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

NRGI Reader | Transparency Mechanisms and Movements: Tools to Foster Openness and Accountability Go to resource

This reader comes from a series of 20 short, illustrated overviews of key topics in the extractives sector. Together they serve as a robust introduction for the lay reader to fundamental issues and concepts in oil, gas and mining sector governance. They contain helpful figures and infographics, and each reader has a standard format: key messages, concepts, case examples, and a final set of practitioner-orientated questions to ask.

NRGI- Enforcing the Rules Go to resource

Enforcing the Rules: Government and Citizen Oversight of Mining, examines the gaps in effective monitoring of mining obligations, identifies good practices and proposes practical avenues for improvement. 

In many countries rich in minerals, mining deals between industry and government have failed to deliver the benefits citizens expect—not only because of bad contracts but also because governments and civil society fail to effectively monitor and enforce company compliance with the terms of good contracts.

Recent years have brought significant improvements in industry and government transparency, national mining laws and contracts, but monitoring remains the only way to determine whether the deals struck with companies reflect what is being implemented on the ground. Many developing countries with weak regulatory systems lack the capacity or political will to ensure that company obligations are enforced. The result can be losses of billions of dollars to tax evasion and fraud, and harm to workers, the environment and social peace.

OECD Guidelines for Multinational Enterprises Go to resource

  • Sector:  Investment
  • Source:  OECD

The OECD Guidelines for Multinational Enterprises are the most comprehensive set of government-backed recommendations on responsible business conduct in existence today. The governments adhering to the Guidelines aim to encourage and maximise the positive impact MNEs can make to sustainable development and enduring social progress.

OECD Policy Framework for Investment Go to resource

The OECD Policy Framework for Investment (PFI) provides a comprehensive and systematic approach for improving investment. It covers 10 policy areas and addresses some 82 questions to governments to help them design and implement policy reform to create a truly attractive, robust and competitive environment for domestic and foreign investment.

The PFI emphasizes the fundamental principles of rule of law, transparency, non-discrimination and the protection of property rights but leaves for the country concerned the choice of policies, based on its economic circumstances and institutional capabilities. One size does not fit all.

It is available in English, French, Chinese, Spanish, and Polish

OECD Policy Framework for Investment in Agriculture Go to resource

  • Date:  2013
  • Sector:  Investment Land & Agriculture
  • Source:  OECD

A flexible tool which helps governments evaluate their investment policies in the ten areas essential to creating an attractive environment for investors and in enhancing the development benefits of agricultural investment.

OECD Policy Framework for Investment: A Review of Good Practices Go to resource

  • Date:  2006
  • Sector:  Infrastructure Investment
  • Source:  OECD

This Review of Good Practices in OECD and non-OECD economies is published as a companion volume to the OECD Policy Framework for Investment (PFI) and provides analytical background material on each of the ten chapters of the PFI. These include investment policy, investment promotion and facilitation, trade policy, competition policy, tax policy, corporate governance, policies for promoting responsible business conduct, human resource development policy, infrastructure and financial sector development, and public governance.

OECD Procurement Toolbox Go to resource

  • Sector:  Extractive Industries Infrastructure
  • Source:  OECD

This Toolbox is an on-line resource that captures emerging good practice to enhance corruption prevention and good management in public procurement in OECD and non-OECD countries. The tools contained in this website have been compiled from practices which have been successfully tested in a number of countries.

The tools are classified according to their use in the procurement cycle (pre-tendering phase, tendering phase, post-award phase, or entire procurement cycle) and also by theme according to the pillars underlying the OECD Recommendation (transparency, good management, prevention of misconduct, or accountability and control.)

OGP: Disclosing Beneficial Ownership Information in the Natural Resource Sector Go to resource

This briefing aims to encourage and orient Open Government Partnership (OGP) countries to commit to beneficial ownership disclosure, which impact the natural resource sector. It explores the rationale behind this commitment, provides country examples, and offers ideas around good practice. It draws heavily from the Natural Resource Governance Institute’s (NRGI) briefing Owning Up: Options for Disclosing the Identities of Beneficial Owners of Extractive Companies. 

OGP: Disclosing Contracts in the Natural Resource Sector Go to resource

The Open Government Partnership (OGP) is an opportunity for governments to improve their commitment to contract transparency by making commitments around the proactive disclosure of oil, gas, and mining contracts. This brief aims to provide an overview of current standards and practices, and outline concrete examples of contract disclosure in action. 

OGP: Disclosing Environmental Information in the Natural Resource Sector Go to resource

The Open Government Partnership (OGP) offers an opportunity for governments to mitigate negative impacts on local communities associated with the establishment and operation of oil, gas, and mining projects by making commitments on the proactive disclosure of social and environmental information related to the extractive industry. This issue brief aims to provide an overview of current standards and practices, and outline concrete examples of environmental disclosure commitments for consideration by governments and civil society organizations. 

Oil Contracts: How to Read and Understand Them Go to resource

  • Date:  2012
  • Sector:  Extractive Industries Oil & Gas
  • Source:  OpenOil

Walk-through guide on oil contracts: what they are, who participates in them, how the revenues should be handled and divided, what the different impacts of an oil project are, what its role is in fostering economic development, and how disputes between parties can be resolved.

Open Contracting Go to resource

A collaborative online platform for public procurement practitioners, this online platform seeks to provide a space where interested stakeholders from civil society, government, the private sector, media, academia, and others can share, learn, connect and collaborate around experiences in open contracting.

Open Contracting seeks to help ensure broader consensus around the importance of enhanced disclosure and participation in public contracting, at all stages of the contracting process and across all sectors. This community is used to support knowledge exchange between countries, identifying challenges and proposing solutions needed to address those challenges.

The Open Contracting Resources section contains a list of monitoring resources and a database of tender information from countries around the world. 

OpenCommunityContracts.org Go to resource

OpenCommunityContracts.org is a repository of publicly available community-investor or community-government contracts and agreements relating to agriculture, forestry, mining, oil and gas extraction and other natural resource projects. It features plain language summaries of key provisions and provides links to learn more about how each agreement was negotiated and implemented in practice.

OpenLandContracts.org - A Land & Agriculture Contracts Database Go to resource

A searchable database of large-scale land, oil palm and forestry contracts, agreements and key terms.

OpenOil Repository of Oil Contracts Go to resource

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

A growing repository of oil contracts from over 55 countries.

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. 

 

Overcoming a key barrier to stakeholder empowerment in the extractive industries Go to resource

Informational asymmetries can both reflect and perpetuate power asymmetries, undermining governance and development outcomes along the way. This piece, by CCSI's Senior Fellow Tom Mitro, proposes a tool for addressing one of the informational barriers to leveling the playing field between global extractives companies and host country government officials and communities.

By drawing on impartial publicly-available information on company social and environmental track records, the tool could be used in a variety of ways to empower host governments and communities in their dealings with these companies.

Anyone interested in exploring a possible pilot of this tool should contact CCSI at ptoled@law.columbia.edu.

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.

Practice Notes for Respondents in ICSID Arbitration Go to resource

The Practice Notes for Respondents in ICSID Arbitration (Practice Notes) address practical aspects of responding to an investment claim brought under the ICSID Convention or the ICSID Additional Facility Rules. The Practice Notes provide suggestions on dispute prevention and pre-arbitration planning. The Notes also contain a step-by-step overview of the different phases of a typical ICSID arbitration case. The Practice Notes are intended to answer questions frequently asked by Member States, especially when dealing with an ICSID proceeding for the first time. The Practice Notes are not intended as legal advice nor policy guidance and are not an exhaustive reference concerning the conduct of arbitration proceedings.

The Practice Notes are available in English, French and Spanish.

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.

Procurement - World Bank Listing of Ineligible Firms and Individuals Go to resource

The Procurement - World bank Listing of Ineligible Firms and Individuals page provides an up-to-date list of firms and individuals that have been sanctioned under the World Bank's fraud and corruption policy; and therefore are ineligible to be awarded a World Bank-financed contract for the period of time indicated. 

The list is updated every 3 hours and provides the grounds for/breaches that caused the disbarment. This tool can be useful for investor screening by governments. 

 

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. 

Responsible Mining Index Framework 2020

  • Date:  2020
  • Sector:  Extractive Industries Mining

Responsible Mining Index Framework 2020 Go to resource

  • Date:  2020
  • Sector:  Extractive Industries Mining

The biennial Responsible Mining Index (RMI), produced by the Responsible Mining Foundation, is an evidence-based assessment of large-scale mining companies’ policies and practices, both at corporate and mine-site level, on a range of economic, environmental, social and governance (EESG) issues.

The Framework provides a comprehensive reference of the major aspects of responsible mining, based on society expectations of large-scale mining companies. As an extract of the RMI Methodology 2020, the framework includes information on a set of 43 topics, providing brief overviews of each topic as well as the indicators and metrics used in the RMI assessment to measure mining company policies and practices on these topics.

 

Responsible Mining Index Framework 2020 Go to resource

  • Date:  2020
  • Sector:  Extractive Industries Mining

The biennial Responsible Mining Index (RMI), produced by the Responsible Mining Foundation, is an evidence-based assessment of large-scale mining companies’ policies and practices, both at corporate and mine-site level, on a range of economic, environmental, social and governance (EESG) issues.

The Framework provides a comprehensive reference of the major aspects of responsible mining, based on society expectations of large-scale mining companies. As an extract of the RMI Methodology 2020, the framework includes information on a set of 43 topics, providing brief overviews of each topic as well as the indicators and metrics used in the RMI assessment to measure mining company policies and practices on these topics.

 

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.

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