A/HRC/36/45 I. Introduction 1. 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. 2. As part of the consultation process, the Special Rapporteur invited States and nonState actors to contribute their views and perspectives in writing, through a questionnaire. A total of 43 submissions were received.1 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. 3. The incorporation of the human rights to water and sanitation into national legal frameworks can be done at different levels and using different instruments, including the constitution, legislation, policies and regulations. States have an immediate and legally binding obligation to take deliberate, concrete and targeted steps to the maximum of their available resources to achieve progressively the full realization of these human rights (see art. 2 of the International Covenant on Economic, Social and Cultural Rights). This includes the obligation to adopt legislative measures, as explicitly stipulated in the Covenant, and the obligation to take steps to establish regulatory frameworks informed by the standards and principles that underpin those rights. 4. When the terms “regulatory framework” or “regulation” (in general) are used in the report, they refer to secondary legislation such as norms, rules or standards establishing how services should be provided in a given context and the institutions responsible for monitoring compliance with these norms and standards. The terms “regulatory body”, “regulatory authority” or “regulator” refer to a separate body to which the State delegates regulatory functions. These bodies are often responsible for setting standards and applying and enforcing them. The term “regulatory actors” is used in a broad sense, and includes government institutions that exercise regulatory functions (i.e. a department within a ministry) and separate bodies created by the State to carry out regulatory functions. 5. 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. 1 See www.ohchr.org/EN/Issues/WaterAndSanitation/SRWater/Pages/ServiceRegulation.aspx. 3