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Service regulation and human rights to water and sanitation 2017, para. 15
- Paragraph text
- The human rights to water and sanitation are binding on the State as a whole. All public or governmental authorities, or separate State bodies exercising regulatory functions at national, regional or local levels, have the responsibility to realize the State’s human rights obligations. To that end, regulatory actors must ensure that their policies, procedures and activities are compliant with the State’s international human rights obligations in relation to the rights to water and sanitation. Their obligations also include ensuring human rights compliance by the municipalities and other entities that they regulate (see A/HRC/36/45/Add.1, para. 31).
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 32
- Paragraph text
- Regulatory frameworks may also be characterized by a broad spectrum of contractual arrangements between governments which formally delegate service provision, and third parties. In such cases, the instrument delegating service provision defines the relationship between the public asset owner and the service provider and sets service standards. In the case of State-owned companies, management will usually be delegated via legislation, decrees or contracts, while public authorities will often enter into contracts with private providers. Contracts may differ according to the ownership of assets, the responsibility for capital investments, the allocation of risks, the responsibility for operations and maintenance, and the typical contract duration. France is a country with a long history of this type of regulation, established through private-sector participation contracting with local government.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Economic Rights
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 66
- Paragraph text
- Regulatory frameworks are often only applied to formal service providers, which may range from large-scale utilities to small municipal and cooperative providers. Where formal provision exists, it is expected that there will be available data on standards and targets set, which can be monitored by a regulatory actor. However, small municipal and cooperative providers often have more difficulties in living up to quality standards than large-scale utilities do. Regulatory actors can play a proactive role in enhancing small-scale providers’ performance by monitoring them, providing them with information and recommending strategies that might help them improve their standards.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 67
- Paragraph text
- According to Investing in Water and Sanitation: Increasing Access, Reducing Inequalities (UN-Water Global Analysis and Assessment of Sanitation and Drinking Water, 2014 report), less than half of countries report a functioning process whereby formal rural drinking-water service providers report the results of their internal monitoring to regulatory authorities and also use the results to trigger corrective action. Moreover, performance results are not typically made public for a majority of service providers. Only for urban formal service providers were performance results made public for over 60 per cent of respondent countries. Countries indicated that the extent of independent surveillance of water quality was far greater in urban areas: nearly 70 per cent of countries reported surveillance in urban areas, compared to only 40 per cent in rural areas.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 70
- Paragraph text
- Non-governmental organizations and community-based organizations are taking on an important role in informal service provision, stepping in where the State is not involved in such activities. Many of the same challenges in relation to regulation and accountability apply to the activities of such organizations, for instance ensuring consistent standards as regards quality of services and ensuring that organizations are accountable to the people they serve. Population groups in many countries are served by community and informal service providers, which rarely report internal monitoring results to authorities.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Equality & Inclusion
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 38
- Paragraph text
- The Water Resources Sector Strategy, published in 2004, contains some relevant provisions and guidelines related to the human rights to water and sanitation. For instance, it establishes that communities should be vested “with ownership rights and authority to select service providers”, contributing to the enjoyment of the right to participation. Projects and programmes should strengthen “regulatory oversight capacities, institutions and processes to provide greater transparency and predictability”. Moreover, financially disadvantaged people are to be ensured “access to safe, affordable water supply and sanitation services by reducing costs and increasing accountability”. However, the World Bank’s pro-poor focus is not equivalent to a human rights-based approach, since it does not embody the full spectrum of the human rights framework.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 61
- Paragraph text
- Infrastructure projects that rapidly prove to be unsustainable are widespread in water and sanitation. This was evidenced, for example, by the European Court of Auditors review of European Union development assistance for the sector in sub-Saharan countries. According to a review of 23 projects in six countries, despite infrastructure being properly installed, fewer than half of the projects delivered results meeting the beneficiaries’ needs and the majority of projects were considered to be unsustainable in the medium and long term unless non-tariff revenue could be ensured or operational institutions (that is, service providers) could be strengthened.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 43
- Paragraph text
- The UNICEF Strategy for Water, Sanitation and Hygiene (2016-2030) integrates the full normative content of the human rights to water and sanitation in its vision for the sector and targeted outputs. The strategy outlines multiple “programming principles” — aspirational, outcome-based objectives to be considered throughout project design and implementation — that incorporate several human rights principles. Some of those programming principles include reducing inequality, delivering quality services at scale and strengthening accountability at all levels.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 28
- Paragraph text
- The general development cooperation policy of Japan is found in its development cooperation charter, revised in 2015. The charter reaffirms the country’s obligations to promote human rights through its international development activities. According to the charter, activities in the water supply and sanitation sector fall under the country’s policy umbrella of promoting development for human security. In the charter, “quality growth” and poverty eradication through such growth is designated as a priority policy issue, encompassing water supply and sanitation. Indeed, Japan adopts a cross-sectoral approach, that is, the approach to strengthening health systems also includes the strengthening of water services and other infrastructure (CRC/C/JPN/3, para. 68).
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Equality & Inclusion
- Governance & Rule of Law
- Health
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 45
- Paragraph text
- Funders employ a variety of practical instruments directed to project managers and operational teams to administer development cooperation activities in ways that comply with their policies and goals. Such tools are key to translating policy provisions into actual methods to realize the human rights to water and sanitation. Examples of such instruments include toolboxes, manuals and technical guidelines, which provide the particular benefit of being more adaptable and renewable than policy frameworks. Thus, such instruments fulfil the purpose in the human rights development cycle of instructing funders’ operational teams on how to maximize positive contributions to the realization of the human rights to water and sanitation. Yet, given the frequent absence of an obligation for funders and implementers to apply those instruments, their effectiveness can be limited.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 74
- Paragraph text
- From a broader perspective, ensuring the public’s access to information on development cooperation projects enhances transparency and enables more effective monitoring of a funder’s contribution to reducing inequalities and achieving the aims of its development agenda. Adequate access to information relies on the availability and accuracy of information. For instance, the majority of development projects registered in the relevant database of the Organization for Economic Cooperation and Development do not clearly indicate whether rural or urban areas have been targeted (ibid., para. 20). In the research for the present report, it was apparent that many funders’ self-reported data differed greatly from data in the Creditor Reporting System of that organization.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 71
- Paragraph text
- Moreover, two projects assessed employed community workers and local committees of residents tasked, inter alia, with ensuring that beneficiaries could accompany the project implementation process and relay their opinions or concerns.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 33
- Paragraph text
- A number of human rights challenges arise when regulating service provision by contract, particularly when non-State actors are involved. Such challenges include guaranteeing transparent and democratic decision-making, addressing power asymmetries in the bidding and negotiation process, ensuring affordable services, avoiding disconnections in cases of inability to pay, ensuring monitoring and accountability, and addressing corruption. It is also important that contracts, which are normally valid for decades, can be reviewed and adapted over time.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Economic Rights
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 1
- Paragraph text
- Pursuant to Human Rights Council resolutions 27/7 of 2014 and 33/10 of 2016, the Special Rapporteur on the human rights to safe drinking water and sanitation, Léo Heller, was mandated to work on identifying challenges and obstacles to the full realization of those rights, as well as protection gaps, good practices and enabling factors. The subject of the present report is the regulation of water and sanitation services in the context of realization of human rights and the report aims to discuss the essential role that regulatory frameworks can play in the implementation of these human rights at the national level. In this respect, it outlines the legal obligations and responsibilities of States, regulatory actors and service providers in progressively realizing the human rights to safe drinking water and sanitation through regulatory frameworks.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 2
- Paragraph text
- As part of the consultation process, the Special Rapporteur invited States and non-State actors to contribute their views and perspectives in writing, through a questionnaire. A total of 43 submissions were received. Eighteen submissions were received from States, and 25 submissions were received from non-State actors including civil society organizations, private service providers, academia and international organizations. Furthermore, in order to collect the views of other stakeholders, the Special Rapporteur convened an expert consultation which was held on 22 and 23 May 2017 in Rio de Janeiro, Brazil.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 20
- Paragraph text
- All service providers, whether public, State-owned or private, must comply with the State’s legal and regulatory framework. In cases where the State is the service provider, at central level or often through its municipalities, it must act in compliance with the laws and regulations of the State and in line with its international human rights obligations. Where service provision is formally delegated by the State to non-State actors, the State cannot exempt itself from its human rights obligations and retains the obligation to regulate and monitor their activities. Non-State service providers (formal and informal), on the other hand, have human rights responsibilities, which include complying with the national regulatory framework and respecting the human rights to water and sanitation.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 25
- Paragraph text
- Regardless of the regulatory model chosen, currently most water and sanitation regulatory frameworks typically incorporate aspects of economic regulation (asset management planning and tariff-setting), of quality of service regulation and of drinking water quality regulation. Some may also include aspects of environmental regulation, mainly water abstraction and wastewater discharges, of user interface regulation or of legal and contractual regulation. The fact that different forms of regulation have been adopted for specific purposes without explicit mention of the human rights to water and sanitation standards or principles does not necessarily mean that those forms of regulation do not take into consideration at least partially these standards and principles. In this context, it is essential to emphasize a distinction between fully incorporating the human rights to water and sanitation into regulatory frameworks and choosing some selected aspects of it to comply with. For States to fulfil their human rights obligations, the whole human rights to water and sanitation framework must be reflected in States’ regulatory norms and activities.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Environment
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 38
- Paragraph text
- The International Water Association’s Lisbon Charter underscores the importance of ensuring an adequate level of institutional, functional and financial independence of regulatory bodies. Some of the features that would characterize independent regulatory bodies include: (a) a stable mandate, which does not depend on either the electoral cycle or changes of government; (b) autonomy in exercising their regulatory functions; (c) the definitive nature of their decisions, which can only be challenged in the courts; and (d) substantial administrative autonomy in their human and budgetary resource management.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Environment
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 39
- Paragraph text
- However, some argue that independence from the government may be both unrealistic and in some situations undesirable. In essence, regulatory bodies must ensure the implementation of public policies defined by the government for the regulated sectors. This means that in situations where water policy needs to be reconciled or balanced with social and public policy in order to pursue human rights standards (e.g. affordability) or comply with the government’s international human rights obligations, regulatory decision-making processes should encourage the meaningful participation of the relevant governmental sectors (see A/HRC/36/45/Add.1, para. 36). Governments should be able to legitimately influence both the process of regulatory decision-making and its outcomes in cases where regulation by itself is not sufficient to meet the standards of the human rights to water and sanitation. While the independence of regulatory bodies from governments should not be understated, particularly in countries where corruption is rampant, the question should not be considered in isolation from human rights considerations.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- All
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 20
- Paragraph text
- Within the framework of international human rights treaties, all levels of government, including development cooperation agencies, have obligations to adopt specific policies aimed at the realization of the human rights to water and sanitation in legislative form or in other measures (Committee on Economic, Social and Cultural Rights, general comment No. 3 (1990) on the nature of States parties’ obligations, paras. 6-7). Outside of the human rights treaty framework, myriad funders have expressed their commitment to realizing human rights through various international instruments. For instance, in the 2008 Accra Agenda for Action, most funders committed themselves to establishing and implementing development cooperation policies and programmes that respect human rights.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 39
- Paragraph text
- However, the scant existence of specific, universal policy guarantees for water and sanitation projects reflecting human rights standards effectively grants officials from the World Bank and from partner States the liberty of determining a project’s goals and methods on a case-by-case basis. Moreover, one senior official of the Bank understands that “any project that improves access to improved [water supply and sanitation] is a step towards universal access” and that this is enough not to be negligent of the human rights framework. In the light of this discretionary approach, while some projects funded by the Bank could possibly be aligned with the human rights framework, others risk neglecting human rights.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 85
- Paragraph text
- A variety of operational tools was observed among the different funders, some with greater relevance to the human rights to water and sanitation than others. The extent to which those tools can guarantee that development cooperation projects will have positive impacts on human rights depends on at least two factors. First, tools based explicitly on the human rights framework will naturally be more apt to incorporate all relevant standards and cause minimal negative impacts. Recognizing that water and sanitation projects are parts of broader, dynamic contexts that can limit a given project’s results, such tools must ensure adaptability in order to maximize the progressive realization of the human rights to water and sanitation and other related rights. Second, mainstreaming the use of such tools by operational teams involved in project implementation will avoid the risk of standards being applied selectively.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 72
- Paragraph text
- One project, in which the funder provided budget support to the partner State, consists of maintaining dialogue among government authorities with the aim of supporting sector reform. However, the process seemed to apply a non-participatory approach as relevant stakeholders, including local governments and civil society organizations, were apparently excluded from the discussion of key decisions. That may be a source of future conflict and could jeopardize the legitimacy of the agreements that will be made. The human rights to water and sanitation require funders to take measures to ensure meaningful participation by all stakeholders and to support partner States in developing methods to promote participation (for example, multi-stakeholder dialogues involving the authorities concerned, civil society organizations, private sector entities and marginalized groups). Such dialogues can contribute to building political will, to planning a more appropriate restructuring in the sector recognizing the diverse needs of various groups and their rights, and to creating opportunities to hold public authorities accountable.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 80
- Paragraph text
- Post-project assessments can be conducted either by funders themselves, through internal or external sources or by partner States. The Japan International Cooperation Agency employs evaluations conducted by the Governments of partner States, consultants, think tanks, academic institutions or non-governmental organizations with professional competence in the field. Such assessments are meant to ensure greater transparency and fairness in Japanese development cooperation. Formulating development policies based on evidence confirmed by partner State-led evaluation processes rather than evaluations performed solely by funders may enrich and legitimize those funders’ policies. To that end, it is important to offer support where necessary to enhance the evaluation capacities of the partner State in an impartial and independent manner.
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 89g
- Paragraph text
- [In line with the above, the Special Rapporteur recommends that States:] Prohibit disconnections due to inability to pay, in law and in regulatory frameworks;
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Equality & Inclusion
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 89h
- Paragraph text
- [In line with the above, the Special Rapporteur recommends that States:] Ensure that instruments delegating service provision, including contracts, reflect the national regulatory framework and human rights standards;
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Service regulation and human rights to water and sanitation 2017, para. 89k
- Paragraph text
- [In line with the above, the Special Rapporteur recommends that States:] Establish the necessary mechanisms to ensure accountability of regulatory actors;
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 91d
- Paragraph text
- [In the project selection, design and implementation stages, the Special Rapporteur reiterates the importance of measures and safeguards with the specific aim of ensuring human rights compliance (ibid., para. 74 (b)) and recommends that funders:] Ensure that the design and implementation of projects are carried out in a transparent manner with the participation of related stakeholders, including beneficiaries of the project, providing ample access to relevant information and including mechanisms to address the accountability of funders;
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 91a
- Paragraph text
- [In the project selection, design and implementation stages, the Special Rapporteur reiterates the importance of measures and safeguards with the specific aim of ensuring human rights compliance (ibid., para. 74 (b)) and recommends that funders:] Balance water and sanitation projects and coverage of those services between urban and rural areas in a way consistent with the progressive realization of the rights to water and sanitation in each context;
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph
Development cooperation and the human rights to water and sanitation 2017, para. 91b
- Paragraph text
- [In the project selection, design and implementation stages, the Special Rapporteur reiterates the importance of measures and safeguards with the specific aim of ensuring human rights compliance (ibid., para. 74 (b)) and recommends that funders:] Ensure that the selection, design and implementation of projects apply the framework for the human rights to water and sanitation, notably prioritizing those people in the most vulnerable situations;
- Body
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Document type
- Special Procedures' report
- Topic(s)
- Governance & Rule of Law
- Water & Sanitation
- Person(s) affected
- N.A.
- Year
- 2017
Paragraph