PosterWater is considered one of the most important natural resources and according to its scarcity and cost, it necessary to implement a sustainable management of its use. One of the reasons for
the unsustainable management of the sector in Portugal is the failure of the national Strategic Plan 2006-2013. It is no surprise that, either in relation to coverage ratios, or with respect to the quality
of the water supplied, Portugal is meeting the goals set out by the government. The of sustainability of the sector is another one, it’s related to the way the sector is organized and managed.
Regarding the reorganization of the sector with a concentration of operators (ending micro operators without technical and financial dimension), the vertical systems (from catchment to home
delivery), the desired concentration ranges (in water supply and wastewater treatment), the use of partnerships between the State and the municipalities and a uniform tariff, nothing has been done
and none of these aspects of the government objectives have been implemented.
It is therefore necessary to create or strengthen the institutions that promote the protection of water resources. Among these institutions the Regulatory Authority and Waste Water Services (ERSAR)
plays a central role, with a wide range of functions from defending the quality of the water services, its fair distribution, the sustainability of water resources, the respect of legal mechanisms, the
training and information of and on the sector, to the financial and taxes instruments.
As Gerlach and Franceys (2010:1229) refer: "the new regulators face the tremendous challenge of stimulating and supporting water service providers to improve their poor performance record,
which affects the disproportionately lower income population" and "[...] regulators are required to balance politically potentially sensitive and conflicting efficiency and welfare objectives."
The objective of this study is to deepen the knowledge of the framework and role of ERSAR powers, allowing make sustainable management of water supply systems in Portugal, after the high
investments made in the sector in the last 20 years.
These results will be obtained based on bibliographic research, application of a survey to different entities with competences in water services in European Union (Benchmarking) and application of
a Interview to key actors (municipalities) in Setúbal District, in Portugal.info:eu-repo/semantics/publishedVersio

Almeida, Octávio

Jacquinet, Marc

Martinho, Ana Paula

English

The Repositório Aberto

INTRODUCTION
The role of the Regulator to promote the Sustainability 
of Water Supply in Portugal
Almeida, O.*, Jacquinet, M.**, Martinho, A.P ***
*PhD Student in Social Sustainability and Development, Adviser of the Board of Águas de Portugal (octavioalmeida@yahoo.com) or (o.almeida@adp.pt); 
** PhD in Economics, Assistant Professor at Universidade Aberta (Open University – Lisbon) (marc.jacquinet@uab.pt); 
*** PhD in Environment, Assistant Professor at Universidade Aberta (Open University - Lisbon) (aptm@uab.pt). 
Water is considered one of the most important natural resources and according to its scarcity and cost, it necessary to implement a sustainable management of its use. One of the reasons for
the unsustainable management of the sector in Portugal is the failure of the national Strategic Plan 2006-2013. It is no surprise that, either in relation to coverage ratios, or with respect to the quality
of the water supplied, Portugal is meeting the goals set out by the government. The of sustainability of the sector is another one, it’s related to the way the sector is organized and managed.
Regarding the reorganization of the sector with a concentration of operators (ending micro operators without technical and financial dimension), the vertical systems (from catchment to home
delivery), the desired concentration ranges (in water supply and wastewater treatment), the use of partnerships between the State and the municipalities and a uniform tariff, nothing has been done
and none of these aspects of the government objectives have been implemented.
It is therefore necessary to create or strengthen the institutions that promote the protection of water resources. Among these institutions the Regulatory Authority and Waste Water Services (ERSAR)
plays a central role, with a wide range of functions from defending the quality of the water services, its fair distribution, the sustainability of water resources, the respect of legal mechanisms, the
training and information of and on the sector, to the financial and taxes instruments.
As Gerlach and Franceys (2010:1229) refer: "the new regulators face the tremendous challenge of stimulating and supporting water service providers to improve their poor performance record,
which affects the disproportionately lower income population" and "[...] regulators are required to balance politically potentially sensitive and conflicting efficiency and welfare objectives."
The objective of this study is to deepen the knowledge of the framework and role of ERSAR powers, allowing make sustainable management of water supply systems in Portugal, after the high
investments made in the sector in the last 20 years.
These results will be obtained based on bibliographic research, application of a survey to different entities with competences in water services in European Union (Benchmarking) and application of
a Interview to key actors (municipalities) in Setúbal District, in Portugal.
METHODS RESULTS
inspiring change
REFERENCES
Bardin, L. (2013) “Análise de Conteúdo” Lisboa, Edições 70, Lda. 5ª Edição. ISN: 978-972-44-1506-2
Bryman, A. (2012) “Social Research Methods”, Oxford University Press, 4th edition. ISBN 978-0-19-958805-3, pp 19-42 e 45-78. 
ERSAR (2007, 2008, 2011) “Textos sobre Regulação” (Texts on Regulation). Volumes 1, 2 e 3.
Gerlach, E. e Franceys, R. (2010). “Regulation Water Services for All in Development Economies”. World Development Vol.39, pp 1229-1240.
Halbrook et al (2007) Response Order Effects in Dichotomous Categorical Questions Presented Orally: The Impact of Question and Respondent Attributes, Public Opinion Quarterly, Vol. 71, No. 3, Fall 2007, pp. 1–25
MAOTDR, (2007) “PEAASAR II – Plano Estratégico de Abastecimento de Água e de Saneamento de Águas Residuais – 2007-2013” (Strategic Plan for Water Supply and Sanitation). Edição MAOTDR, 1ª Edição. ISBN 978-989-8097-00-2.
Marques, R. (2011) “A regulação dos serviços de abastecimento de água e de saneamento de águas residuais – uma perspetiva internacional” Edição do IST e da ERSAR. Série Estudos Técnicos nº 1. Lisboa. ISBN: 978-989-8360-07-6.
UE, (2000) Diretiva 2000/60/CE do Parlamento Europeu e do Conselho (EU Policy Framework for Water) de 23 de Outubro de 2000 (conhecida como Diretiva Quadro da Água – DQA) – JOCE L 327/1 de 22.12.2000. 
UE, (2010). Documento sobre a Diretiva-Quadro da Água de novembro de 2010 (Analysis about EU Policy Framework for Water). 
Available in http://ec.europa.eu/environment/pubs/pdf/factsheets/wfd/pt.pdf, accessed 13.07.2013.  
CONCLUSIONS
www.iwahq.org
The present research analyzes the role of the ERSAR since its
recent foundation (Marques 2011) with a special focus on its
regulatory dimension studying and comparing legal documents
with other European regulators in terms of constitution,
mandates, obligations and power.
This study analyzes the powers of ERSAR, since its inception,
which is recent, especially with the refers to Marques, R. (2011)
and regulation’s texts, authored by ERSAR, and then compares
the methods of constitution, mandates and framework of duties
and powers of other European regulators, a practice already
common of Benchmarking.
The authors also conducted 11 interviews to municipalities and
special key actors involved in water supply in Portugal, collecting
opinions on skills that could or should belong to ERSAR to better
intervene in the sector and to give an even greater contribution to
its sustainability.
Date of 
Interview
Municipality
Type of Management 
Entity
Inhabitants        
(2011 Census)
Area (square 
Kilometers)
Gender
Position in the 
Management Entity
URL
18.03.2014 Alcácer do Sal City's Internal Service 13.046 1.479,94 Female City Concillor www.cm-alcacerdosal.pt
19.03.2014 Alcochete City's Internal Service 17.589 128,00 Male City Concillor www.cm-alcochete.pt
13.03.2014 Almada Municipal Services* 174030 70,20 Male
City Concillor and President 
of Municipal Services
www.m-almada.pt
11.03.2014 Barreiro City's Internal Service 78.764 36,39 Male Mayor www.cm-barreiro.pt
11.03.2014 Moita City's Internal Service 66.029 55,08 Male City Concillor www.cm-moita.pt
13.03.2014 Montijo Municipal Services* 51.222 348,09 Male
Mayor and President of 
Municipal Services
www.mun-montijo.pt
17.03.2014 Palmela City's Internal Service 62.805 462,87 Male Mayor www.cm-palmela.pt
17.03.2014 Santiago do Cacém City's Internal Service 29.749 1.059,77 Male Mayor www.cm-santiagocacem.pt
14.03.2014 Seixal City's Internal Service 184.269 94,00 Male City Concillor www.cm-seixal.pt
17.03.2014 Sesimbra City's Internal Service 49.500 195,01 Male Mayor www.cm-sesimbra.pt
11.03.2014 Setúbal
Concession to Private 
Company
121.185 170,57 Male Chaiman of the Company
www.mun-setubal.pt;  
www.aguasdosado.pt
Grandola City's Internal Service 14.826 825,94 www.cm-grandola.pt
Sines City's Internal Service 14.014 202,70 www.sines.pt
District Totals 877.028 5.128,56
Municipalities 
Entreviewed
848.188 4.099,92
% in Interviewed 
Municipalities
96,71% 79,94%
Characterization of Management Entities Interviewed
Municipal Services* - Management into the political Council responsability but with a service with legal, financial and tecnhical independance
For duties and powers of the regulator, with either binding decisions
or recommendations, the authors apply a survey with a convenience
sample directed to entities with competences in water services in
the European Union. The response rate is over 50% (23 answers
received out of 39 questionnaires sent, or 58,97%, and relative to
16 EU countries, or 59,26% of EU countries). A quantitative analysis
of the data has been made with several results.
The universe of data collection, particularly regarding Interviews,
refers to what Bryman (2012: 37) calls "focus groups”. Regarding
the methodology for the collection and processing of data it is used
qualitative content analysis, described by Bardin (2013). In the
Figure 3 we present the characterization of Management Entities in
the Setubal District.
The results of a part of our Survey are showing in the next 6 Figures.
Figure 3 - Existence of Regulatory Services for Water and 
Sanitation
Figure 4 – Activity Scope from the Regulator Figure 5 – The Regulator Form of Nomination
Figure 6 – Most Important Assignments Figure 7 – Form of the Regulator intervention on Tariffs Figure 8 – The Regulator Funding
Table 2 - Summary of Interviews with ME of the Setubal District
According the Interviews, the most important positions of the higher responsible for the Management Entities of
Setubal District are resumed in Table 2.
Table 2 - Summary of Interviews with ME of the Setubal District
In the survey we can consider the following conclusions:
 The existence of a Regulator is not yet a widespread situation within the European Union, in particular with the exclusive
dedication to water and sanitation services;
 Balance between the appointment of the Regulator by the government (Portuguese situation), or with mixed or alternative
forms of appointment;
 Particular importance given to the intervention in Water Quality, and then but far away, in Benchmarking, Water Safety
Plans, Consumer Complaints and Leaks;
 In tariffs, the dominant Regulator intervention is only at the recommendation level, unlike what happens in Portugal.
 Various forms of funding for the action of the Regulator, weighing slightly higher for funding through the Management
Entities, which is also the situation in Portugal.
In the interviews we can consider the following conclusions:
 The vast majority of Management Entities agree with the existence of a Regulator;
 All Management Entities agree that the Regulator must have the power of imposition on the subject of Water Quality and
in defending the Consumers Rights;
 All Management Entities interviewed believe that the other powers the Regulator should have are: teaching, training and
intervention recommendation, being totally opposed to the intervention of the Regulator in tariff area;
 All respondents are against extending the powers of the Regulator, considering it as an interference with the
independence of the Local Power or provisions at the contract level;
 All respondents with municipal powers, consider that recent changes in the context of Regulator assignments are being
held as a preparation for the privatization of the sector, they oppose clearly to this possibility.
Figure 1 – European Union  
Figure 2 – District of Setubal  


The role of the regulator to promote the sustainability of water supply in Portugal

Repositório Aberto da Universidade Aberta

INTRODUCTIONThe role of the Regulator to promote the Sustainability of Water Supply in PortugalAlmeida, O.*, Jacquinet, M.**, Martinho, A.P ****PhD Student in Social Sustainability and Development, Adviser of the Board of Águas de Portugal (octavioalmeida@yahoo.com) or (o.almeida@adp.pt); ** PhD in Economics, Assistant Professor at Universidade Aberta (Open University – Lisbon) (marc.jacquinet@uab.pt); *** PhD in Environment, Assistant Professor at Universidade Aberta (Open University - Lisbon) (aptm@uab.pt). Water is considered one of the most important natural resources and according to its scarcity and cost, it necessary to implement a sustainable management of its use. One of the reasons forthe unsustainable management of the sector in Portugal is the failure of the national Strategic Plan 2006-2013. It is no surprise that, either in relation to coverage ratios, or with respect to the qualityof the water supplied, Portugal is meeting the goals set out by the government. The of sustainability of the sector is another one, it’s related to the way the sector is organized and managed.Regarding the reorganization of the sector with a concentration of operators (ending micro operators without technical and financial dimension), the vertical systems (from catchment to homedelivery), the desired concentration ranges (in water supply and wastewater treatment), the use of partnerships between the State and the municipalities and a uniform tariff, nothing has been doneand none of these aspects of the government objectives have been implemented.It is therefore necessary to create or strengthen the institutions that promote the protection of water resources. Among these institutions the Regulatory Authority and Waste Water Services (ERSAR)plays a central role, with a wide range of functions from defending the quality of the water services, its fair distribution, the sustainability of water resources, the respect of legal mechanisms, thetraining and information of and on the sector, to the financial and taxes instruments.As Gerlach and Franceys (2010:1229) refer: "the new regulators face the tremendous challenge of stimulating and supporting water service providers to improve their poor performance record,which affects the disproportionately lower income population" and "[...] regulators are required to balance politically potentially sensitive and conflicting efficiency and welfare objectives."The objective of this study is to deepen the knowledge of the framework and role of ERSAR powers, allowing make sustainable management of water supply systems in Portugal, after the highinvestments made in the sector in the last 20 years.These results will be obtained based on bibliographic research, application of a survey to different entities with competences in water services in European Union (Benchmarking) and application ofa Interview to key actors (municipalities) in Setúbal District, in Portugal.METHODS RESULTSinspiring changeREFERENCESBardin, L. (2013) “Análise de Conteúdo” Lisboa, Edições 70, Lda. 5ª Edição. ISN: 978-972-44-1506-2Bryman, A. (2012) “Social Research Methods”, Oxford University Press, 4th edition. ISBN 978-0-19-958805-3, pp 19-42 e 45-78. ERSAR (2007, 2008, 2011) “Textos sobre Regulação” (Texts on Regulation). Volumes 1, 2 e 3.Gerlach, E. e Franceys, R. (2010). “Regulation Water Services for All in Development Economies”. World Development Vol.39, pp 1229-1240.Halbrook et al (2007) Response Order Effects in Dichotomous Categorical Questions Presented Orally: The Impact of Question and Respondent Attributes, Public Opinion Quarterly, Vol. 71, No. 3, Fall 2007, pp. 1–25MAOTDR, (2007) “PEAASAR II – Plano Estratégico de Abastecimento de Água e de Saneamento de Águas Residuais – 2007-2013” (Strategic Plan for Water Supply and Sanitation). Edição MAOTDR, 1ª Edição. ISBN 978-989-8097-00-2.Marques, R. (2011) “A regulação dos serviços de abastecimento de água e de saneamento de águas residuais – uma perspetiva internacional” Edição do IST e da ERSAR. Série Estudos Técnicos nº 1. Lisboa. ISBN: 978-989-8360-07-6.UE, (2000) Diretiva 2000/60/CE do Parlamento Europeu e do Conselho (EU Policy Framework for Water) de 23 de Outubro de 2000 (conhecida como Diretiva Quadro da Água – DQA) – JOCE L 327/1 de 22.12.2000. UE, (2010). Documento sobre a Diretiva-Quadro da Água de novembro de 2010 (Analysis about EU Policy Framework for Water). Available in http://ec.europa.eu/environment/pubs/pdf/factsheets/wfd/pt.pdf, accessed 13.07.2013.  CONCLUSIONSwww.iwahq.orgThe present research analyzes the role of the ERSAR since itsrecent foundation (Marques 2011) with a special focus on itsregulatory dimension studying and comparing legal documentswith other European regulators in terms of constitution,mandates, obligations and power.This study analyzes the powers of ERSAR, since its inception,which is recent, especially with the refers to Marques, R. (2011)and regulation’s texts, authored by ERSAR, and then comparesthe methods of constitution, mandates and framework of dutiesand powers of other European regulators, a practice alreadycommon of Benchmarking.The authors also conducted 11 interviews to municipalities andspecial key actors involved in water supply in Portugal, collectingopinions on skills that could or should belong to ERSAR to betterintervene in the sector and to give an even greater contribution toits sustainability.Date of InterviewMunicipalityType of Management EntityInhabitants        (2011 Census)Area (square Kilometers)GenderPosition in the Management EntityURL18.03.2014 Alcácer do Sal City's Internal Service 13.046 1.479,94 Female City Concillor www.cm-alcacerdosal.pt19.03.2014 Alcochete City's Internal Service 17.589 128,00 Male City Concillor www.cm-alcochete.pt13.03.2014 Almada Municipal Services* 174030 70,20 MaleCity Concillor and President of Municipal Serviceswww.m-almada.pt11.03.2014 Barreiro City's Internal Service 78.764 36,39 Male Mayor www.cm-barreiro.pt11.03.2014 Moita City's Internal Service 66.029 55,08 Male City Concillor www.cm-moita.pt13.03.2014 Montijo Municipal Services* 51.222 348,09 MaleMayor and President of Municipal Serviceswww.mun-montijo.pt17.03.2014 Palmela City's Internal Service 62.805 462,87 Male Mayor www.cm-palmela.pt17.03.2014 Santiago do Cacém City's Internal Service 29.749 1.059,77 Male Mayor www.cm-santiagocacem.pt14.03.2014 Seixal City's Internal Service 184.269 94,00 Male City Concillor www.cm-seixal.pt17.03.2014 Sesimbra City's Internal Service 49.500 195,01 Male Mayor www.cm-sesimbra.pt11.03.2014 SetúbalConcession to Private Company121.185 170,57 Male Chaiman of the Companywww.mun-setubal.pt;  www.aguasdosado.ptGrandola City's Internal Service 14.826 825,94 www.cm-grandola.ptSines City's Internal Service 14.014 202,70 www.sines.ptDistrict Totals 877.028 5.128,56Municipalities Entreviewed848.188 4.099,92% in Interviewed Municipalities96,71% 79,94%Characterization of Management Entities InterviewedMunicipal Services* - Management into the political Council responsability but with a service with legal, financial and tecnhical independanceFor duties and powers of the regulator, with either binding decisionsor recommendations, the authors apply a survey with a conveniencesample directed to entities with competences in water services inthe European Union. The response rate is over 50% (23 answersreceived out of 39 questionnaires sent, or 58,97%, and relative to16 EU countries, or 59,26% of EU countries). A quantitative analysisof the data has been made with several results.The universe of data collection, particularly regarding Interviews,refers to what Bryman (2012: 37) calls "focus groups”. Regardingthe methodology for the collection and processing of data it is usedqualitative content analysis, described by Bardin (2013). In theFigure 3 we present the characterization of Management Entities inthe Setubal District.The results of a part of our Survey are showing in the next 6 Figures.Figure 3 - Existence of Regulatory Services for Water and SanitationFigure 4 – Activity Scope from the Regulator Figure 5 – The Regulator Form of NominationFigure 6 – Most Important Assignments Figure 7 – Form of the Regulator intervention on Tariffs Figure 8 – The Regulator FundingTable 2 - Summary of Interviews with ME of the Setubal DistrictAccording the Interviews, the most important positions of the higher responsible for the Management Entities ofSetubal District are resumed in Table 2.Table 2 - Summary of Interviews with ME of the Setubal DistrictIn the survey we can consider the following conclusions: The existence of a Regulator is not yet a widespread situation within the European Union, in particular with the exclusivededication to water and sanitation services; Balance between the appointment of the Regulator by the government (Portuguese situation), or with mixed or alternativeforms of appointment; Particular importance given to the intervention in Water Quality, and then but far away, in Benchmarking, Water SafetyPlans, Consumer Complaints and Leaks; In tariffs, the dominant Regulator intervention is only at the recommendation level, unlike what happens in Portugal. Various forms of funding for the action of the Regulator, weighing slightly higher for funding through the ManagementEntities, which is also the situation in Portugal.In the interviews we can consider the following conclusions: The vast majority of Management Entities agree with the existence of a Regulator; All Management Entities agree that the Regulator must have the power of imposition on the subject of Water Quality andin defending the Consumers Rights; All Management Entities interviewed believe that the other powers the Regulator should have are: teaching, training andintervention recommendation, being totally opposed to the intervention of the Regulator in tariff area; All respondents are against extending the powers of the Regulator, considering it as an interference with theindependence of the Local Power or provisions at the contract level; All respondents with municipal powers, consider that recent changes in the context of Regulator assignments are beingheld as a preparation for the privatization of the sector, they oppose clearly to this possibility.Figure 1 – European Union  Figure 2 – District of Setubal  

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The role of the regulator to promote the sustainability of water supply in Portugal

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