A Strategic Approach For Water Safety Plans Implementation in Portugal
A Strategic Approach For Water Safety Plans Implementation in Portugal
1 9 2011
ABSTRACT
Effective risk assessment and risk management approaches in public drinking water systems can Jose M. P. Vieira
Department of Civil Engineering,
benefit from a systematic process for hazards identification and effective management control University of Minho,
4710-057 Braga,
based on the Water Safety Plan (WSP) concept. Good results from WSP development and Portugal
Tel.: þ 351 253604722
implementation in a small number of Portuguese water utilities have shown that a more Fax: þ 351 253604721
ambitious nationwide strategic approach to disseminate this methodology is needed. However, E-mail: jvieira@civil.uminho.pt
the establishment of strategic frameworks for systematic and organic scaling-up of WSP
implementation at a national level requires major constraints to be overcome: lack of legislation
and policies and the need for appropriate monitoring tools. This study presents a framework to
inform future policy making by understanding the key constraints and needs related to
institutional, organizational and research issues for WSP development and implementation in
Portugal. This methodological contribution for WSP implementation can be replicated at a global
scale. National health authorities and the Regulator may promote changes in legislation and
policies. Independent global monitoring and benchmarking are adequate tools for measuring the
progress over time and for comparing the performance of water utilities. Water utilities self-
assessment must include performance improvement, operational monitoring and verification.
Research and education and resources dissemination ensure knowledge acquisition and transfer.
Key words 9 drinking water quality, risk management, strategic planning, Water Safety Plan
INTRODUCTION
Based on estimates for 2006 (WHO/UNICEF 2008), 87% of tank/drum, tanker truck and surface water) is below one
the world’s population uses drinking water from improved billion (currently 884 million). This means that real progress
sources: 54% with piped household water connection located is being made worldwide in regards to meeting the Millen-
inside the user’s dwelling, plot or yard; and 33% using other nium Development Goals drinking water target (MDG 2000).
improved drinking water sources (public taps or standpipes, Current trends suggest that more than 90% of the global
tube wells or boreholes, protected dug wells, protected springs population will use improved drinking water sources by 2015.
and rainwater collection). This translates into 5.7 billion With this increase in the proportion of the global popula-
people worldwide who are now using drinking water from tion having access to drinking water via piped supplies,
an improved source, an increase of 1.6 billion since 1990. additional challenges in risk assessment and risk manage-
About 3.6 billion people use a piped connection that provides ment methodologies for water quality control will arise. Many
running water in or near their homes. Table 1 shows the of these water supply systems regularly or sporadically do not
global distribution of improved drinking water sources cover- meet the required drinking water standards (quality, quantity,
age. The population using unimproved drinking water sources pressure, continuity of supply), consequently supplying unsafe
(unprotected dug well, unprotected spring, cart with small drinking water.
doi: 10.2166/wh.2010.150
Table 1 9 Improved drinking water sources coverage in 2006 and percentage-point change 1990–2006 (adapted from WHO/UNICEF 2008)
1990 2006
MGD region Piped water Other improved Total improved Piped water Other improved Total improved D
Commonwealth of Independent 71 22 93 73 21 94 þ1
States
Latin America & Caribbean 67 17 84 80 12 92 þ8
Northern Africa 58 30 88 78 14 92 þ4
Western Asia 69 17 86 80 10 90 þ4
Eastern Asia 51 17 68 73 15 88 þ 20
Southern Asia 20 54 74 22 65 87 þ 13
South-eastern Asia 16 57 73 32 54 86 þ 13
Sub-Saharan Africa 16 33 49 16 42 58 þ9
Oceania* 50 1
Developing regions 36 35 71 46 38 84 þ 13
Developed regions 91 7 98 93 6 99 þ1
World 48 29 77 54 33 87 þ 10
*Information not included due to lack of complete data.
Providing good and safe drinking water is of paramount small fraction of the total volume of water produced and
importance for public health protection, and must be the delivered is subject to microbiological and chemical analysis.
primary objective of public water supply systems. In the late Recognizing these limitations, there is a strong tendency
nineteenth century, many countries in Europe and America to move away from management based on end-product
started with new approaches of drinking water quality con- testing alone towards a risk assessment and risk management
trol, especially in highly populated urban public systems, approach for drinking water quality control. Following this
relying mainly on disinfection by chlorine for pathogen objective, the World Health Organization Guidelines for
microorganisms inactivation. The quality of drinking water Drinking-Water Quality (WHO 2004) propose the new con-
produced and distributed is being monitored by so-called end- cept of Water Safety Plan (WSP) for hazards identification
product testing, which consists of spot-sampling of the water and effective management procedures for their control, com-
on a weekly, monthly or yearly basis, where the frequency prising all steps in water protection, from catchments to
depends on the amount of water produced. consumer’s tap (Bartram et al. 2001). In addition to this
Several shortcomings and limitations of the end-product operational quality control, a final verification by indepen-
testing methodology have been identified: (i) results of spot dent audits is required. Based on the same concept, the
sampling become available once the water has already been International Water Association launched a corresponding
delivered and often already been consumed; (ii) there is a framework, the ‘Bonn Charter for Safe Drinking Water’,
multitude of waterborne pathogens that cannot be detected or which has the goal of ensuring ‘good safe drinking water
they can be detected insecurely with the classical indicators that has the trust of the consumers’ (IWA 2004). This frame-
(E. coli, coliforms, Clostridium perfringens), particularly work provides water suppliers and public health and regula-
viruses and protozoa; (iii) the water quality between two tory authorities with the institutional, managerial and
sampling exercises can deteriorate considerably but might operational mechanisms for the effective provision of safe
go unnoticed for a long time; especially where in small drinking water.
supplies the sampling frequency is low due to manpower The concept of WSP is broadly and relatively well under-
constraints; (iv) end-product testing can hardly be considered stood as a powerful risk assessment and risk management
a sound method for representative water quality status: a very tool for drinking water quality control (NHMRC 2004;
Monitoring and controlling the water quality of these small subsystems (abstraction, treatment and storage) leading to
systems is a major issue throughout Europe and WSP imple- two different organizational schemes: multi-municipal sys-
mentation can be seen as a promising way forward for the tems (managed by AdP subsidiaries public companies, with
whole drinking water production and distribution process as capital shared by the state and municipalities) and integrated
well as for reducing the risk to public health. Today, 92% of municipal systems (which are solely the responsibility of the
the Portuguese population uses piped drinking water supplied municipalities). To date, 183 municipalities (7.2 million inha-
from public systems. Small water supplies constitute the large bitants) have formed multi-municipal systems, and 95 muni-
majority of these systems (93%) although they represent only cipalities (2.7 million inhabitants) have formed integrated
19% of the total population served (Figure 1). municipal systems. Distribution systems are the direct respon-
Drinking water supply is the constitutional responsibility sibility of the local municipality. The institutional models
of the 278 Portuguese municipalities. Pluri-municipal inte- applied for infrastructural asset management are: (i) 251
grated solutions have been established to deal with specific municipal authorities, as a separate entity, an internal techni-
cal services department, or municipally owned companies
(7.7 million inhabitants); 27 municipalities with concession
Water supply systems (n°) Population supplied (10 inh.) management contracts, public or private companies (2.0 mil-
4.000 4,0
lion inhabitants). The environmental institutions, River Basin
3.000 3,0
District Authorities (ARH-Administrac¸ão de Região Hidrográ-
fica), have the responsibility for raw water sources quality
2.000 2,0 monitoring. Drinking water quality surveillance is committed
to ERSAR, which has in practice a national performance
1.000 1,0
indicator system for drinking water supply utilities.
0 0,0
Setting a national framework for WSP
00
0
0
0
0
0
00
00
00
00
50
.0
0.
0.
00
5.
0.
0–
implementation
–5
–2
1–
10
–1
01
01
50
01
≥
.0
0
.0
5.
20
50
comprehensive national framework must have the active constraints related to that specific country national drinking
contribution of policy makers, health and environmental water supply situation.
authorities and water stakeholders. Figure 2 presents a sche-
matic outline of this proposed framework based on three Procedures at water utility level
major components: institutional settings, practical implemen-
tation and supporting mechanisms. At first, the WSP concept must be adopted and implemented
Institutional settings. Public health protection must be by water utilities. This process implies their commitment to
emphasized as the focus for such a framework. Institutions, follow the WSP step-by-step standard procedure in drinking
namely health authorities and the national regulator, may water supply system surveillance in order to meet the health-
promote the changes needed in legislation and regulation based targets: (i) system assessment, which involves assessing
giving support for WSP scaling-up. the capability of the drinking-water supply chain (from water
Practical implementation. Success in practical implemen- source to the point of consumption) to deliver water of a
tation of the framework depends on a sound understanding of quality that meets the identified targets and assessing design
national barriers and levers. For this purpose, it is essential criteria for new systems; (ii) operational monitoring, which
that the following issues are considered: (i) at national level – includes the identification of control measures that will
problem definition, needs and methodology; and (ii) at water collectively control identified risks and ensure that health-
utility level – setting up the system, operational monitoring based targets are met; and (iii) management plans, which
and self-assessment. describe actions to be taken during normal operation or
Supporting mechanisms. The proposed methodological extreme and incident conditions, and document system
approach is supported by research and education pro- assessment (including upgrade and improvement), monitor-
grammes as well as a structured knowledge transfer policy. ing, communication plans and supporting programmes.
Monitoring of WSP implementation and benchmarking are Monitoring the WSP implementation process at water
adequate tools for the surveillance process, and must be done utility level includes self-assessment, improvements in utility
by independent auditing at both levels: national and water performance and the establishment of networks of expertise.
utility. Assessment of operational and verification results (hazards
and risks, control measures, operational monitoring, manage-
ment procedures) can assist water utilities in identifying
RESULTS AND DISCUSSION weaknesses, in providing good information on WSP ade-
quacy and in creating networks of expertise.
The framework proposed in this study provides a national Feedback from this monitoring process enables bench-
strategic approach for implementing WSP in Portugal. Repli- marking and monitoring at a national level and can provide
cation of this framework in other countries requires flexibility water utilities with the confidence that their WSP process is
to be adopted, taking into consideration the conditions and sound and appropriate.
WSP implementation strategy in a broader national scale Strong leadership by ERSAR is a condition of paramount
must consider the following main aspects: the problem defi- importance for the success of framework implementation.
nition, the inventory of needs and a pragmatic approach. Driving forces in a national perspective include a set of
Problem definition. The establishment of a successful initiatives in the fields of legislation, global monitoring and
nationwide WSP implementation needs a well-defined pro- global benchmarking. For this, an advisory committee com-
blem where most of limitations and difficulties must be under- posed by national experts and water stakeholder representa-
stood and anticipated: (i) lack of awareness of benefits of WSP tives is recommended.
that must be compensated by clear quantification and justifi- Legislation. Currently drinking water quality in Portugal
cation of progress in drinking water quality and continuous must comply with standards established by the European
improvement in utilities performance; (ii) limited knowledge Drinking Water Directive 98/83/EC (DWD) (EC 1998),
and capacities in the country due to deficits in established transposed to national legislation by Decree-Law 243/
education/training programmes and considering the limited 2001. Article 11 of DWD states that: ‘at least every 5
number of water utilities with practical experience; (iii) non- years, the European Commission shall review and adapt
compulsory legislation for supporting WSP although advocacy the annexes in the light of scientific and technical progress’.
has been made in the last years; (iv) limited financial resources The DWD revision process has already been initiated and
to adapt procedures and methodologies, especially in small one of the identified main lines for the revision includes:
water supplies. ‘adopting a Water Safety Plans approach as the way to go’.
Inventory of needs. A practical analysis of national ERSAR, acting as the competent national authority for
capacities and knowledge gaps in both processes and drinking water quality surveillance, should step forward in
organizations leads to an inventory of needs. The most demonstrating a proactive interest in WSP implementation,
important identified limitations and difficulties are related giving guidance on how to develop the concept and propos-
to: (i) WSP explicit in regulation and in drinking water ing practical methodologies within a wider national holistic
quality official policy commitment; (ii) availability of context. This means that stakeholders’ responsibilities
skilled research and training centres needed for knowledge through all the production/distribution chain of drinking
transfer in the areas of data collection and analysis, risk water systems, from the catchment to the consumer’s tap,
assessment, control and emergency procedures; (iii) simple must be clarified: environmental authorities (ARH) imple-
and flexible practical tools for wide dissemination of the menting Water Framework Directive policy measures for
WSP concept and implementation; (iv) WSP independent natural waters management (EC 2000); water suppliers and
auditing, by means of objective mechanisms to facilitate plumbers applying risk management methodologies in water
continuous improvement and to assess progress in WSP abstraction, treatment, storage, distribution and pipe networks
implementation. in buildings.
Pragmatic approach. Good results can be obtained if a Global monitoring. A working plan to assess the progress
comprehensive methodological process is adopted for the in WSP development and implementation and global drink-
global framework implementation. Well-established manage- ing water quality monitoring must be established. This plan
ment tools can be used for developing a series of documents: will act as a mechanism to facilitate the measurement of
(i) knowledge acquisition of lessons learned from both progress over time, giving an overall picture at a national
national experiences and international case studies; (ii) stra- scale. An on-line web-based platform will keep stakeholders
tegic plan on how to define objectives, measures and deliver- informed about achievements and difficulties.
ables; (iii) operational plan of work detailing priorities and Global benchmarking. The use of specific tools for water
milestones; (iv) public authorities commitment, including key utilities self-assessment and for overall WSP implementation
government agencies, expressing support for the WSP process, e.g. performance indicators, are seen as adequate
approach. and powerful means that will support all water suppliers in
national level
problem definition, needs and methodology
supporting activities
Phase 1
Institutional settings Practical implementation Supporting mechanisms
Regulatory initiatives: WSP preparation and Development of tools for:
– Setting a strategic implementation: – Self-assessment
national framework – Pilot projects – Monitoring
– Benchmarking
– Auditing
Research and education:
– Training workshops
– National forum
Phase 2
Institutional settings Practical implementation Supporting mechanisms
Regulatory initiatives: WSP preparation and Research and education:
– Monitoring the strategic implementation: – WSP Portal
national framework – WSP implementation – National database
at the national level
Phase 3
Institutional settings Practical implementation Supporting mechanisms
Promoting needed changes WSP preparation and Global benchmarking and
in legislation: implementation: monitoring:
– Inclusion of WSP issues in – WSP implementation – Assess WSP progress
the legislative revision process at the national level – Assess global drinking water
quality
– Independent auditing
agenda tailored to the needs of water utilities; (ii) integration Operational programme
of WSP concept and implementation into academic curri-
cula; and (iii) WSP training workshops. Challenges of WSP implementation on a nationwide scale
Resources dissemination. Exemplifying with successes recommend that core components of the strategic plan
and failures is a very effective pedagogical support for wide should be prioritized, taking into consideration a variety of
dissemination of concepts and practices. WSP implementa- institutional, technical and economic circumstances. An
tion can greatly benefit from the following activities: overall 6–7-year period is considered to be the necessary
(i) construction of a structured database collecting national time to set up this target even though due to obvious external
and international case studies; (ii) development and/or constraints the rate of progress is hard to anticipate. There-
enhancement of existing tools for practical application; fore, key stakeholders must be included from the very begin-
(iii) organization of a national forum for a periodical (yearly) ning of the process in order to guarantee a smooth
state-of-the-art presentation and conceptual brainstorming; applicability. Figure 4 provides an overview of a three-phased
(iv) establishment of a web-based platform (in English and process for an operational programme. Initial tasks to be
Portuguese languages) where updated tools and case studies worked out in Phase 1 include: (i) the establishment of the
are made available. strategic national framework; (ii) launching WSP pilot pro-
jects prior to scaling-up at a national level; and (iii) the
Global framework development of tools for self-assessment, monitoring, bench-
marking and auditing, as well as the organization of events for
The main issues of the strategic approach for WSP imple- WSP knowledge dissemination (a national forum and training
mentation in Portugal have been described in the preceding courses). Phase 2 implies the follow-up of initiated activities
paragraphs. A diagrammatic modular scheme representation with special focus on monitoring WSP implementation at the
for the global framework is depicted in Figure 3. national level. In Phase 3, global achievements supported by
quantitative assessment can be extrapolated into the legisla- Bartram, J., Corrales, L., Davison, A., Deere, D., Drury, D., Gordon, B.,
Howard, G., Reinehold, A. & Stevens, M. 2009 Water Safety Plan
tive revision process promoting WSP implementation.
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CONCLUSIONS
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European Communities 330, 32–54.
for appropriate monitoring tools are seen as major issues of EC 2000 Directive 2000/60/EC of the Parliament and of the Council.
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MDG 2000 Millennium Development Goals. UN Millennium Declara-
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