wastewater management and municipal waste

management services, the 2nd generation is based on only 16 indicators for

each of the three services and is applicable from 2012 onwards to all water

and waste service operators in Mainland Portugal.

This system intends to contribute to better protection of the interests of users,

to better safeguard the economic feasibility of operators and their legitimate

interests, and to defend the environmental aspects associated to their activity.

Rua Tomás da Fonseca, Torre G, 8.º andar

1600-209 LISBOA

[email protected] – www.ersar.pt

mailto:[email protected]

http://www.ersar.pt/

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