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Service regulation and human rights to water and sanitation 2017, para. 1
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- 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.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 7
- Paragraph text
- The human rights obligations of States are classified as obligations to respect, to protect and to fulfil. The obligation to respect requires that States’ regulatory frameworks refrain from interfering directly or indirectly with people’s existing access to water and sanitation. To that end, States must ensure that their regulatory framework prohibits disconnections from water and sanitation services due to users’ inability to pay, as it is a retrogressive measure and violates the human rights to water and sanitation, must ensure, when extending piped networks to informal settlements, that these services are affordable so as not to interfere with people’s access, and must avoid discriminatory or unaffordable increases in the price of water and sanitation services due to inadequate regulation. Furthermore, preparedness for situations of armed conflict, emergency situations, natural disasters and effects of climate change requires that States embrace in their regulatory frameworks the obligations relevant to water and sanitation provision pursuant to international humanitarian law.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Environment
- Equality & Inclusion
- Humanitarian
- Poverty
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 18
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- The International Water Association’s Lisbon Charter, on public policy and regulation for drinking water supply, sanitation and wastewater management services, adopted by 85 Governments in 2015, asserts that the actions of regulatory actors “must be based on the principles of competence, professionalism, impartiality, accountability and transparency” (art. 4). From a human rights perspective, there are additional key principles that must guide regulatory intervention in all circumstances: the principles of equality and non-discrimination; active, free and meaningful participation; access to information; and sustainability. These overarching principles should not only guide national policies on water and sanitation but also be embedded in legal and regulatory frameworks binding all water and sanitation stakeholders, including regulatory actors.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 26
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- It is widely accepted that the scope for competition in the water and sanitation sector is limited, due to the prominence of significant upfront, sunk costs. This situation commonly results in the existence of a single service provider — public or private — in a given area, defined as natural monopoly, reinforcing the need for adequate regulatory measures to ensure that the rights of users are not compromised. In fact, historically, the rationale for introducing regulation in the water and sanitation sector has been related to instances of “market failure”, in particular, prevention of monopoly abuse. In such monopoly situations, regulatory bodies may be more exposed to the risk of capture by providers, due to information and power asymmetries among other factors, and by political interests, since these bodies are part of governments.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 37
- Paragraph text
- The functions of these bodies include standard-setting, examining water and sanitation services for compliance with relevant standards, providing a forum for complaints by individuals, and setting or signing off on tariffs. When the exercise of these functions is guided by the human rights framework, this regulatory model can contribute significantly to the progressive realization of the human rights to water and sanitation. However, in the absence of a strong national policy and legal framework on the human rights to water and sanitation, these bodies also face challenges in realizing these rights.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 25
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- 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.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Environment
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 73
- Paragraph text
- The State of Palestine reports that in its territory informal providers are not only present but are essential to ensure some communities’ access to water. This delivery is the only effective option for many communities, hence it is considered a public service. Currently, different governmental institutions are collaborating in order to ensure regulation and supervision of these informal providers. Efforts are being made to license and certify them. The Government’s long-term strategy is to fully connect local communities to public water distribution networks, but in the short term the strategy is to regulate this service and facilitate the mutual support between the local communities and informal service providers.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 5
- Paragraph text
- The number of States with a regulatory framework for water and sanitation services is increasing and so is the contingent of regulatory actors. However, there is no universal regulatory model. Regulation should be adapted to local circumstances, needs and challenges. International human rights law does not prescribe a particular choice of regulatory framework. What is essential from a human rights perspective is that those carrying out regulatory functions be immune to pressures from any illegitimate interests and that the main objectives of regulation be aligned with the human rights to drinking water and sanitation.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 24
- Paragraph text
- The implementation of the human rights to water and sanitation depends heavily on national legal and regulatory frameworks. While constitutional recognition of these rights shows a strong national commitment to their realization, and facilitates their inclusion in domestic laws, it does not constitute a conditio sine qua non for their inclusion in national legal frameworks. Kenya, for example, underwent a process of legal and regulatory reform before enshrining these rights in its Constitution. Laws give voice to national policies, and aspire to achieving universal realization of the rights, while rules and regulations set performance standards and determine how services should be provided to the population, as they encapsulate the technical and scientific requirements needed to give meaningful content to the general terms contained in laws. The fact that the provision of water and sanitation services must be adequate for human dignity, life and health, in accordance with the International Covenant on Economic, Social and Cultural Rights, places concrete human rights obligations on national regulatory frameworks.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Equality & Inclusion
- Governance & Rule of Law
- Health
- Water & Sanitation
- Personas afectadas
- All
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 31
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- Self-regulation raises significant human rights challenges in terms of guaranteeing independent monitoring and providing reliable accountability mechanisms. Regulatory principles such as impartiality, accountability, transparency and good governance can potentially be compromised by self-regulation as there is no separation between policy, regulation and service provision. Benchmarking and user consultation and participation also seem to be less common. Self-regulation can also lead to a lack of uniformity in performance, including in tariff-setting, with different service providers abiding by different standards.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 20
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- 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.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 75
- Paragraph text
- Whether States decide to aim for regulation, or to use incentives for the provision of quality services at affordable prices, or to phase out small-scale providers in the long term and replace them with formal provision, it is essential that they do not worsen the situation and leave people without access to services (see A/HRC/15/31, para. 53). In particular, when granting exclusivity to formal providers extending into areas that have previously been served by small-scale providers, States must ensure that connection to a piped network is actually an affordable alternative. In these situations, affordability studies should be carried out by regulatory actors in order to avoid retrogression.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Equality & Inclusion
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Development cooperation and the human rights to water and sanitation 2017, para. 30
- Paragraph text
- Specifically, the Japan International Cooperation Agency has elaborated an assistance strategy on water supply and sanitation (2016). The strategy addresses some elements of the human rights to water and sanitation diffusely among six key issues. Several of those issues demonstrate the Agency’s intention to compensate for multiple imbalances in the water and sanitation sector worldwide. For example, a focus on sustainable rural water supply is adopted in order to tackle long-standing deficits with regard to access in certain geographical areas and on improved sanitation, particularly in sub-Saharan Africa and South Asia. Provisions related to the standards of accessibility and quality of services and the principle of sustainability are integrated in the strategy. However, the strategy does not stipulate detailed provisions related to other crucial elements of the human rights to water and sanitation. Regarding affordability, provisions are limited to improving tariff policy and collection. Guarantees for the availability and accessibility of services for all are not mentioned either.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Development cooperation and the human rights to water and sanitation 2017, para. 38
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- 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.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Development cooperation and the human rights to water and sanitation 2017, para. 44
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- The current UNICEF Strategic Plan (2014-2017) outlines a water, sanitation and hygiene indicator framework including targets for access in households and schools. It designates several outcomes and outputs that express an ample integration of issues of particular relevance to human rights. Some of those targets include enhanced support for children and families leading to sustained use of safe drinking water, adequate sanitation and good hygiene practices; increased national capacity to provide access to those services; strengthened political commitment, accountability and national capacity to legislate, plan and budget for the scaling up of interventions; and increased capacity of Governments of partner States to identify and respond to key issues for the human rights to water and sanitation. Most of the outcomes and outputs in the strategy rely on country-wide measurements, that is, “countries with an established target to provide access to drinking water to underserved populations”.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- Children
- Families
- Año
- 2017
Párrafo
Development cooperation and the human rights to water and sanitation 2017, para. 52
- Paragraph text
- Applying a human rights-based approach in the initial design stage of a project in the form of human rights pre-assessment is essential to ensuring that it will embed the human rights framework from its objectives and methods through to its implementation. The specific measures to effectively implement that approach depend on the nature of the project. Possible measures include establishing human rights standards as a requirement in project conceptualization and other due diligence measures that enable funders to identify and avoid the negative impact of their activities on human rights.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Development cooperation and the human rights to water and sanitation 2017, para. 66
- Paragraph text
- Improvements to partner States’ water and sanitation services funded through development cooperation, even when provided without an obligation for full repayment, often entail an increased need for revenues from tariffs or taxes to keep those services operational and sustainable in the long term. Some funders request or even impose an obligation on partner States to fully or partially recover the costs to operate and maintain such systems through tariffs. Consequently, depending on how tariffs for water and sanitation services are set upon completion, these projects can have an impact on affordable access to services. When funders impose conditionalities requiring full cost recovery through tariffs and the result is higher service fees for users, the affected users must be able to petition the amount of the tariff and seek recourse. If they are not able to do so, the public authorities are therefore not protecting users from the adverse impact of unaffordable services, and the funder shares responsibility for facilitating the creation of such circumstances.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Economic Rights
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Development cooperation and the human rights to water and sanitation 2017, para. 33
- Paragraph text
- The European Union has in place a regulation establishing a financing instrument for democracy and human rights worldwide. The most recent specific policy document on the water and sanitation sector was endorsed in 2002 by the Council of the European Union. It emphasizes the importance of relevant principles and standards related to participation, gender equality, transparency and access to information, financial and environmental sustainability in service provision, affordability, and improving service levels for the poorest populations and rural, urban and peri-urban areas.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Environment
- Equality & Inclusion
- Gender
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Development cooperation and the human rights to water and sanitation 2017, para. 84
- Paragraph text
- Similar to the broad conclusion reached in the first report (A/71/302, paras. 41-44), the Special Rapporteur finds that the explicit commitment to human rights in the six funders’ policies constitutes a heterogeneous patchwork. While some funders’ policies consider the human rights framework, particularly the human rights to water and sanitation, others are only sporadically aligned with those rights and reveal varying degrees of clarity regarding their application to development cooperation. However, even in cases where the human rights framework was adequately incorporated in funders’ policies, the Special Rapporteur observed significant gaps in the application of this framework during project implementation. The root causes of such gaps are varied, including non-implementation of applicable policies at the project stage, non-integration of the human rights framework in the funder’s policies and tools and the absence of a human rights approach in the project selection and design stages.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 50
- Paragraph text
- Regular cleaning, emptying of pits or other places that collect human excreta, and maintenance should also be regulated, in order to ensure the sustainability of sanitation facilities and continued access to them. Where on-site sanitation solutions are used, regulation must ensure that pits and septic tanks are required to be constructed in a way that contents can be adequately collected and disposed of at a sludge treatment facility rather than dumped into the environment.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Environment
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
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;
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 65
- Paragraph text
- The principle of progressive realization should guide the monitoring process and any retrogression observed in service provision should be prohibited and sanctioned by the regulatory framework.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Personas afectadas
- All
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 68
- Paragraph text
- Similarly, formal sanitation service providers, whether urban or rural, typically do not report data to regulatory authorities. While a regulatory framework and standards for sewerage networks are generally available, they are not always effectively put in place and monitored. Sewerage systems often raise affordability concerns for the State, the service provider and the user and require careful monitoring. Connection charges may prevent poorer households from making use of this service, unless appropriate regulation is in place to ensure affordability.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Economic Rights
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- All
- N.A.
- Año
- 2017
Párrafo
Development cooperation and the human rights to water and sanitation 2017, para. 76
- Paragraph text
- Assessing a project’s contribution to the realization of the human rights to water and sanitation requires a set of methods balancing quantitative and qualitative assessments and covering the full range of the normative content of the human rights to water and sanitation and human rights principles. Among several ways of assessing a particular project, process assessments and output and outcome indicators can be applied to assess a funder’s capacity to contribute to the progressive realization of human rights through their activities.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Development cooperation and the human rights to water and sanitation 2017, para. 91e
- 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 projects provide a sustainable financing strategy for long-term service provision, including affordable access to services and inclusion of all persons in service provision;
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Equality & Inclusion
- Governance & Rule of Law
- Personas afectadas
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 61
- Paragraph text
- In order to be effective, regulatory frameworks should allow for independent monitoring of service providers’ compliance with the human rights to water and sanitation and should safeguard the right of individuals to submit complaints when the enjoyment of their rights to water and sanitation has been compromised. Regulatory frameworks should impose appropriate and proportionate sanctions on service providers in cases of non-compliance with the normative content of the human rights to water and sanitation.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Equality & Inclusion
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- All
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 36
- Paragraph text
- In the past two decades, a general trend in many countries in terms of regulation has been the establishment of public entities that are expected to be independent from providers, governments and the direct administration of the State, designated as independent regulatory bodies. The need for autonomous regulatory bodies has been reinforced by the belief that policy, regulation and provision of services should preferably be separated to ensure maximum benefit from the expertise required and to provide transparency.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Personas afectadas
- All
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 85
- Paragraph text
- When administrative or national quasi-judicial mechanisms do not exist or are not able to successfully resolve a dispute, the right to an effective remedy requires that people whose rights to water and sanitation have been affected be able to turn to a court. A right of judicial review as a last resort is sometimes indispensable. In this context, it is critical that judicial systems uphold the justiciability of the human rights to water and sanitation in line with international human rights law.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Water & Sanitation
- Personas afectadas
- All
- N.A.
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 80
- Paragraph text
- Accountability at the national level can be achieved through administrative, quasi-judicial and judicial mechanisms. Mechanisms can be based at the level of the service provider or at the level of the State. For example, when a complaint is not resolved at the level of the service provider, individuals should have the right to address their complaint to an administrative mechanism such as a regulatory body.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Governance & Rule of Law
- Personas afectadas
- All
- Año
- 2017
Párrafo
Service regulation and human rights to water and sanitation 2017, para. 82
- Paragraph text
- In the resolution of complaints against services providers, regulatory actors must ensure that any action that interferes with an individual’s enjoyment of the rights to water and sanitation is preceded by an opportunity for genuine consultation with the individual affected, the timely and full disclosure of information on the proposed measures, reasonable notice of proposed actions, legal recourse and remedies for the individual affected, and legal assistance for obtaining legal remedies.
- Organismo
- Special Rapporteur on the human rights to safe drinking water and sanitation
- Tipo de documento
- Special Procedures' report
- Temas
- Equality & Inclusion
- Water & Sanitation
- Personas afectadas
- All
- Año
- 2017
Párrafo