Situation Analysis Tool: Roles and Capacity gap Analysis

Objective:

The exercise allows to identify on the one hand the right-holders, prioritizing those in a more disadvantaged or vulnerable situation, and analyze their roles in relation to the human right to water and sanitation. Next their capacity gaps are identified, that is, which capacities right holders need in order to claim and exercise their right. Similarly, the exercise seeks to identify the duty-bearers, which are their assigned roles in relation to the HRWS, and what capacities are missing for them to effectively perform their duties.

Process:

  1. Identification of the right-holders, their roles and capacity gaps
  2. Identification of the duty-bearers, their roles and capacity gaps

1. Identification of the right-holders, their roles and capacity gaps

TABLE 1: Right-holders guiding questions

  • Who are the right-holders?
  • Which are the groups who have less access to water and sanitation?
  • Are women in the same position as men?
  • Are they aware of their rights?
  • Do they know who has to ensure their enjoyment?
  • Do they know how and where to claim them?
  • How are they organized?
  • Are there mechanisms for participation at the institutional and governmental level?
  • What are their assets and capabilities?
  • How can they use and strengthen these capacities in order to obtain maximum empowerment?
  • What are the main barriers for them to see ​​this right realized?
  • What would they need to make it effective?
    • Information on human rights
    • Training on the human right to water and sanitation
    • Understand the national system
    • Opportunities to participate in decision making processes
    • Techniques and skills
    • Language and Literacy
    • Resources

The list below can be used to guide a participatory discussion on who the most vulnerable people and groups are in a specific context.

List of the populations at risk
Geographic Factor

People in remote rural areas
People vulnerable to draughts,
floods, typhoons, earthquakes
or natural disasters

Economic Factor

Those living in extreme poverty
People of the lowest wealth quintile

Cultural and Social Factors

Minorities & indigenous groups
Religious and ethnic groups
Children
People without the right of tenure
People living in slums
People living with HIV
Women and adolescent girls
People living with disabilities
Disadvantaged adolescent and youth
Older people
Refugees and internally-displaced persons
Prisoners
People in hospital

The table below can be used to complete the assessment.

TABLE 3: Right-holders, their roles and capacity gaps for the realization of the human right to water and sanitation.

Right-holders Prioritized people and groups Roles they play in relation to the HRWS Capacity gaps
Information Knowledge and training Participation Resources human, material, organizational Other

2. Identification of the duty-bearers, their roles and capacity gaps

This step must determine who the relevant duty-bearers are, what are the roles in relation to the HRWS and if they are able to meet their obligations and undertake actions to further the realization of the right. The list below provides some questions that can guide us in this assessment.

TABLE 4. Duty-bearers: guiding questions

  • Who are the duty-bearers?
  • What are their obligations in relation to the HRWS?
  • Are they aware of them? Do they recognize them?
  • Are they aware of the corresponding international and national framework?
  • What is their position regarding the specific problems?
  • What are their characteristics in terms of resources and capacity?
  • Do they interact with rights-holders?
  • Do they meet their obligations?
  • What factors are preventing them from fulfilling their responsibilities?
    • Knowledge of rights and responsibilities
    • Authority
    • Responsibility
    • Coordination with other levels and sectors
    • Access to rights holders
    • Resources
    • Corruption

The table below can be used to complete the assessment.

TABLE 5: Duty-bearers, their roles and capacity gaps for the realization of the human right to water and sanitation.

Duty-bearers Roles
Responsibilities 
defined by law, policy, action plan or contract
Capacity gaps
Authority Responsibility Awareness, motivation, commitment, leadership Technical capacity Knowledge, skills, time Resources human, material, organizational, coordination mechanisms Other
Ministries
Local Governments
Water and Sanitation Providers
National Human Rights Commission
Civil Society Organizations
Development Partners
Others