Tools & Resources

Tools and resources to assist government officials, parliamentarians and policy makers in the planning, preparation for, negotiation, monitoring, and implementation of large-scale investments

Innovation in Securing Land Rights in Africa: Lessons from experience Go to resource

This paper examines current trends in land tenure and sources of insecurity, and then moves on to describe innovative policy and practice to secure various kinds of tenure rights. Rather than providing a comprehensive review, it seeks to gather insights and lessons from seven case studies. These experiences were discussed at an IIED workshop which brought together researchers and practitioners actively engaged in land tenure policy research, debates and implementation. This briefing paper aims to inform current policy debates and initiatives to support land tenure security for low income, resource-poor and vulnerable groups who make up the majority of the population in Africa. 

A Good Deal Better? Uganda's Secret Oil Contracts (Plus Economic Model) Explained Go to resource

  • Date:  2014
  • Sector:  Extractive Industries, Oil & Gas
  • Source:  Global Witness

Global Witness has analysed and made public two “production sharing agreements” signed by the Ugandan Government and international oil companies in February 2012. They determine what share of oil revenues the Government of Uganda will get and almost every aspect of its relationship with the oil companies. This is the first time this information has been made public.

Their analysis shows that the Ugandan Government has succeeded in negotiating a better financial deal in these contracts compared with older contracts – for which it should be congratulated. But there are some significant weaknesses that still need to be addressed. The contracts lack some important human rights and environmental safeguards. This is of particular concern given the unique habitats of the oil region in Uganda which sits on the border with the Democratic Republic of Congo and the Nile River.

To see how Uganda’s oil money will be shared and evaluate the new contracts against the old contracts see the Revenue Infographic. You can also download Global Witness' open source Economic Model, the first of its kind, which can be updated when new information becomes available or adapted for other countries’ contracts. A guide is also available here.

50 Pieces of Advice to an Official who is Engaged in the Negotiation of Mining Contracts Go to resource

The governments of resource rich countries have a responsibility to be well prepared and knowledgeable in contract negotiations for natural resource extraction and long-term 
land leases – not just for the sake of securing a balanced financial deal, but to promote high standards in labour and human rights, environmental protection, health, safety, transparency and fiscal management.

This handbook provides fifty pieces of advice to ensure good governance, capacity building and sustainable development for resource rich countries.

A Framework for Disclosure in Public-Private Partnerships Go to resource

The World Bank Group recommends a systematic structure for proactively disclosing information through this Framework for Disclosure in Public-Private Partnership Projects. The Framework is embedded in the findings of a global review of PPP disclosure frameworks and practices in identified jurisdictions in transacted PPP contracts.

There is a dearth of literature and guidance on policy and practice in PPP disclosure and a wide gap in the understanding of the mechanics of disclosure by practitioners within governments and the private sector. The Framework seeks to fill this gap along with its companion volumes on Jurisdictional Studies and Good Practice Cases. Apart from its potential usefulness to practitioners in the public and private sectors, the Framework is also intended for WBG and other MDB operational teams in PPP related projects who would have a tremendous opportunity not only to educate stakeholders on the technicalities associated with disclosure but to also take on an advocacy role to promote better disclosure practices. With this broader approach in mind, professionals in the above categories from different social and infrastructure sectors have been consulted widely during the preparation of the Framework as well as the two companion volumes. 

A Practical Guide to Dealing with Land Disputes Go to resource

This guide has been written for all those working in the land sector, in natural resource management and in urban and rural development. It aims to broaden the understanding of the complexity of causes that lead to land conflicts in order to provide for better-targeted ways of addressing such conflicts. It also provides a number of tools with which to analyse land conflicts. 

A Practical Guide to Increasing Mining Local Procurement in West Africa Go to resource

  • Date:  2015
  • Sector:  Extractive Industries, Mining
  • Source:  World Bank

This guide provides information, guidance and tools to support decision-making, planning and implementation of mining local procurement in West Africa, in particular at a country level. It can be used by individual role players as well as form the basis of consultative processes. The guide can also support regional harmonization relating to mining local procurement.

The guide addresses questions that are commonly asked by governments, companies, and citizens in the region. How do we define and measure local procurement? Do we create a specific policy or legislation to encourage mining companies to buy more locally? If so, what do these look like, and what has led to successful outcomes in other countries? Do we pick winner productive sectors? How do we best support suppliers to develop the right capacities and standards to meet mine requirements? What institutional framework and which actors need to be involved to deliver? Rather than laying the main responsibility for increasing domestic sourcing on the mining sector, the guide aims at promoting a multi-stakeholder approach, in which all actors have clear roles and responsibilities. This guide has been organised into eight modules that each address a set of related questions that have been consistently raised by role players.

ABC’s of Petroleum Contracts: License-Concession Agreements, Joint Ventures, and Production-Sharing Go to resource

  • Sector:  Extractive Industries, Oil & Gas
  • Source:  OpenOil

This documents takes a more detailed look at the differences and similarities between different types of oil contracts that the governments of resource rich countries can make with international and national oil companies.

Administering Fiscal Regimes for Extractive Industries : A Handbook Go to resource

Revenues from natural resources often pose unique challenges for tax administration. This Handbook is one of the first of its kind to focus attention on effectively administering revenues from extractive industries. It provides policymakers and officials in developing and emerging market economies with practical guidelines to establish a robust legal framework, organization, and procedures for administering revenue from these industries. It discusses transparency and how to promote it in the face of increasing demands for clarity and accountability in the administration of public revenues from extractive industries, and discusses how developing countries can strengthen their managerial and technical capacity to administer these revenues.

Agriculture Investment Sourcebook Go to resource

  • Date:  2003, 2006
  • Sector:  Investment, Land & Agriculture
  • Source:  World Bank

A comprehensive guide on agricultural investments. The guide:

  • Provides information on how to develop sustainable agricultural policies and build institutional capacity;
  • Discusses different aspects of investments such as technology, information services, fisheries, agribusiness and market development, rural finance, water, vulnerability and disaster management; and
  • Offers case studies as a way of comparing different approaches to agricultural challenges and can serve as source for enhancing agricultural knowledge in the host country.

Available in Arabic, Chinese, English, French, Russian, and Spanish

AIPN Model Oil & Gas Model Contracts Go to resource

A set of model oil & gas contracts, including farmout agreements, joint operating agreements, gas sales agreements, gas transportation agreements, and LNG master agreements, that are available for purchase. Arabic, French, Portuguese, and Spanish translations of joint operating agreements (JOAs) and confidentiality agreements are also available. 

ATNS Database: Agreements, Treaties and Negotiated Settlements with Indigenous Peoples in Settler States Go to resource

A database of agreements between indigenous peoples and others in Australia, Canada, New Zealand, and South Africa.

The database offers a range of features including:

  • Background information on each agreement;
  • Links to related agreements, organizations, signatories and events;
  • A glossary of relevant terminology; and
  • Direct access to published and online resources.

Attracting Investors to African Public-Private Partnerships: A Project Preparation Guide Go to resource

  • Date:  2009
  • Sector:  Infrastructure
  • Source:  PPIAF

This publication is an earlier version of the book above on "How to Engage with the Private Sector in Public-Private Partnerships in Emerging Markets". This book was aimed at African public sector officials while the updated version focuses beyond Africa with a wide range of case studies from several regions and sectors to show a more global perspective and experiences. 

The publication is also available in French.  

Biodiversity Management Handbook Go to resource

  • Date:  2007
  • Sector:  Extractive Industries, Mining
  • Source:  CommDev

Handbook on how to manage and maintain biodiversity standards in mining operations. This handbook outlines the key principles and procedures now recognized as leading practice
for assessing biodiversity values, namely:

  • identifying any primary, secondary or cumulative impacts on biodiversity values
  • minimizing and managing these impacts
  • restoring conservation values
  • managing conservation values on a sustainable basis.

Body of Knowledge on Infrastructure Regulation (BoKIR) Go to resource

The BoKIR summarizes some of the best thinking on infrastructure policy.

This site provides links to more than 500 references, an extensive glossary and self-testing features to facilitate learning. The glossary is available in several languages including Arabic, Chinese, French, Italian, Japanese, Portuguese, Russian, Spanish, and Thai. The references include publications and decisions by regulatory agencies and other governmental bodies; policy advisories by think tanks, consultants, donor agencies, and others; and research by academics, consultants, and other experts.

CCSI CDA Database & Community Development Requirements Mapping Go to resource

Governments are increasingly requiring mining companies to deliver social and economic benefits to local communities when undertaking mining projects. These requirements are encapsulated in different ways in countries’ regulatory frameworks, from a loosely expressed obligation to provide benefits to local communities, through community development plans, to community development funds and community development agreements (CDA). In some cases, the company delivers benefits voluntarily (i.e., in the absence of legal requirements) through agreements with local communities or other initiatives.

Columbia Center on Sustainable Investment (CCSI) is collecting and reviewing these community development requirements globally, as found in countries’ legislation, regulations and policies. Voluntary initiatives undertaken by companies are also being considered. This tool maps out those requirements globally, and contains a collection of available CDAs.

CCSI Emerging Practices in Community Development Agreements Go to resource

A Community Development Agreement or CDA can be a vital mechanism for ensuring that local communities benefit from large-scale investment projects. CDAs set out how the benefits of an investment project will be shared with local communities. In some countries CDAs are required by domestic legislation; in others, they are entered into voluntarily. The most effective CDAs are also adapted to the local context, meaning that no single model agreement or process will be appropriate in every situation. Nonetheless, leading practices are emerging which can be required by governments or voluntarily adopted by companies and communities. In this briefing note Columbia Center on Sustainable Investment (CCSI) reviews existing research, as well as available agreements from the extractive sector in Australia, Canada, Laos, Papua New Guinea, Ghana and Greenland, to highlight these leading practices. 

CCSI Framework to Approach Shared Use of Mining-Related Infrastructure Go to resource

The Columbia Center on Sustainable Investment (CCSI) framework aims to provide guidance to policy makers on how to approach the question of shared use of mining-related infrastructure (rails, ports, power, water, and ICT), highlighting the operational models that are necessary for implementation, the key-success factors, the enabling conditions and how to ultimately better coordinate major investments in physical infrastructure by privately-owned natural resource concessionaires with national infrastructure development plans.

The framework also equips policy makers with a set of questions that should help conduct the negotiations on shared use with companies. The goal of the framework is to include shared infrastructure use as part of the planning and negotiation stages of extractive industry investments.

CCSI Gold Benchmarking Model Go to resource

With the support of IBIS, Columbia Center on Sustainable Investment (CCSI) has developed a gold benchmarking model that allows users to compare 10 fiscal regimes of gold producing jursdictions and the possibility to add the fiscal terms of an additional mining contract.

The use of the model has been piloted with the Africa Center for Energy Policy (ACEP) in Ghana and LATINDADD in Peru. Given that the benchmarking exercise needs to be done among peer group countries, which are those with a similar geology, infrastructure and political risk, the model includes the fiscal terms of countries chosen by ACEP and LATINDADD. 

Several sensitivity tests are provided, which allow the user to understand how the project economics and government returns change with varying assumptions, such as changes in the prices or changes in costs. CCSI has not locked any cells in the model to ensure that it is highly adaptable depending on the needs/requirement of the user.

CCSI Guide to Land Contracts: Agricultural Projects Go to resource

This Guide was prepared by International Senior Lawyers Project (ISLP) staff and volunteers in collaboration with the Columbia Center on Sustainable Investment (CCSI). It was developed to assist non-lawyers in better understanding agricultural investment contracts, such as those available on OpenLandContracts.org. Agricultural investment contracts can be complex, and some provisions may be difficult to understand. The Guide provides explanations for a range of common provisions, and includes a Glossary of legal and technical terms.

CCSI Mining a mirage: Reassessing the shared-value paradigm in light of the technological advances in the mining sector Go to resource

While there has been a strong tendency in resource-rich countries to push for more stringent local content regulations, the mining sector is looking to move towards increased automation. Such technological advances have the potential to increase health and safety standards as well as productivity of mine sites. However, this disruptive innovation is also likely to reduce in-pit mining workforce, employ a workforce with different skill sets, and require more advanced procurement standards. In this study, CCSI, IISD and Engineers Without Borders researched the technological innovations that are being developed, assessing when these technologies could be rolled out, and quantifying the potential impacts automation may have on local employment and procurement. The objective was to better understand how governments can adapt local content, industrial policies and their vision of the shared value paradigm in order to prepare for and embrace technological advances in the mining sector.

CCSI Open Fiscal LNG Model Go to resource

Having a fiscal model is key to enable countries to better understand the gas value chain and how to structure complex and capital intensive Liquefied Natural Gas (LNG) projects for the benefit of the country.

Thomas Mitro of the University of Houston and Columbia Center on Sustainable Investment (CCSI) have built the first open fiscal LNG modelthat allows users to test different LNG commercial structures, compare domestic gas use options and assess the impact of various fiscal tools along the gas value chain. A manual has been developed to explain some basic concepts around the LNG value chain and to help using this tool.

CCSI Research: Local Content Laws & Contractual Provisions Go to resource

Resource-rich countries are increasingly inserting requirements for local content (“local content provisions”) into their legal framework, through legislation, regulations, contracts and bidding practices. If successful, a policy to increase local content can lead to job creation, boost the domestic private sector, facilitate technology transfer and build a competitive local workforce. However, local content goals are often unfulfilled and the opportunities are not captured.

Columbia Center on Sustainable Investment (CCSI) has conducted a survey of the local content frameworks of a number of countries, identifying the key legislation, regulations, contracts and non-binding policies and frameworks dealing with local content issues in the mining and petroleum sectors. A profile was created for each country, summarizing the provisions in the legal instruments dealing with local content and highlighting examples of high impact clauses. The profiles examine provisions dealing with local employment, training, procurement, technology transfer, local content plans as well as local ownership, depending on the country’s approach to and definition of local content. In addition, the profiles look at implementation, monitoring and enforcement provisions, as well as the government’s role in expanding local involvement. CCSI also surveyed the relevant WTO agreements and investment treaties in each country profiled to identify the provisions that may prevent, counsel against, and/or shield local content standards.

The profiles are intended as a tool for policy makers, researchers and citizens seeking to understand and compare how local content is dealt with in their own and other countries, and to provide some examples of language that might be adopted in a framework to achieve local content goals. Hyperlinks are provided to the source legislation, regulations, policies and contracts where available.

As local content policies are so context specific, CCSI welcomes comments and corrections on these profiles from practitioners in the reviewed countries, including with respect to any omissions.

Community Agreements and Mining: A New Frontier for Social Impact Investments Go to resource

This report explores the role that an impact investment fund may have in the negotiation of mining-related community agreements. Key insights - mining and social conflict, sustainable development and community agreements are discussed, with specific focus on the Philippines, where the free, prior and informed consent of indigenous communities to mining is legally required, as are community agreements with companies. 

Community Development Agreement Library Go to resource

SDSG is establishing a public library of materials related to Community Development Agreements (CDA) between resource companies and local communities. Some of these may also involve government at the national or local levels. The goal of the library project is to allow sharing of experience and actual models from different countries and regions.

This library includes materials about Community Development Agreements, which are also called by different names, such as IBAs, or “Impact Benefit Agreements.”Some of the materials also include discussions of how CDAs are negotiated, or which discuss overcoming the difference in capacity of the various parties to negotiation.

In addition, the library includes copies of actual agreements that have been negotiated in different communities, in any language.

Community Development Agreement Model Regulations & Example Guidelines Go to resource

  • Date:  2010
  • Sector:  Extractive Industries, Land & Agriculture, Mining, Oil & Gas
  • Source:  World Bank

This report provides a draft model community development agreement regulations suitable for adoption into legislation or which can be modified for use as guidelines.

Community Development Toolkit Go to resource

This toolkit aims to:

  • foster constructive working relationships and alliances among communities, companies and governments
  • build capacity within governments, companies and communities to address sustainable development issues at the local level
  • promote the value-adding potential of mine development and operation in support of local and regional social and economic sustainable development efforts
  • improve opportunities for the sustainable development of communities around mining and metals operations and regions during all phases of the mining and metals cycle

 

Community Guide to Getting a Fair Deal from Companies and Investors Go to resource

  • Date:  2013
  • Sector:  Extractive Industries, Land & Agriculture
  • Source:  Namati

This is a “How To” guide for rural communities considering whether to share their land and natural resources with investors. The guide explains how a community can proactively prepare themselves before an investor approaches them, what questions community members should ask both themselves and investors before going into contract negotiations, and how to ensure that they receive truly equitable benefits in return for sharing their land and resources. The guide also includes actions that communities can take if, having already signed an agreement in the past, they feel as though they are being treated unfairly or want to enforce elements of the contractual agreement.

CompareTheMap.com Go to resource

Developers extracted data from GapMinder and EITI to create graphical tools for comparing extractive revenue with poverty indicators. 

Contract Monitoring Roadmap Go to resource

A step-by-step guide to understanding how to monitor a contract in the extractive industries, including tools, resources and case studies for each step. It leads the reader through the process of choosing a monitoring goal, establishing the monitoring mechanism, collecting and analyzing data, and finally publicizing and using data to ensure contract implementation.

The roadmap is also available in French.

Designing a Legal Regime to Capture Capital Gains Tax on Indirect Transfers of Mineral and Petroleum Rights: A Practical Guide Go to resource

Building on the momentum created by the Platform for Collaboration on Tax’s draft paper regarding taxing indirect transfers of source country assets, CCSI and the International Senior Lawyers Project (ISLP) developed a practical guide for developing country governments on the taxation of indirect transfers of extractive industries’ assets.  Indirect transfers occur when—instead of selling the asset—the shares of the domestic subsidiary, the shares of the foreign company with a branch in the country, or the shares of the holding company are sold.  In these cases, the right to capital gain attributable to the underlying situation in the host country is more likely to escape taxation by the host country on the transfer, unless domestic law has special provisions to capture the gains made through such an indirect transfer.  

This document provides practical guidance to address the taxation of indirect transfers of assets of extractive industries that are located in developing countries. It focuses on issues that developing country governments may wish to consider if they adopt a policy to tax such transfers. In doing so, it examines the language of the legislative and regulatory provisions employed by countries that have adopted such a policy to tax and comments on the pros and cons of these provisions. 

Dispute or dialogue? Community perspectives on company-led grievance mechanisms Go to resource

This book brings to light a range of powerful case studies of how companies, often with communities, have built grievance mechanisms that have both enjoyed a good measure of success and offered important lessons. The cases convey varying perspectives on the mechanisms they review, including the crucial perspectives of affected communities themselves. Together, they offer valuable insights into the considerable challenges, and the equally considerable benefits, of effective company-community grievance mechanisms.

 

 

 

Draft PPP Policy Outline Go to resource

  • Date:  2012
  • Sector:  Infrastructure
  • Source:  PPIAF

This note provides an outline of a proposed PPP policy, which covers the following topics:

  • Definition and scope;
  • Objectives of the PPP program;
  • Principles of PPP agreements;
  • Risk allocation in PPP projects; 
  • Establishment of a PPP unit;
  • PPP procedures; and
  • Auditing the PPP program. 

Energy Charter Model Agreements for Cross-Border Pipelines and Electricity Projects Go to resource

  • Sector:  Extractive Industries, Infrastructure, Oil & Gas
  • Source:  Energy Charter

The Energy Charter Conference welcomed the work of the Energy Charter Secretariat, with the valuable assistance of the Legal Advisory Task Force in preparing and updating Model Agreements as a set of non-legally-binding guidelines for the negotiation of cross-border projects.

These have been developed with a view to providing interested parties to energy-related projects with a neutral and non-prescriptive starting point for negotiations, and thus, facilitating project-specific talks. This work was done with the help of a professional consultant and with the valuable assistance of the voluntary Legal Advisory Task Force. The Model Agreements were prepared based on best international practices and with the aim of reflecting as much as possible the interests of the different parties concerned.

This work began with the preparation of Model Agreements for Cross-Border Pipelines (Pipeline Model Agreements, or PMAs), which were released in 2004 following the approval of the Energy Charter Conference. Subsequently, the PMAs were revised and updated; this second edition was published in 2008.

The Secretariat then developed Model Agreements for Cross-Border Electricity Projects (Electricity Model Agreements, or EMAs) and, as a supplement to EMAs, the Market and System Inter-Operability Agreement Guidelines for Cross-Border Electricity Projects (Guidelines to Electricity Model Agreements, or GEMA).

Currently, the Secretariat is working on an Investment Model Agreements (IMAs).

Enforcing the Rules: Conclusions and Recommendations Go to resource

A report that aims at helping government and civil society actors understand the challenges and good practices associated with effective oversight and enforcement in the mining industry.

To monitor, mining obligations must first be identified, but they are not always obvious.

Environmental Impact Assessment Law Matrix Go to resource

A website that enables users to easily access EIA laws and regulations, to view summaries of the EIA system for selected countries, and to make comparisons among all of the laws included in the database.

EO100™ Standard Go to resource

The Equitable Origin System includes a rigorous, comprehensive standard for oil and gas exploration and production, as well as a certificate trading system and ecolabel program that enables downstream customers to support better production practices.

The EO100™ Standard creates metrics and performance targets that address the social and environmental impacts of oil and gas exploration and production. The six principles of the EO100™ Standard build upon the recommendations of the oil and gas industry, leading international NGOs focused on oil and gas production and indigenous communities affected by oil and gas exploration and production. The standard also incorporates the results of analyses of and dialogues with a variety of social and environmental initiatives, standards, conventions and declarations. A full list of those references is included in the EO100™ Standard

By achieving consensus from the oil and gas industry, NGOs, indigenous communities and governmental agencies, Equitable Origin provides a framework for responsible oil and gas exploration and production that encourages and incentivizes social and environmental excellence. Coupled with the market mechanism, the Equitable Origin certification system makes improved practices in the oil and gas industry financially viable.

The EO100™ Standard does not specify required technologies to reduce environmental and social impact, but rather provides a rating system with which such impact is evaluated. The standard defines a minimum level of performance below which certification to the EO100™ Standard will not be awarded. Above the minimum level of performance, a given production operation can earn extra qualifying points.

EPEC PPP Guide Go to resource

The EPEC PPP Guide has been designed as tool gathering “good practice” sources of information. It seeks to identify the “best of breed” guidance available from PPP guidelines worldwide and from selected professional publications. It is designed to assist public officials responsible for preparing, launching and implementing PPP projects and to facilitate their understanding of the key issues and steps involved in the delivery of PPP arrangements.

The EPEC PPP Guide can be used in a number of ways. For example:

As a broad guide to procurement and implementation issues in PPPs;
As an introduction to the information public procuring authorities should request from their advisers; and
As a starting point to learn more about specific aspects of PPP design.

Evaluating a Grievance Redress Mechanism Worksheet Go to resource

  • Sector:  Extractive Industries, Infrastructure, Investment, Investment Treaties, Land & Agriculture, Mining, Oil & Gas
  • Source:  The World Bank Group

A worksheet created by the World Bank for the Forest Carbon Partnership Facility (FCPF) posing important questions for evaluating a grievance redress mechanism. 

Extractive Industries Transparency Initiative (EITI) Standard Go to resource

The EITI Standard is an authoritative source on how countries can implement the EITI. The website is available in English, French, and Russian.

Countries implement the EITI Standard to ensure full disclosure of taxes and other payments made by oil, gas and mining companies to governments. These payments are disclosed in an annual EITI Report, which allows citizens to see for themselves how much their government is receiving from their country’s natural resources. To see all EITI Reports, go to data.eiti.org.

FAO Investment Centre Environmental Impact Guidelines Go to resource

Guidelines that provide an overview of how to conduct environmental impact assessments of agriculture and sector-related investments.

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