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

OpenOil: Contract Modeling Go to resource

  • Date:  2015
  • Sector:  Oil & Gas
  • Source:  OpenOil

Public interest financial models: Glencore’s Mangara and Badila oilfield in Chad (5MB), the Bulyanhulu gold mine operated by Acacia Resources in Tanzania (6MB), and the Amu Darya oil field operated by CNPC in Afghanistan (6MB).

Each package includes an Excel version of the model, a narrative report summarising findings and the document summary which contains source documents for all exegesis of the contracts and data inputs and assumptions. There is also a separate Information Gap analysis, which classifies a series of gaps in the data and quantifies the uncertainty arising from each in terms of potential government revenues.

Other models in process are of the Oyo Tolgoi gold mine in Mongolia and an offshore gas project in the Philippines.

OpenOil: Public Interest Financial Modeling of Extractive Industry Projects Go to resource

  • Date:  2015
  • Sector:  Oil & Gas
  • Source:  OpenOil

This document describes the importance of financial models for extractives industries. 

It includes explanations about what models are for, what they can and cannot do, and the relation between modelling and transparency. 

 

Petroleum Allocation and Exploration Rights: Allocation Strategies and Design Issues Go to resource

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

An introduction to the factors that affect the efficient and transparent allocation of petroleum exploration, development, and production rights. It discusses the different political, economic and social interests that go into the allocation of these rights and touches upon various approaches to allocate them, including legal and fiscal issues. It then guides the reader through how to design an appropriate rights allocation system.

Policy Guidance for Investment in Clean Energy Infrastructure Go to resource

  • Date:  2013
  • Sector:  Infrastructure, Investment
  • Source:  OECD

Policy guidance which aims to provide host country governments with policy options to maximize investment opportunities in clean energy infrastructure.

Port Reform Toolkit: Effective Support for Policymakers and Practitioners Go to resource

  • Date:  2007
  • Sector:  Infrastructure
  • Source:  PPIAF

Provides policy makers and practitioners with effective decision making support in undertaking sustainable and well-considered reforms of public institutions that provide, direct and regulate port services in developing countries.

PPP in Infrastructure Resource Center for Contracts, Laws, and Regulation (PPPIRC) Go to resource

A website that provides practical guidance and best practice in the planning, development and legal structuring of infrastructure projects, especially those involving the private sector.

The website includes sample documents, clauses and legislation from the power, water and sanitation, telecom, and transport sectors. It also includes standard procurement and bidding documents. Materials are available in English, French and Spanish.

Practical Guide: Mining and Communities Go to resource

  • Date:  2015
  • Sector:  Extractive Industries, Mining, Oil & Gas
  • Source:  Communities First

Written in a question-and-answer format with dialogues among local people, the 300-page combined reference manual and interactive curriculum addresses: mines & communities, meaning the mine life cycle, the changes it brings, how to participate in an impact assessment and monitor the management plan; the rule of law, including human rights and the roles and responsibilities of each actor; conflict and violence prevention and tools supporting improved communication, negotiation and community cohesion, including consultation or community protocols and participatory land use planning; the possible benefits of mining, and tools to capture mining’s benefits, including local content strategies, community development agreements, and local financial management; ways to address and minimize impacts on land (compensation mechanisms, and resettlement), environment and cultural sites; what actions people can take locally to voice their concerns, how to document and monitor (including baseline studies, community-controlled impact assessments, joint participatory monitoring) and options for access to remedy locally, nationally, regionally and internationally.

In each of the Modules, the Guide draws on and summarizes relevant aspects of domestic law (not only the mining law, but also the Constitution, law of decentralization, land law, environmental protection law, water law, public health law, and more), regional and international human rights law, gender, industry best practice, and advice and case studies from affected communities around the world.

The Guide is available in French. An abridged summary version of the Guide is available in French and English. A folder with the Guide’s reference documents is available on Dropbox.

Preparing National Strategies to Achieve the Millennium Development Goals: A Handbook Go to resource

  • Date:  2005
  • Sector:  Investment
  • Source:  UNDP

The handbook presents a “how to” guide that can be used by governments, UN country teams, and other development professionals in preparing MDG-based national development strategies.

Principles for Responsible Contracts: Integrating the Management of Human Rights Risks into State-Investor Contract Negotiations: Guidance for Negotiators Go to resource

  • Date:  2011
  • Sector:  Extractive Industries, Infrastructure, Land & Agriculture, Mining, Oil & Gas
  • Source:  UN Human Rights Council

A guide that sets out and explains 10 principles that can help guide the integration of human rights risk management into contract negotiations.

Principles for Responsible Investment in Agriculture that respects Rights, Livelihoods and Resources (PRAI) Go to resource

  • Date:  2010
  • Sector:  Investment, Land & Agriculture
  • Source: 

The seven Principles for Responsible Agricultural Investment cover all types of investment in agriculture, including between principal investors and contract farmers. In many cases no purchase of land or concessions are involved. Where this does occur the principles cover both large and small holdings. The Principles are based on detailed research on the nature, extent and impacts of private sector investment and best practices in law and policy. They are intended to distil the lessons learned and provide a framework for national regulations, international investment agreements, global corporate social responsibility initiatives, and individual investor contracts.

Public-Private Partnership Infrastructure Resource Center Go to resource

This resource provides: 

  • Asummary of each type of PPP arrangement;
  • Sample agreements and clauses; and
  • Checklists of issues to consider when preparing or reviewing PPP project documents. 

Some documents are also available in Spanish.

Public-private partnerships in the infrastructure sector: a practical guide for policy makers Go to resource

  • Date:  2010
  • Sector:  Infrastructure
  • Source:  PPIAF

Public-private partnerships (PPP) are one of the tools available to policymakers to support increased investment in infrastructure services and improve efficiency. The PPP approach in the delivery of infrastructure services is radically different from traditional public procurement system, which also creates a number of challenges. The book is a practical guide for PPP in particular policy makers and strategists who need to understand the major issues relating to the preparation and financing of PPP. Emphasis is placed on the need for a quality preparation and thoughtful implementation.

Public-Private Partnerships Reference Guide: Version 2.0 Go to resource

The PPP Reference Guide is a comprehensive resource for PPP practitioners worldwide, drawing from global approaches and experiences.

The PPP Reference Guide seeks to provide advice on what PPP practitioners should know, rather than provide advice on what to do. The Guide sets out the main topics, looks at the key issues that must be addressed, and provides some of the most important references that PPP practitioners can turn to for answers and to enhance their own knowledge and understanding.

The website is also available in French and Spanish, but the document is only available in english.

It is structured into separate sections that focus on three main areas:

  1. What are PPPs, when might they be used and what are the advantages and disadvantages relative to public provision;
  2. What kind of policy, legal and institutional frameworks should be put into place to help improve their effectiveness; and
  3. What are the ways in which PPP projects can be developed and implemented.

A diverse range of case studies and institutional solutions, from all parts of the world, are presented in the PPP Reference Guide.

Railway Reform: Toolkit for Improving Rail Sector Performance (2011) Go to resource

  • Date:  2011
  • Sector:  Infrastructure
  • Source:  PPIAF

Provides an easy-to-use resource on the rail industry—what it is and what it does best—and provides an experience-based set of best practices to aid in the planning and execution of railway reforms. Professionals and practitioners who could benefit from this toolkit include government policy makers, legislators, regulators, railway management personnel, international financial institutions, and other stakeholders-including railway customers and employees—who seek improvements in railway financial and operational performance.

The toolkit is now available in English and Russian.

Resource Governance Index Go to resource

A measure of transparency and accountability in the oil, gas and mining sectors. The RGI scores and ranks the countries, relying on a detailed questionnaire completed by researchers with expertise in the extractive industries. The Index assesses the quality of four key governance components: Institutional and Legal Setting; Reporting Practices; Safeguards and Quality Controls; and Enabling Environment. It also includes information on three special mechanisms used commonly to govern oil, gas and minerals—state-owned companies, natural resource funds and subnational revenue transfers.

ResourceContracts.org - An Oil and Mining Contracts Database Go to resource

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

A searchable database of oil and mining contracts, agreements and key terms.

Respecting Free, Prior and Informed Consent Go to resource

A practical guidance for governments, companies, NGOs, indigenous peoples, and local communities in relation to land acquisition. 

This technical guide sets out practical actions for government agencies to respect and protect free, prior and informed consent (FPIC) and for civil society organizations, land users and private investors globally to comply with their responsibilities with FPIC. 

Responsible investments should do no harm, safeguard against dispossession of legitimate tenure right holders and environmental damage, and should respect human rights. 

Rights-Compatible Grievance Mechanisms Go to resource

An effective grievance mechanism is an essential addition for any responsible company to its tools for monitoring, auditing and stakeholder engagement. But what exactly makes a grievance mechanism effective? This guidance aims to help answer that question. It provides a tool for companies and their local stakeholders jointly to devise rights­compatible, effective grievance mechanisms that maximise the opportunities to achieve sustainable solutions to disputes. A rights­compatible mechanism integrates human rights norms and standards into its processes and is based on principles of non­discrimination, equity, accountability, empowerment and participation. It can deal with most kinds of grievances (bar those raising criminal liability), including – but by no means limited to – those that reflect substantive human/labour rights concerns. Ensuring it is rights­compatible in both its process and outcomes is vital to the mechanism’s credibility and legitimacy, both locally and internationally, as well as to its potential success in practice. 

Risk Allocation in Oil and Gas Contracts Go to resource

  • Date:  2011
  • Sector:  Extractive Industries, Oil & Gas

This paper analyses various standard clauses to apportion liability in the oil and gas industry. The issues touched upon are indemnity, exclusion of liability, and limitation of liability. It offers a discussion and explanation of each as well as examples from model contracts, and tips on how to negotiate, draft, and interpret each type of clause.

Safeguarding land tenure rights in the context of agricultural investment Go to resource

This guide has been developed in response to concerns regarding large-scale land acquisitions and the need to increase investment in agriculture. The guide supports application of the Voluntary Guidelines on the Responsible Governance of Tenure for Land, Fisheries and Forests in the Context of National Food Security at the national level by providing technical guidance on how to safeguard tenure rights in the context of agricultural investments, including in land. It aims to provide additional guidance to government authorities engaged in the promotion, approval and monitoring of investments at all stages of the investment cycle. The guide also serves as a reference for implementation of the Principles for Responsible Investment in Agriculture and Food Systems endorsed by the Committee on World Food Security (CFS) in October 2014 (CFS, 2014).

Social and Environmental Sustainability of Agriculture and Rural Development Investments: A Monitoring and Evaluation Toolkit Go to resource

The purpose of this toolkit is to provide practical guidance in the monitoring and evaluation of the environmental and social sustainability of Agricultural and Rural Development programs and projects.

The website is available in Arabic, Chinese, English, French, Russian, and Spanish, but the document is only available in English. 

Southern Africa Resource Barometer Go to resource

The Resource Barometer principles are designed to assist key stakeholders, particularly parliaments in Southern Africa, to effectively discharge their oversight of the extractive industries with the aim of ensuring that minerals benefit all citizens. The principles are informed by SADC countries' national legislations and regulations, international best practices and conventions, and inputs from practitioners. While these principles make reference to mining, they provide guidance on all types of extractive industries, regardless of their size and each country's way of doing business. The proposed principles and guidelines are of a general nature. 

 

Stabilization Clauses and Human Rights Go to resource

  • Date:  2009
  • Sector:  Extractive Industries, Land & Agriculture
  • Source:  IFC

A study on the impact of stabilization clauses in investment contracts that affect a state's action to implement its international human rights obligations.

Stakeholder Engagement: Feasibility Studies and Project Planning Go to resource

A guide that details how to engage project stakeholders in environmental and social impact assessment (ESIA) studies, as well as describing actions that must be taken to ensure that all stakeholders are listened to and included in the project’s feasibility assessment.

Stakeholder Identification and Analysis Go to resource

Contains guidance questions, case studies and brief explanations to lead the user through the process of identifying stakeholders who are affected by a project, to what degree and how they can influence the project. This guidance will then help to build a stakeholder engagement process.

Strategic Infrastructure Steps to Prepare and Accelerate Public-Private Partnerships Go to resource

Tax avoidance by mining companies in developing countries Go to resource

Despite the fact that some developing countries are rich in mineral resources, a potential source of large revenues, they often fail to develop sufficiently in order to improve the welfare and prosperity of their population. This is in part because the mining companies that profit from these resources do not always pay their fair share of taxes in mining countries, by using international tax avoidance structures. According to a report released in 2015 by the High Level Panel on Illicit Financial Flows from Africa, headed by the former South African president Thabo Mbeki, “aggressive tax avoidance” plays an important role in depriving African countries of the resources needed for social services, infrastructure and investments.
The Netherlands could be involved in this tax avoidance, as many international mining groups have established holding and financing companies in the Netherlands, through which they invest in developing countries. This research project, undertaken by Profundo for the Dutch Ministry of Foreign Affairs, in collaboration with the Offshore Kenniscentrum (OKC), studies this issue further and explores potential policy initiatives the Dutch government could take to address the issue.

The Extractive Industries Sector : Essentials for Economists, Public Finance Professionals, and Policy Makers Go to resource

  • Date:  2015
  • Sector:  Extractive Industries
  • Source: 

The extractive industries (EI) sector occupies an outsize space in the economies of many developing countries. Economists, public finance professionals, and policy makers working in such countries are frequently confronted with issues that require an in-depth understanding of the sector. The objective of this volume is to provide a concise overview of EI-related topics these professionals are likely to encounter. The volume provides an overview of issues central to EI economics; discusses key components of the sector’s governance, policy, and institutional frameworks; and identifies the public sector’s EI-related financing obligations. Its discussion of EI economics covers the valuation of subsoil assets, the economic interpretation of ore, and the structure of energy and mineral markets. The volume maps the responsibilities of relevant government entities and outlines the characteristics of the EI sector’s legal and regulatory frameworks. Specific key functions of the sector are briefly discussed, as are the financial structures that underpin environmental and social safeguards; investment of public revenues generated from oil, gas, or minerals; as well as extractive-based economic diversification. The authors hope that decision makers in ministries of finance, international organizations, and other relevant entities will find the study useful to their understanding and analysis of the EI sector.The extractive industries (EI) sector occupies an outsize space in the economies of many developing countries. Economists, public finance professionals, and policy makers working in such countries are frequently confronted with issues that require an in-depth understanding of the sector. The objective of this volume is to provide a concise overview of EI-related topics these professionals are likely to encounter. The volume provides an overview of issues central to EI economics; discusses key components of the sector’s governance, policy, and institutional frameworks; and identifies the public sector’s EI-related financing obligations. Its discussion of EI economics covers the valuation of subsoil assets, the economic interpretation of ore, and the structure of energy and mineral markets. The volume maps the responsibilities of relevant government entities and outlines the characteristics of the EI sector’s legal and regulatory frameworks. Specific key functions of the sector are briefly discussed, as are the financial structures that underpin environmental and social safeguards; investment of public revenues generated from oil, gas, or minerals; as well as extractive-based economic diversification. The authors hope that decision makers in ministries of finance, international organizations, and other relevant entities will find the study useful to their understanding and analysis of the EI sector.

The Extractive Industries Sector : Essentials for Economists, Public Finance Professionals, and Policy Makers Go to resource

  • Date:  2015
  • Sector:  Extractive Industries
  • Source: 

The extractive industries (EI) sector occupies an outsize space in the economies of many developing countries. Economists, public finance professionals, and policy makers working in such countries are frequently confronted with issues that require an in-depth understanding of the sector. The objective of this volume is to provide a concise overview of EI-related topics these professionals are likely to encounter. T

he volume provides an overview of issues central to EI economics; discusses key components of the sector’s governance, policy, and institutional frameworks; and identifies the public sector’s EI-related financing obligations. Its discussion of EI economics covers the valuation of subsoil assets, the economic interpretation of ore, and the structure of energy and mineral markets. The volume maps the responsibilities of relevant government entities and outlines the characteristics of the EI sector’s legal and regulatory frameworks. Specific key functions of the sector are briefly discussed, as are the financial structures that underpin environmental and social safeguards; investment of public revenues generated from oil, gas, or minerals; as well as extractive-based economic diversification.

The authors hope that decision makers in ministries of finance, international organizations, and other relevant entities will find the study useful to their understanding and analysis of the EI sector.

The Extractive Industries Sector : Essentials for Economists, Public Finance Professionals, and Policy Makers Go to resource

The extractive industries (EI) sector occupies an outsize space in the economies of many developing countries. Economists, public finance professionals, and policy makers working in such countries are frequently confronted with issues that require an in-depth understanding of the sector. The objective of this volume is to provide a concise overview of EI-related topics these professionals are likely to encounter. The volume provides an overview of issues central to EI economics; discusses key components of the sector’s governance, policy, and institutional frameworks; and identifies the public sector’s EI-related financing obligations. Its discussion of EI economics covers the valuation of subsoil assets, the economic interpretation of ore, and the structure of energy and mineral markets. The volume maps the responsibilities of relevant government entities and outlines the characteristics of the EI sector’s legal and regulatory frameworks. Specific key functions of the sector are briefly discussed, as are the financial structures that underpin environmental and social safeguards; investment of public revenues generated from oil, gas, or minerals; as well as extractive-based economic diversification. The authors hope that decision makers in ministries of finance, international organizations, and other relevant entities will find the study useful to their understanding and analysis of the EI sector.

Toolkit for Public-Private Partnerships in Roads and Highways Go to resource

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

Assists transport sector policy makers in low- and middle-income countries in implementing procedures to promote private sector participation and financing in the development of their road and highway sector.

Towards Sustainable Decommissioning and Closure of Oil Fields and Mines: A Toolkit to Assist Government Agencies Go to resource

  • Sector:  Extractive Industries, Mining, Oil & Gas
  • Source:  World Bank

This toolkit is designed to increase the level of awareness on decommissioning and closure issues. It serves as guidance to government authorities, institutions and regulatory agencies, in natural-resource rich, developing countries, seeking to establish or improve closure and decommissioning programs for the extractives sectors.

Transparency in Extractive Industry legislation. Recommendations for Kazakhstan's Code on Subsurface Use Go to resource

This issue paper discusses ways to install robust transparency provisions in the Republic of Kazakhstan's Code on Subsurface and Subsurface Use. In developing a new Code, the government aims to provide an integrated legal framework across the oil, gas, mining and minerals sectors, promote more foreign investment and reduce the government's control over the extractive industry sector.

Tripartite declaration of principles concerning multinational enterprises and social policy (MNE Declaration) - 4th Edition Go to resource

  • Date:  2006
  • Sector:  Extractive Industries, Infrastructure, Investment, Land & Agriculture, Mining, Oil & Gas
  • Source:  ILO

The principles laid down in this universal instrument offer guidelines to MNEs, governments, and employers’ and workers’ organizations in such areas as employment, training, conditions of work and life, and industrial relations.

The prominent role of MNEs in the process of social and economic globalization renders the application of the principles of the MNE Declaration as timely and necessary as they were at the time of adoption. As efforts to attract and boost foreign direct investment gather momentum within and across many parts of the world, the parties concerned have a new opportunity to use the principles of the Declaration as guidelines for enhancing the positive social and labour effects of the operations of MNEs.

Available in Arabic, Bahasa Indonesian, Chinese, English, French, German, Italian, Japanese, Portuguese, Russian, and Spanish.

UNCITRAL Legislative Guide on Privately Financed Infrastructure Projects Go to resource

  • Date:  2000
  • Sector:  Infrastructure
  • Source:  UNCITRAL

A guide is to assist in the establishment of a legal framework favorable to private investment in public infrastructure. The advice provided in the Guide aims at achieving a balance between the desire to facilitate and encourage private participation in infrastructure projects, on the one hand, and various public interest concerns of the host country, on the other.

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

UNCTAD - Investment Facilitation: An Action Menu Go to resource

  • Date:  2016
  • Sector:  Extractive Industries, Infrastructure, Investment, Investment Treaties, Land & Agriculture, Mining, Oil & Gas
  • Source:  UNCTAD- Investment Hub Policy

The Action Menu proposes 10 action lines with a series of options for investment policymakers to adapt and adopt for national and international policy needs: the package includes actions that countries can choose to implement unilaterally, and options that can guide international collaboration or that can be incorporated in international investment agreements. The Action Menu should be read in the broader context of UNCTAD's Investment Policy Framework for Sustainable Development.

The proposed Action Menu is preliminary research, comments and ideas are invaluable to the further development of the Action Menu.

UNCTAD Database of Bilateral Investment Treaties Go to resource

  • Sector:  Investment Treaties
  • Source:  UNCTAD

A BITs search engine which provides a user-friendly way to retrieve either: (1) all available BITs signed by one country, and (2) a specific BIT between two countries.

UNCTAD Investment Dispute Settlement Navigator Go to resource

  • Date:  2015
  • Sector:  Extractive Industries, Infrastructure, Investment, Investment Treaties, Land & Agriculture, Mining, Oil & Gas
  • Source:  UNCTAD

The UNCTAD Investment Dispute Settlement Navigator contains information about known international arbitration cases initiated by investors against States pursuant to international investment agreements (IIAs). Such arbitrations are also referred to as treaty-based investor-State dispute settlement (ISDS) cases.

Understanding Power Purchase Agreements Go to resource

This handbook is intended to provide an overview of PPAs and the obligations, risks, and remedies that are found within them.

Unsolicited Infrastructure Proposals: How Some Countries Introduce Competition and Transparency Go to resource

  • Sector:  Infrastructure
  • Source:  PPIAF

This paper looks at how governments can manage "unsolicited proposals" for PPPs--that is, proposals for PPP projects that originate from private companies, without being specifically requested by governments. The paper sets out the main challenges of dealing with such proposals--how to maintain private sector interest in coming up with project ideas, while ensuring competition and transparency in how these projects are developed and procured. The paper describes the various systems adopted by different countries to try to to address these.

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