2015 Diagnosis: Transparency in the Peruvian Mining-Energy Sector

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EXECUTIVE SUMMARY

Transparency

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Author Aída Mercedes Gamboa Balbín Special Collaborators Nilda Máyerlin Vargas Camero in the sections: • Transparency Portals in Public Entities • Access to Public Information in Public Entities Harlem Siu Mariño Saavedra in the sections: • Transparency for governance in the granting of hydrocarbon rights • Transparency for governance in the evaluation processes of Environmental Impact Assessments for hydrocarbons Diego Antonio Saavedra Celestino in the sections: • Transparency for governance in the granting of hydrocarbon rights • Transparency for governance in the evaluation processes of Environmental Impact Assessments for hydrocarbons Astrid Aguilar Vargas Machuca in the sections: • Transparency for governance in the granting of hydrocarbon rights • Transparency for governance in the evaluation processes of Environmental Impact Assessments for hydrocarbons Luisa Elizabeth Castillo Linares in the sections: • Transparency for governance in the granting of hydroelectric plant rights • Transparency for governance in the evaluation processes of Environmental Impact Assessments for hydroelectric plants David Álamo García in the sections: • Transparency for governance in the Regional Governments of Loreto and Cusco General Editing and Review Aída Mercedes Gamboa Balbín Vanessa Cueto La Rosa General Coordination Annie Morillo Cano Cover Photos DAR Christian Pérez / DAR Ministerio de Defensa Carlos Olivares Gisella Valdivia Derecho, Ambiente y Recursos Naturales - DAR Jr. Coronel Zegarra N° 260, Jesús María, Lima - Perú Telephone numbers: (+511) 2662063 / (+511) 4725357 Email address: dar@dar.org.pe Website: www.dar.org.pe Design and Printing Media Praxis S.A.C. Jr. Los Jazmines 423, Urb. San Eugenio – Lince.

Telephone numbers: (+511) 4411901 / (+511) 4411562 Email address: marketing@mediapraxis.net Website: www.mediapraxis.net Citation Diagnosis 2015: Transparency in the Peruvian Energy Sector. Executive Summary.

Lima: DAR, 2015. 60 pages First Edition: December 2015, 1000 copies Printed: February 2016.

Legal Deposit at the National Library of Peru N° 2016-01254.

ISBN: 978-612-4210-34-1.

Partial or total reproduction of this executive summary is permitted, its processing, transmission by any form or means, be it electronic, mechanical, photocopying or others; with necessary indication of the source.

This publication is made possible by funding from the Open Society Foundations (OSF).

This publication presents the opinion of the author and not necessarily the vision of the Open Society Foundations (OSF).

Printed and made in Peru.

National Water Authority

EIA

Environmental Impact Assessment

EITI

Extractive Industries Transparency Initiative

ELECTROPERÚ

ELECTROPERU S.A. Peruvian Electricity Company

FONAM

National Environmental Fund

GORECU

Regional Government of Cusco

GOREL

Regional Government of Loreto

GSP

Peruvian Southern Gas Pipeline

IGP

Geophysical Institute of Peru

IMARPE

Peruvian Institute of the Sea

INGEMMET

Geological, Mining and Metallurgy Institute

IWP

Institutional Web Portal

MEF

Ministry of Economy and Finance

MINAGRI

Ministry of Agriculture

MINAM

Ministry of Environment

MINCU

Ministry of Culture

MINEM

Ministry of Energy and Mines

MINSA

Ministry of Health

MRE

Ministry of Foreign Affairs

MTC

Ministry of Transport and Communications

OEFA

Agency for Environmental Assessment and Enforcement

Transparency in the Peruvian Mining – Energy Sector

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ANA

DIAGNOSIS 2015

Photo: Ottocarotto

Executive Summary

ABBREVIATIONS AND ACRONYMS

Open Government Partnership

OSINERGMIN

Supervision Agency for Investment in Energy and Mining

OSF

Open Society Foundations

PCM

Presidency of the Council of Ministers

PERUPETRO

PERUPETRO S.A.

PETROPERÚ

PETROPERÚ S.A. - Petroleum of Peru

PNCP

National Program for Forest Conservation

PPC

Citizen Participation Plan

PRODUCE

Ministry of Production

PROFONANPE

Fund for the Promotion of Natural Protected Areas of Peru

PROINVERSIÓN

Private Investment Promotion Agency

SENACE

National Service of Environmental Certification for Sustainable Investments

SENAMHI

National Service for Meteorology and Hydrology of Peru

SERFOR

National Service for Forests and Wildlife

DIAGNOSIS 2015

SERNANP

National Service of Natural Areas Protected by the State

SMV

Superintendence of Securities Market

STP

Standard Transparency Portal

4

STR

Supporting Technical Reports

Transparency in the Peruvian Mining – Energy Sector

ToR

Terms of Reference

Executive Summary

OGP

Therefore, sound government or governance practices are a necessary alternative to improve the current situation, as they promote citizen participation in public decision-making.

These practices are based on principles (DAR 2012; Gamboa 2013, 2014) such as: planning of processes, policies, plans and programs; management capacity, coordination between government and intersectoral levels; public authorities’ accountability toward citizenship; citizen participation, public integrity to promote ethics and prevent corruption; and transparency and access to public information. With regard to this study, transparency and access to public information are crosscutting elements of the governance principles.

Transparency is the capacity of public entities to share information, data, documents, policies and decision-making processes publicly. Moreover, the right of access to public information is a fundamental human right contained in the freedom of thought and expression, established internationally in several instruments.

These two elements can be found in our national regulatory framework, developed in the 1993 Political Constitution of Peru, and, can also be found expressly in the Law for Transparency and Access to Information and its Regulation. Although there has been progress in several sectors in the national and regional arenas, the recent political scenario, with large corruption scandals, shows that there are significant challenges to consolidate a democratic and transparent State.

It is decisive to promote transparency and the exercise of the right to access public information in the mining and energy sectors, specifically, in institutional development and in the governance principles of crucial processes, such as: granting of rights (biddings and contracts) for hydrocarbon use and for the construction of hydroelectric power plants; as well as in the evaluation of environmental impact assessments.

DIAGNOSIS 2015

5 Transparency in the Peruvian Mining – Energy Sector

For the past several years, our country has been fostering several hydrocarbon and hydroelectric investment projects in the Peruvian Amazon, which have brought about socio-environmental conflicts. This situation puts forth the mistrust of the population toward authorities, companies and the implementation of extractive projects.

Executive Summary

1. INTRODUCTION

Transparency in the Mining – Energy Sector

Transparency in the Peruvian Mining – Energy Sector

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DIAGNOSIS 2015

Executive Summary

Photo: Christian PĂŠrez / DAR

At the same time, it is essential that these two principles are also applied in the institutions linked to climate change work. As a result of the COP20 (Lima, 2014) and our participation in the COP21 (Paris, 2015), Peru has greater prominence and commitments to fulfil in the reduction of greenhouse gas emissions, which need to be acknowledge by the citizenship and key actors to help achieve them.

The present study shows a comprehensive analysis and comparison of the results of the indicators developed by DAR in 2013 and applied for the years 2013, 2014 and 2015; this analysis allows us to see positive progress in the implementation of the standard transparency portals and the compliance on responding requests for access to public information.

However, we still need greater efforts to ensure that the information is accessible in an intercultural manner and that the areas of transparency and access to information have a specific budget, in order to better apply the Law of Transparency and Access to Public Information.

It should be noted that in 2015, the analysis of transparency portals and requests for access to information in public institutions has included two important lines of work: mining and climate change. That is to say, 14 new entities have been added to the evaluation. The study continues with the case-by-case analysis of the processes of granting of rights and environmental assessments in hydrocarbons and hydroelectric plants.

This diagnosis shows again the need for the State to prioritize transparency and access to information in the mining and energy sector - according to the Law of Transparency and Access to Public Information and related regulations, the principles of good governance and international initiatives undertaken by Peru on transparency - in order to achieve sustainable development and the adequate exploitation of mining - energy resources, which will also generate greater confidence from the population toward public institutions and reduce socio-environmental conflicts.

Transparency refers to the public knowledge of data, documents, information, policy and decision-making processes on the activities of State agencies (Ombudsman’s Office 2010; 2010a; 2012). It is a means for the full exercise of rights such as public participation and access to public information. The latter is a human right contained in the right to freedom of thought and expression, based on international instruments such as the Universal Declaration of Human Rights of 1948, the International Covenant on Civil and Political Rights of 1966, the American Declaration on the Rights and Duties of Man of 1948, the American Convention on Human Rights of 1969, among others (Special Rapporteurship on Freedom of Expression 2007: 12-16).

In Peru, the greatest progress in transparency and access to information after what is stated in the Peruvian Constitution (Article 2, inc. 5), is the promulgation in 2003 of the Law on Transparency and Access to Public Information (Law 27806) and its Regulations (Supreme Decree 072-2003-PCM modified by Supreme Decree 070-2013-PCM). Subsequently, Law N° 27927 adds some articles to the law of transparency and it is adopted as a Consolidated Text through Supreme Decree 043-2003-PCM. This normative framework develops two mechanisms: the standard transparency portal (STP) and the request for access to public information. Its implementation still means a challenge. This is why the Ombudsman’s Office and Peruvian civil society, for the past 3 years, have been the driving force behind the creation of a Transparency and Access to Public Information national authority capable of directing the policy on transparency that will generate national jurisprudence and develop appropriate standards to consolidate a transparent and corruption-free State.

At the international level, Peru also assumed commitments, since it has incorporated itself to global initiatives that promote transparency, such as the Open Government Partnership (OGP) and the Extractive Industries Transparency Initiative (EITI).

The Open Government Partnership is formed by 64 countries. Peru is a member since 2012 with the approval of Peru’s Open Government Action Plan 2012-2014 (R. M. N° 085-2012-PCM). In 2013, a Multisectoral Commission was permanently

DIAGNOSIS 2015 Transparency in the Peruvian Mining – Energy Sector

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2. INITIATIVES ON TRANSPARENCY AND ACCESS TO INFORMATION AT THE INTERNATIONAL AND NATIONAL LEVELS

Executive Summary

Photo: Loyola Escamilo

set up (D. S. N° 003-2013-PCM) for that initiative, assigned to the Presidency of the Council of Ministers (PCM), with the participation of the State, civil society and private sector.1 In 2014 the new Action Plan 2014-2016 was developed, however, due to the numerous changes of staff within the PCM - responsible for directing the Partnership - the document was not approved and the Partnership came to a halt. This gave rise to a warning call from the OGP to the Peruvian government in November 2014. A month later, civil society organizations were forced to suspend indefinitely their participation within the Multisectoral Committee, due to the refusal from the Government to approve the 2014-2016 plan - a document developed and agreed on with civil society - which prioritized the creation of a National Authority for Transparency and Access to Public Information.

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DIAGNOSIS 2015

Executive Summary

Finally, on July 17th 2015, the Plan for open government 2015-2016 was approved (Ministerial Resolution 176-2015-PCM), without participation and validation from civil society, a major stakeholder in public transparency. This plan assigned responsibilities to civil society organizations that are no longer part of the Partnership. In addition, the Plan was given a retroactive nature that did not apply - its validity started in January 2015 -; however, this cannot proceed because this quality only applies to criminal matters according to article 103 of the Political Constitution of Peru.

For civil society, this approval was given because it was one of the requirements to enter the Organization for Economic Cooperation and Development (OECD), the main objective of the current government. Between July and September 2015, more than 30 civil society organizations issued three statements requesting the Government to report on the establishment of the National Authority of Transparency and Access to Information2.

The Extractive Industries Transparency Initiative is an international strategic partnership composed of 48 countries which brings together governments, companies (extractive mining, oil and gas) and civil society. Peru is part of it since 2005; in 2011 the “Permanent Multisectoral Commission for monitoring and supervision of transparency in the use of resources obtained by the State from the development of the Mining and Hydrocarbon Industries” was created (Supreme Decree 028-2011-EM). This initiative was composed in a tripartite manner (with members and alternates) by the private, State and civil society sectors.

In 2012, Peru received the qualification (status) of “responsive country” according to the requirements of the EITI International Secretariat, making it the first country in the American continent to receive this qualification.

From 2004 to 2013, four EITI reports were developed, known as National Conciliation Studies (according to the agreement for transparency information between industries and the State). The fourth study of 2013, drawn up under the new EITI standard, was presented in June 2015 and reveals the payments made by 63 companies: 44 from the mining sector and 19 from the hydrocarbon sector, revealing over 6 billion dollars.

In addition, the EITI has been implemented at subnational levels in the regions of Piura and Moquegua. This was great progress in the global scope, since there is no similar experience in other countries part of the initiative.

On November 30th 2015, civil society agreed on the challenges raised for the EITI VII World Conference, to be held in Lima from February 22nd to 25th 2016. This event is the opportunity to learn about progress and the future agenda regarding transparency in the extractive sector in Latin America and the world, and to also include the civil society proposals.

Furthermore, in December 2015, new representative members and alternates were elected for the National Multisectoral Commission of the EITI for the 2016-2017 period, whom will be the hosts for the Global Conference next February3.

The main demand from the civil society is to incorporate an environmental standard within the EITI, in order to disseminate information on the amount extractive companies spend on: - -

1

2

3

The implementation of environmental and social commitments found in environmental impact assessments.

Prevention, mitigation and environmental remediation.

The Multisectoral Commission chaired by the Secretary General of the PCM and is composed of two representatives (and alternate) of the Secretariat of Public Management (GSP), the National Office of Electronic Government and Informatics (ONGEl), the Ministry of Justice and Human Rights (MINJUS), the Ministry of Foreign Affairs (MRE), the Judiciary Powers (PJ), the National Confederation of Private Business Institutions (CONFIEP), the Lima Chamber of Commerce, Proética; Ciudadanos Al Día (CAD) and of the Peruvian Press Council. The Ombudsman’s Office, the Office of the Comptroller General of the Republic and the Commission for High Level Corruption (CAN) are invited as observers.

Refer to first pronouncement from July 27th 2015 in: http://bit.ly/1ZAsHEV. See second pronouncement from October 1st 2015 in: http://bit.ly/1jBtDG2. See third pronouncement from October 1st 2015 (long version of the second pronouncement) in http://bit.ly/1iRj1Ci. At present, integrated by the State the Ministry of Energy and Mines (MINEM) and the Ministry of Economy and Finance (MEF); by civil society, Derecho, Ambiente y Recursos Naturales (DAR), Grupo Propuesta Ciudadana (GPC), Centro de Investigación y Promoción del Campesinado (CIPCA) of Piura, Centro de Educación, Organización y Promoción del Desarrollo (CEOP) of Moquegua, the Pontifical Catholic University of Peru (PUCP) and the National University of Santiago Antunez de Mayolo (UNSAM) of Ancash; and by the extractive sector, the National Society of Mining, Oil and Energy Association, SNMPE, Southern Peru Copper Corporation and Repsol Exploration Peru Branch.

Executive Summary

Photo: Kabelleger y David Gubler

Diagnosis 2015: Transparency in the Peruvian Mining and Energy Sector shows the level of transparency and access to public information in the public agencies with the management, promotion, use and evaluation of mining - energy resources in Peru, as well as those linked with climate change.

It evaluates the standard transparency portals, the attention to requests to access information and the processes of granting of rights and evaluation of the environmental impact assessments in hydrocarbon activities and hydroelectric plants.

Through this analysis, recommendations are reached for the Peruvian government in the national and regional levels, with the objective that entities from the mining and energy sectors improve their transparency and access to public information.

Diagnosis 2015 analyses three aspects: • • •

Aspect 1: The standard transparency portals of public entities (which are evaluated on a quarterly basis).

Aspect 2: The access to public information from public entities (which are evaluated on a semi-annual basis).

Aspect 3: Transparency for governance in: a) Processes of granting of rights for hydrocarbons and hydroelectric plants b) Evaluation processes for environmental impact assessments in hydrocarbons and hydropower plants c) Management of the Loreto and Cusco regional governments

Public institutions evaluated in the Diagnosis 2015 are part of the mining and energy sectors, because we believe that there is a need for a comprehensive overview of the transparency and access to information on the extractive sector in order to strengthen dialogue channels with the citizenship.

Transparency in the Peruvian Mining – Energy Sector

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DIAGNOSIS 2015

3. METHODOLOGY

It also includes agencies involved in the decisions taken in the field of climate change that require monitoring from civil society, with the aim of strengthening their transparency tools regarding the funds they receive to comply with the commitments Peru has in this area.

Institutions and Agencies evaluated in the Diagnosis 2015: The Mining and Energy analysis Agencies with direct and indirect competencies in the management, promotion, use and evaluation of mining - energy resources: - - - - - - - - - - - - - - - - - - -

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DIAGNOSIS 2015

Executive Summary

Photo: Carlos Olivares

Private Investment Promotion Agency (PROINVERSIÓN) National Water Authority (ANA) Electricity Company of Peru (ELECTROPERÚ S. A.) Regional Government of Cusco (GORECU) Regional Government of Loreto (GOREL) Geological, Mining and Metallurgy Institute (INGEMMET)4 Ministry of Agriculture and Irrigation (MINAGRI) Ministry of Culture (MINCU) Ministry of Economy and Finance (MEF) Ministry of Energy and Mines (MINEM) Ministry of the Environment (MINAM) Agency for Environmental Assessment and Enforcement (OEFA) Supervision Agency for Investment in Energy and Mining (OSINERGMIN) PERUPETRO S. A. Petroleum of Peru - PETROPERÚ S. A. Presidency of the Council of Ministers (PCM) National Service of Natural Areas Protected by the State (SERNANP) National Service of Environmental Certification for Sustainable Investments (SENACE)5 Superintendence of Securities Market (SMV)6

During 2015, the regional governments of Loreto and Cusco were also analysed as large and important investment projects were to be developed under their jurisdiction. In addition, the transfer of functions in the field of energy and mining from the Executive branch to these Regional Governments ended in 2008, as stated by Ministerial Resolution 046-2008-EM-DM (published on February 2nd 2008) and Ministerial Resolution 009-2008-MEM/DM (published on January 16th 2008).

4 5 6

Institution evaluated since Diagnosis 2014.

Is evaluated since Diagnosis 2015.

Is evaluated since Diagnosis 2015.

The analysis also includes the review of the institutional web portal (PWI), under the transparency indicators of STP for the Fund for the promotion of the Natural Protected Areas of Peru (PROFONANPE) and the National Environment Fund (FONAM), private organizations that are members of the National Commission on Climate Change (Supreme Decree 006-2009-MINAM modified

by Supreme Decree 015-2013-MINAM).

While these institutions are private and do not have the obligation to publish information or have a transparency portal, it is recommended that these organizations publish relevant information on their management, as well as the data of their personnel, budget information, investment projects, recruitment and procurement of goods and services. In this manner, it will generate transparency in management and handling of funds related to climate change - important for the government - because it is a subje ct that concerns Peruvians and would contribute toward strengthening the country´s governance.

Diagnosis 2015 is composed of matrixes which contain a set of indicators and means of verification that allowed to monitor the situation of the transparency and access to information in the year 2015, in comparison to the assessments carried out in 2013 and 2014.

The evaluation of transparency portals is intended to obtain an unbiased reading of the updating of the STP of public agencies during the first half of 2015, in comparison with the results obtained in 2013 and 2014. The compilation of information has been carried out on a quarterly basis to identify in which period there is greater availability of information from public entities.

Executive Summary

National Water Authority (ANA) Peruvian Institute of the Sea (IMARPE) Geophysical Institute of Peru (IGP) Ministry of Agriculture and Irrigation (MINAGRI) Ministry of Culture (MINCU) Ministry of Economy and Finance (MEF) Ministry of Energy and Mines (MINEM) Ministry of Production (PRODUCE) Ministry of Foreign Affairs (MRE) Ministry of Health (MINSA) Ministry of Transport and Communications (MTC) Ministry of the Environment (MINAM) Supervision Agency for Investment in Energy and Mining (OSINERGMIN) Presidency of the Council of Ministers (PCM) National Program for Forest Conservation (PNCB) National Service of Natural Areas Protected by the State (SERNANP) National Service of Meteorology and Hydrology of Peru (SENAMHI) National Service Forestry and Wildlife (SERFOR)

DIAGNOSIS 2015

- - - - - - - - - - - - - - - - - -

11

Agencies part of the National Commission on Climate Change:

Transparency in the Peruvian Mining – Energy Sector

The Analysis on Climate Change

Transparency in the Peruvian Mining – Energy Sector

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DIAGNOSIS 2015

Executive Summary

Photo: Annie Morillo / DAR

The evaluation of the access to public information is intended to obtain an objective reading on the compliance of indicators created on the basis of legislation on access to information held by public agencies.

The indicators used in Diagnosis 2013 and 2014 were developed in the framework of the Law of Transparency and Access to Public Information (Supreme Decree 043-2003-PCM), a Ministerial Resolution approving the “Guidelines for the Implementation of the Standard Transparency Portal in Public Administration Entities” (Directive 001-2010-PCM/SGP), Ministerial Resolution 203-2012-PCM amending article 10 of Directive N° 01-2010-PCM/GSP and Supreme Decree 070-2013-PCM amending the regulation of the Law of Transparency and Access to Public Information (Supreme Decree 072-2003-PCM).

The evaluation of the access to public information is intended to obtain an objective reading on the compliance of indicators created on the basis of legislation on access to information held by public agencies and others, which were developed in order to raise the standard in the institutions, during the first half of 2015, in comparison with the results obtained in 2013 and 2014.

The indicators have been designed on the basis of the Law of Transparency and Access to Public Information (Supreme Decree 043-2003-PCM) and its Regulations (Supreme Decree 072-2003-PCM, amended by Supreme Decree 070-2013-PCM). The indicator of the effectiveness of the information refers to how long it takes for the entity to respond to access to information requests, while the indicator of the quality of the information is to verify whether the responses of the entity satisfy what was requested by the citizens.

The assessment of the transparency for governance has the purpose of analysing transparency as a cross-cutting issue of the governance criteria: planning, management capacity, coordination, participation, accountability and integrity to the public on the important processes within the mining – energy sector.

In the case of the granting of rights and environmental assessment for hydrocarbons and hydroelectric plants, the standards related to the hydrocarbons and electricity subsectors were used as a reference, which took into consideration recent changes in environmental management from 2013. We have analysed the cases of a hydroelectric plant in Veracruz and the Peruvian Southern Gas Pipeline (GSP).

Before the elaboration of the Diagnosis 2015, we underwent a process to validate the indicators and results obtained through meetings with officials of the entities monitored and with civil society organizations at the national and regional levels.

In this regard, between the months of July and December meetings were scheduled with the aim of presenting the indicators, evaluations and results obtained from the 2015 Diagnosis, in order to gather the contributions and reply to their observations.

After the completion of these activities, changes were made and new recommendations incorporated.

Executive Summary

Photo: Liliana García / DAR

The main findings of the study show that, while there are improvements in the implementation of the standard transparency portals and in the responses to requests for access to information in the public institutions at the national and regional levels, there is still a need to strengthen the implementation of the Transparency Law and its Regulations, as well as to disseminate information on the initiatives the government has taken in this field.

On the transparency portals of public entities in the mining - energy sector: •

The quarterly update on the STP of the evaluated institutions has improved in comparison to 2013 and 2014. It has reached an average of 81% of compliance in the institutions with direct competencies and 86% in institutions with indirect powers in the management, promotion, use and evaluation of mining - energy resources, during the second quarter of 2015.

•

It is seen that from 2013 to the second quarter of 2015, institutions with direct powers have increased the compliance of their STP by 25%, since in the first evaluation in2013 there was a compliance of only 56% on average. The institutions with indirect powers had an increase in compliance of 21%, and in the first evaluation of 2013 compliance only reached an average 65%.

•

For the second quarter of 2015, the MINAM, MINEM, MEF, Electroperú and the MINAGRI achieved 100% of compliance in the STP. While the lowest percentage was SENACE, situation that should change as it will be the authority responsible for reviewing environmental management instruments, such as the environmental impact assessments (EIA), supporting technical reports (STR), among others.

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DIAGNOSIS 2015

4. Main Findings

Quarterly comparison of results in standard transparency portals (STP) Mining and energy sectors 2013-2015

Transparency in the Peruvian Mining – Energy Sector

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DIAGNOSIS 2015

Agency

STP 2013-2

STP 2013-3

STP 2014-1

STP 2014-2

STP 2014-3

STP 2014-4

STP 2015-1

STP 2015-2

MINEM

93%

76%

98%

98%

100%

100%

100%

100%

MINAM

80%

95%

97%

100%

100%

100%

100%

100%

ELECTROPERÚ

81%

87%

84%

98%

97%

100%

98%

100%

OSINERGMIN

47%

63%

60%

97%

95%

88%

83%

97%

OEFA

59%

38%

60%

76%

81%

86%

91%

98%

PERUPETRO

7%

41%

81%

90%

86%

69%

97%

93%

PETROPERÚ

5%

43%

10%

52%

59%

55%

59%

64%

PROINVERSIÓN

47%

68%

53%

57%

62%

69%

81%

84%

INGEMMET

-

-

-

64%

69%

83%

90%

86%

SENACE

-

-

-

-

-

-

52%

53%

GOREL

77%

86%

90%

75%

90%

57%

89%

84%

GORECU

60%

58%

80%

87%

84%

87%

98%

97%

MINAGRI

71%

92%

97%

98%

100%

100%

100%

100%

SERNANP

49%

73%

76%

90%

88%

93%

93%

79%

MINCU

68%

98%

96%

97%

100%

97%

98%

97%

ANA

53%

29%

48%

53%

66%

74%

69%

72%

MEF

75%

75%

74%

83%

90%

88%

93%

100%

PCM

71%

86%

78%

93%

98%

97%

100%

90%

SMV

-

-

-

-

-

-

84%

88%

60,5%

71%

74,5%

83,5%

Average

87%

86,5%

89%

88,5%

Elaboration: Gamboa and Vargas.

•

Regarding the results on STPs information accessibility, the number of clicks a citizen performs to search for the information for each item inside the STP was evaluated. The SERNANP was the institution with less difficulty to access the information, while the OSINERGMIN was the one of greater difficulty, in the second quarter of 2015.

CLICKS 2014-2

CLICKS 2014-3

CLICKS 2014-4

CLICKS 2015-1

CLICKS 2015-2

MINEM

3,8

3,6

3,4

3,3

2,9

2,6

3,1

3,2

MINAM

3,6

3,5

3,2

2,7

2,7

2,7

2,9

3,0

ELECTROPERÚ

3,2

2,9

3,6

3,1

3,1

2,8

3,1

3,1

OSINERGMIN

3,1

3,3

3,5

3,2

3,2

3,2

2,7

3,5

OEFA

2,9

3,3

3,5

2,9

2,8

2,7

2,7

2,9

PERUPETRO

2,8

2,9

3,2

3,1

2,9

2,7

3,2

3,0

PETROPERÚ

1,8

2,7

2,2

2,8

2,6

2,6

2,7

2,7

PROINVERSIÓN

3,0

3,3

3,1

3,0

2,6

2,9

3,0

2,9

INGEMMET

-

-

-

2,9

2,7

2,8

3,1

2,8

SENACE (*)

-

-

-

-

-

-

2,6

2,6

GOREL

3,0

3,4

3,2

3,1

2,9

2,8

3,3

3,0

GORECU

2,7

3,1

3,0

3,4

2,7

3,0

3,0

3,0

MINAGRI

3,2

3,4

3,0

3,3

2,9

3,2

3,7

2,8

SERNANP

2,9

3,5

3,3

3,5

3,0

3,6

3,4

2,7

MINCU

3,4

3,5

3,2

3,3

2,9

3,4

3,3

2,8

ANA

3,1

3,2

2,8

2,9

2,7

3,6

3,4

2,8

MEF

3,3

3,0

3,2

3,5

2,8

2,8

3,6

3,0

PCM

3,5

3,4

3,4

3,5

3,0

2,9

3,7

2,9

SMV

-

-

-

-

-

-

2,9

2,8

3,1

3,25

3,2

3,15

2,85

3

3,2

2,9

Average

Key

Greatest Difficulty

Less Difficulty

(*) Although SENACE is the organization with fewer clicks it is not necessarily easiest, since its STP has disabled items, so it does not have all the required information.

Elaboration: Vargas.

On the transparency portals of public entities linked with climate change management: •

The quarterly update to the STP of the evaluated institutions in the second quarter of 2015 had a general average of compliance of 73%. The institutions that stand out were the MINEM, MINAM, MINAGRI and the MEF with 100% compliance. While the lowest percentage was the SERFOR with 40% compliance, because it only implemented its STP in 2015.

•

The two evaluations conducted in 2015 (Quarter 1 and 2) verify that the majority of the institutions have not been able to stay in their results and many of them decreased their level of compliance. The percentage of decline in the average compliance was of 2%, because in the first quarter of 2015 the average compliance was 75%; while in the second quarter of 2015 the average was 73%.

DIAGNOSIS 2015

CLICKS 2014-1

15

Clicks 2013-3

Transparency in the Peruvian Mining – Energy Sector

Clicks 2013-2

Agency

Executive Summary

Quarterly results on information accessibility Mining and energy sector 2013 - 2015

Quarterly comparison of results in standard transparency portals (STP) Climate change 2015 STP 2015 - 1

STP 2015 - 2

MINEM

100%

100%

MINAM

100%

100%

MINAGRI

100%

100%

MEF

79%

100%

MRE

98%

88%

PRODUCE

100%

71%

MTC

93%

90%

MINSA

100%

88%

MINCU

98%

97%

PCM

100%

90%

SERNANP

93%

79%

ANA

69%

72%

PNBC

72%

78%

SENAMHI

81%

71%

IGP

90%

76%

IMARPE

79%

69%

SERFOR

34%

40%

OSINERGMIN

83%

97%

Average

75%

73%

Transparency in the Peruvian Mining – Energy Sector

16

DIAGNOSIS 2015

Executive Summary

Agency

Elaboration: Gamboa and Vargas.

•

Regarding the accessibility of information of STPs, the number of clicks that the citizen performed to search for the information for each item in the STP was evaluated. In the second quarter of 2015, the SERNANP was the institution with less difficulty to find the information, while the IGP website presented the greatest difficulty to find information.

Clicks 2015 - 2

MINEM

3,1

3,2

MINAM

2,9

3,0

MINAGRI

3,7

2,8

MEF

3,6

3,0

MRE

3,1

4,0

PRODUCE

3,1

3,6

MTC

2,8

4,0

MINSA

2,6

3,1

MINCU

3,3

2,8

PCM

2,7

2,9

DIAGNOSIS 2015

SERNANP

3,4

2,7

ANA

3,4

2,8

PNBC

2,8

3,7

SENAMHI

2,6

3,5

IGP

2,4

4,1

IMARPE

2,3

3,6

SERFOR

2,0

3,5

OSINERGMIN

2,6

3,5

Average

2,7

3,4

Key

Greatest Difficulty

Less Difficulty

Elaboration: Gamboa and Vargas.

•

The institutional web portals for FONAM and PROFONANPE were considered for review, both private organizations that comprise the National Commission on Climate Change. While such organizations are not obliged to publish information, nor have a transparency portal, it is considered necessary that such organizations publish relevant information required by the STP, to generate transparency in its management and in the management of funds that are related to climate change, and thus contribute to governance.

Transparency in the Peruvian Mining – Energy Sector

Agency

Executive Summary

Clicks 2015 -1

17

Quarterly results on information accessibility Climate change 2015

Comparison of institutional portals with STP indicators Second Quarter 2015 Agency

YES

NO

Partial

PROFONANPE

3%

97%

0%

FONAM

12%

88%

0%

Average

5%

95%

0%

»» »» »»

Yes: When the information sought is complete and available in its integrity.

NO: when the information sought is not available.

Partial: when the information sought is unfinished, incomplete, outdated or displays the document only partially.

Elaboration: Vargas.

•

In the comparison of the institutional portals of PROFONANPE and FONAM, using indicators of standard transparency portals, it has been verified that PROFONANPE would have 3% of compliance and FONAM, 12%.

On the attention to requests for access to public information in the mining and energy sector institutions: •

In some cases the attention to requests for access to public information have delays in regard to the time established by law, which is mainly due to the fact that the information systematized or digitalized. However, in comparison to 2013 and 2014, during 2015 the response time to requests for access to information improved.

•

On average, the entities with direct competencies in management, promotion, use and evaluation of mining - energy resources took six days to respond to the information requests from users in the first half of 2015.

Half-year comparison of the average number of days to obtain information from institutions with direct powers in the mining sector and energy 2013 - 2015 SII-2014

SI-2015

2013

SI-2014

25

18 15

12 9

O TR PE RU

7

5

M

6 5

4

NE

5

MI

6

RÚ

MI N

2

4

15

11

PE

ER OIN V PR

3

RG

SIÓ

N

RÚ

T

5

INE

1 1

ME EM ING

NA CE SE

L RE GO

CU RE

Elaboration: Vargas.

6 3

0

0

0

6

4

9 7 7 7

OS

3

6

7

OE FA

6 5

7

NA M

7

MI

7

PE

8

8

RO

9

CT

9

ELE

10

13

RO

15

15

PE

16

PE T

20

22

20

20

GO

Transparency in the Peruvian Mining – Energy Sector

18

DIAGNOSIS 2015

Executive Summary

Key:

•

For the fourth consecutive period, the MINAM is the entity that has answered in less time, as they have well-trained personnel and an efficient follow-up system to attend information requests.

•

The GORECU, the GOREL and PERUPETRO are the institutions which took longer to respond during the first half of 2015. The GORECU needed nine (9) days on average; the GOREL, eight (8) days on average and Perupetro, nine (9) days.

Half-year comparison of the average number of days to obtain information from institutions with indirect powers in the mining and energy sectors 2013 - 2015 2013

30

28

25 20

11

9 4 4

5

7

7 9

20

17

15

15 10

25

22

10

8 3 3

5

6

4 5

3

4

7

5

P AN RN SE

U NC MI

A AN

I MI

NA GR

F ME

M PC

SM V

0

•

On average, the entities with indirect powers in the management, promotion, use and evaluation of mining - energy resources needed five (5) days to respond and deliver the information that the user requested in the first half of 2015.

•

The majority of institutions still have problems to implement mechanisms for access to information differentiated for the diversity of stakeholders in the country, takin into consideration indigenous populations own characteristics such as language, interests and access to technology. In the case of entities with direct powers, only 67% have alternative mechanisms for vulnerable populations; while 57% of the entities with indirect powers have these mechanisms.

Transparency in the Peruvian Mining – Energy Sector

19

Elaboration: Vargas.

Executive Summary

SI-2014

DIAGNOSIS 2015

SII-2014

SI-2015

Criterion

Planning and management capacity in the ATTENTION TO ACCESS TO PUBLIC INFORMATION

V. Budget Item

IV. Personnel and training of staff for transparency and access to information

III. Implementation of a follow-up and monitoring system for access to information requests

Yes Yes Yes Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Has a citizen participation mechanism implemented in 2015.

Has alternative care mechanisms for vulnerable populations implemented by the institution.

Identifies the type of information required by users through requests for access to classrooms and virtual information (has database with this information).

Identifies onsite, electronic and on-the-web requests (number) submitted and attended during 2015. Indicates how many have been answered within the deadline, how many outside the deadline, how many have NOt been answered and on how many opportunities the entity has requested an extension of the deadline.

Has a system for the monitoring and evaluation of requests for information via counter and email.

Has a system of computer security management of public information for control and proper use or a directive.

Recognizes the administrative processes to challenge or perform judicial processes initiated by lack of response in 2015.

Has staff responsible for delivering information accessible to the public.

Has training mechanisms and incentives for the staff responsible for transparency and access to public information.

Has information on the annual budget for the system of transparency and access to information.

Yes

Has a mechanism for user guidance to respond to queries or requests for information NOt published (Guidance office or other)

Has a specific institutional policy for transparency and access to information (document or directives that implement this policy).

I. Existence of an institutional transparency policy

MINEM

Has an inquiry mechanism via web portal

Unit of Measurement

Indicator

II. Implementation of mechanisms for access to information

20 DIAGNOSIS 2015

Executive Summary

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

PERUPETRO

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

PETROPERÚ OSINERGMIN OEFA

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

MINAM PROINVERSIÓN ELECTROPERÚ INGEMMET SENACE GOREL

Results of the information collected by access to public information Mining and Energy sector - First Half of 2015

Transparency in the Peruvian Mining – Energy Sector

NO

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

GORECU SERNANP MINCU

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

ANA

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

Yes

MINAGRI MEF

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

NO

SMV

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

PCM

CRITERIO

Yes

The entity has implemented a mechanism to improve the attention to requests for access to information and modifies delays and NO responses from this assessment.

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

PERUPETRO

Yes

IP

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

PETROPERÚ OSINERGMIN OEFA

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

NO

Yes

Yes

Yes

Yes

NO

Yes

Yes

NO

Yes

Yes

Yes

MINAM PROINVERSIÓN ELECTROPERÚ INGEMMET SENACE GOREL

Yes

NO

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

GORECU SERNANP MINCU

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

ANA

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MINAGRI MEF

IP

NO

Yes

Yes

Yes

Yes

Yes

Yes

SMV

Transparency in the Peruvian Mining – Energy Sector

21

DIAGNOSIS 2015

Executive Summary

Yes: If the information requested is delivered and the document sent for approval or if the information requested is in the process of implementation, providing there is a draft document attached.

NO: If the institution does not have the requested information.

Partial (IP): If the institution sends incomplete information.

Non-applicable (NCOR): If the information sent is different from what was requested.

Not Responsive (NRSP): If there is no response from the institution to the requested information. This possible scenario is part of the assumption that the institution has answered the other requirements.

Does not answer (NSOC): If past the waiting time and additional legal given time, there is no reply from the institution.

Yes

Yes

Has a study on the estimated time in which the entity sends responses to requests for access to public information.

Performs an evaluation on the budget and whether it is sufficient. Indicates whether or not there is an increase on the basis of the assessment.

Yes

Has a mechanism on the qualification of alternative care mechanisms for vulnerable populations.

V. Budget Item

Yes

Identifies the means by which most of the information is requested (webpage requests, publications, others), and other types of information required.

Yes

Yes

Has a mechanism for the overall rating of the service of transparency and access to public information it provides.

Conducts an ongoing evaluation of training staff. Indicates the number of annual training sessions.

Yes

MINEM

Has a mechanism to determine the level of transparency perception for entities.

UNIDAD DE MEDIDA

IV. Continuity in the training of the staff for Transparency

III. Evaluation of the system for the monitoring and evaluation of requests for access to public information

II. Implementation of monitoring for the functioning of mechanisms for access to information

I. Implementation of an evaluation system for the institutional transparency policy

INDICADOR

Elaboration: Gamboa and Vargas.

»» »» »» »» »» »»

EVALUATION OF THE SERVICE AND ATTENTION TO CITIZENS IN THE PROCESSES OF ACCESS TO PUBLIC INFORMATION

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

PCM

In 2015, with regard to 2013 and 2014, the entities with direct competencies in management, promotion, use and evaluation of mining - energy resources have improved in the implementation of mechanisms for the attention of information access requests, among the main results are: •

The first half of 2015, these institutions have implemented a computer security system, a mechanism for user orientation and a document or a directive on the institutional policy on transparency and access to information.

•

In all, 82% of these institutions identifies the information more frequently requested by the user. Up to 92% have a follow-up or monitoring system for requests and has conducted training sessions on transparency and access to information for their staff.

Transparency in the Peruvian Mining – Energy Sector

22

DIAGNOSIS 2015

Executive Summary

Also, with regard to 2013 and 2014, entities with indirect powers in the management, promotion, use and evaluation of mining - energy resources have improved in the implementation of mechanisms for the attention of information access: •

The first half of 2015, these institutions implemented a system of follow-up or monitoring to requests for access to information, a computer security system, a mechanism for user orientation and identification of the information most required by users.

•

In all, 86% of these institutions carries out training in transparency to staff and have a document or a directive on the institutional policy on transparency and access to information.

On the attention to requests for access to public information in the institutions linked to climate change, in the first half of 2015: •

On average, the ministries involved with climate change have taken six (6) days to respond to the information requested by users.

•

90% of the entities responded within time, while 10% did so outside of this, as happened with PRODUCE.

Number of days to obtain information from ministries Climate change - First half of 2015 6

AVERAGE

4

MINCU

5

PCM MINSA

6

MTC

6 21

PRODUCE

5

MRE

7

MEF

2

MINAGRI

1

MINAM

7

MINEM 0 Elaboration: Vargas.

5

10

15

20

25

Executive Summary DIAGNOSIS 2015

Photo: Digital Democracy

6

AVERAGE

3

OSINERGMIN SERFOR

6

IMARPE

6 7

IGO

11

SENAMHI

8

PNBC

3

ANA

6

SERNANP 0

2

4

6

8

10

Elaboration: Vargas.

•

On average the technical agencies linked to climate change have taken six days to respond and deliver the information requested from users in the first half of 2015. Of the total number of requests, 86% of the monitored entities responded to them within the period established by law and 14% outside of this, as is the case of SENAMHI, which took 11 days to respond to a request (when the term is seven days, plus five if the institution requires an extension, which was not the case).

•

In the majority of institutions there is an urgency to implement differentiated mechanisms to access information for vulnerable populations such as indigenous peoples. In the case of Ministries, 90% of them have alternative mechanisms for these populations, but in the case of the technical agencies, only 38% of the entities have them.

12

Transparency in the Peruvian Mining – Energy Sector

23

Number of days to obtain information from technical agencies Climate change - First half of 2015

Criterion

Planning and management capacity in the ATTENTION TO ACCESS TO PUBLIC INFORMATION

Indicator

V. Budget Item

IV. Personnel and training the staff of transparency and access to information

III. Implementation of a follow-up and monitoring system for access to information requests

II. Implementation of mechanisms for access to information

I. Existence of an institutional transparency policy

24 DIAGNOSIS 2015

Executive Summary

Yes

Yes

Yes

Has staff responsible for delivering information accessible to the public.

Has training mechanisms and incentives for the staff responsible for transparency and access to public information.

Has information on the annual budget for the system of transparency and access to information.

Yes

Identifies onsite, electronic and on-the-web requests (number) submitted and attended during 2015.

Indicates how many have been answered within the term, how many outside the deadline, how many have not been answered and how many times the entity has requested an extension of the deadline.

Yes

Yes

Identifies the type of information required by users through requests for access to classroom and virtual information (has database with this information).

Recognizes administrative processes for the impugnation or judicial processes underway due to lack of response in 2015.

Yes

Has alternative care mechanisms for vulnerable populations implemented by the institution.

Yes

Yes

Has a citizen participation mechanism implemented in 2015.

Has a system of computer security for management of public information for control and proper use or directives.

Yes

Has a mechanism for user guidance to respond to queries or requests for information not published (Guidance office or other).

Yes

Yes

Has an inquiry mechanism via web portal

Has a system for the monitoring and evaluation of requests for information via counter and email.

Yes

MINEM

Has a specific institutional policy for transparency and access to information (document or directives that implement this policy).

Unit of Measurement

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MINAM

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MINAGRI

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

Yes

MEF

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MRE

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

PRODUCE

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MTC

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MINSA

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

PCM

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MINCU SERNANP

Results of information collected regarding access to public information Climate Change - First Half 2015

Transparency in the Peruvian Mining – Energy Sector

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

NO

Yes

Yes

Yes

ANA

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

NO

Yes

Yes

Yes

PNCB

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

SENAMHI

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

NO

Yes

IP

Yes

Yes

IGP

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

IMARPE SERFOR OSINERGMIN

Criterion

Yes

The entity has implemented a mechanism to improve the attention to requests for access to information and modifies delays and no responses from this assessment.

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MINAM

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MINAGRI

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MEF

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MRE

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

PRODUCE

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MTC

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MINSA

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

PCM

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

MINCU SERNANP

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

ANA

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

PNCB

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

SENAMHI

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

IGP

Yes

Yes

Yes

Yes

Yes

Yes

Yes

NO

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

IMARPE SERFOR OSINERGMIN

Transparency in the Peruvian Mining – Energy Sector

25

DIAGNOSIS 2015

Executive Summary

Yes: If the information requested is delivered and the document sent for approval or if the information requested is in the process of implementation, providing there is a draft document attached.

NO: If the institution does not have the requested information.

Partial (IP): If the institution sends incomplete information.

Non-applicable (NCOR): If the information sent is different from what was requested.

Not Responsive (NRSP): If there is no response from the institution to the requested information. This possible scenario is part of the assumption that the institution has answered the other requirements.

Does not answer (NSOC): If past the waiting time and additional legal given time, there is no reply from the institution.

Yes

Yes

Has a study on the estimated time in which the entity sends responses to requests for access to public information.

Performs an evaluation on the budget and whether it is sufficient. Indicates whether or not there is an increase on the basis of the assessment.

Yes

Has a mechanism on the qualification of alternative care mechanisms for vulnerable populations.

V. Budget Item

Yes

Identifies the means by which most of the information is requested (webpage requests, publications, others), and other types of information required.

Yes

Yes

Has a mechanism for the overall rating of the service of transparency and access to public information it provides.

Conducts an ongoing evaluation of training staff. Indicates the number of annual training sessions.

Yes

MINEM

Has a mechanism to determine the level of transparency perception for entities.

Unit of Measurement

IV. Continuity in the training of the staff of the Transparency

III. Evaluation of the system for the monitoring and evaluation of requests for access to public information

II. Implementation of a monitoring of the functioning of the mechanisms for access to information

I. Implementation of a system of evaluation of the institutional policy of transparency

Indicator

Elaboration: Gamboa and Vargas.

»» »» »» »» »» »»

EVALUATION OF THE SERVICE AND ATTENTION TO CITIZENS IN THE PROCESSES OF ACCESS TO PUBLIC INFORMATION

• The institutions linked to climate change are implementing various instruments to respond to requests for information access. However, in the first half of 2015, among the technical agencies related to climate change, only 88% have a computer security system.

On the processes of granting of rights for hydrocarbons and for hydroelectric plants: • In the 2015 analysis it has been observed that, for both processes of granting of rights, published information exists in the web portals of the competent entities, but not all the documents of the processes are public. The published documents are found only in Spanish, not in other languages. There are also difficulties in the coordination between other sectors and with regional governments; a similar situation occurs in the implementation of accountability mechanisms toward citizenship and citizen participation.

Transparency in the Peruvian Mining – Energy Sector

26

DIAGNOSIS 2015

Executive Summary

• In the subsector of hydrocarbons, the case of the Peruvian Southern Gas Pipeline (GSP) shows that the methodology used and the current processes of citizen participation are not sufficient to reduce social unrest. In addition, it has been found that the population has no clear information on the project and its impacts, as well as the budget to mitigate social impacts, and the prevention plans against these impacts, among others. This happens because there is an environmental management tool adopted prior to 2015.

• In the case of the electricity subsector, any prior consultation process has yet to be implemented. This should not limit the ability of the MINEM to prepare for this process. However, it has not developed instruments to allow the realization of future processes of prior consultation, a basic reliable graphic on indigenous communities and their relationship with electrical projects. This is due to the difficult community relations in these regions and the constant social conflicts in the area.

On the evaluation processes of Environmental Impact Assessments in hydrocarbons and hydroelectric plants: • For both processes for the granting of rights, there are important documents such as Terms of Reference (TdR) or the Citizen Participation Plan (PPC), but these are not published on the MINEM website or are not updated in a timely manner and can only be found in Spanish. Nor is it possible to access, through the web portal, documents generated in participatory workshops and public hearings. In addition, the mechanisms for intersectoral and intergovernmental coordination, accountability and population participation to avoid social conflicts are insufficient.

• Regarding the evaluation processes for EIA in hydrocarbons, the study of the GSP has verified that citizen participation processes do not comply with their objectives to incorporate people’s views or the project’s impacts, or verifies the fundamental information in the project to reach the population, a task carried out by the competent authority. As is the case with the approval of the STR which modifies important parts of the project but do so without citizen participation.

• Regarding the processes of evaluation of the EIA in hydroelectric installations, through the study of the case of Veracruz, it has been found that the current system for access to public information in the review of physical files from the MINEM, is only accessible to those who have the possibility to review the dossiers in Lima, either because they are residents or can move there. This also makes it difficult for citizen participation, supporting the claims of both the population and the regional governments within the evaluation process of the EIA. Regarding the management of the Loreto and Cusco Regional Governments: • The Regional Governments of Loreto and Cusco have not implemented, to a large extent, the Law of Transparency and Access to Information regarding transparency portals and requests for access to information in an appropriate manner; there have been delays in the update of information and in responding to requests for information access.

• The national processes directed by the PCM on transparency and access to public information are not linked and have limitations in their training of staff on issues of transparency, access to information, energy and environmental governance. Therefore, greater inclusion is needed in the process of granting of rights and environmental assessment in hydrocarbons and hydropower projects.

•

To comply with the commitments on transparency and access to information that the government has assumed at the international and national levels, the following is needed: (I) To adopt a new Action Plan for Open Government Peru, with the PCM as the key actor to be recognized. The approved plan for the 2015-2016 period was done retroactively and without including the commitment to create the National Authority of Transparency and Access to Information, which was proposed by the civil society. This authority will contribute to implement the transparency policy, homogenizing procedures for the attention of requests for information access and generating national jurisprudence. (ii) To promote the EITI initiative at the regional and national levels, for more regional governments to implement it in their jurisdictions, and to generate a link between the population, government and companies, where accountability on payments and income product of extractive activities enable a better, sustainable development.

For this to be possible, the support of key stakeholders is fundamental. (iii) To insert in the public agenda the proposal from the civil society to include environmental information within the conciliation studies of EITI Peru, as payments made by firms for the implementation of socio-environmental commitments that are found in the environmental impact assessments, as well as the expenses for prevention, mitigation and environmental remediation. This proposal has a chance of being taken into account in February 2016, when the EITI Global Conference takes place in Lima. (iv) To promote the training of citizenship and among vulnerable populations, by the Peruvian government on issues of transparency, access to public information, as well as report on the international initiatives on transparency, through institutional arrangements or strategic partnerships between the MINCU, PCM, MIDIS and MINEM.

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5. Recommendations

Executive Summary

Photo: Carlos Olivares

(v) To promote processes of approval for national environmental legislation, appropriately accompanied by channels of transparency, access to information and citizen participation in order to prevent social conflict.

•

To comply appropriately with the provisions from the Law of Transparency and Access to Public Information and to improve service delivery to citizens, the following is needed: (i) The internal verification of compliance with the deadlines in the publication of information in standard transparency portals, as well as the government issuing the respective sanctions when needed. (ii) The allocation of a specific budget for transparency and access to information in government institution. (iii) The creation of an area or office of Transparency and Access to Public Information within public entities of the Mining and Energy Sector and other public entities related to climate change.

Executive Summary

(iv) Implement computer equipment or increase the number of professionals dedicated to transparency and access to information within the entities being evaluated. (v) Increase the number of training staff on transparency and access to information. (vi) Implement alternative mechanisms for vulnerable populations, which minimize the barriers of distance and accessibility to information by these users.

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DIAGNOSIS 2015

(vii) Agencies with low compliance levels in the standard transparency portal as SENACE and SERFOR have to improve their levels of compliance through the strengthening of their institutional capacities and of professionals responsible in these matters, as they are new entities that have important information about mining - energy resources and climate change for citizenship. (viii) Institutions such as the PROFONANPE and the FONAM should provide information according to the indicators of transparency of STP in their institutional portals.

•

In the process of granting of rights in hydrocarbons and for hydroelectric plants, the following is recommended: (i) That information, especially for the potentially affected population, of the definition of hydrocarbon blocks and the areas to be put into concession for hydroelectric plants is accessible, intercultural, virtual or physical. (ii) That procedures are developed so that the population can influence the decisions made prior to the adoption of the hydrocarbon blocks and hydroelectric plants are tendered, i.e. in the preparation of the concession contracts and the bases for tenders. (iii) Greater coordination between the regional governments and MINCU in these processes to ensure a better dialogue with the population and an adequate management of natural resources. (iv) Have information plans which adapted both contextually and interculturally for areas where there are indigenous peoples and rural population, as well as the possibility that these populations are able to access more information during the bidding processes. (v) Systematize information in plain language and in other languages on the generated information about the process for granting rights to hydrocarbons and hydropower, as there is valuable information generated from different spaces, but that is not published in the relevant entities’ web portals. (vi) Train the staff of the MINEM on citizen participation, consultation and interculturality, to ensure intercultural processes and standards that enable people to assimilate as much information as possible about the projects.

(vii) Strengthen the mechanisms to ensure prior consultation in the electrical sub sector since, until now there has been no consultation process in the case of hydroelectric plants.

•

In the evaluation process for environmental impact assessments in hydrocarbons and hydroelectric plants, the following is recommended: (i) Develop a policy to ensure the certification processes of citizen participation, whose mechanisms influence in the decision-making process prior to the approval of the EIA. (ii) Create coordination spaces between the Vice-Ministry of interculturality of MINCU and SENACE in participatory processes of evaluation of the EIA where indigenous population, in order that these processes have adequate intercultural standards.

In the management of the Regional Governments of Loreto and Cusco, the following is recommended: (i) Strengthening the enforcement of the Law on Transparency and Access to Information to improve responses to requests for access to information with a team of professionals to perform these tasks. (ii) Train the staff of the regional governments in the principles of good governance, transparency, access to information, institutional planning processes, energy and environmental issues, with the aim of achieving a good governance at the regional level and that the officials perform their functions efficiently. (iii) Strengthen the relationship between the national and regional levels for the processes and activities that are used in transparency and access to information, as well as for the fulfilment of the international initiatives.

DIAGNOSIS 2015

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(v) Promote coordination spaces between MINEM, SENACE, regional governments, civil society and the population involved, in order to generate greater confidence among the citizens in the extraction processes of mining – energy resources.

Transparency in the Peruvian Mining – Energy Sector

(iv) Guarantee the citizens living outside of Lima the accessibility to the physical files of the EIAs so that they can include its recommendations and strengthen citizen participation.

Executive Summary

(iii) Strengthen the spaces of transparency and citizen participation, given that all the information generated in the informative workshops and public hearings is not accessible through the portal of the competent entity.

6. Bibliography

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Executive Summary

Photo: Ministry of Environment

DEFENSORÍA DEL PUEBLO (OMBUDSMAN’S OFFICE) 2010. Documento Defensorial N° 12. Ética Pública y Prevención de la Corrupción. Lima: Defensoría del Pueblo. (Defence document no. 12. Public ethics and corruption prevention) 2010a. Informe Defensorial N° 151. La Política Forestal y la Amazonía Peruana: Avances y obstáculos en el camino hacia la sostenibilidad. Lima: Defensoría del Pueblo. (Report N° 151. The Forestry Policy and the Peruvian Amazon: progress and obstacles in the path toward sustainability) 2012. Documento Defensorial N° 17. Diagnóstico sobre la realización de las audiencias públicas de rendición de cuentas en seis gobiernos regionales. Lima: Defensoría del Pueblo. (Defence document no. 17. Diagnosis on the public hearings of accountability in six regional governments) DERECHO, AMBIENTE Y RECURSOS NATURALES (DAR) 2012. Informe anual 2011: Transparencia en el sector forestal peruano. Lima: Derecho, Ambiente y Recursos Naturales (DAR).

(Annual Report 2011: Transparency in the Peruvian Forest Sector) GAMBOA, Aída 2013. Diagnóstico 2013: Transparencia en el sector energético peruano. Lima: Derecho, Ambiente y Recursos Naturales (DAR).

(Diagnosis 2013: Transparency in the Energy Sector in Peru) 2014. Diagnóstico 2014: Transparencia en el sector energético peruano. Lima: Derecho, Ambiente y Recursos Naturales (DAR).

(Diagnosis 2014: Transparency in the Energy Sector in Peru) OFFICE OF THE SPECIAL RAPPORTEUR FOR FREEDOM OF EXPRESSION 2007. Special Study on the Right of Access to Information. Washington D.C.: Inter-American Commission on Human Rights - Organization of American States (OAS). (Estudio Especial sobre el Derecho de Acceso a la Información. Washington D. C.: Comisión Interamericana de Derechos Humanos – Organización de los Estados Americanos (OEA)