ISO/FDIS 24540

Principles for effective and efficient corporate governance of water utilities

Principes pour une gouvernance efficace et efficiente des services publics de l’eau

General Information

• Status: Not Published
• ICS: 03.080.30 - Services for consumers
• ICS: 13.060.20 - Drinking water
• ICS: 13.060.30 - Sewage water
• Technical Committee: ISO/TC 224 - Drinking water, wastewater and stormwater systems and services
• Drafting Committee: ISO/TC 224/WG 14 - Effective corporate governance and service to users
• Current Stage: 5020 - FDIS ballot initiated: 2 months. Proof sent to secretariat
• Start Date: 27-Jan-2023
• Completion Date: 27-Jan-2023

Standards Content (Sample)

FINAL
INTERNATIONAL ISO/FDIS
DRAFT
STANDARD 24540
ISO/TC 224
Principles for effective and efficient
Secretariat: AFNOR
corporate governance of water
Voting begins on:
2023-01-27 utilities
Voting terminates on:
Principes pour une gouvernance d’entreprise efficace et efficiente des
2023-03-24
services publics de l’eau
RECIPIENTS OF THIS DRAFT ARE INVITED TO
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
DOCUMENTATION.
IN ADDITION TO THEIR EVALUATION AS
Reference number
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO-
ISO/FDIS 24540:2023(E)
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN-
DARDS TO WHICH REFERENCE MAY BE MADE IN
NATIONAL REGULATIONS. © ISO 2023
---------------------- Page: 1 ----------------------
ISO/FDIS 24540:2023(E)
FINAL
INTERNATIONAL ISO/FDIS
DRAFT
STANDARD 24540
ISO/TC 224
Principles for effective and efficient
Secretariat: AFNOR
corporate governance of water
Voting begins on:
utilities
Voting terminates on:
Principes pour une gouvernance d’entreprise efficace et efficiente des
services publics de l’eau
COPYRIGHT PROTECTED DOCUMENT
© ISO 2023

All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this publication may

be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on

the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below

or ISO’s member body in the country of the requester.
RECIPIENTS OF THIS DRAFT ARE INVITED TO
ISO copyright office
SUBMIT, WITH THEIR COMMENTS, NOTIFICATION
OF ANY RELEVANT PATENT RIGHTS OF WHICH
CP 401 • Ch. de Blandonnet 8
THEY ARE AWARE AND TO PROVIDE SUPPOR TING
CH-1214 Vernier, Geneva
DOCUMENTATION.
Phone: [phone]
IN ADDITION TO THEIR EVALUATION AS
Reference number
Email: [e-mail]
BEING ACCEPTABLE FOR INDUSTRIAL, TECHNO­
ISO/FDIS 24540:2023(E)
Website: www.iso.org
LOGICAL, COMMERCIAL AND USER PURPOSES,
DRAFT INTERNATIONAL STANDARDS MAY ON
Published in Switzerland
OCCASION HAVE TO BE CONSIDERED IN THE
LIGHT OF THEIR POTENTIAL TO BECOME STAN­
DARDS TO WHICH REFERENCE MAY BE MADE IN
© ISO 2023 – All rights reserved
NATIONAL REGULATIONS. © ISO 2023
---------------------- Page: 2 ----------------------
ISO/FDIS 24540:2023(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction .............................................................................................................................................................................................................................. vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ..................................................................................................................................................................................... 1

3 Terms and definitions .................................................................................................................................................................................... 1

4 Overview ....................................................................................................................................................................................................................... 3

5 Corporate governance for water utilities .................................................................................................................................. 4

6 Governance framework ................................................................................................................................................................................ 6

6.1 General ........................................................................................................................................................................................................... 6

6.2 Define the vision, mission and strategic objectives of corporate ............................................................. 6

6.3 Identify governance gaps .............................................................................................................................................................. 6

6.4 Establish decision­making process ...................................................................................................................................... 7

6.5 Mapping and definition of roles and responsibilities........................................................................................... 7

6.6 Stakeholder engagement for inclusive water utilities ......................................................................................... 7

6.7 Encourage the development of capacity building and sharing of information ............................. 8

6.8 Adoption of monitoring and evaluation ........................................................................................................................... 8

7 Influencing factors .............................................................................................................................................................................................8

7.1 General ........................................................................................................................................................................................................... 8

7.2 Legal aspects ............................................................................................................................................................................................ 8

7.2.1 General ........................................................................................................................................................................................ 8

7.2.2 Legislative framework .................................................................................................................................................. 9

7.2.3 Water policy ............................................................................................................................................................................ 9

7.3 Guidelines .................................................................................................................................................................................................... 9

7.4 Business model ....................................................................................................................................................................................... 9

7.5 Users ............................................................................................................................................................................................................. 11

7.6 Other stakeholders .......................................................................................................................................................................... 11

7.7 Overall system operation ........................................................................................................................................................... 12

8 Implementation ...................................................................... ............................................................................................................................12

8.1 Purpose of water services .........................................................................................................................................................12

8.2 Objectives of water services .................................................................................................................................................... 12

8.3 Viewpoint of system to ensure publicity ......... ............................................................................................................. 13

8.3.1 General .....................................................................................................................................................................................13

8.3.2 Reliable achievement of required level ......................................................................................................13

8.3.3 Implementation of corporate social responsibility ..........................................................................13

8.3.4 Enhancement of user service ............................................................................................................................... 13

8.3.5 Effective governance system and internal control system .......................................................13

8.3.6 Response in the event of a disaster................................................................................................................. 13

8.3.7 United Nations Sustainable Development Goals .................................................................................13

8.4 Organizational functions ........................................................................................................................................... ................. 14

8.4.1 General ..................................................................................................................................................................................... 14

8.4.2 Executive board, board of directors or municipal council committee ........................... 14

8.4.3 Management committee ........................................................................................................................................... 15

8.4.4 Auditing ...................................................................................................................................................................................15

8.5 Monitoring the implementation ........................................................................................................................................... 15

8.5.1 Overview ................................................................................................................................................................................ 15

8.5.2 Monitoring body .............................................................................................................................................................. 15

9 Monitoring or assessment of corporate governance ..................................................................................................16

9.1 General ........................................................................................................................................................................................................ 16

9.2 Assessing the corporate governance of water utilities ................................................................................... 16

9.2.1 General ..................................................................................................................................................................................... 16

9.2.2 Vision, mission and strategic objectives .................................................................................................... 16

iii
© ISO 2023 – All rights reserved
---------------------- Page: 3 ----------------------
ISO/FDIS 24540:2023(E)

9.2.3 Basic organizational decisions ........................................................................................................................... 16

9.2.4 Preparation of day-to-day activities .............................................................................................................. 17

9.2.5 Responsibilities matrix — Who does what ............................................................................................. 17

9.2.6 Stakeholder mapping and engagement ....................................................................................................... 17

9.2.7 Outcomes of corporate governance of water utilities .................................................................... 17

10 Recommendations of corporate governance ......................................................................................................................18

10.1 General ........................................................................................................................................................................................................ 18

10.2 Cooperation and relationship between key players ........................................................................................... 19

10.2.1 Ownership ............................................................................................................................................................................. 19

10.2.2 Responsible body ............................................................................................................................................................ 19

10.2.3 Operator of water utility .......................................................................................................................................... 20

10.3 Openness and transparency ....................................................................................................................................................20

10.3.1 General .....................................................................................................................................................................................20

10.3.2 Recommendation 6: openness and transparency .............................................................................. 20

10.4 Stakeholder engagement ............................................................................................................................................................ 21

10.4.1 General ..................................................................................................................................................................................... 21

10.4.2 Recommendation 7: Stakeholder engagement ...................................................................................... 21

10.5 Monitoring of operational improvement ...................................................................................................................... 21

10.5.1 General ..................................................................................................................................................................................... 21

10.5.2 Recommendation 8: Operations ........................................................................................................................ 21

Annex A (informative) Consensus-oriented decision-making process .......................................................................22

Annex B (informative) Stakeholder engagement ................................................................................................................................23

Annex C (informative) Specific performance indicator examples ....................................................................................24

Bibliography .............................................................................................................................................................................................................................27

© ISO 2023 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/FDIS 24540:2023(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non­governmental, in liaison with ISO, also take part in the work.

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

electrotechnical standardization.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the

different types of ISO documents should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www.iso.org/patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO’s adherence to

the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see

www.iso.org/iso/foreword.html.

This document was prepared by Technical Committee ISO/TC 224, Drinking water, wastewater and

stormwater systems and services.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www.iso.org/members.html.
© ISO 2023 – All rights reserved
---------------------- Page: 5 ----------------------
ISO/FDIS 24540:2023(E)
Introduction

Water is a global issue. Actions and subsequent decisions regarding water utilities are local issues. The

United Nations has set 17 Sustainable Development Goals (SDGs), many of which are water related.

Specifically, SDG 6 addresses water and sanitation and is intended to be applied at the local service

level. People are aware of climate change and its impact on water availability but also the changes in

weather, such as rain intensity or frequency, which can increase the risk of flooding events. The Paris

Agreement takes these risks into consideration at the international level, but the question still remains

on how they are considered at local level.

The water utilities sector is changing more rapidly than ever before and new solutions are being created

and conceived. It is of vital importance that appropriate corporate governance systems exist and are

implemented to support these changes and ensure that water services are provided which take into

account user and stakeholder needs and expectations in a sustainable way.

The information provided in this document improves decision­making processes and outlines roles

and responsibilities of responsible bodies and other relevant stakeholders in the governance of water

utilities.

The roles of relevant authorities, responsible bodies and water utilities can differ between and

within countries and result in different minimum requirements for the operations. Nevertheless, it is

recommended that such organizations recognize the importance of effective and efficient corporate

governance to allow for the water utility to operate properly.
[10]

The Organisation for Economic Co­operation and Development (OECD) Principles on Water Governance

are considered as a reference in this document. The OECD principles deal with overall “governance”, in

contrast to this document, which deals with corporate governance.

This document describes three levels of corporate governance mechanisms, as follows:

a) The first level of corporate governance relates to authorizations that are necessary for a water

utility to operate. Typically, authorizations required for the water utility to be able to operate

include:

1) drinking water services, e.g. abstraction of raw water, water protection areas, building and

operating facilities;

2) wastewater services, e.g. discharge of wastewater treatment plants, discharge of non­domestic

wastewater into the sewers, sludge disposal;
3) assets, e.g. building and operating facilities;

4) stormwater management services, i.e. collection and storage or treatment of stormwater prior

to release into the environment.
Authorizations can be taken at the national, regional or local level.

b) The second level of corporate governance considers the owner’s mission, including setting the

objectives of the service to be provided, the level of service, the setting or negotiation of water

prices, and the investment and asset management strategies.

c) The third level of corporate governance relates to the management of the water utility and the

implementation of decisions made by the owner within the relevant authorizations.

© ISO 2023 – All rights reserved
---------------------- Page: 6 ----------------------
FINAL DRAFT INTERNATIONAL STANDARD ISO/FDIS 24540:2023(E)
Principles for effective and efficient corporate governance
of water utilities
1 Scope

This document establishes the basis for a framework for water utilities to operate efficiently and

effectively considering stakeholder needs and expectations.

This document is applicable to all water utilities, regardless of ownership and management model

(public or private), size, service provided or location.

This document proposes principles for effective and efficient corporate governance of water utilities

with a focus on the roles and responsibilities of the responsible bodies and operators and on the

decision-making process involving the relevant stakeholders. It also includes key types of decisions to

be made.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO 24513, Service activities relating to drinking water supply, wastewater and stormwater systems —

Vocabulary
3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO 24513 and the following apply.

ISO and IEC maintain terminology databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at https:// www .electropedia .org/
3.1
corporate governance
system by which utilities are directed and controlled

Note 1 to entry: Corporate governance is organizational governance applied to corporations.

[5] [8]
Note 2 to entry: From Cadbury 1992 and OECD 1999 .

[SOURCE: ISO/IEC 38500:2015, 2.4, modified — “utilities” replaced “corporations”. Note 3 to entry

removed.]
3.2
governance

system of directing and controlling water utilities (3.3), corporate governance systems, responsible

bodies (3.4), relevant stakeholders, relevant authorities and responsible authorities

Note 1 to entry: This includes all of the processes of governing – whether undertaken by the government of a

state, by a market or by a network – over a social system (e.g. family, tribe, formal or informal organization, a

territory or across territories) and whether through the laws, norms, power or language of an organized society.

© ISO 2023 – All rights reserved
---------------------- Page: 7 ----------------------
ISO/FDIS 24540:2023(E)
3.3
water utility

whole set of organization, processes, activities, means and resources necessary for abstracting,

treating, distributing or supplying drinking water, for collecting, conveying, treating, disposing of or

reusing wastewater or for the control, collection, storage, transport and use or disposal of stormwater,

and for providing the associated services
Note 1 to entry: Some key features for a water utility are:

— its mission, to provide drinking water services or wastewater services or the control, collection, storage,

transport and use of stormwater services, or a combination thereof;
— its physical area of responsibility and the population within this area;
— its responsible body (3.4);

— the general organization with the function of operator (3.6) being carried out by the responsible body, or by

legally distinct operators;

— the type of physical systems used to provide the services, with various degrees of centralization.

Note 2 to entry: Drinking water utility addresses a utility dealing only with drinking water; wastewater utility

addresses a utility dealing only with wastewater; stormwater utility addresses a utility dealing only with

stormwater.

Note 3 to entry: When it is not necessary or it is difficult to make a distinction between responsible body and

operator, the term “water utility” covers both.

Note 4 to entry: In common English, “water service” can be used as a synonym for “water utility”, but this

document does not recommend using the term in this way.
[SOURCE: ISO 24513:2019, 3.3.1]
3.4
responsible body

body that has the overall legal responsibility for providing drinking water, wastewater or stormwater

services for a given geographic area

EXAMPLE A local or municipal government (e.g. for a village, town or city), a regional government or a

national or federal government through a specified agency, or private company.
Note 1 to entry: Responsible body is a category of stakeholder.

Note 2 to entry: The responsible body can be legally distinct, or not, from the operator(s) (3.6). The responsible

body can be public or private.

Note 3 to entry: The responsible body acts within a framework of law and governance (3.2) established by the

relevant authorities. It generally establishes the strategy, the specific policies (3.5) adapted to the characteristics

of its area of responsibility and the general organization of the relevant water utility (3.3).

Note 4 to entry: The responsible body can operate the water utility directly with its own means through an

internal operator (direct or internal management or “in house”) or entrust one or several operators for the

operations (outsourced or contracted management).
[SOURCE: ISO 24513:2019, 3.1.8.3]
3.5
policy

intentions and direction of an organization as formally expressed by its top management

© ISO 2023 – All rights reserved
---------------------- Page: 8 ----------------------
ISO/FDIS 24540:2023(E)
3.6
operator

person or organization performing day-to-day processes and activities necessary for the provision of

the service

EXAMPLE 1 Where responsible body (3.4) and operator are not legally distinct: a technical department in a

municipality, a specific division of a regional authority.

EXAMPLE 2 Of legally distinct entities: a public organization, a private corporate company, a small contractor,

an non­governmental organization (NGO), a cooperative.

Note 1 to entry: There can be one or several operators for a given water utility (3.3), for example distinct operators

for installations’ operation, billing and recovering service. Their missions are determined by the responsible

body. An operator can subcontract some of its operations to other contractors, if allowed by the responsible body.

Note 2 to entry: The operator(s) can be legally distinct, or not, from the responsible body. They can be public or

private.

Note 3 to entry: In the context of this document, an “operator” is not a person employed within an organization to

operate a piece of equipment or process.
[SOURCE: ISO 24513:2019, 3.1.8.2]
3.7
owner
person, group of persons or organization that owns the infrastructure or asset

Note 1 to entry: The owner can be the responsible body (3.4) or other stakeholders.

4 Overview

Water is the cornerstone of sustainable development, being a driver for economic growth, social welfare

and survival of the environment. However, we are currently facing a crisis of water security in many

regions of the world, understanding water security as the availability of an acceptable quantity and

quality of water for health, livelihoods, ecosystems and production, coupled with an acceptable level of

[6]
water­related risks to people, environments and economies.

The water sector is a complex one due to its intrinsic characteristics, such as being fundamental for

different sectors and development or having different stakeholders involved in its management.

Water utilities are the key actors for implementing the national water policies at the local level, thus

allowing the achievement of the human right to safe and affordable water and sanitation.

Current levels of water security are jeopardized by different pressures, such as scarcity, pollution,

unbalanced population growth, extreme weather events and climate change. Water utilities are facing

several challenges, including:

— ageing water infrastructure and a lack of investment in water assets to allow their maintenance and

renewal;

— water-related risks, such as extreme weather events (e.g. floods and droughts), water pollution and

appropriate levels of treatment or scarce ava
...

© ISO 2023 – All rights reserved
ISO/DISFDIS 24540:20222023(E)
2022-XX-XX
Date: 2023-01-12
ISO/TC 224/WG 14
Secretariat: AFNOR
Principles for effective and efficient corporate governance of
water utilities

Activités relatives aux services d'eau potable, d'assainissement et des eaux pluviales —Principes pour une

gouvernance d’entreprise efficace et efficiente des services publics d’eaude l’eau

---------------------- Page: 1 ----------------------
ISO/FDIS 24540:2023(E)
© ISO 2023

All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of

this publication may be reproduced or utilized otherwise in any form or by any means, electronic or

mechanical, including photocopying, or posting on the internet or an intranet, without prior written

permission. Permission can be requested from either ISO at the address below or ISO’s member body in the

country of the requester.
ISO Copyright Office
CP 401 • CH-1214 Vernier, Geneva
Phone: + 41 22 749 01 11
Email: [e-mail]
Website: www.iso.org
Published in Switzerland.
ii © ISO 2023 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/FDIS 24540:2023(E)
Contents

Foreword ................................................................................................................................................................. v

Introduction ..........................................................................................................................................................vi

1 Scope .......................................................................................................................................................... 1

2 Normative references .......................................................................................................................... 1

3 Terms and definitions .......................................................................................................................... 1

4 Overview ................................................................................................................................................... 3

5 Corporate governance for water utilities ..................................................................................... 5

6 Governance framework ....................................................................................................................... 6

6.1 General ...................................................................................................................................................... 6

6.2 Define the vision, mission and strategic objectives of corporate ........................................ 7

6.3 Identify governance gaps .................................................................................................................... 7

6.4 Establish decision-making process ................................................................................................. 7

6.5 Mapping and definition of roles and responsibilities .............................................................. 8

6.6 Stakeholder engagement for inclusive water utilities ............................................................. 8

6.7 Encourage the development of capacity building and sharing of information ............... 8

6.8 Adoption of monitoring and evaluation ........................................................................................ 9

7 Influencing factors ................................................................................................................................ 9

7.1 General ...................................................................................................................................................... 9

7.2 Legal aspects ............................................................................................................................................ 9

7.2.1 General ...................................................................................................................................................... 9

7.2.2 Legislative framework ......................................................................................................................... 9

7.2.3 Water policy ......................................................................................................................................... 10

7.3 Guidelines .............................................................................................................................................. 10

7.4 Business model .................................................................................................................................... 10

7.5 Users ........................................................................................................................................................ 12

7.6 Other stakeholders ............................................................................................................................ 12

7.7 Overall system operation ................................................................................................................ 13

8 Implementation ................................................................................................................................... 13

8.1 Purpose of water services ............................................................................................................... 13

8.2 Objectives of water services ........................................................................................................... 14

8.3 Viewpoint of system to ensure publicity .................................................................................... 14

8.3.1 General ................................................................................................................................................... 14

8.3.2 Reliable achievement of required level ...................................................................................... 14

8.3.3 Implementation of corporate social responsibility ............................................................... 14

8.3.4 Enhancement of user service ......................................................................................................... 14

8.3.5 Effective governance system and internal control system .................................................. 14

8.3.6 Response in the event of a disaster .............................................................................................. 15

8.3.7 United Nations Sustainable Development Goals ..................................................................... 15

8.4 Organizational functions ................................................................................................................. 15

8.4.1 General ................................................................................................................................................... 15

8.4.2 Executive board, board of directors or municipal council committee ............................ 16

8.4.3 Management committee ................................................................................................................... 16

8.4.4 Auditing .................................................................................................................................................. 17

8.5 Monitoring the implementation .................................................................................................... 17

8.5.1 Overview ................................................................................................................................................ 17

8.5.2 Monitoring body .................................................................................................................................. 17

© ISO 2023 – All rights reserved iii
---------------------- Page: 3 ----------------------
ISO/FDIS 24540:2023(E)

9 Monitoring or assessment of corporate governance .............................................................18

9.1 General ....................................................................................................................................................18

9.2 Assessing the corporate governance of water utilities .........................................................18

9.2.1 General ....................................................................................................................................................18

9.2.2 Vision, mission and strategic objectives .....................................................................................18

9.2.3 Basic organizational decisions .......................................................................................................18

9.2.4 Preparation of day-to-day activities .............................................................................................19

9.2.5 Responsibilities matrix — Who does what ................................................................................19

9.2.6 Stakeholder mapping and engagement ......................................................................................19

9.2.7 Outcomes of corporate governance of water utilities ...........................................................20

10 Recommendations of corporate governance ............................................................................20

10.1 General ....................................................................................................................................................20

10.2 Cooperation and relationship between key players ..............................................................22

10.2.1 Ownership ..............................................................................................................................................22

10.2.2 Responsible body ................................................................................................................................22

10.2.3 Operator of water utility ..................................................................................................................23

10.3 Openness and transparency ............................................................................................................23

10.3.1 General ....................................................................................................................................................23

10.3.2 Recommendation 6: openness and transparency ...................................................................24

10.4 Stakeholder engagement ..................................................................................................................24

10.4.1 General ....................................................................................................................................................24

10.4.2 Recommendation 7: Stakeholder engagement ........................................................................24

10.5 Monitoring of operational improvement ...................................................................................24

10.5.1 General ....................................................................................................................................................24

10.5.2 Recommendation 8: Operations ....................................................................................................24

Annex A (informative) Consensus-oriented decision-making process ........................................26

Annex B (informative) Stakeholder engagement .................................................................................27

Annex C (informative) Specific performance indicator examples ..................................................29

Bibliography ........................................................................................................................................................32

iv © ISO 2023 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/FDIS 24540:2023(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO

collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

electrotechnical standardization.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the

different types of ISO documents should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of any

patent rights identified during the development of the document will be in the Introduction and/or on

the ISO list of patent declarations received (see www.iso.org/patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO’s adherence to the World

Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see

www.iso.org/iso/foreword.html.

This document was prepared by Technical Committee ISO/TC 224, Drinking water, wastewater and

stormwater systems and services.

Any feedback or questions on this document should be directed to the user’s national standards body. A

complete listing of these bodies can be found at www.iso.org/members.html.
© ISO 2023 – All rights reserved v
---------------------- Page: 5 ----------------------
ISO/FDIS 24540:2023(E)
Introduction

Water is a global issue. Actions and subsequent decisions regarding water utilities are local issues. The

United Nations has set 17 Sustainable Development Goals (SDGs), many of which are water related.

Specifically, SDG 6 addresses water and sanitation and is intended to be applied at the local service level.

People are aware of climate change and its impact on water availability but also the changes in weather,

such as rain intensity or frequency, which can increase the risk of flooding events. The Paris Agreement

takes these risks into consideration at the international level, but the question still remains on how they

are considered at local level.

The water utilities sector is changing more rapidly than ever before and new solutions are being created

and conceived. It is of vital importance that appropriate corporate governance systems exist and are

implemented to support these changes and ensure that water services are provided which take into

account user and stakeholder needs and expectations in a sustainable way.

The information provided in this document improves decision-making processes and outlines roles and

responsibilities of responsible bodies and other relevant stakeholders in the governance of water

utilities.

The roles of relevant authorities, responsible bodies and water utilities can differ between and within

countries and result in different minimum requirements for the operations. Nevertheless, it is

recommended that such organizations recognize the importance of effective and efficient corporate

governance to allow for the water utility to operate properly.

The Organisation for Economic Co-operation and Development (OECD) Principles on Water

[310]

Governance are considered as a reference in this document. The OECD principles deal with overall

“governance”, in contrast to this document, which deals with corporate governance.

This document describes three levels of corporate governance mechanisms, as follows:

a) The first level of corporate governance relates to authorisationsauthorizations that are necessary for

a water utility to operate. Typically, authorisationsauthorizations required for the water utility to be

able to operate include:

—1) drinking water services, for examplee.g. abstraction of raw water, water protection areas,

building and operating facilities;

—2) wastewater services, for examplee.g. discharge of wastewater treatment plants, discharge

of non-domestic wastewater into the sewers, sludge disposal;
—3) assets, for examplee.g. building and operating facilities;

—4) stormwater management services, i.e. collection and storage or treatment of stormwater

prior to release into the environment.

AuthorisationsAuthorizations can be taken at the national, regional or local level.

b) The second level of corporate governance considers the owner’s mission, including setting the

objectives of the service to be provided, the level of service, the setting or negotiation of water prices,

and the investment and asset management strategies.

c) The third level of corporate governance relates to the management of the water utility and the

implementation of decisions made by the owner within the relevant authorisationsauthorizations.

vi © ISO 2023 – All rights reserved
---------------------- Page: 6 ----------------------
FINAL DRAFT INTERNATIONAL STANDARD ISO/FDIS 24540:2023(E)
Principles for effective and efficient corporate governance of
water utilities
1 Scope

This document establishes the basis for a framework for water utilities to operate efficiently and

effectively considering stakeholder needs and expectations.

This document is applicable to all water utilities, regardless of ownership and management model (public

or private), size, service provided or location.

This document proposes principles for effective and efficient corporate governance of water utilities with

a focus on the roles and responsibilities of the responsible bodies and operators and on the decision-

making process involving the relevant stakeholders. It also includes key types of decisions to be made.

2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements of this document. For dated references, only the edition cited applies. For

undated references, the latest edition of the referenced document (including any amendments) applies.

ISO 24513, Service activities relating to drinking water supply, wastewater and stormwater systems —

Vocabulary
3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO 24513, unless noted otherwise

and the following apply.

ISO and IEC maintain terminology databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at https://www.iso.org/obp
— IEC Electropedia: available at https://www.electropedia.org/

Terms and definitions specific to this standard or not included in ISO 24513 are:

3.1
corporate governance
system by which utilities are directed and controlled

Note 1 to entry: Corporate governance is organizational governance applied to corporations.

[5] [8]
Note 2 to entry: From Cadbury 1992 and OECD 1999. .

[SOURCE: ISO/IEC 38500:2015, 2.4, modified — “utilities” replaced “corporations”. Note 3 to entry

removed.]
3.2
governance
© ISO 2023 – All rights reserved 1
---------------------- Page: 7 ----------------------
ISO/FDIS 24540:2023(E)

system of directing and controlling water utilities, (3.3), corporate governance systems, responsible

bodies, (3.4), relevant stakeholders, relevant authorities and responsible authorities

Note 1 to entry: This includes all of the processes of governing – whether undertaken by the government of a state,

by a market or by a network – over a social system (e.g. family, tribe, formal or informal organization, a territory or

across territories) and whether through the laws, norms, power or language of an organized society.

3.3
water utility

whole set of organization, processes, activities, means and resources necessary for abstracting, treating,

distributing or supplying drinking water, for collecting, conveying, treating, disposing of or reusing

wastewater or for the control, collection, storage, transport and use or disposal of stormwater, and for

providing the associated services.
Note 1 to entry: Some key features for a water utility are:

— its mission, to provide drinking water services or wastewater services or the control, collection, storage,

transport and use of stormwater services, or a combination thereof;
— its physical area of responsibility and the population within this area;
— its responsible body; (3.4);

— the general organization with the function of operator (3.6) being carried out by the responsible body, or by

legally distinct operators;

— the type of physical systems used to provide the services, with various degrees of centralization.

Note 2 to entry: Drinking water utility addresses a utility dealing only with drinking water; wastewater utility

addresses a utility dealing only with wastewater; stormwater utility addresses a utility dealing only with

stormwater.

Note 3 to entry: When it is not necessary or it is difficult to make a distinction between responsible body and

operator, the term “water utility” covers both.

Note 4 to entry: In common English, “water service” can be used as a synonym for “water utility”, but this document

does not recommend using the term in this way.
[SOURCE: ISO 24513:2019, 3.3.1]
3.4
responsible body

body that has the overall legal responsibility for providing drinking water, wastewater or stormwater

services for a given geographic area

EXAMPLE A local or municipal government (e.g. for a village, town or city), a regional government or a national

or federal government through a specified agency, or private company.
Note 1 to entry: Responsible body is a category of stakeholder.

Note 2 to entry: The responsible body can be legally distinct, or not, from the operator(s) (3.6). The responsible

body can be public or private.

Note 3 to entry: The responsible body acts within a framework of law and governance (3.2) established by the

relevant authorities. It generally establishes the strategy, the specific policies (3.5) adapted to the characteristics of

its area of responsibility and the general organization of the relevant water utility. (3.3).

2 © ISO 2023 – All rights reserved
---------------------- Page: 8 ----------------------
ISO/FDIS 24540:2023(E)

Note 4 to entry: The responsible body can operate the water utility directly with its own means through an internal

operator (direct or internal management or “in house”) or entrust one or several operators for the operations

(outsourced or contracted management).
[SOURCE: ISO 24513:2019, 3.1.8.3]
3.5
policy

intentions and direction of an organization as formally expressed by its top management

[SOURCE: ISO/IEC Directives Part 1, 2022, Annex SL, Appendix 2, 3.5]
3.6
operator

person or organization performing day-to-day processes and activities necessary for the provision of the

service

EXAMPLE 1 Where responsible body (3.4) and operator are not legally distinct: a technical department in a

municipality, a specific division of a regional authority.

EXAMPLE 2 Of legally distinct entities: a public organization, a private corporate company, a small contractor, an

non-governmental organization (NGO), a cooperative.

Note 1 to entry: There can be one or several operators for a given water utility (3.3), for example distinct operators

for installations’ operation, billing and recovering service. Their missions are determined by the responsible body.

An operator can subcontract some of its operations to other contractors, if allowed by the responsible body.

Note 2 to entry: The operator(s) can be legally distinct, or not, from the responsible body. They can be public or

private.

Note 3 to entry: In the context of this document, an “operator” is not a person employed within an organization to

operate a piece of equipment or process.
[SOURCE: ISO 24513:2019, 3.1.8.2]
3.7
owner
person, group of persons or organization that owns the infrastructure or asset

Note 1 to entry: The owner couldcan be the responsible body, (3.4) or other stakeholders.

4 Overview

Water is the cornerstone of sustainable development, being a driver for economic growth, social welfare

and survival of the environment. However, we are currently facing a crisis of water security in many

regions of the world, understanding water security as the availability of an acceptable quantity and

quality of water for health, livelihoods, ecosystems and production, coupled with an acceptable level of

[46]
water-related risks to people, environments and economies.

The water sector is a complex one due to its intrinsic characteristics, such as being fundamental for

different sectors and development or having different stakeholders involved in its management.

Water utilities are the key actors for implementing the national water policies at the local level, thus

allowing the achievement of the human right to safe and affordable water and sanitation.

© ISO 2023 – All rights reserved 3
---------------------- Page: 9 ----------------------
ISO/FDIS 24540:2023(E)

Current levels of water security are jeopardisedjeopardized by different pressures, such as scarcity,

pollution, unbalanced population growth, extreme weather events and climate change. Water utilities are

facing several challenges, including:

— ageing water infrastructure and a lack of investment in water assets to allow their maintenance and

renewal;

— water-related risks, such as extreme weather events (e.g. floods and droughts), water pollution and

appropriate levels of treatment or scarce availability of water resources;

— institutional factors, such as legislation at different levels, territorial reforms, fragmented

institutions, weak capacity at the local level, dispersion of competences, lack of policy coherence

among sectors related to water, weak transparency and accountability;
— environmental and socio-economic factors;
— uncontrollable disruptions, such as terrorist activities or cyberattacks.

To be prepared for the future and enhance long term resilience, water utilities need to adapt to the new

global challenges the water sector is facing, combining technical and non-technical secure and proven

processes, methods and tools, and implementing a more inclusive and sustainable management, engaging

all relevant stakeholders.

To achieve these goals, corporate governance of water utilities should assess the range of political,

institutional and administrative rules, practices and processes (formal and informal) through which

decisions are taken and implemented, consulting stakeholders, as well as holding decision-makers

accountable for water management, in order to achieve effective, efficient and resilient water utilities

[310]
(adapted from the OECD definition of water governance ).

In order to have effective and efficient corporate governance, water utilities should develop and

implement a clear framework that covers all domains of the water utilities’ responsibilities, including but

not limited to:

a) level of service, which is defined according to customer expectations and is the expression of political

decisions;

b) water resources management strategy, providing decisions which should be taken to:

—1) secure and conserve existing water resources identified by the relevant authority;

—2) anticipate future needs from population change;
—3) support development within the utility’s service area;

—4) address the effects of climate change, anticipation, preparation and management of crises or

other events (drought, flooding, population migration);

c) asset management strategy covering the entire asset lifecyclelife cycle, including associated

requirements such as human resources and finance;

d) risk management, ensuring water-related risks are managed in a timely manner and at an acceptable

cost to ensure protection of the community, public health, the environment and the financial viability

of the organisationorganization, so that the next generation does not inherit liabilities and costs.

4 © ISO 2023 – All rights reserved
---------------------- Page: 10 ----------------------
ISO/FDIS 24540:2023(E)
5 Corporate governance for water utilities

Water is a key factor for sustainable growth and water utilities are key players for the fulfilment of the

[613]
human right to water and sanitation.

Effective and efficient corporate governance of water utilities should be based on overarching

governance principles which should guide the key elements of the water utility’s governance framework,

[310]

such as the ones included in Table 1 (based on the OECD principles on water governance ).

Corporate governance should help to achieve well-managed water utilities, promoting long-term

objectives of environmental sustainability and enhancing social welfare. A multi-level and multi–-

stakeholder approach, integrating the heterogeneous concerns of stakeholders, may can improve the

management of water utilities.
Table 1 — Corporate governance
...

PROJET
NORME ISO/FDIS
FINAL
INTERNATIONALE 24540
ISO/TC 224
Principes pour une gouvernance
Secrétariat: AFNOR
efficace et efficiente des services
Début de vote:
2023-01-27 publics de l’eau
Vote clos le:
Principles for effective and efficient corporate governance of water
2023-03-24
utilities
LES DESTINATAIRES DU PRÉSENT PROJET SONT
INVITÉS À PRÉSENTER, AVEC LEURS OBSER-
VATIONS, NOTIFICATION DES DROITS DE PRO-
PRIÉTÉ DONT ILS AURAIENT ÉVENTUELLEMENT
CONNAISSANCE ET À FOURNIR UNE DOCUMEN-
TATION EXPLICATIVE.
OUTRE LE FAIT D’ÊTRE EXAMINÉS POUR
ÉTABLIR S’ILS SONT ACCEPTABLES À DES FINS
INDUSTRIELLES, TECHNOLOGIQUES ET COM-
Numéro de référence
MERCIALES, AINSI QUE DU POINT DE VUE
ISO/FDIS 24540:2023(F)
DES UTILISATEURS, LES PROJETS DE NORMES
INTERNATIONALES DOIVENT PARFOIS ÊTRE
CONSIDÉRÉS DU POINT DE VUE DE LEUR POSSI-
BILITÉ DE DEVENIR DES NORMES POUVANT
SERVIR DE RÉFÉRENCE DANS LA RÉGLEMENTA-
TION NATIONALE. © ISO 2023
---------------------- Page: 1 ----------------------
ISO/FDIS 24540:2023(F)
PROJET
NORME ISO/FDIS
FINAL
INTERNATIONALE 24540
ISO/TC 224
Principes pour une gouvernance
Secrétariat: AFNOR
efficace et efficiente des services
Début de vote:
2023-01-27 publics de l’eau
Vote clos le:
Principles for effective and efficient corporate governance of water
2023-03-24
utilities
DOCUMENT PROTÉGÉ PAR COPYRIGHT
© ISO 2023

Tous droits réservés. Sauf prescription différente ou nécessité dans le contexte de sa mise en œuvre, aucune partie de cette

publication ne peut être reproduite ni utilisée sous quelque forme que ce soit et par aucun procédé, électronique ou mécanique,

LES DESTINATAIRES DU PRÉSENT PROJET SONT

y compris la photocopie, ou la diffusion sur l’internet ou sur un intranet, sans autorisation écrite préalable. Une autorisation peut

INVITÉS À PRÉSENTER, AVEC LEURS OBSER-
VATIONS, NOTIFICATION DES DROITS DE PRO-

être demandée à l’ISO à l’adresse ci-après ou au comité membre de l’ISO dans le pays du demandeur.

PRIÉTÉ DONT ILS AURAIENT ÉVENTUELLEMENT
ISO copyright office
CONNAISSANCE ET À FOURNIR UNE DOCUMEN-
TATION EXPLICATIVE.
Case postale 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Genève OUTRE LE FAIT D’ÊTRE EXAMINÉS POUR
ÉTABLIR S’ILS SONT ACCEPTABLES À DES FINS
Tél.: [phone]
INDUSTRIELLES, TECHNOLOGIQUES ET COM-
Numéro de référence
E-mail: [e-mail]
MERCIALES, AINSI QUE DU POINT DE VUE
ISO/FDIS 24540:2023(F)
Web: www.iso.org
DES UTILISATEURS, LES PROJETS DE NORMES
INTERNATIONALES DOIVENT PARFOIS ÊTRE
Publié en Suisse
CONSIDÉRÉS DU POINT DE VUE DE LEUR POSSI-
BILITÉ DE DEVENIR DES NORMES POUVANT
SERVIR DE RÉFÉRENCE DANS LA RÉGLEMENTA-
© ISO 2023 – Tous droits réservés
TION NATIONALE. © ISO 2023
---------------------- Page: 2 ----------------------
ISO/FDIS 24540:2023(F)
Sommaire Page

Avant-propos ...............................................................................................................................................................................................................................v

Introduction .............................................................................................................................................................................................................................. vi

1 Domaine d’application ................................................................................................................................................................................... 1

2 Références normatives ..................................................................................................................................................................................1

3 Termes et définitions ...................................................................................................................................................................................... 1

4 Vue d’ensemble ......................................................................................................................................................................................................3

5 Gouvernance des services publics de l’eau .............................................................................................................................. 5

6 Cadre de gouvernance ....................................................................................................................................................................................6

6.1 Généralités ................................................................................................................................................................................................. 6

6.2 Définir la vision, la mission et les objectifs stratégiques de la gouvernance .................................. 6

6.3 Identifier les déficits de gouvernance ................................................................................................................................ 7

6.4 Établir le processus décisionnel .............................................................................................................................................. 7

6.5 Identifier et définir les rôles et responsabilités ........................................................................................................ 7

6.6 Engagement des parties prenantes en faveur de services publics de l’eau inclusifs ................ 8

6.7 Encourager le renforcement des capacités et le développement du partage

d’informations ......................................................................................................................................................................................... 8

6.8 Adopter un système de suivi et d’évaluation ............................................................................................................... 9

7 Facteurs d’influence ......................................................................................................................................................................................... 9

7.1 Généralités ................................................................................................................................................................................................. 9

7.2 Aspects juridiques ............................................................................................................................................................................... 9

7.2.1 Généralités ............................................................................................................................................................................... 9

7.2.2 Cadre législatif ................................... ................................................................................................................................... 9

7.2.3 Politique de l’eau ................................................................................................................................................................. 9

7.3 Lignes directrices ............................................................................................................................................................................. 10

7.4 Modèle de gestion ............................................................................................................................................................................. 10

7.5 Usagers .......................................................................................................................................................................................................12

7.6 Autres parties prenantes ........................................................................................................................................................... 12

7.7 Exploitation du système global ............................................................................................................................................. 13

8 Mise en œuvre ......................................................................................................................................................................................................13

8.1 Finalité des services d’eau ......................................................................................................................................................... 13

8.2 Objectifs des services d’eau ........................................................................................................................................... ........... 14

8.3 Perspective du système pour garantir sa promotion ....................................................................................... 14

8.3.1 Généralités ............................................................................................................................................................................ 14

8.3.2 Atteinte avec fiabilité du niveau requis ...................................................................................................... 14

8.3.3 Mise en œuvre d’une responsabilité sociale d’entreprise........................................................... 14

8.3.4 Amélioration du service offert aux usagers ............................................................................................ 14

8.3.5 Système de gouvernance efficace et système de contrôle interne ...................................... 14

8.3.6 Réponse en cas de catastrophe .......................................................................................................................... 15

8.3.7 Objectifs de développement durable des Nations Unies ..............................................................15

8.4 Fonctions organisationnelles .................................................................................................................................................15

8.4.1 Généralités ............................................................................................................................................................................15

8.4.2 Conseil d’administration ou conseil municipal .................................................................................... 16

8.4.3 Comité de direction ................................... .................................................................................................................... 16

8.4.4 Audit ........................................................................................................................................................................................... 17

8.5 Suivi de la mise en œuvre .......................................................................................................................................................... 17

8.5.1 Vue d’ensemble .................................................................................................................................................................. 17

8.5.2 Organisme de surveillance ..................................................................................................................................... 17

9 Suivi ou évaluation de la gouvernance ......................................................................................................................................17

9.1 Généralités .............................................................................................................................................................................................. 17

9.2 Évaluation de la gouvernance des services publics de l’eau ........................................................................ 18

9.2.1 Généralités ............................................................................................................................................................................ 18

iii
© ISO 2023 – Tous droits réservés
---------------------- Page: 3 ----------------------
ISO/FDIS 24540:2023(F)

9.2.2 Vision, mission et objectifs stratégiques ................................................................................................... 18

9.2.3 Décisions organisationnelles fondamentales ........................................................................................ 18

9.2.4 Préparation des activités courantes .............................................................................................................. 18

9.2.5 Matrice des responsabilités — Qui fait quoi ........................................................................................... 19

9.2.6 Identifier et impliquer les parties prenantes ......................................................................................... 19

9.2.7 Résultats de la gouvernance des services publics de l’eau ......................................................... 19

10 Recommandations de gouvernance .............................................................................................................................................20

10.1 Généralités .............................................................................................................................................................................................. 20

10.2 Coopération et relations entre les principaux acteurs .................................................................................... 20

10.2.1 Propriété ................................................................................................................................................................................. 20

10.2.2 Organisme responsable ............................................................................................................................................. 21

10.2.3 Opérateur du service public de l’eau .............................................................................................................. 22

10.3 Ouverture et transparence .......................................................................................................................................................22

10.3.1 Généralités ............................................................................................................................................................................22

10.3.2 Recommandation 6: Ouverture et transparence ................................... .............................................22

10.4 Engagement des parties prenantes ................................................................................................................................... 23

10.4.1 Généralités ............................................................................................................................................................................23

10.4.2 Recommandation 7: Engagement des parties prenantes ............................................................23

10.5 Suivi de l’amélioration opérationnelle ............................................................................................................................ 23

10.5.1 Généralités ............................................................................................................................................................................23

10.5.2 Recommandation 8: Exploitation ..................................................................................................................... 23

Annexe A (informative) Processus décisionnel axé sur le consensus ...........................................................................24

Annexe B (informative) Engagement des parties prenantes ..................................................................................................25

Annexe C (informative) Exemples d’indicateurs spécifiques de performance ....................................................26

Bibliographie ...........................................................................................................................................................................................................................29

© ISO 2023 – Tous droits réservés
---------------------- Page: 4 ----------------------
ISO/FDIS 24540:2023(F)
Avant-propos

L’ISO (Organisation internationale de normalisation) est une fédération mondiale d’organismes

nationaux de normalisation (comités membres de l’ISO). L’élaboration des Normes internationales est

en général confiée aux comités techniques de l’ISO. Chaque comité membre intéressé par une étude

a le droit de faire partie du comité technique créé à cet effet. Les organisations internationales,

gouvernementales et non gouvernementales, en liaison avec l’ISO participent également aux travaux.

L’ISO collabore étroitement avec la Commission électrotechnique internationale (IEC) en ce qui

concerne la normalisation électrotechnique.

Les procédures utilisées pour élaborer le présent document et celles destinées à sa mise à jour sont

décrites dans les Directives ISO/IEC, Partie 1. Il convient, en particulier de prendre note des différents

critères d’approbation requis pour les différents types de documents ISO. Le présent document

a été rédigé conformément aux règles de rédaction données dans les Directives ISO/IEC, Partie 2

(voir www.iso.org/directives).

L’attention est attirée sur le fait que certains des éléments du présent document peuvent faire l’objet de

droits de propriété intellectuelle ou de droits analogues. L’ISO ne saurait être tenue pour responsable

de ne pas avoir identifié de tels droits de propriété et averti de leur existence. Les détails concernant

les références aux droits de propriété intellectuelle ou autres droits analogues identifiés lors de

l’élaboration du document sont indiqués dans l’Introduction et/ou dans la liste des déclarations de

brevets reçues par l’ISO (voir www.iso.org/brevets).

Les appellations commerciales éventuellement mentionnées dans le présent document sont données

pour information, par souci de commodité, à l’intention des utilisateurs et ne sauraient constituer un

engagement.

Pour une explication de la nature volontaire des normes, la signification des termes et expressions

spécifiques de l’ISO liés à l’évaluation de la conformité, ou pour toute information au sujet de l’adhésion

de l’ISO aux principes de l’Organisation mondiale du commerce (OMC) concernant les obstacles

techniques au commerce (OTC), voir le lien suivant: www.iso.org/iso/fr/avant-propos.

Le présent document a été élaboré par le comité technique ISO/TC 224, Systèmes et services relatifs à

l’eau potable, à l’assainissement et à la gestion des eaux pluviales.

Il convient que l’utilisateur adresse tout retour d’information ou toute question concernant le présent

document à l’organisme national de normalisation de son pays. Une liste exhaustive desdits organismes

se trouve à l’adresse www.iso.org/fr/members.html.
© ISO 2023 – Tous droits réservés
---------------------- Page: 5 ----------------------
ISO/FDIS 24540:2023(F)
Introduction

L’eau constitue un enjeu mondial. Les actions et les décisions en matière de services publics de l’eau

constituent, quant à elles, un enjeu local. Les Nations Unies ont fixé 17 Objectifs de développement

durable (ODD), dont bon nombre sont en lien avec l’eau. L’ODD 6, en particulier, aborde la question

de l’eau et de l’assainissement, et a vocation à être appliquée au niveau du service local. Les peuples

ont conscience du changement climatique et de ses effets sur la disponibilité de l’eau, mais aussi des

changements météorologiques, tels que l’intensité ou la fréquence des précipitations, qui peuvent

accroître le risque d’inondation. L’Accord de Paris tient compte de ces risques à l’échelle internationale,

mais la question de leur considération à l’échelle locale subsiste.

Le secteur des services publics de l’eau n’a jamais évolué aussi rapidement et des solutions novatrices ne

cessent de voir le jour. Il est d’une importance vitale que des systèmes de gouvernance appropriés soient

mis sur pied pour soutenir ces changements et s’assurer que les services d’eau sont fournis de manière

durable en tenant compte des besoins, ainsi que des attentes des usagers et des parties prenantes.

Les informations fournies dans le présent document permettent d’améliorer les processus décisionnels,

et définissent les rôles et responsabilités des organismes responsables et des autres parties prenantes

impliqués dans la gouvernance des services publics de l’eau.

Les rôles des autorités compétentes, des organismes responsables et des services publics de l’eau

peuvent varier d’un pays à un autre, ainsi qu’au sein d’un même pays, faisant émerger des disparités

entre les exigences minimales d’exploitation. Néanmoins, il est recommandé que ces organisations

reconnaissent l’importance d’une gouvernance efficace et efficiente afin de garantir le bon

fonctionnement des services publics de l’eau.

Les principes de l’Organisation de coopération et de développement économiques (OCDE) sur la

[10]

gouvernance de l’eau font figure de référence dans le présent document. Les principes de l’OCDE

abordent la «gouvernance» globale, contrairement au présent document, qui traite de la gouvernance

dite d’entreprise.

Le présent document décrit trois niveaux de mécanismes de gouvernance, comme suit:

a) le premier niveau de gouvernance concerne les autorisations nécessaires au fonctionnement d’une

entreprise de service public de l’eau. En général, ces autorisations concernent ce qui suit:

1) les services d’eau potable, par exemple la captation d’eau brute, le périmètre de protection,

les bâtiments et installations d’exploitation;

2) les services d’assainissement, par exemple le rejet des stations d’épuration, le rejet d’eaux usées

non domestiques dans les collecteurs, l’élimination des boues;
3) les actifs, par exemple les bâtiments et les installations d’exploitation;

4) les services de gestion des eaux pluviales, par exemple la collecte et le stockage ou le traitement

des eaux pluviales avant de les rejeter dans l’environnement.

Les autorisations peuvent être accordées à l’échelon national, régional ou local;

b) le deuxième niveau de gouvernance porte sur la mission du propriétaire, y compris la définition des

objectifs du service à fournir, le niveau de service, l’établissement ou la négociation des tarifs de

l’eau, et les stratégies d’investissement et de gestion des actifs;

c) le troisième niveau de gouvernance se rapporte à la gestion du service public de l’eau et à la mise en

œuvre des décisions prises par le propriétaire dans le cadre des autorisations pertinentes.

© ISO 2023 – Tous droits réservés
---------------------- Page: 6 ----------------------
PROJET FINAL DE NORME INTERNATIONALE ISO/FDIS 24540:2023(F)
Principes pour une gouvernance efficace et efficiente des
services publics de l’eau
1 Domaine d’application

Le présent document jette les bases d’un cadre visant à garantir l’efficacité et l’efficience des services

publics de l’eau en tenant compte des besoins et des attentes des parties prenantes.

Il s’applique à tous les services publics de l’eau, quels que soient leur modèle de propriété et de gestion

(public ou privé), leur taille, le service fourni ou leur emplacement.

Le présent document formule des principes pour une gouvernance efficace et efficiente des services

publics de l’eau et se concentre sur les rôles et responsabilités des organismes responsables et des

opérateurs, ainsi que sur le processus décisionnel impliquant les parties prenantes pertinentes. Il inclut

également les principaux types de décisions à prendre.
2 Références normatives

Les documents suivants sont cités dans le texte de sorte qu’ils constituent, pour tout ou partie de leur

contenu, des exigences du présent document. Pour les références datées, seule l’édition citée s’applique.

Pour les références non datées, la dernière édition du document de référence s’applique (y compris les

éventuels amendements).

ISO 24513, Activités de service relatives aux systèmes d'alimentation en eau potable, aux systèmes

d'assainissement et aux systèmes de gestion des eaux pluviales — Vocabulaire
3 Termes et définitions

Pour les besoins du présent document, les termes et définitions de l'ISO 24513 ainsi que les suivants,

s’appliquent.

L’ISO et l’IEC tiennent à jour des bases de données terminologiques destinées à être utilisées en

normalisation, consultables aux adresses suivantes:

— ISO Online browsing platform: disponible à l’adresse https:// www .iso .org/ obp;

— IEC Electropedia: disponible à l’adresse https:// www .electropedia .org/ .
3.1
gouvernance d’entreprise
système permettant de diriger et de contrôler des services publics

Note 1 à l'article: La gouvernance d’entreprise est la gouvernance organisationnelle appliquée aux entreprises.

[5] [8]
Note 2 à l'article: Tiré de Cadbury 1992 et de l’OCDE 1999 .

[SOURCE: ISO/IEC 38500:2015, 2.4, modifié — Le terme anglais «utilities» a été remplacé par

«corporations». La Note 3 à l’article a été supprimée.]
© ISO 2023 – Tous droits réservés
---------------------- Page: 7 ----------------------
ISO/FDIS 24540:2023(F)
3.2
gouvernance

système permettant de diriger et de contrôler les services publics de l’eau (3.3), les systèmes de

gouvernance d’entreprise, les organismes responsables (3.4), les parties prenantes pertinentes,

les autorités compétentes et les autorités responsables

Note 1 à l'article: Cette définition inclut tous les processus d’exercice du pouvoir – qu’ils soient instaurés par le

gouvernement d’un état, par un marché ou par un réseau – sur un système social (par exemple, famille, tribu,

organisation formelle ou informelle, sur un ou plusieurs territoires) par le biais de la législation, de normes,

de la politique ou de la langue d’une société organisée.
3.3
service public de l’eau

ensemble de l’organisme, des processus, des activités, des moyens et des ressources nécessaires pour

prélever, traiter, distribuer ou fournir l’eau potable, pour collecter, transporter, traiter, rejeter ou

réutiliser les eaux usées ou pour contrôler, collecter, stocker, transporter et utiliser ou rejeter les eaux

pluviales et assurer les services associés

Note 1 à l'article: Les caractéristiques clés d’un service public de l’eau sont notamment:

— sa mission, fournir des services d’alimentation en eau potable ou des services d’assainissement ou encore

des services de contrôle, de collecte, de stockage, de transport et d’utilisation des eaux pluviales ou une

combinaison de ceux-ci;
— sa zone physique de responsabilité et la population vivant dans cette zone;
— son organisme responsable (3.4);

— l’organisation générale, la fonction d’opérateur (3.6) incombant à l’organisme responsable ou à un ou à

plusieurs opérateurs distincts sur le plan juridique;

— le type de systèmes matériels utilisés pour fournir les services, avec différents degrés de centralisation.

Note 2 à l'article: Le terme «service public de l’eau potable» désigne un service public fournissant uniquement

de l’eau potable; le terme service public d’assainissement désigne un service public traitant uniquement des

eaux usées; le terme service public des eaux pluviales désigne un service public traitant uniquement des eaux

pluviales.

Note 3 à l'article: Lorsqu’il n’est pas nécessaire de faire la distinction entre un organisme responsable et un

opérateur ou bien lorsque la distinction est difficile à faire, le terme «service public de l’eau» recouvre les deux.

Note 4 à l'article: En français courant, le terme «service de l’eau» peut être synonyme de «service public de l’eau»,

mais cet emploi n’est pas recommandé dans le présent document.
[SOURCE: ISO 24513:2019, 3.3.1]
3.4
organisme responsable

organisme légalement investi de la responsabilité générale de fournir les services d’eau potable,

de traitement des eaux usées ou des eaux pluviales pour une zone géographique donnée

EXEMPLE Une autorité locale ou municipale (par exemple pour un village, une ville, une agglomération),

une autorité régionale ou un gouvernement national ou fédéral par l’intermédiaire d’une agence spécialisée ou

une entreprise privée.

Note 1 à l'article: L’organisme responsable est une catégorie de parties intéressées.

Note 2 à l'article: L’organisme responsable peut être distinct ou non du ou des opérateurs (3.6) sur le plan

juridique. L’organisme responsable peut être public ou privé.

Note 3 à l'article: L’organisme responsable agit dans un cadre légal et conformément aux objectifs généraux

spécifiés par les autorités compétentes. Il établit généralement la stratégie, les politiques (3.5) spécifiques

adaptées aux caractéristiques de sa zone de responsabilité et l’organisation générale du service public de l’eau

(3.3).
© ISO 2023 – Tous droits réservés
---------------------- Page: 8 ----------------------
ISO/FDIS 24540:2023(F)

Note 4 à l'article: L’organisme responsable peut exploiter le service public de l’eau directement, par ses

propres moyens (gestion directe ou régie) ou bien confier cette exploitation à un ou à plusieurs opérateurs

(gestion déléguée ou externalisée).
[SOURCE: ISO 24513:2019, 3.1.8.3]
3.5
politique

intentions et orientations d’un organisme, telles qu’elles sont officiellement formulées par sa direction

3.6
opérateur

personne ou organisme qui met en œuvre les processus et les activités quotidiennes nécessaires à la

fourniture du service

EXEMPLE 1 Lorsque l’organisme responsable (3.4) et l’opérateur ne sont pas distincts sur le plan juridique:

un service technique dans une municipalité, une unité de gestion spécifique au sein d’un organisme régional.

EXEMPLE 2 D’entités juridiquement distinctes: un établissement public, une entreprise privée, un petit

entrepreneur, une organisation non gouvernementale
...