Peru US TPA Forestry Annex Compliance Matrix 2014 by Embassy of Peru

ANNEX ON FORESTRY GOVERNANCE PERU – US TPA Matrix of Advances in Implementation

MATRIX OF COMPLIANCE OF THE FORESTRY ANNEX OF THE TRADE PROMOTION AGREEMENT (TPA) PERU – UNITED STATES 1

INFORMATION UPDATED TO 2014 Document prepared by the Ministry of Foreign Trade and Tourism (MINCETUR) with information provided by the Ministry of Agriculture and Irrigation (MINAGRI), the Ministry of the Environment (MINAM), the Supervisory Agency of Forestry Resources and Wild Fauna (OSINFOR), the Agency of Environmental Audit and Evaluation (OEFA), the National Service of Protected Natural Areas (SERNANP), the Ministry of the Public Prosecutor and other Government entities Forestry Obligation Annex Objective Activities conducted towards compliance Met Pending/Additional Steps provision Ministry of Agriculture (MINAGRI)- General Not defined in Ministry of Agriculture (MINAGRI)- General Directorate of Forestry and Wild Fauna the Annex. Directorate of Forestry and Wild Fauna (DGFFS) (DGFFS) DGFFS In 2009, we counted on 01 verifier in the field of Objective: Additional Steps Operative Annual Plans, in 2011 it increased to 10 verifiers. In 2012 we relied on 8 verifiers. The Infrastructure Improvement Increase by 50% reduction of personnel is due to their contraction of the number of tropical diseases. In 2013 there were 07 field verifiers § Equipment has been donated to the Operative and in 2014 05 field verifiers. Regional Government of Loreto for the Annual Plan implementation of the Forestry Program (POA) verifiers In 2009 we relied on 510 people in the Technical 1. Increase the Yes (21 computers, 12 satellite telephones, 3 with respect to Administrations of Forest and Wild Fauna (ATFFS), number of personnel 3. a.i. outboard motors, GPS, etc.). their number in in 2011, on 228, in 2012 on 183 and in 2013, 335 in national parks and § High potency servers have been delivered February of people were estimated in the ATFFS (does not concessions, as well 2009 to the regions of Madre de Dios, Ucayali, include personnel of transferred regions). as in the forestry San Martin and Loreto;; and to the ATFFS of –date of entry regions designated as Central Forest. into force of § The General Directorate of Forestry and Wild protected indigenous Fauna- DGFFS (principal HQ), relies on 05 the ANNEX-, areas. Personnel Training engineers to verify in situ of the annual operation and increase plans of the concessions and forestry licenses the number of § Training workshops and technical that are exports objects of CITES species;; personnel in assistance in Regional Governments having realized in 2012, twenty-three (23) field ATFFS (Madre de Dios, Loreto, San Martín, verifiers that have allowed it to confirm (involves more Ucayali) during 2009, 2010 y 2011. More declarations of cedar and/or mahogany in the than controlling have been projected for 2012 in the annual operation plans of the forestry granted framework of the Amazon Group. concessions and licenses in the areas of Loreto concessions and Madre de Dios. which is the obligation of the ANNEX)

This matrix has been developed on the basis of the previous matrices (years 2011, 2012 and 2013) and the information submitted by Peruvian institutions has been updated to February 2014 (except the case of the General Directorate of Forestry and Wild Fauna-DGFFS, now the National Forestry and Wild Fauna Service – SERFOR), whose information has been updated to the 30th of June of 2014. 2 In the case of MINAGRI-DGFFS. In the previous version of the matrix it was indicated as (MINAG), now it is referred to as MINAGRI- DGFFS.

Obligation

Forestry Annex

Objective

Activities conducted towards compliance

In 2013, 25 field verifiers were programmed to confirm the existence of cedar and mahogany that were declared in the annual Operative plans of the Forestry Concessions and licenses of native communities of the departments of Loreto, Madre de Dios and Ucayali, of which 24 field verifications were carried out. For 2014, 29 field verifications were programmed to confirm the existence of cedar and mahogany declared in the annual Operative plans of Forestry Concessions and licenses of Native Communities in the departments of Loreto, Madre de Dios and Ucayali, of which 09 field verifications have been carried out until 06.30.2014. This figure is principally due to the fusion process of the DGFFS and SERFOR. In general, the personnel of the DGFFS (central HQ and ATFFS) in 2009 was 638. In 2011, total personnel was 418. In February of 2012, total personnel was 362. Between the period of 2013 – 2014, we relied on 502 people (the transfer of functions with the consequent elimination of the ATFFS should be considered). Between 2013 and 2014 (30.06.2014) 158 persons were hired amongst professionals and technicians for the Technical Administrations of Forestry and Wild Fauna at a national level and at the central headquarters to cover diverse posts such as control posts, among others. By means of Supreme Decree N° 094-2014-EF, the authorization of the transfer of goods in the public sector budget of the Ministry of Agriculture and Irrigation was approved for the year 2014 in favor of the Regional Governments of Amazonas, Ayacucho, Huánuco, La Libertad, Loreto, Madre de Dios, San Martín, Tumbes y Ucayali for a total of S/. 1 720 000,00, to finance Activity 5000276 Program Management, Product 3000001

Met

Pending/Additional Steps

And the transfer process of competencies. §

§ § § § §

Themes: legislation, forestry management, identification of woods, etc. We will count on a training pilot module for regional governments. The pilot was developed with the regional government of Loreto. Training Module 1 has been developed and directed to the Regional Government of Madre de Dios. It has been programmed to realize training modules 2 and 3 directed to the regional government of Madre de Dios. It is programmed to realize training workshops with the regional government of the Amazonas. The production of a training plan has been initiated for the different actors of civil society and the personnel of DGFFS. A proposal of a capacity development plan is being prepared for the Technical Administrations of Forestry and Wild Fauna (ATFFS) and Regional Governments GOREs).

Obligation

Forestry Annex

objectives

Activities conducted towards compliance

Met

Common Actions of the Budget Program 0084 Efficient Management of Forestry Resources and Wild Fauna, which are in charge of the aforementioned product and said resources will permit maintenance of strategic control post operations, fostering favorable conditions for the control of illegal logging, transport, control, traffic control, and illegal trade of forestry products and of Wild Fauna. National Service of Protected Natural Areas (SERNANP) § SERNANP realized the administration and management in situ of more than 19.5 million hectares of the country, conserved in the Protected Natural Areas of the National Administration (SINANPE), through the personnel detailed in the following table: PERSONNEL

CENT- MOUN COA- FOR- OTHE RAL HQ T- ST EST RS AINS

TOT- AL

CIVIL SERVANT

PROFES- SIONAL

102

150

TECHNICIAN S

111

455 55

655

TOTAL

125 157

576 168

100

1126

§ In the last year, 28 employees have been added to the staff of the Protected Natural Areas located in the departments of the Peruvian Rainforest. § The activities developed for the conservation of ecosystems in Protected Natural Areas and for the

Pending / Additional Steps SERNANP Set up new sales of carbon bonds in protected natural areas that contribute to the conservation and financial sustainability of the National System of State Protected Natural Areas – SINANPE.

sustainable use of natural resources were defined in the following budget programs: 1. Budget Program “Improvement in the Conservation of biodiversity and the sustainable use of natural resources in Protected Natural Areas;; which looks to prevent and mitigate the generative effects of direct change to the ecosystems of protected natural areas, caused by bad human practices in activities like illegal logging, ranching, agriculture, and mining, among others, that are carried out in the interior of protected natural areas. For which the following lines of intervention have been defined: strengthening the systems of control and vigilance, physical and legal sanitation, restoration of degraded spaces, consent of rights for the sustainable use of natural resources in the interior of protected natural areas, and monitoring of all of the above. The implemented budget in the year 2012 was approximately S/. 16 million, in 2013 it increased to S/. 35 million and for the year 2014, we anticipate S/. 39 million. 2. Budget Program “Sustainable Administration of biodiversity and natural resources”: of which the technician responsible is the Ministry of the Environment (MINAM), and the National Service of Protected Natural Areas (SERNANP) participated though the activity: “Strengthening of the organizations that participate in the administration of conservation of natural resources and biodiversity de in Protected Natural Areas”, that has the purpose to promote citizen participation in the administration and conservation of ANP through the strengthening and promotion of spaces of agreement and dialogue, as such are: the administrative committee, the executives of administrative contracts in Comunal Reserves, program implementation of voluntary forest rangers, and environmental education actions directed at the local population (from educational institutions, rural communities, and native communities, among others).

Obligation

Forestry Annex

Objectives

Activties conducted towards Compliance The Budget created in the year 2013, in the framework of this program, increased to S/ 900 thousand and for the year 2014 we expect a budget assignation of S/ 700 thousand. § In the frame of a cooperative agreement signed between SERNANp and Conservation International (CI) during the years 2011-2012, the deforestation project was carried out avoided in the Alto Mayo Protection Forest, that sought to reduce the deforestation rate of the primary forests in the protected natural areas and its Zone of deadening and strengthen the leadership’s administration of protected natural areas by means of the endowment of human and financial resources for a sum of approximately S/ 2.4 million. § In 2012, 9,400 patrols were conducted in 63 protected natural areas. In 2013, we managed to conduct 9,649 patrols in 67 NPA that allowed the development of anthropic activities, which generate negative effects on conservation, to be prevented and mitigated. For the year 2014, we expect an increase of the pervious figure to 10,000 patrols (between routine and special) in the same number of NPAs. § In the frame of administrative contracts comitted to the benefit of Blue Mountain Range National Park, Alto Mayo Forest Protection, Salinas and Aguada Blanca National Reserves, and Bahuaja Sonene National Park, the commercialization of carbon bonds was launched through projects that reduced greenhouse gas emissions and acted as an investment opportunity for forest conseration in PNA. During 2013, sales amounted to more than 20 million soles, which were constituted in the first experiences of this type for the conservation of PNAs in Latin America.

Met

Pending/Additional Steps

Obligation

Forestry Annex

Objectives

Activities conducted towards compliance Agency of Environmental Audit & Evaluation (OEFA) § While OEFA does not have direct responsibilities over environmental supervision of forestry concessions or national parks, it does have the function to supervise environmental audit entities that develop such activity in the three levels of government. In that sense, the Supervisory Directorate of the OEFA relies on one area destined to supervise the performance of the EFA. § In the year 2013 said area supervised: 1. The Agency of Forestry Resources and Wild Fauna Supervision – OSINFOR. 2. The Regional Government of Loreto represented by the Regional Program of Foresty Resource and Wild Fauna Management. Ministry of Culture (MINCU) (Information from February 2013) § The Territorial Reserves of Kugapakori, Nahua, Nanti and others (RTKNN) accounts for an office in Sepahua, that coordinates and is the link to the actions of control in the RTKNN (01 staff) - 03 surveillance positions in RTKNN in the Bajo Urubamba: rivers Mishagua, Camisea and Ticumpinia - Personnel of the three control and surveillance posts of the RTKNN: 06 agents of protection § Formulation of proposal of the Agreement with the BID for the execution of the project “Regularization of Indigenous Peoples Reserves in Isolation”, in which it is included as one of the components the development of a Protection Pilot of the Madre de Dios Territorial Reserve.

Met

Pending/Additional Steps Ministry of Culture (MINCU) (Information from February 2013) Development of a Protection Strategy for the Territorial Reserves, whose objective is to establish guidelines and mechanisms of protection, control, and surveillance of the Indigenous Reserves. Implementation of the project “Regularization of Indigenous Peoples Reserves in Isolation”, once subscribed in the Agreement with the BID (IADB Inter-American Development Bank).

Obligation

Forestry Annex

Objectives

Activities conducted towards compliance REGIONAL GOVERNMENT MADRE DE DIOS – REGIONAL FORESTRY AND WILD FAUNA DIRECTORATE (DRFFS) § In 2014, the Regulation of Organization y Function (ROF) was approved, along with the Frame of Allocation for Personnel (CAP) and the Diagram of the Regional Forestry and Wild Fauna Directorate of the Madre de Dios Regional Government through Regional Ordinance N°0012014-RMDD/CR, published in the Official Journal, El Peruano dated 24.1.2014. REGIONAL GOVERNMENT OF HUÁNUCO (ATFFS TINGO MARÍA- PUERTO INCA) • In 2013 we had 08 field verifiers of annual Operative plans (AOPs), and to date we have decreased by 03 personnel members because of migration to other labor centers. • In 2013, by means of Ministerial Resolution N° 02922013- MINAGRI, the transfer process of the ATFFS TM-PI, to the REGOV of Huánuco was concluded in conjunction with the technical personnel, creating ATFFS Puerto Inca. • In 2013, 150 records were evaluated for forestry use. For 2014, 200 field verifiers have been programmed to verify the existence of forestry resources declared in the AOPs of Forestry Concessions and licenses of forestry use.

Met

Pending/Additional Steps REGIONAL GOVERNMENT OF MADRE DE DIOS – REGIONAL FORESTRY AND WILD FAUNA DIRECTORATE (DRFFS) Pending Steps: - Development and paperwork for the approvement of the Organization Manual of Procedural Manual (MAPRO) and update of the TUPA. Additional Steps: - Paperwork from the International Technical Cooperation Office to attain financing for institutional strengthening projects REGIONAL GOVERNMENT OF HUÁNUCO (ATFFS TINGO MARÍA- PUERTO INCA) Additional Steps: On Personnel Training • Training workshops and technical assistance have been realized by the DGFFS. More have been projected for 2014. On Increase of Personnel • For 2014, the implementation of the ATFFS Puerto Inca in conjunction with its administrative technical personnel is being coordinated. On Infrastructure improvement • The environments of forestry and Wild Fauna control posts in Cayumba have been improved.

Obligation

Forestry Annex

2. Develop and Implement an Anticorruption Plan for 3.a.ii the officers in charge of the administration and control of forestry resources.

Objectives

Concrete goal defined in the ANNEX

Activities conducted towards compliance Ministry of Agriculture and Irrigation – General Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) § By means of Supreme Decree Nº 009-2011-AG, with support from MINAM, the National Anticorruption Plan of the Forestry and Wild Fauna Sector was approved (PASFFS). § Events of diffusion at a national level of PASFFS with officials and civil servants of the Forestry and Wild Fauna Sector in the Regions and ATFFS and participation of Public Authorities. § With respect to the Budget and in compliance to the POI, programmed activities were assigned on the Líne of action: Forestry and Wild Fauna Law and Verifier 3 – Activity. § Regarding Transparency, public information of interest was included in the institutional portal from the users of the sector (Líne of Action 1.1.1 of the Plan) aligning it so that it is in agreement with the advancements of the SNIC and for it to strengthen and modernize the Information System as a tool of control. § Permanent coordination is being maintained with the Commission of High Level Anticorruption – CAN. § In total, 9 workshops of diffusion and training have been developed. According to POI, in 2012 03 trainings went into effect (Tacna, Arequipa, and Lambayeque), in 2013, 04 trainings were completed (Selva Central, San Martín, Ucayali, Madre de Dios) and in 2014, 01 workshop was carried out (Lima);; and 01 training event (Loreto). Both officers and public servants of the Foresty and Wild Fauna Sector were trained in the aforementioned regions of the country and of ATFFS with the participaiton of Public Authorities, with a special emphasis on the regions of the rainforest;; the topics covered: Sanctioner Administrative Procedure, Transparency and Ethics, Access to Public Information, Crimes against Natural Resources, and Forestry Transport Contro, among others. (Line of Action 1.5.1 of the Plan).

Met

YES

Pending/Additional Steps Ministry of Agriculture and Irrigation – General Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Pending Steps § Continue with the effective diffusion of communication and sensitivity of the Anticorruption Plan in the principal forestry regions and implementation of its strategic objectives in different lines of action and activities, in coordination with the competent entities. § Execute sensitivity campaigns about the importance, at a national level, of the PASFFS and in the principal forestry regions and advancing in the implementation of its strategic objectives in the different lines of action and activities, in coordination with the competent entities. § Initiate the process of participation of civil society to update and modify the PASFFS. § The subscription of the cooperation agreement with the Attorney’s Office Specialized in the Environment. § Count on a Web Portal that is broad and organized and includes major information in the transparency portal related to the activities and processes of SERFOR. § Continue with the implementation of control posts and seats at a national level in coordination with public authorities. § Update and/or modify the PASFFS in coordination with the responsible actors. § Channel of complaints.

Forestry Annex

Obligation

Objectives

Activities conducted towards Compliance § In November of 2013, the objective of the inclusion of the PASFFS to the National System of Fighting Corruption was achieved. And, permanent coordination is being maintained with the Commission of High Level Anti-corruption – CAN in its governing quality. (Strategy 2.1.1) § In agreement with Strategy 2.5 regarding strengthening the legal framework, 08 forestry and Wild Fauna regulations have been approved until 30.06.2014 which constitute as prevention tools against corruption (Supreme Decree N° 015-2013-MINAGRI, Ministerial Resolution 022-2014-MINAGRI, Ministerial Resolution N° 027-2014-MINAGRI, Ministerial Resolution N° 162- 2013-MINAGRI, Ministerial Resolution N° 163-2013- MINAGRI, Ministerial Resolution Nº 0307- 2013MINAGRI, RM Nº 0361-2012-AG, RM Nº 250- 2014MINAGRI). § The process of Administrative Simplification in the Forestry and Wild Fauna Sector is being implemented starting with the redesign of administrative processes, like the National Forestry Authority that forms part of the strategy 1.2.2 regarding administrative simplification. § Some positions and sites of control, but it is still necessary to continue with this process and align it with the National Information System of Forestry and Wild Fauna (SNIFFS). § With the support of the Cooperation and Project Perú Bosques –USAID, a study was developed of pre- investment feasibility in the framework of SNIP of project “Creation of Multi-departmental Control Module of the SNIFFS”, considering the implementation of 61 control posts that are located in different corridors of the country. The Register of Counsels is being implemented with observations of false information. Complaints from users are being received about administrative offenses and complaints with penal connotations.

Met

Pending/Additional Steps Additional Step: § Coordinate with the Dispute Commission against Illegal Logging to the effect of knowing the diagnostic.

Obligation

Forestry Annex

Objectives

Activities conducted towards compliance OSINFOR – Supervisory Agency of Forestry and Wild Fauna Resources § OSINFOR participates in the Multisector Technical Group for the implementation of the Anti-corruption Plan for the Forestry and Wild Fauna Sector. MINAM § By means of Ministerial Resolution N° 356-2013-MINAM, published on November 13th, 2013, the “Fight Plan against Corruption in the Environmental Sector” was approved. Available on: http://www.minam.gob.pe/wpcontent/uploads/2014/02/RM- N%C2%BA-356-2013- MINAM.pdf

Met

Pending/Additional Steps OSINFOR Continuous Action Additional Steps Participation in 25 events of the Intergovernmental Group for the Strengthening of the Forestry Sector and the Multisector Technical Group for the implementation of the Anticorruption Plan with the purpose of coordinating and analyzing the critical aspects of the forestry sector. Modernized webpage for better Access to the public. Information system of public access (SISFOR) with 180 thousand individuals of forestry species, 300 thousand km of roads covered and more than 2,500 maps, 05 publications with new knowledge for forestry management. Implementation of a record of offenders to the forestry and Wild Fauna legislation (forestry consultants), that permits the prioritization of the supervision of OSINFOR in the operation plans signed by offenders. MINAM § Implementation and report of the “Fight Plan Against Corruption in the Environmental Sector 2013-2014”.

Obligation

Forestry Annex

Objectives

Activities conducted towards Compliance OEFA § The “Institutional Fight Plan against corruption in the Agency of Environmental Evaluation and Audit 2013 – 2014” was approved by means of the Presidential Resolution of the Executive Counsel N° 152-2013-OEFA/PCD, published November 9th, 2013. Available on: http://www.oefa.gob.pe/?wpfb_dl=5811 § The “Regulation of Disciplinary Regimen and Public Ethics of the Environmental Evaluation and Audit Agency” approved on November 30th, 2012 by means of Presidential Resolution of the Executive Counsel N° 126-2012-OEFA/PCD, contributes to the strengthening of a culture of integrity, transparency, and justice. Available on: http://www.oefa.gob.pe/?wpfb_dl=2851 § According to the approved PASFFS, the OEFA should fulfill Line of Action 1.4.2 on the Strengthening of Capabilities, in particular, the action referred to as “implement complaint records, record of offenders, and record of firms involved in illegal acts and corruption.” In this sense, the OEFA has established a Record of Environmental Complaints, Record of Environmental Offenders, and a Record of Administrative Acts. All of which are updated periodically. SERNANP § The “Institutional Fight Plan Against Corruption 2013 – 2014 of the National Service of Protected Natural Areas” has been approved by means of Presidential Resolution N° 224-2013-SERNANP, published on November 29th, 2013.

Met

Pending/Additional Steps OEFA § Implementation and report of the “Institutional Fight Plan against corruption in the Agency of Environmental Evaluation and Audit 2013 – 2014”. SERNANP Implementation and Report of “Institutional Fight Plan Against Corruption 2013 – 2014 of the National Service of Protected Natural Areas.”

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance

Met

Available on: http://www.sernanp.gob.pe/sernanp/archivos/baselega l/Resoluciones_Presidenciales/2013/RP%20N%20224 %20-2013%20-SERNANP.pdf

§

During 2013, SERNANP participated in 04 reunions organized by DGFFS, in which topics referring to the performance of SERNANP were addressed. These topics included politics in the fight against corruption in the forestry sector, directed to officials and public servants of the national, regional, and local governments’ forestry and Wild Fauna sectors. These meetings took place in Satipo, Pucallpa, Madre de Dios and Tarapoto. § SERNANP’s Labor Group has been established by means of Presidential Resolution N° 115- 2012SERNANP, published on July 2nd, 2012, in responsible for coordinating the execution of planned activities in the PASFFS. Available on: http://www.sernanp.gob.pe/sernanp/archivos/baselega l/Resoluciones_Presidenciales/2012/115.pdf § By means of Presidential Resolution Nº 092-2012, SERNANP, of May 8th, 2012 the labor group of SERNANP was formed. It was in charge of coordinating the execution of the planned activites in the PASFFS. Available on: http://www.sernanp.gob.pe/sernanp/archivos/baselegal/ Resoluciones_Presidenciales/2012/092.pdf §

An approved procedure that assures access to public information in an adequate and opportune manner is expected to be established in Proceedings N° 8 in the Only Text of Administrative Procedures of SERNANP, approved by Supreme Decree N° 0022012-MINAM.

Pending / Additional Steps

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance

Met

Available on: http://www.minam.gob.pe/wpcontent/uploads/2013/09/ds- 002-2012-minam.pdf

REGIONAL GOVERNMENT MADRE DE DIOS – REGIONAL DIRECTORATE OF FORESTRY AND WILD FAUNA (DRGFFS) Pending Steps: - Implementation of the Commission with professional specialists in forestry topics.

REGIONAL GOVERNMENT MADRE DE DIOS – REGIONAL DIRECTORATE OF FORESTRY AND WILD FAUNA (DRGFFS) - Approval of Regional Ordinance N° 019-2013RMDD/CR, that constitutes the Regional Commission of Anticorruption in Madre de Dios (15-04-2013). Modification of Title XIII of the Penal Code (Environmental Crimes) by Law Nº 29263, from October 2nd, 2008 (art. 3), and Legislative Decree Nº 1102 (published on 29.02.12) that incorporates in the Penal Code crimes of illegal mining (in which one of its worsening forms is when it is carried out in zones where development of mining activity is not permitted or in natural protected areas, or in land of native, farm, or indigenous communities).

Provide levels of deterrence of civil and penal responsibility to whoever obstructs or undermines the management of forestry resources

3.b.

Goal not defined in the ANNEX.

MINISTRY OF THE PUBLIC PROSECUTOR (Information from 2011) § Three skill training workshops have been realized for environmental prosecutors in Loreto, San Martín and Madre de Dios. In these workshops, specific cases were addressed on penal processes in forestry topics. § The workshops were carried out according to what was programmed in Loreto, San Martin, Pucallpa, Madre de Dios and north of Chiclayo. Year 2013: § In 2013, 170 fiscal files were processed for crimes of traffic and pillage of Wild Fauna;; 1054 fiscal files for crimes against forests and wooded formations;;

Pending/Additional Steps

YES

MINISTRY OF THE PUBLIC PROSECUTOR § IV National Congress of Environmental District Attorneys (Pucallpa - April 2014) § Conventions to endorse: 1. Ministry of Agriculture 2. National Authority of Water (ANA) 3. Ministry of Defense – War Navy of Perú. General Directorate of Captaincies and Coastguards (DICAPI) 4. Ministry of Health (MINSA) 5. General Directorate of Health (DIGESA) 7. Supervisory Agency of Mining and Energy Investment (OSINERGMIN)

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance

464 for crimes of illegal traffic of forestry, timber-yielding products, followed by public prosecutors specialized in Environmental Matters. For more information about the sentences emitted by the Judicial Power with respect to the crimes against natural resources (including forestry resources), refer to the following link: http://portal.mpfn.gob.pe/fema/home.php § Activities realized for the strengthening of the skills of environmental prosecutors: 1. January: Participation in “Regional Forum REDD+ and Anticorruption” organized in Lima by PNUD, in the city of Lima. 2. April: The Regional framework workshop, “Specialization in National Politics and Normativity of the Environmental, Forestry, and Wild Fauna Sector”, was realized and took place in the Region of Loreto (Nauta), th from the 29th to the 30 of Abril of 2013. 3. May: From the 3rd to the 5th of May of 2013, the First Module of Masters in Politics and Environmental Management and Legislation was initiated, which is the product of the Inter-Institutional Convention between MPFN and the University of Paulo Freire of Nicaragua, and the Global League of Environmentalist Lawyers (LIMAA), with a total of 40 participants (Specialized district attorneys and assistants of the FEMA dispatches), and assistants to the first presidential class. 4. June: The “III National Congress of Environmental nd District Attorneys” was realized from the 22 to the th 24 of June of 2013,

Met

Pending/Additional Steps

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance In the city of Huamanga, Ayacucho, that expected the participation of 69 attorneys specialized in environmental matters, 05 specialists of the Forense Team specialized in Environmental Topics EFOMA, and 09 assistants of the District Attorney Function. 5. July: We participated in the workshop, “Activities of Observance (With emphasis on Thursday and District Attorneys) of the countries in the Amazon Cooperation Treaty (OTCA)” , from the 9th to the 11th of July of 2013, with the presence of the District Attorneys from Madre de Dios, Ucayali, Huánuco, Amazonas (Chachapoyas and Bagua) and Callao. 6. August: We participated in the “First Workshop for the elaboration of the Andean Condor Conservation Plan” from the 27th to the 28th of august in the city of Cuzco. 7. September: 18th of September: We participated in the coordination meeting with MINRREE on the Andean Decision Project with focus on the Prevention and Control of Illegal Trafficking of Wild Species from the bio- diversities of the CAN countries. Additionally, in the evaluation meeting we addressed the problems associated with mining activities in the Condor Mountain Range and the Afrodita Mining Company. 20th of September: Meeting with the Executive Counsel of the Judiciary and the Coordination of the District Attorneys specialized in Environmental Matters, with respect to the creation of Specialized Courts in environmental matters. From 9.09.13 to 06.10.13: XII International Conference of Environmental Law, in Cuzco, organized by the Ministry of the Public Prosecutor and the Global League of Environmentalist Lawyers with the participation of 60 attorneys specialized in the environment.

Met

Pending/Additional Steps

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance 8. October: On 30.10.14 we participated in the first meeting of the specialized group on illegal mining in the OTCA Member Countries. 9. November: 8th of November: The second module of the Masters in Environmental Politics, Legislation, and Management was initiated. It was a product of the Convention between the Ministry of the Public Prosecutor, Paulo Freire University, and the Global League of Environmental Lawyers. From the 20th to the 23rd of November: the V Congress of the Latin-American Network of Public Environmental Ministries was realized in Bogotá, Colombia, with the representation of 21 district attorneys specialized in the environment. Conventions endorsed during the year 2013: 1. Conventions of Inter-Institutional Cooperation Frameworks signed by the University of Paulo Freire of Nicaragua and The Global League of Environmentalist st Lawyers, signed the 21 of February of 2013. 2. Letter of Understanding between the Support Unit of the Andean Amazon Conservation Initiative (ICAA) and the Ministry of the Public Prosecutor, dated the 21st of February of 2013. 3. Specific Convention of Academic Cooperation and Exchange, and Culture Strengthening between the Global League of Environmentalist Lawyers (LIMAA) of México and the Ministry of the Public Prosecutor, dated th the 26 of February of 2013. 4. Convention of Inter-institutional Cooperation signed between the Agency of Environmental Evaluation and Audit--OEFA and the Ministry of the Public Prosecutor, dated the 12th of June of 2013.

Met

Pending/Additional Steps

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance 5. Convention of Inter-institutional Collaboration signed between the National Service of State Protected Natural Areas– SERNANP and the Ministry of the Public Prosecutor, dated 21st of June of 2013. 6. Convention of the Framework of Inter-institutional Cooperation signed between the Ministry of the Environment and Ministry of the Public Prosecutor, dated nd the 2 of July of 2013. 7. Convention of Inter-institutional Cooperation signed between the Ministry of the Public Prosecutor and the International Society of Jurists– INTER IURIS dated 15th of July of 2013. 8. National Forest Conservation Program for the Mitigation of Climate Change from the Ministry of the Environment. 9. Supervisory Agency of Forestry and Wild Fauna Resources (OSINFOR) Actions of Diffusion: § Diffusion activities have been realized in both civil society (educational communities and institutions) and in conjunction with competent sectoral authorities. A total of 147 diffusion actions for the District Attorney Offices Specialized in Environmental Matters were realized in 2013. MINAM The Public Attorney’s Office has established, as on the agenda for 2014, developing an evaluation campaign, in coordination with OSINFOR, of the resolutions and reports emitted by OSINFOR, in which could be highlighted some signs of penal responsibility of forestry officials and consultants. This originates in that the Public Attorney’s Office presents numerous complaints for the crime of the official’s responsibility, established in the article 314° of the Penal Code.

Met

Pending/Additional Steps MINAM Pending or additional steps have not been reported.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance Currently 5 important cases are being processed in reference to the crime on forests or wooded formations, principally referring to the penal actions and have as sustenance to impute the responsibility to firms that are promoting and committing deforestation in virgin forestry zones. OEFA § The 31st of October of 2013 by means of the Supreme Resolution N° 154-2013-JUS, it was designated to the Public Attorney of the Agency for Environmental Evaluation and Audit – OEFA, the preliminary investigations and/or preparative and judicial and arbitrary processes, and others, in which the OEFA is a part of. Available on: http://www.minjus.gob.pe/wpcontent/uploads/2013/11/RS- 154-2013-JUS.pdf OEFA has direct environmental audit abilities in mining, electricity, hydrocarbons, industry, and fishing, which are all productive activities that can have effects on forestry and Wild Fauna resources. A breach of these environmental obligations in said activities are sanctioned by the OEFA in accordance to current norms. (Some normative instruments are in process of revision and update.)

Met

Pending/Additional Steps OEFA Additional Steps Pending or additional steps have not been reported.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance OSINFOR OSINFOR emits the Substantial Technical Report at the request of the District Attorneys Specialized in the Environment of Ministry of the Public Prosecutor. In forestry concessions: • 2012: 31 substantiated reports • 2013: 46 substantiated reports • Feb. 2014: 16 substantiated reports In permits and forestry authorizations: • 2013: 88 substantiated reports OSINFOR remits the results of the audits that it realizes (directorial resolutions), to the Ministry of the Public Prosecutor-MP, when it finds irregularities that could signify illicit penalties. In forestry concessions: • 2012: 186 remitted resolutions to the MP. • 2013: 255 remitted resolutions MP. In permits and forestry authorizations: • 2012: 410 remitted resolutions to the MP. • 2013: 64 remitted resolutions to the MP. Ministry of Agriculture and Irrigation – General Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) § Sanctioning capacity has been included in Law N° 29763 for the National Forestry and Wild Fauna Authority. § Classification of infractions and causes of expiration of the right to forestry and Wild Fauna have been included.

Met

Pending/Additional Steps OSINFOR Continuing management activity. Additional Steps Examine actions of realized supervisions and audits in numerals 5 and 15. In April of 2013, a workshop was realized in Loreto with FEMA on “Specialization of National and Normative Politics of the Environmental, Forestry, and Wild Fauna Sector”, achieving the establishment of 04 principal agreements to optimize the work coordinated: the opportunity of the delivery of information that contains the criminal notice, the development of the substantiated report, the testimonial declaration of the supervisor and the engineer that endorsed the substantiated report;; and the participation of OSINFOR/FEMA in the supervisions and operations. Ministry of Agriculture and Irrigation – General Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Additional Steps § Coercive collection capacity of SERFOR was included to effectuate the collection of unpaid fines and sanctions. § The Regulation of Law 29763 Forestry and Wild Fauna Law is in the development process during 2013.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance § §

§

Increase criminal sanctions of article 310 of the Penal Code.

3.c.i

Goal not defined in the ANNEX.

Met

§ By means of Supreme Decree Nº 010- 2009AG it is required that the Technical Forestry and Wild Fauna Administrations -- ATFFS (MINAG) emit a technical opinion on the impact of the suspected criminal offenses on forestry resources. § The functional implementation of the Office of Coercive Execution is still pending will be realized when SERFOR starts to operate.

The suspension of the right to exportation has been included for those that have infringed on the Law. It has been expected that all persons that possess, transport, and commercialize a product or specimen of wild flora or fauna of which its legal origin cannot be proven before the authority’s requirement is liable to seizure or confiscation of the product or specimen and the sanctions that are established in the law and the regulation. By means of Supreme Decree N° 007-2013-MINAGRI the Regulation of the Organization and Functions-ROF of SERFOR was approved and establishes, under the General Administration Office, the Office of Coercive Execution will plan, execute, and direct the functions of coercive execution.

Modification of Title XIII of the Penal Code (Environmental Crimes) by Law Nº 29263, of October 2nd, 2008 (art. 3), and Legislative Decree Nº 1102 (published on 29.02.12) that incorporates illegal mining crimes to the Penal Code (one of its worst forms being when it is done in zones not permitted for the development of mining activity or in protected natural areas, or in lands of native, farm, or indigenous communities). MINISTRY OF THE PUBLIC PROSECUTOR (information from august 2011) § The Ministry of the Public Prosecutor realized three training workshops for lawyers, SERNANP personnel, Public Defenders, Regional Governments and environmental attorneys in Loreto, San Martín and Madre de Dios. In these workshops, they addressed specific cases of penal processes in forestry matters. Year 2013: FEMA has realized, in the year 2013, 21 prevention operatives for crimes against forests and wood formations (art. 310°);; and 78 preventative operatives for trafficking crimes of timber-yielding forestry resources (art 310°-A).

Pending/Additional Steps

YES

MINISTRY OF THE PUBLIC PROSECUTOR Year 2014: First tri-national operation for the fight against environmental crimes of organized criminality, ilegal mining, and the trafficking of timber-yielding forestry resources. (Colombia, Brasil and Perú).

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance MINAM § By means of Supreme Decree N° 009-2013-MINAM, published on September 4th, 2013, the new Regulation was approved of the Numeral 149.1 of article 149° of Law Ley N° 28611, General Law of the Environment, with the purpose of clearly establishing the environmental entity responsible for the development of the Substantiated Report, that as a requisite for procedurability, it is constituted as ideal evidence in the investigations of environmental crimes, and among those are the crimes against forestry resources. This amendment launched by the Ministry of the Environment has permitted the improvement of the quality of the investigations and its subsequent criminal punishments. Available in: http://www.minam.gob.pe/wpcontent/uploads/2013/12/ds_009- 2013-minam.pdf OSINFOR § OSINFOR remits the results of its supervisions and audits that it realizes to the Ministry of Agriculture, Regional Governments, Ministry of the Environment, and OEFA for its corresponding knowledge and intervention. § OSINFOR remits the results of the audits that it realizes (directorial resolutions of term), to the Ministry of the Public Prosecutor, when it finds irregularities that could signify criminal offenses.

Met

Pending/Additional Steps MINAM Pending or additional steps have not been reported. OSINFOR Action continues Additional Steps Examine actions of substantiated reports remitted in numeral 3.

Forestry Annex

Obligation

Objectives

Suspend the right to export products 3.c.ii which infringe on a regulation.

Concrete goal defined in the ANNEX

Activities conducted towards compliance OEFA: § The Directorate of Audits, Sanctions, and Application of Incentives relies on an area of Coordination with the prosecuting attorneys specialized in environmental matters of the Ministry of the Public Prosecutor in order to maintain the necessary coordination for penal processes on environmental offenses. Ministry of Agriculture and Irrigation – General Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) § Law Nº 27308 (current Forestry and Wild Fauna Law) considers that as of the year 2005, the commercialization of administered products can only proceed (fourth complementary transitory disposition). § In Art. 126° of LFFS N° 29763 it is obligatory to accredit the legal origin of forestry and Wild Fauna products. § By means of Ministerial Resolution Nº 0302-2010-AG, technical criterion has been approved for the appropriate conduction of administrative sanctioning procedures aimed at imposing sanctions for the transport of forestry products without official documents to support it. Law N°29763 (Forestry and Wild Fauna Law published on July of 2011) anticipates that all persons that possess, transport, or commercialize a product or specimen of a wild flora or fauna species whose legal origin cannot be proved before the authority’s requirement is liable to confiscation or seizure of the product or specimen and the sanctions that the law and regulation establish.

Met

Pending/Additional Steps OEFA: Additional or pending steps have not been reported.

YES

Ministry of Agriculture and Irrigation – General Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Additional Steps § Total entry into force of Law N° 29763 (Forestry and Wild Fauna Law). § The webpage of MINAG publishes CITES timber permits. Exportation permits for mahogany emitted from 2008 to the present and for cedar emitted from 2009 have been entered into the database of the CITES application. The update is permanent. For more information regarding CITES timber permits, it is suggested to review the following link: http://cites.minag.gob.pe/ OSINFOR Continuing action

Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR) OSINFOR under the Single Administrative Procedure (PAU) establishes precautionary measures under the supposition of violations against current legislation of forestry and Wild Fauna and, if infractions are confirmed, grants expire. These measures lead to the expiry of the management plans and of the documents that support the mobilization and trade of those harvested products illegally extracted.

Supervisory Organization of Forest Resources and Wild Fauna Continuing action.

Obligation

6. Adopt and implement policies to monitor the condition and extent of the species of trees CITES.

Forestry Annex

3.d and 15

Objectives

Activities conducted towards compliance Ministry of Agriculture and Irrigation – General Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) § The Supreme Decree Nº 019-2010-AG was approved on December 31, 2010. This decree defines the actions and strengthens the mechanics of articulation between the Administrative Authority CITES-Peru for the flora and fauna species that reproduce on land and the scientific Authority CITES-Peru, for the determination and implementation of the national export quota for the mahogany species included in Appendix II of the International Trade Convention of Endangered Flora and Fauna Species – CITES. § With Supreme Decree No. 09-2013 - MINAGRI the National Forest and Wild Fauna Policy (PNFFS) was approved. The objective of this policy is to contribute to national development through the proper management of our forest resources and Wild Fauna. About: • The Administrative Authority has verified 100% the 8 POAS located in the region of Madre de Dios which have been included in the export quota of 2013 with 187 trees for export as per recommendation of the Scientific Authority CITES – Peru. • The Administrative Authority has verified 100% the 07 POAS located in the region of Madre de Dios that have been included in the export quota of 2012 with 104 trees for exports per recommendation of the Scientific Authority CITES – Peru

Objective defined in the Annex and the permanent compliance

Met

YES

Pending/Additional Steps Ministry of Agriculture and Irrigation – General Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Additional Steps § Comply with the Forest and Wild Fauna National Policy that considers the guidelines of the Objective 1 related to the conservation and sustainable use of goods and services of forest ecosystems, other vegetation and Wild Fauna under the framework of an effective management of species. CITES. . § The law 29763 gives the mandate to have population assessments for the trees species included in the CITES listing. § Continue with the compliance of the DS 019- 2010-AG.

§ The Administrative Authority has verified 100% the 08 POAS located in the region of Madre de Dios that have been included in the export quota from 2011 with 205 trees for export as per recommendation of the Scientific Authority. § The reports done as a result of the verifications were remitted to the Regional government, the Supervisory Organization of Forest Resources and Wild Fauna and Scientific Authority in accordance with the stated in the DS 019-2010-AG. § The presentation of the POAS that have mahogany for its use is done to the Regional Forestry Authority and the Administrative Authority, The Administrative Authority verifies on camp the trees at 100%. With the results from the verification and the recommendations issued by the Scientific Authority, the Regional Forestry Authority approves it. § The presentation of the POAS that have cedar for its use its doe to the Regional Forestry Authority. This authority is in charge of approving the POAS. Ministry of Environment (MINAM) § The Opinion of Non-harmful extraction for Mahogany 2014 has been done. (Feb 2014). § A study of recovery of the mahogany and cedar in Ucayali region has been done (Dec 2012). § A map of the probabilities of the existence of the Cedrela species in Peru has been done.

IN PROCESS

Ministry of Environment (MINAM) § The Scientific Authority Cites has plans to continue with the Study of the Recovery of populations of mahogany and cedar in the region of Loreto.

Obligation 7. Develop a comprehensive inventory of flora and fauna that includes species of trees CITEs to determine its geographic distribution, density, size, etc. and identify its threats to survive. .

Forestry Annex

Objectives

Concrete goals define in the ANNEX 3.d.i and 15

Activities conducted towards compliance National Forestry Inventory § An agreement with the Food and Agriculture Organization of the United Nations (FAO) was subscribed in 2011 to develop the National Forestry Inventory Project (IFN) having like executors the MINAG and MINAM. § A consultancy to gather information around the country about forest inventories carried out in different parts of the country and that are used as inputs for the development of the National Forest Inventory was conducted. The project, in its initial phase in 2011, has demanded the hiring of two consultants, one of them funded by FAO and the second by the General Directory of Forestry and Wild Fauna. § The National Forestry Inventory includes the species CITES. § In 2012, the General Directory of Forestry and Wild Fauna (DGFFS) hired the technical staff in charge of the National Forestry Inventory Project: 05 professionals and 02 administrative. § In 2011, the Steering committee of the project was installed (MINAG, MINAM, FAO), kicking off the first activities. In 2012, the national counterpart budget for the recruitment of professionals and installation of faces was considered. § Up to date the methodology design for implementation of the National Forestry Inventory has concluded. The same for the plans to start the field phase from March 2013 on the north coast of the country, to then do the same to other regions like Loreto and Ucayali. § The study of pre-feasibility and feasibility of the Competitive Forestry Development Program in the Peruvian Amazon has been approved since 2011 as well as the approval of the Ministry of the Economy and

Met

Pending/Additional Steps Pending Steps • Continue with the implementation of the first panel of the National Forestry Inventory and the implementation of forestry inventories in the Ucayali and San martin regions in the second half of 2014. • Implementation of the Competitive Forestry Development Program in the Peruvian amazon (CAF). • Establish the Inventory of Directory and Assessment of the general direction of Information and Wild Fauna SERFOR. Additional Steps § The DGFFS has developed a conceptualization of the program of Forestry Inventories that includes the National Forestry Inventory, the Permanent Production of Forests and Permanent Monitoring of Plots Inventory., The link between them and the National Information forestry and Wild Fauna ()SNIF). § It is pending the publication of two methodologies and the field guide that is going to be adapted to the regions depending of the distribution of species.

Finance in 2012 for the financing of the public debt with the CAF. This program will initiate in 2013, and considers the supplemental funding for five years to the development of Forestry and Wild Fauna Inventory (IFN) in 08 amazon regions.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance § The article 35 of the Law N° 29763 29763 states that the SERFOR is the authority responsible for developing permanently and updating periodically the national inventory and the assessment of forest and Wild Fauna diversity in coordination with regional governments, local governments and other public and private institutions. With the support of the PSFI, the DGFFS in 2013 began the collection of information in the field of the first panel of the National Forestry Inventory collecting information from the forest of 30 units from SamplingUM in the northern ecozone (09 Um in Tumbes, 17 UM in Piura and 07 UM in Lambayeque) in the first half and 36 UM in the Loreto region (22 in the lowlands ecozone and 14 in the hydromorphic ecozone ) in the second half . § In addition, during the first quarter of 2013 various adjustments to the lessons learned in the field surveys were performed, which contributed to achieving the final methodological version on June 2013. § In the first half of 2014 the instructional field in six ecozones of the country (Costa, Sierra , passable High Selva , Selva Alta inaccessible, Selva Baja and hydromorphic ) and the measurement equipment manuals were finished. § On the other hand in the same period, with support from TPIH the integration of the National Forest Inventory (INF) and Woods Permanent production (BPP ) inventories were conducted, those two jointly are planned for the implementation of forestry inventories, that is, 161 UM for the continuation of panel 1 and 86 to the BPP inventories of San Martin and Ucayali regions.. § On the other hand the DGFFS of MINAGRI in 2011 developed and validated a Manual for Planification and Execution of Forestry Inventories in BPP, in a participative way with the Regional Government.;; this manual was

Met

Pending/Additional Steps

approved by RM No. 172-2012-AG. Based on the manual certain forestry inventories in BPP were carried out, this is the case of no concessions Zones 7 and 8 of Loreto region, zones 2 and 3 in the Cusco region, zones 2, 3A-1, 3A-2 and 3C in Ucayali region and zones 3C-1 and 3C-2 in San Martin region. § Within the Forestry Inventory, the Wild Fauna inventory was included. The DGFFS developed with the support of the PFSI a (1) data collection methodology, (1) a statistical analysis methodology that gives data collected and a field guide for the application of the data collecting methodology for Wild Fauna. § The PFSI supported the DGFFS and the Regional Government of Ucayali in implementing the Inventory in BPP. Such support was through: the elaboration of a communications plan to share the objectives and progress of inventory with the Regional Governments, NGOs, Native Communities and concessionaries, logistical and technical support through specialist from the PFSI to offer trainings for the field work and funding support for the publication of manuals and protocols for the standardization of methodologies for data collection.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance Ministry of Environment (MINAM) § MINAM as co-executor has participated in the different execution actions of the field work of the National Forestry Inventory (INF). § The General Coordinator of the National Forestry Inventory has been hired, as well as all professionals committed to MINAM. The implementation of the office is already completed. § The elaboration process of the three methodologies of the INF was concluded, also the technical manuals to initiate field work. This was worked in s regional level as well as in terms of the actors related with the topic (public entities, academia and investigation). § The cards for data collection on the field for inventory has been developed. Moreover the records of fauna and palm trees has been incorporated as part of forestry inventory and as verifiers of habitats and ecosystems. § For the counterparty in species, the products generated by MINAM are being used, that is satellite images, mosaics, Geoserver platform, pilot studies for methodologic support, map of Vegetarian cover 2009 that has server for planning the fieldwork, among others.

Met

Pending/Additional Steps MINAM § In 2014 the 282 plots missing will be complemented the panel 1 and the possibility of concluding the 375 plots of Panel 2 is being considered, this is accompanied by an exhaustive planning process to meet these commitments. § Information is expected to be collected about 1876 plots over five years, dividing the country into five panels (approximately 375 parcels per panel). Also, with accessibility criteria and conditions of the presence of forest cover, the country has been divided into six ecozones;; coast, highlands, lowland jungle, hydromorphic zone (aguajales) accessible and difficult highland jungle. § To achieve these results MINAM has provided a counterpart from REDD – MINAM.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance § In 2013 the collection of data field from 112 parcels in Panel 1 was concluded, as detailed: - 27 parcels in the North Coast (Tumbes, Piura and Lambayeque) in March and April. - 19 parcels in the low Forest in the basin of the Nanai, Low Amazon and The Tiger rivers in Loreto region in June and July. - 14 parcels financed with MINAGRI funds and 52 parcels financed by the REDD + MINAN Project for the hydromorphic ecozone in November and December. -

Met

Pending/Additional Steps

Obligation 8. Carry out technical studies to determine the performance of the products to inform decisions on export quotas.

Forestry Annex 3.d.ii

Objectives

Activities conducted towards compliance

Specific goal Ministry of Agriculture and Animal Resources- defined in the Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) Annex: Set § There is a pilot study of the performance of mahogany performance that was conducted by MINAG. This study was presented coefficients for and debated in an International workshop sponsored by mahogany (only the International Organization of Topical Wood (OIMT) in specie with 2009 with the participation of authorities CITES. export quota) § By Departmental Resolution No. 075-2008 -INRENA, the coefficients of performance for mahogany and cedar 1. species were established. § By Departmental Resolution No. 269-2008-INRENA the Intern institutional Commission for Technical Studies of Mahogany and Cedar Performance was modified. § By Departmental Resolution No. 159-2008-INRENA an Intern institutional commission for Technical Studies of Mahogany and Cedar Performance was formed and the methodology for estimating the performance of converting a standing tree to round wood and sawn wood to wood was approved. Currently the DGFFS has the “Methodologies to determine default loss factor of a standing tree to round wood” (FPD) and the “Methodology to determine the performance coefficient for round wood to timber (CR)”, approved by RJ No. 159- 2008 -INRENA and whose application is only by the Forestry Authority and official use in the country. § On January 27, 2010 the Ministerial Resolution No. 0021- 2010 -AG, which authorizes the DGFFS to approve performance coefficients of any kind of wood was approved. To approve it, technical studies are required.

Met

Pending/Additional Steps

YES

Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Additional Steps • In April 2010, with support of the World Bank, through Intercooperation, with counterpart of OSINFOR and MINAG, a project to continue with the performance studies of the Swietenia macrophylla King species was started. This in order to develop volume conversion tables for the regions of Ucayali and Madre de Dios. • According to field work, some points from the methodology that need to be improved, reformulated and updated, were identified. • A schedule for the implementation of performance studied was developed. • In order to facilitate performance studies on the primary processing plants (sawmills), in mid-2011 the Ministerial Resolution project was developed. On it the approval of the "Methodology for estimating the performance coefficient of round wood to timber for primary processing plants (sawmills)” was recommended to be developed. It also recommended the appeal of the Ministerial Resolution No. 021-2010- AG. The Methodology in question is national is national in scope and will be implemented by all the primary processing plants (sawmills ) that carry out performance studies in order to demonstrate various performance ratios different from the ones approved by the National Authority of forestry and Wild Fauna.

§ With the technical support of Peru Forest, in the first semester of 2013, field trials were carried out in order to collect qualitative and quantitative information about the primary process of the wood, volume calculations and estimation of performance coefficients from different species and sawmills, to do that the technical team of the DGFFS travelled to Central Sierra and Loreto to visit primary processing plants (sawmills) of different capacities and production, as well as different species. § With the technical support of Peru forest, in the second semester of 2013, a Proposed Methodology to estimate the performance coefficient considering a statistical sampling that involves different levels of capacity and production and that yields results considering confidence limits was developed.

• It is scheduled to continue field studies to validate methodologies (the standing tree to log and the log to sawnwood) approved by Departmental Resolution No. 159-2008 - INRENA so that they can be restated. • It is considered necessary to implement, reformulate and update important points from the Methodologies, such as: ü Define the measuring instrument fo DAP (laser device, caliper, diameter tape, etc.). ü Stablish the position ü Establish the position (standing or felled tree) from the individual to be assessed for taking readings. ü Define the concept of commercial height (HC). ü Standardize the position for taking Reading from DAP for individuals with stage roots (fins). ü Sample size. ü Form factors. Incorporate classification of each log category (according to their quality/presence or absence of defects) Review the proposed methodology for the estimation of the performance coefficient.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR) OSINFOR is participating in the Multisectorial Technical Group of Mahogany.

Met

Pending/Additional Steps Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR) Additional Steps 05 publications based on field data collected in the supervisions, to contribute in the improvement of forestry management: 1. Evaluation of deforested areas and wetlands (Loreto, Ucayali and Madre de Dios). 2. ATLAs of Forest Timber-yielding Concessions. 3. Evaluation of presence of timber species in the Amazon. 4. Distribution of forestall species in Peru. Identification sheets of forestry species timber and non-timber from the Amazon

Obligation

9. Technical Analysis and periodically update of inventory and technical studies, and make results available to the public.

Forestry Annex

3.d.iii

Objectives

Permanent Concrete goal defined in the Annex

Activities conducted towards compliance Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) / Ministry of Environment (MINAM) § The UNALM (financed by ITTO) has completed the “Evaluation of commercial stocks and strategy for the sustainable management of mahogany (Swietenia macrophylla) in Peru”. § The study results have provided a base to produce a Non-Detriment Extraction of Mahogany Opinion in 2009 and 2010. § The UNALM has completed the Evaluation of commercial stocks and strategy for the sustainable management of Cedar (Cedrela odorata) in Peru.” Both studies have been presented to the public, the results have been distributed on CDs and they are now published on the website of MINAM. § The confirmatory assessment of forest inventories of mahogany and cedar is being in execution, it began on November 1, 2013 and completion is scheduled for July 31, 2014. The objective of this activity is to have a technical and statistical sampling technique for mahogany (Swietenia macrophylla King) and cedar (Cedrela spp.) of commercial forests, that will serve also as a tool for the monitoring and control of permanent production forests under forest management system. As a first measure, a database with the latest information on the annual operating plans in departments with cedar and mahogany populations. Moreover, information on the authorities CITES and about the monitoring and control of forest resources has been added, facilitating in that way access to valuable information for the developing of preliminary and test models. Technical measurements have undergone statistical analysis, establishing correlations between them. The preliminary models that will be validated in the field will help to make the

Met

Pending/Additional Steps Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Results of confirmatory evaluation of forest inventories of mahogany and cedar species are still pending.

YES

necessary adjustments for the methodology. As part of this activity, an advisory committee was formed with representatives from the Ministry of Environment, Ministry of Agriculture, OSINFOR, the OIMT-CITES Program and the Technical Assistant project of USAID.

Forestry Annex

Obligation

10. Develop and implement a strategic Plan to 3.e implement the Appendix II of CITES (including mahogany) by DS or Central Governmental Resolution;; and seek resources

Objectives

Concrete goal defined in the Annex, the implementation is permanent.

Activities conducted towards compliance

Met

Pending/Additional Steps

Ministry of Environment (MINAM) § The results of mahogany study has serves as the base for the DENP 2009, 2010, 2011, 2012 and 2013 and 2014. § A probability map about the existence of gender species Cedrela in Peru was prepared. §

Ministry of Environment (MINAM) There are no pending or additional steps

Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) § By Supreme Resolution No. 040-2008-AG, the Strategic Action Plan for the Implementation of Appendix II of the CITES for mahogany in Peru (PAEC – PERU) 2008-2012” was approved. § The PAEC had a Budget for implementation of approximately S/ 300,000.00 nuevos soles for 2012 and reformulation of PAEC by 2013 is scheduled. § Approval of Supreme Decrete No. 019-2010-AG (30.12.2010) that defines the actions and strengthens the articulation mechanisms between the Administrative and

Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Additional Steps The technical guidelines from the Silvicultural Plan are going to be incorporated in the General Management Plans of ForestalIPGMF. The PAEC had a budget for implementation of approximately S / 300,000.00 new soles in 2012 and in 2013 is scheduled to reformulate the PAEC

YES

Scientific Authority for the determination implementation of the annual quote of mahogany.

and

§ Law No. 29763 establishes the obligation to establish silvicultural plans, checks to 100 %, and promotion mechanisms. § There is a final report of the Consultation about the “Study on the state of Forrestal Plantations of Mahogany Swietenia macrophylla in Perú”. § Verifications of existence of mahogany stocks and mahogany existence are done in order to determine the national quote for export of timber of this species. § The Strategic Action Plan for the Implementation of the Appendix II of CITES for mahogany in Peru (PAEC-PERU) was culminated. However, the DS 019-2010-AG would be in practice replacing the PAEC, some activities then are being implemented according to the indicated in the Article 3 which states that the Administrative Authority CITES – Peru performs the verification before approving the POA at 100% of the existence of mahogany individuals to be considered in the export quota for mahogany. Also in article 4 it is stated that the Scientific Authority CITES- Peru will issue the Non-detriment Extraction Opinion, which will guarantee the sustainable management of the mahogany species. In the Article 5 of D.S. N° 019-2010- AG it is noted that the Regional Authority will approve the Annual Operating Plan as long as it has all field verifications and the Non-detrimental Extraction Opinion will issue later a resolution approving the POA. The article 6 indicated that the Administrative Authority CITES Peru will establish the National Export Quote of mahogany for each year as long as it has the DENP, field verifications nd and approval resolutions from POA. Finally, the 2 Supplementary Final Disposition about the Silvicultural Plan establishes the technical guidelines that considers the use of CITES species which will formulated based on TdR prepared by the Scientific Authority CITES-Peru.

Forestry Annex

Obligation

11. The annual export quota should only include bigleaf mahogany extracted from native Communities or concessions where 3.f.i the DGFFS has been approved and verified the POA, subject to supervision of OSINFOR. 12.

Objectives

Concrete goal defined in the Permanent Annex

Activities conducted towards compliance Ministry of Environment (MINAM) § MINAM developed the Non-detriment Extraction Opinion of the populations of mahogany for the export quota for 2013 and 2014. Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR) § OSINFOR is part of the Multisectorial Technical Group of Mahogany for the implementation of the Strategic Plan and the compliance of the agreements with the Permanent Committee of CITES. § The OSINFOR oversees 100% the enabling titles that participate in the export quotas for the mahogany species Swietenia macrophylla. Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) § It is met since 2008. Every year a General Directorate Resolution is issued that approves the export quota considering a relationship of unities of forestall management that counts with approved POAs and 100% verification. § The General Directory Resolution No. 0842010-AG- DGFFS was issued on July 20, 2010, where the mahogany quota for the year 2010 for the export of 720 trees is approved in full consistency with the Scientific Authority recommendation that stated quantity should be less than 831 trees. § The General Directorate Resolution No. 0262011-AG- DGFFS, was issued on July 22, 2011, where the mahogany export quota for the year 2011 is approved,

Met

Pending/Additional Steps Ministry of Environment (MINAM) § There are no pending or additional steps. Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR) Continuous action. Additional Steps See activities in numeral 12.

YES

Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Additional Step § The same activity should be done every year.

consisting of 205 trees, according to the recommendation from the Scientific Authority that states that que quota should be less or equal to 252 trees. § The General Directorate Resolution No. 41-2012-AG- DGFFS for the approbation of the export quota of mahogany for the year 2012 was issued. The resolution consisted of 104 trees with a volume of 496.089 cubic meters that I in effect since June 2012 to June 2013. By General Directorate Resolution No. 0572013 -AG - DGFFS the Wood National Export Quota for mahogany species ( Swietenia macrophylla ) of 2013 was approved, this is composed of a total of 187 trees with a volume of 872 803 m3 of timber, from the Annual Operating Plans for approval of the export quota in effect since July 2013 to July 2014 . Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR) § OSINFOR participates in the verification of the Annual Operating Plans that involve mahogany, joining the DGFFS and the Regional governments previous to the approval. § OSINFOR evaluates the results of the verification reports issued by the DGFFS for the approval of the POA of concessions and permits in native communities that are considered in the national export quota of the mahogany specie Swietenia macrophylla. § OSINFOR evaluates the implementation of the Annual Operating Plan of concessions through monitoring the parcels of annual cut of concessions and permits that participate in the national export quota for the mahogany specie, once completed the year mainly verifying the use and silvicultural activities for the species.

Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR): • Verification actions in continuous execution, in function of the approval of export quotas by the Administrative Authority CITES – Peru. • The OSINFOR, through the Supervisory Direction of Forest and Wild Fauna Permits and Authorizations, has supervised 06 job titles corresponded to 02 native communities from 2009 to 2013 referred as mahogany species framed in the CITEs Convention.

Obligation

Forestry Annex

Objectives

12. Make sure the quota respects the Concrete goal recommendation defined in the 3.f.ii y made by the Permanent 3.f.iii Scientific Authority Annex. CITES and by the technical studies from 3.d.

Activities conducted towards compliance Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) § It is met since 2008 to date. § The supreme Decree 019-2010-AG was approved. The Decree defines the actions and strengthens the mechanisms of articulation between the Administrative Authority CITES-Peru for the flora and fauna species that reproduce in land and the Scientific Authority CITES – Peru for the determination and implementation of the national export quota for mahogany species included in Appendix II of the Convention on International Trade of Endangered Species of Wild Fauna and Flora – CITES. § The mahogany export quotas from 2008, includes the recommendation made by Scientific Authority through the Non-Detrimental Extraction Opinion (DENP). Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR): § OSINFOR annually evaluates the National Export Quota for mahogany species Swietenia macrophylla, established by the Administrative Authority CITES – Peru in consideration of the agreements met and the outcome of the Non-Detriment Extraction Opinion that the specie emits the Scientific Authority CITES – Peru. § National Export Quota of wood of the mahogany specie for the year 2013. In that period, 5 POAs from the eight in the quota were supervised.

Met

Pending/Additional Steps Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Additional Steps § The same activity must be done in a permanent way.

YES

Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR): Continuous Action. Additional Steps OSINFOR participates in the Multisectorial technical Group of Mahogany.

13. Improve the mechanisms for awarding concessions in a competitive way

Goal not defined Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI- in the Annex DGFFS) Goal DGFFS: establish the rules that § The new Forest and Wild Fauna Law (Law N°29763) encourage the improves the accessibility mechanism to forest regional concessions in order for them to be more competitive. governments to grant § The regulatory Project of the Law 29763 published for the concessions inputs process of civil society in February 2014, improving the establishes two (2) Annexes that identify the process for transparency granting of forest concessions for wood and other Annex and the access with the procedures for granting forest concessions for to information in products different than wood. the process. § On the other hand, an inventory methodology has been 3.g.i 1. made for the allocation of new forest concessions in Forest of Permanent Production, under the National Forest inventory, so that based on adequate information, the granting of these concessions would be more competitive (See item 7). § The Competitive Forest Development Program of the Amazon (program CAF) considers as its third component, financial mechanism and competitive funds that the concessions can get access to.

Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Pending Steps § Entry into force of the Law N°29763 Validation of the Annexes of the procedures for the granting concessions under the project of Regulation of Law 29763. Under process of drafting is the supreme Decree that encourages the development of activities for explorations and evaluation of forest resources by bidders to public competitions prior to grating the concession. § Have the final version of the Inventories IN methodology in BPP with field validations PROCESS (see item 7). § It is pending the drafting of the final report of the forest inventory, which must have the data processing of the regions of Loreto, Cusco, San Martin and Ucayali. § It is pending the approval of the instructions for the granting credits for non-wood products. The development of an instruction for granting credits for wood products is planned. § It is pending the approval of regional agendas for financing.

MADRE DE DIOS REGIONAL GOVERNMENT – REGIONAL DIRECTORATE OF FOREST AND WILD FAUNA (DRFFS) § The only concessions that the DRFFS can grant are those of other products from the forest (chestnut, syrinx, aguaje, medicinal plants, etc.) and of Ecotourism and Conservation. For the granting of these concessions it is necessary the coordination between the correspondent areas and the Land Office. The DRFFS has a specific webpage: http://forestal.regionmadrededios.gob.pe/ o to the link: http://regionmadrededios.gob.pe/portal/index

MADRE DE DIOS REGIONAL GOVERNMENT – REGIONAL DIRECTORATE OF FOREST AND WILD FAUNA (DRFFS) Additional Steps: Management through the Office of International Technical Cooperation to achieve financing the projects of institutional strengthening.

Obligation

14. Make POAS available to public

Forestry Annex

3.g.ii

Objectives

Concrete goal defined in the Annex

Activities conducted towards compliance

Met

Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) § The Law of Transparency and Access to Information considers that information in the documentation repertory from states institutions is publicly available. The normative legal devices are available in the MINAG webpage (http://www.minag.gob.pe/dgffs/).The forest transportation guides have been digitized until December 1. 2013. § In the article 45º of the LFFS (Ley Nº 29763) is stated that the forest and Wild Fauna authority that approves the IN management plan, should publish in its institutional PROCESS electronic portal an executive summary of the approved management plans. In the proposed Regulation of Law Nº 29763 the obligation of publishing the Management Plans was incorporated, these plans are public documents, however free Access is subject to the Transparency law. MADRE DE DIOS REGIONAL GOVERNMENT – REGIONAL DIRECTORATE OF FOREST AND WILD FAUNA (DRFFS) Los POAs se han digitalizado en parte y están disponibles en la web de la DRFFS (http://www.forestal.regionmadrededios.gob.pe).

Pending/Additional Steps Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) § The proposed regulation of the LFFS ( Law No. 29763 ) , is in the process of assessing the contributions in the public participation stage . . MADRE DE DIOS REGIONAL GOVERNMENT – REGIONAL DIRECTORATE OF FOREST AND WILD FAUNA (DRFFS) To date we continue with the digitization of the POAs.

Obligation 15. Conduct period checks of POAs.

Forestry Annex 3.g.ii

Objectives

Activities conducted towards compliance

Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) § From late 2009 to date, the Administrative Authority CITEs-Peru has set POAs checks of cedar and mahogany at 100%, prioritizing the concessions and native communities that sustainable use wood for export, prior to the issuance of the Export Permit CITES, such verifications have been notified to the Enforcement Authorities so that they can accompany this diligence. § During the year 2010 66 field verifications have been done that allowed making sure the existence of cedar and/or mahogany declared in the POAs concessions and forest permits in the fields of Loreto, San Martin, Ucayali and Madre de Dios. This amount of verifications is almost five times the Concrete goal amount carried out during 2009. defined in the Annex. § In 2011 49 verifications have been made in the regions of Madre de Dios and Loreto. § In 2012 23 verifications have been done in the regions of Madre de Dios and Loreto. § In 2013 24 field verifications were conducted to determine the existence of mahogany and cedar, declared in the POAs of forest concessions and native community permits in the region of Loreto, Madre de Dios and Ucayali. § In 2014 09 field verifications were conducted to determine the existence of mahogany and cedar stated in the POAs

Met

Pending/Additional Steps

YES

Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) § The same activity should be done on a permanent basis year after year. § Implement the Sustainable Management Directory of Forest Heritage and the Management Control of Forest Heritage and Wild Fauna Directory of the General Directory of Sustainable Management of Forest Heritage and Wild Fauna of the SERFOR. 1.

§ In 2013 there were 07 engineers in charge of the field verifications to Wood CITEs species to perform verifications. § In the regions with transferred forest competence, each government has been doing their program to perform the verifications. § In 2014 there were 05 forest engineers in charge of the field verification of wood species enlisted in the CITEs Appendix and a specialized Unit in the Forest and Wild Fauna Management Direction to perform this activity has been established.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR): § From July 31, 2009 to December 31, 2012 2546 supervisions have been made to the authorization certificates (964 supervisions to concessions and 1582 permits and authorizations about private land and native community). § During the year 2013 621 supervisions to the authorization certificates have been made. OSINFOR verifies the POAs that contain protected species by CITES. Intervention in Madre de Dios (Annex 1 of Legislative Decree N° 1100) It is worth to highlight the 283 supervision made by OSINFOR to the forest concession in Madre de Dios (in and out of Annex 1 of DL N° 1100), in contribution to the national policy of formalization of informal mining and combating the illegal mining;; about 40% of these supervisions were conducted between October and December of 2013. MADRE DE DIOS REGIONAL GOVERNMENT – REGIONAL DIRECTORATE OF FOREST AND WILD FAUNA (DRFFS) § Due to limited staff that approves the POAs to allow the use of wood, chestnut and other forest products, the subsequent verifications done right after the usage or execution, are only performed by complain or when it comes to operated wood to verify its origin.

Met

Pending/Additional Steps Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR): Continuous Action Additional Steps: The results of the supervisions and audits are published in the webpage of OSINFOR, through the Transparency section (Line Direction). http://www.osinfor.gob.pe

Obligation

16. Carry out physical inspections (supervised by OSINFOR) in areas designated for the extraction of a CITES species prior approval of the POA. The report of the results will be publicly accessible

Forestry Annex

3.g.iii

Objectives

Concrete Goal defined in the Annex

Activities conducted towards compliance Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI- DGFFS) § See items 6,10 and 12. § The new Forest and Wild Fauna – Law N°29763 established that the SERFOR in coordination with the regional forest and Wild Fauna authority performs a previous verification, about the declared by POA through visual inspections and in the case of listed species in Appendix II of CITES, such verification will necessary be 100%. Also, the OSINFOR performs the supervision of extraction activities of these species to 100% § The DS 019-2010-AG, indicates that the Administrative Authority is the one in charge of carrying out field verifications (mahogany) to 100% for the establishment of export quota of the specie Swietenia microphylla “mahogany”. Moreover, it also notes that OSINFOR is in charge of performing the supervision of the units included in the mahogany export quota after the end of the term of the quota. § The report of field verifications are submitted to the Regional Governments, OSINFOR and MINAM. § There is a data base of the Reports issued up to date, as well as the digital base of the scanned copies of such reports. Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR): § In the year 201312 supervision has been done to the Wood forest concessions with CITEs species (cedar and mahogany), located in Loreto (5), Madre de Dios (6) and Ucayali (1).

Met

Pending/Additional Steps Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Additional Steps § Entry into full law enforcement of Law N°29763.

YES 1. 2. 3. Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR): Continuous Action

Obligation

Forestry Annex

17. To streghten and complement the regulatory controls and the verification mechanism related to the extracion and 3.h.i Wood trade, take into consdieration opinions from: local and indigenous communities, NGOs, private sector, and concessionaries.

Objectives

Concrete goal defined in the Annex

Activities conducted towards compliance

Met

Pending/Additional Steps

Ministry of Agriculture and Animal Resources- Ministry of Agriculture and Animal Directorate of Forestry and Wild Fauna (MINAGRI- Resources- Directorate of Forestry and DGFFS) Wild Fauna (MINAGRI-DGFFS) § Before each field verification conducted in 2009, 2010, 1. Approve the field verifications Manual parallel 2011, 2012 and 2013 the respective invitations to and consistent to the Regulation of the Law participate in in them as enforcement authorities have 29763. been carried out to the National Police of Peru, Regional 2. Formalize the procedure of inviting OSINFOR Government, prosecutors, OSINFOR and indigenous to participate of the inspections and organizations representative of the communities where supervisions in forest permits of native inspection is made, if it’s the case. communities. 3. Implementation of checkpoints in the principles § In early 2013 the protocol on “technical criteria for the export ports and border crossings. assessment of wood forest resources” was approved 4. Entry into force of Regulation of the Law between the following institutions OSINFOR, DGFFS, 29763, which is under process of assessment The Regional Management Program of Forest Resources of contributions on the stage of public and Wild Fauna of Lore PRMREES, The regional participation. Governments of Madre de Dios, Ucayali and San Martin. Training workshops were carried out under the Anti- IN corruption Plan with respect to the “technical criteria for PROCESS the assessment of wood forest resources” in the Amazon region (Central Forest, Satipo, Madre de Dios, Pucallpa and San Martin). 5. § There is a final version of the Guidelines for Field 6. Inspections. § The Law N° 29763 considers the participation of independent third parties in the control actions (for example, native communities within their territories). The Regulation project of Law Nº 29763 includes the participation of third parties and establishes the characteristics of control actions. .

Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR): OSINFOR has perform more than 20 participatory processes and pre published normative documents for updating and receiving support and suggestions, in writing, online, or in workshops developed simultaneously in the cities of Tingo Maria, Chiclayo, Iquitos, Puerto Maldonado, Pucallpa, Tarapoto and La Merced. Among the approved documents the following stand out: • Supervision Manual for Authorization of Management and Utilization of Wild Fauna Ex Situ, approved by Presidential Resolution N° 005-2013-OSINFOR. • Supervision Manual of Wood Forest Concession, approved by Presidential Resolution N° 006-2013- OSINFOR. • Regulations of the Single Administrative Procedure – PAU, approved by Presidential Resolution N° 0072013- OSINFOR. • Supervision Manual of Concessions for the Supervision and Manual for the Supervision of Ecotourism Concession, approved by Presidential Resolution N° 050-2013- OSINFOR. • Supervision Manual of Forest Concession for wood, Supervision Manual for Management and Utilization of Chestnut in Concessions and Forest Permits, and Supervision Manual of Concessions for the Afforestation and/or Reforestation, approved by Presidential Resolution N° 049-2013OSINFOR, in order to clarify the technical and legal criteria to supervise the compliance of contractual obligation and the forest and Wild Fauna legislation. • Supervision manual for Wood Forest Authorizations in Dry Forests from the Coast, approved by Presidential Resolution 053-2013-OSINFOR. • Supervision Manual for Utilization Permits of Wood Forest, approved by Presidential Resolution N° 063-2013- OSINFOR.

Supervisory Organization of Forest Resources and Wild Fauna (OSINFOR): Continuous Action Additional steps OSINFOR has presented 02 normative proposal with the aim of guarantying supervision actions and contribute to the fight against illegal logging: 1. Supreme Decree Project that establishes the disposition that allows to strengthen the supervision and control of sustainable use of wood forest resources. Among the measures stand out that OSINFOR has access to the processing plants for taking timely information that serves as input to identify legal volumes to mobilize wood and those that come from illicit activities, as well as improving the prioritization of supervision based on actual volumes. 2. In addition, another measure is restricting the commercialization of products coming from unmanaged forests. Such proposals were submitted to the presidency of the Council of Ministers with the Note N° 122-2012-OSINFOR-PE and forwarded to the Ministry of Agriculture with the Note N° 1232012-OSINFOR-PE.

OSINFOR has confirmed agreements with four Indigenous organizations from Ucayali, Amazonas and Loreto (FECONAPA, ORPIAN, ORDEPÍA Y ORAU), with the aim of contributing with the strengthening of technical capacities for the proper management of forest and Wild Fauna resources, in addition to agreements with other institutions.

3. Subsequently, an updated version of the Supreme decree Project was forwarded, raising the comments received from the general Office of Legal counsel of the PCM and making clarifications to the proposed regulations prepared by the Ministry of Agriculture to modify the rules of the Forest and Wild Fauna Law that would be published in the Ministerial Resolution N° 0179-2013-AG. The second in order to declare of national interest the traceability of forest products, at the same time the proposal for modification of diverse articles from the Regulation of Forest and Wild Fauna Law was included.

Obligation

Forestry Annex

18.Design traceability systems in particular the chain of custody for CITES species 3.h.ii

Objectives

Concrete goal defined in the Annex

Activities conducted towards compliance

Met

Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) § The New Forest and Wild Fauna Law – Law N° 29763 considers the MC-SNIFFS (SNIC Project) under the name National System of Control and Monitoring of Forest and Wild Fauna. § In 2010, based on the original project of 2008, the methodology, timeline was established and the necessary actors to carry forward the work were defined. The socialization process stands out. Two actions were defined, in the medium term the creation of the MC-sniffs under the name Project SNIC and short- term improvements to existing control mechanisms were defined, at the MC-SNIFFS level (SNIC Project) an Interinstitutions Technical Group was formed, established by Regional Governments of Loreto, Madre de Dios, San Martín, Ucayali, Amazonas, SUNAT, OSINFOR, SERNANP, MINAG, and others who have generated the 1. following products: § Conceptual document for SNIC Project. IN § Detailed timeline with work from 2010-2014. PROCESS § Estimated Budget for SNIC Project. (To 2014) § Business Process of Forest and Wild Fauna Control (100%). § Currently they have the mapping of processes (current situation and redesign 100%) § The architecture was made (system design, modeling and prototype networks) and presented. § As far as improvements to existing control mechanisms there has been advances in : § Creation of the System of Administrative Permits CITES § Signed Agreement with SUNAT under implementation. § Development of guidelines for entering the information to SIG by the Regional Governments. § Debugging of the list with scientific and common names of the SIF AL § Installation of servers in the DGFFS and Regional Governments Loreto, MDD, Ucayali, SM y ATFFS Central Forest, software (ARC VIEW, ERDAS, etc.), and hardware including computers and specialized printers.

Pending/Additional Steps Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Pending Steps § Preparation of the Reference Terms (TdRs) for the elaboration of a definitive software that will support the MC-SNIFFS. § Approval of the profile and pre-feasibility of the creation study of the MC-SNIFFS under the SNIP.

§ § § §

Training in the use of equipment linked to the Field Map system and improvements to PDAs. Acquisition process of satellite Internet under implementation. DS Proposal that modifies the 014-2001-AG in reference to aspects related to improvement in control. Development of computer applications linked with entering and visualization of Forest Transportation Guides (GTEs) and Application of Book Operations.

Obligation

19. Strengthening Institutions

Forestry Annex

3.h.iii 4.b

Objectives

Undefined Goal in the Annex: Goal DGFFS: Establish the National Authority of Forest and Wild Fauna as a Specialized y Technical Agency.

Activities conducted towards compliance Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) § In 2009, a budget of s/.15´180,145 for the General Forest and Wild Fauna Directory was approved. § In 2011 The General Forest and Wild Fauna Directory had a Budget 3 of S/. 41´937,605 . § In 2012 The General Forest and Wild Fauna Directory had a Budget of S/. 33´274,435. § In 2013 The General Forest and Wild Fauna Directory had a Budget of S/. 33´ 660,967. § In 2014 The General Forest and Wild Fauna Directory had a Budget of S/43’142,036, from them S/. 17’619,517 were carried out until June 20 2014 and the balance S/. 25’522,519 was transferred to the new National Authority of Forest and Wild Fauna -SERFOR.

Met

IN PROCESS

Pending/Additional Steps Ministry of Agriculture and Animal Resources- Directorate of Forestry and Wild Fauna (MINAGRI-DGFFS) Pending Steps § Instruments for Management of SERFOR § Design of SINAFOR. § Establishment of CONAFOR Establecimiento del CONAFOR Additional Step § The Project Regulation of the Forest and Wild Fauna Law- Law 29763 is under evaluation of the contributions received at the stage of public participation.

It should be considered that from December 2009 the transfer process of functions in forest and Wild Fauna material to the regional Governments was initiated (corresponding to the functions of the article 51, letters "e" and "q " No. 27867 , Organic Law of Regional Governments). Since the date functions have been transferred to six Regional Governments (San Martin, Loreto , Ucayali, Madre de Dios , Amazonas , La Libertad , Tumbes and Ayacucho )

Obligation

19. Strengthen Peruvian institutions

Forestry Annex 3. h.iii and 4.b

Objectives

Activities conducted towards compliance

Objective undefined in the Forestry Annex DGFFS objective: To establish the National Forestry and Wild Fauna Authority (SERFOR) as a Specialized Technical Organization ascribed to the Ministry of Agriculture and Irrigation (MINAGRI) and assign it the necessary budget. Support the GOREs in the transfer of functions of the forestry and wild fauna sector.

Ministry of Agriculture and Irrigation (MINAGRI) – Directorate General of Forestry and Wild Fauna (DGGFS) § In 2009 the Government approved a budget of S/. 15,180,145 for the Directorate General of Forestry and Wild Fauna (DGFFS). § In 2011 the Directorate General of Forestry and Wild 1 Fauna was assigned a budget of S/. 41,937,605 . § In 2012 the Directorate General of Forestry and Wild Fauna had an assigned budget of S/. 33,274,435. § In 2013 the Directorate General of Forestry and Wild Fauna had an assigned budget of S/. 33,660,967. § In 2014 the Directorate General of Forestry and Wild Fauna has an assigned budget of S/. 43,142,036, of which up to 20 June 2014 S/. 17,619,517 has been spent and S/. 25,522,519 will be transferred to the new National Forestry and Wild Fauna Authority (SERFOR). § The new Law on Forestry and Wild Fauna (LFFS), Law N° 29763 considers the creation of the Specialized Technical Organization SERFOR (National Service of Forestry and Wild Fauna) as an autonomous administrative entity. These articles in the mentioned Law have already entered into force. § A national strategy of capacity training is being worked on to be aimed at all users of the forestry sector (national and regional authorities, concessionaries, and businessmen). § Supreme Decree N° 010-2009-AG was approved, which defines the role of the technical administrations of forestry and wild fauna. § Ministerial Resolution N°499-2009-AG which specifies the procedures to be implemented by the Regional Governments on forestry matters and defines the maximum requirements for each procedure.

Met

IN PROCESS

Pending/Additional Steps Ministry of Agriculture and Irrigation (MINAGRI) – Directorate General of Forestry and Wild Fauna (DGGFS) Pending Steps § Provide management tools for SERFOR (National Forestry and Wild Fauna Authority) § The design of the SINAFOR (National System for Forest and Wild Fauna Management (SINAFOR) Additional Steps § The Draft of the Regulation of the Law on Forestry and Wild Fauna – Law 29763, is currently in the evaluation phase of the comments that were received during the phase of citizen participation. § Implementation of the Competitive Forestry Program (CAF) in 8 regions of the Peruvian Amazon. The Operative manual of the CAF program has received the comments of the Unit of Sectorial Investment of the General Office of Planning and Budgeting of the Ministry of Agriculture and Irrigation (MINAGRI), and is pending the favorable opinion of the Directorate General of Public Policy of the Ministry of Economics and Finance (MEF). § To approve the National Training Strategy.

It must be considered that from December 2009 onwards a process was begun that transfers functions on forestry and wild fauna to the Regional Governments (those functions stipulated in article 51, provisions “e” and “q” of Law N° 27867, Organizational Law of the Regional Governments). To date such functions have been transferred to six Regional Governments (San Martin, Loreto, Ucayali, Madre de Dios, Amazonas, La Libertad, Tumbes and Ayacucho).

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance §

§

The Competitive Forestry Development Program in the th Peruvian Amazon (CAF) was signed on October 4 2013. It comprises under component 1, the strengthening of the public forestry administration (GORES and ANFFS) with a budget of around S/. 40 million. Through Supreme Decree N° 007-2013-MINAGRI, the Regulation on Organization and Functions of SERFOR was approved. SERFOR is the institution which will absorb the current Directorate General of Forestry and Wild Fauna. Through Supreme Decree N° 094-2014-EF approval was given to the transfer of the public sector budget lines for 2014 from MINAGRI to the Regional Governments of Amazonas, Ayacucho, Huánuco, La Libertad, Loreto, Madre de Dios, San Martín, Tumbes and Ucayali for a total of S/. 1,720,000. Activities were undertaken within a participatory and decentralized process for strengthening the forestry sector at a macro regional level. The meetings took place in: Macro South Region (Arequipa), Macro Central Region (Satipo), Macro North Region (Piura), Amazon region (Amazonas, San Martín, Ucayali, Loreto, Madre de Dios) and a National level Meeting in Lima.

Organization for the Supervision of Forestry Resources and Wild Fauna (OSINFOR): The strengthening of institutions is a continuous activity, that is prioritized through the carrying out of supervision, capacity building for the involved actors and institution personnel, norm setting proposals, forestry governance, participation in all of the forums related to forestry and wild fauna issues: Details: § 3 Strategic Plans were approved and are being implemented. § 100% of the assigned budget was spent in 2013.

Met

Pending/Additional Steps Organization for the Supervision of Forestry Resources and Wild Fauna (OSINFOR): Additional steps OSINFOR has started the process for adopting the public service regime that the Peruvian State promotes to enhance the quality, efficiency and efficacy of its actions through merit-based criteria and capacity building of its staff.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance § §

4 systems have been implemented. Near 60 activities of training and capacity building for the technical and administrative staff of OSINFOR to optimize their work and their functions of supervision and oversight, as well as administrative functions.

Ministry of the Environment (MINAM): § A CITES working group is active in the Directorate General of Biological Diversity, as a specialized unit for the work of scientific authority CITES. National Service of Protected Natural Areas (SERNANP): Creation of the National Service of Protected Natural Areas – SERNANP, through the Legislative Decree N° 1013, Available at: http://www.sernanp.gob.pe/sernanp/archivos/documentos/T ransparencia/Decreto%20Legislativo%20N%201013.pdf SERNANP is the competent authority for administrating Peru’s patrimony of forests, wild flora and fauna of the natural protected areas, in accordance with article N° 2 of the Legislative Decree N° 1079. Available at: http://www.sernanp.gob.pe/sernanp/archivos/baselegal/Nor mas_Legales_Vinculadas_ANP/Decretos_Legislativos/DL% 201079%20proteccion%20ANP.pdf § Through Presidential Resolution N° 250-2013- SERNANP, of 26 December 2013, was approved the Certificate of the Origin of Renewable Natural Resources, forestry, wild flora and/or fauna that proceed from National Natural Protected Areas. Available at: http://www.sernanp.gob.pe/sernanp/archivos/baselegal/Res oluciones_Presidenciales/2013/RP%20N%20250%20- 2013%20-SERNANP.pdf

Met

Pending/Additional Steps Ministry of the Environment (MINAM): No reported pending or additional steps. National Service of Protected Natural Areas (SERNANP): No reported pending or additional steps.

Forestr y Annex

Obligation

Objectives

Activities conducted towards compliance §

SERNANP is present in all 24 departments of Peru and in the Constitutional Province of Callao, through the establishment Natural Protected Areas administered nationally, regionally and privately.

Organization of Environmental Evaluation and Oversight (OEFA): § OEFA was created by DL1013 in 2008, as attached Agency to MINAM. Available in: http://www.oefa.gob.pe/?wpfb_dl=2144 § By Law 29325 the National System of Evaluation and Environmental Inspection –SINEFA, was created, giving OEFA the function of governing body. Available in: http://www.oefa.gob.pe/?

Met

Pending/Additional Steps Organization of Environmental Evaluation and Oversight (OEFA): Pending Steps § Coordinate with the MINAG the establishment of the National System of Forest and Wild Fauna Management - SINAFOR

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance § OEFA has an Institutional Strategic Plan – PEI 2009-2013. § By Board N° 052-2013OEFA/CD, from December 27, 2013, the Annual Pan of Evaluation and Environmental Inspection – PLANEFA 2014 was approved, instrument that allows to project in advance and in an organized way the environmental evaluation and supervision actions of OEFA> Available in: http://www.oefa.gob.pe/?wpfb_dl=5939 § Decentralized Offices have been installed and implemented in the following regions: Arequipa, Ayacucho, Cajamarca, Cerro de Pasco, Cusco, Junín, Loreto, Madre de Dios, Piura, Puno and Tumbes. Additionally, in order to have a wider range of intervention, OEFA has installed and implemented new OD in the following regions: Apurímac, Huancavelica, Ica, Lambayeque, La Libertad, Moquegua, Tacna, VRAEM (Valle de los Ríos Apurímac, Ene and Marañón). With that, OEFA is able to cover 20 regions nationwide. § Creation of 2 liaison offices in the following cities: - Echarati (Province La Convención – Cusco) - Chimbote (Province of Santa - Ancash) The central office of OEFA serves 24 people in the area of supervision for public entities. § On the other hand, in response to the complaint formulated against an agricultural Project for the production of biofuel in the city of Yurimaguas (Loreto) for deforestation of primary forests, OEFA issue a Report Nº 122-2013-OEFA/OAJ in which establishes its skills in the forest sector and the EFA involved: Ministry of Agriculture and Regional Government of Loreto.

Met

Pending/Additional Steps Additional Steps § The internal Plant and Estrategies consider that what was established by the National Environmental Action Plan 2011-021 approved by DS 014-2011-MINAM and the National Environmental Action Agenda approved by RM 026-2013-MINAM. About staff training OEFA has developed diverse training workshops for its staff, in addition to encouraging its participation in such workshops organized by other institutions on issues related with their duties. . Thus, in 2013 there have been: - 12 seminar- national workshops for strengthening capacities of the OD staff from OEFA. - 74 national workshops for staff of Decentralized Offices on Training on the Management System for institutional Supervision and Environmental Inspection, for the National information Service of Environmental compliances (SINADA) and about the access to information. -

- -

33 training and awareness workshops about issues on socio-environmental conflict. 9 regional workshops for the staff of Decentralized Offices and Environmental Inspection Entities on supervisory actions and systematization and integration of information of the State of Environmental Components. 1 national workshop for the staff of Decentralized Offices about Supervisory Actions to Environmental Inspections Entities.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance MINISTRY OF CULTURE (MINCU) (Information to February 2013) Reactivation of the Multisectorial Commission of Law N° 28736, in charge of approving Previous Recognition Studies and the Additional Categorization Studies regarding the processes of recognition of indigenous communities in isolation and initial contact, categorization of Indigenous Reserves and adequacy of Territorial Reserve to Indigenous Reserve. § Approval of Recognition Studies of Indigenous communities in isolation and/or initial contact (PIACI) correspondent to the process of adaptation of 5 Territorial Reserves to Indigenous Reserves. § Through the ninth transitional and supplementary disposition of the D.S. N° 001-2012-MC, the prior technical opinion of the Vice Ministry of Intercultural from the Ministry of culture has been raised about the environmental impact issues required under Law, when in the Indian reserve a natural resource exploration or exploitation that is declared public necessity is found, establishing that this prior technical opinion is binding. § Wording of a proposal for Mandatory national Policy referring specifically to: guarantee the rights of the indigenous community in isolation or in initial contact situation. § Preparation and approval of the new ROF from the Ministry of Culture, that creates in the Vice Ministry of Intercultural a Directory of Indigenous Community in Isolation and Initial Contact.

Met

Pending/Additional Steps MINISTRY OF CULTURE (MINCU) (Information to February 2013) § Wording of a proposal for a Functional System for Protection of Indigenous Community in Isolation or Initial contact Situation § Approval of the new ROF from the Ministry of Culture, that creates in the Vice Ministry of Intercultural a Directory of Indigenous community in isolation and Initial Contact. § Development of categorization Studies correspondent to the process of adaptation of 5 Territorial Reserves to Indigenous Reserves.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance REGIONAL GOVERNMENT OF HUANUCO (ATFFS TINGO MARÍA – PUERTO INCA) • The Ministerial Resolution N° 0292-2013MINAGRI that specifies the transfer of functions from the forest and Wild Fauna sector to the Regional government of Huanuco was approved. • The strengthening of institutions is a continuous activity, prioritized through the execution of inspections, development of capacities from the actors involved and staff from the institution, forest governance, participation in all forums related to the forest and Wild Fauna, unloading of accumulated administrative files. Detail: • Informative Workshop with forest products at the Forestry office Aucayacu. • Informative meetings on National Forest Heritage Protection organized by the ATFFSTM and AUDIT with Political Authorities of the Province of Leoncio Prado ( Governors and Municipal Agencies). • Informative meetings with the Association of Forest Concessionaries of Tingo Maria driven by ATFFS TM. • Informative Workshop for permit holders and forest authorizations in private forest land, Leoncio Padro- Huanuco • Participation in the Environmental Commission of the Province of Leoncio Prado-Huanuco, chairing the technical group on Climate Change.

Met

Pending/Additional Steps REGIONAL GOVERNMENT OF HUANUCO (ATFFS TINGO MARÍA – PUERTO INCA) Pending steps • Implementation process of the ATFFS Tingo Maria and Puerto Inca as a Regional Forestry Authority through the Forestry and Wild Fauna Law and review of the public career in forestry. • • Management Instrument of Regional Governments.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance

Met

Pending/Additional Steps

REGIONAL GOVERNMENT OF MADRE DE DIOS – REGIONAL FORESTRY AND WILD FAUNA DIRECTORY (DRFFS) IN 2014 The Regulation of Functions and Organizations (ROF) and the Organizational chart of Regional Forestry and Wild Fauna of the Regional Government of Madre de Dios, through Regional Ordinance N°001-2014RMDD/CR, published in the Official Diary El Peruano on date 01.24.2014.

REGIONAL GOVERNMENT OF MADRE DE DIOS – REGIONAL FORESTRY AND WILD FAUNA DIRECTORY (DRFFS) Pending Steps: Development and management for the approval of the Organization and Functions Manual (MOF) of the Procedures Manual (MAPRO) and TUPAs update.

20.

Establish OSINFOR as an independent Agency.

3.h.iii

Concrete objective defined in the Annex.

Organization for the Supervision of Forestry Resources and Wild Fauna (OSINFOR): § OSINFOR has been operating since June 2009 with technical, administrative and financial autonomy, established by legislative Decree N° 1085.

Additional Steps. Management through the International technical Cooperation office in order to achieve the financing of the projects for institutional strengthening.

YES

21. Identify focal pointI to investigate violations. With transparent process, secure coordination and flow of information, bring judicial process or report to the Judiciary.

3.h.iv, 4.d

Concrete objective defined in the Annex.

Ministry of Agriculture and Irrigation (MINAGRI) – Directorate General of Forestry and Wild Fauna (DGGFS) 1. To date there is no single point of complaints, because depending on the field (administrative or criminal) and the matter, the entity is different. 2. The new LFFS, Law N° 29763 establishes that IN SERFOR is the focal point of complaints in forestry PROCESS and Wild Fauna matter, thereby implementing transparency mechanisms, that facilitate citizens to make complains effectively.

Ministry of Agriculture and Irrigation (MINAGRI) – Directorate General of Forestry and Wild Fauna (DGGFS) Pending Steps § Entry into full force of the Law N° 29763. § Implement the Directorate of Management Control of Forestry Heritage and Wild Fauna of the General Directorate of Sustainable management of the Forestry Heritage and Wild Fauna of SERFOR.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance . § In the Regulations of Functions and Organizations (ROF) of SERFOR it is considered that the area in charge of the task of being national focal point for receiving complains of violations and crimes in forestry matter and Wild Fauna will be the Directorate of Management Control of the Heritage Forestry and Wild Fauna of the General Directorate of Sustainable Management of Heritage Forestry and Wild Fauna. NATIONAL SERVICE OF NATURAL PROTECTED AREAS (SERNANP) SERNANP exercises the sanctioning power within the Natural Protected Areas and it is the authority in charge of conducting the sanctioning administrative procedure approved by Supreme Decree Nº 019-2010-SERNANP. Available in: http://www.sernanp.gob.pe/sernanp/archivos/baselegal/ Normas_Legales_Vinculadas_ANP/Decretos_Supremos /2010/REGLAMENTO%20SANCIONADOR.pdf SERNANP has a Register of offenders affecting the ANP of national administration, created by General Secretariat Resolution N° 011-2011-SERNANP. Available in: http://www.sernanp.gob.pe/sernanp/archivos/baselegal/ Resoluciones_Secretaria_General/2011/RSG%200112011- SERNANP.pdf § The Supreme Decree Nº 019-2010-MINAM, provides for the administrative sanctions for violations to ANP such as in the cases of: National Reserve of Tambopata, National Park of Manu and the National Sanctuary of Mejia Lakes, among others, in respect to the violations established in the code I-11 (extract, hunt, fish, collect, transport, trade specimens and/or products and sub products of flora and fauna of ANP, without authorization and in prohibited areas).

Met

Pending/Additional Steps NATIONAL SERVICE OF PROTECTED NATURAL AREAS (SERNANP) § There are no pending or additional steps.

1. 1.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance § During 2013, The National Reserve of Tambopata, national Park of Many and the Communal reserve of Allpahuayo Mishana sanctioned 03 people for committing the offense I-11 (extract, hunt, fish, collect, transport, trade specimens and/or products and sub products of flora and fauna of ANP, without authorization and in prohibited areas), under the Sanctioning Administrative Procedure, approved by Supreme Decree N° 019- 2010SERNANP. § As for the Alto Mayo Protected Forest, a criminal process has been concluded for the crime against forests and forest formations and two prosecutions for the crime of protected flora and/or fauna depredation, with conviction. § During 2013, the public Prosecutor of the Ministry of Environment has initiated 23 legal actions for the crime against forest or forest formations and/or crime of protected flora and/or fauna depredation, according to the following detail: - National Reserve of Tambopata : 02 - National Park of Cutervo : 09 - Comunal reserve of Amarakaeri : 02 - Wild Fauna Refuge of Cloud Forest of Udima: 04 - Reserved Zone Chancaybaños : 02 - National Park of Allpahuayo Mishana : 01 - National. Park of Tingo Maria : 03 AGENCY OF EVALUATION AND ENVIRONMENTAL INSPECTION (OEFA) § For the forestry sector, up to date there is no a single point for complaints, because depending on the field (administrative or criminal) and the matter, the entity is different. Thus, the OEFA receive environmental complaints in general through SINADA.

Met

Pending/Additional Steps 1. AGENCY OF EVALUATION AND ENVIRONMENTAL INSPECTION (OEFA) Currently, The Directory that regulates the procedure for dealing with environmental complaints seeking to establish uniform criteria for the care of complaints is under approval process.

Obligation

22. Raising capacity of the indigenous communities to manage their lands for wood production

Forestry Annex

3.i

Objectives

Concrete objective defined in the Annex in a definite way

Activities conducted towards compliance Ministry of Agriculture and Irrigation (MINAGRI) – Directorate General of Forestry and Wild Fauna (DGGFS) § The Ministry of Agriculture approved the Supreme Decree N° 015-2009-AG and the Ministerial Resolution N° 06992009-AG, through which the Compensations for Competitiveness Program was approved. § In the framework of the meetings held in 2009 with indigenous towns following the events of Bagua, in various work groups, as a result of the Word developed in table 4, an Amazon Development Plan for Indigenous People was developed, that includes several trainings in forest topics. Moreover, it is expected to invest in a pilot forest community management experience. § Thirteen (13) training workshops for native communities have been developed in compliance with the Development Plan of Indigenous People (8 in 2010, 3 in 2011 and 2 in 2013) § Also, there is an activity in Camisea zone that considers the strengthening of indigenous communities. Since April 2011, the MINAG has been leading along with the Amazon Interregional Council (CIAM) and the Ministry of Environment (MINAM), a work group of Community Forest Management Therefore, in July 2011, the first National Meeting was made: Building public policies and an agenda to promote sustainable forest management in native community land with the participation of representatives of indigenous people where the National Platform of Forest Community Management was established, in order to identify the main points of work.

Met

YES

Pending/Additional Steps Ministry of Agriculture and Irrigation (MINAGRI) – Directorate General of Forestry and Wild Fauna (DGGFS) Additional Steps § Complete the process of awarding compensations for MINAG competitiveness. § Implementation of the Competitive Forest Program of the Amazon (CAF program) in 08 Amazonian regions. § In the institutional planning assigned to the 2013 budget the development of three (3) workshop trainings and an internship to share experiences, were considered. § It has also been scheduled the review of the regulations related with forest permits for indigenous towns as part of the development of Regulation of the Law N° 29763. § Currently, the development of the proposal for the regulations of the Forest and Wild Fauna Law with emphasis on native and rural communities have been working on in a participative manner.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance § As part of this effort, three (3) Regional Platforms about MFC have been established. § The CAF Program was signed in October 04 2013 as part of the process for drafting the Regulation of Forest and Wild Fauna Law, the regional spaces for indigenous participation has been strengthened through the platforms for community forest management, in Amazonas, Ucayali and Central Amazon. § In April 2014, The Macro regional meeting of community forest management and the II National Meeting of Community Forest Management, that has allowed to know and exchange experiences in a regional level was held, the event counted with the participation of indigenous people and national and international organizations that develop initiatives about communal forest management, as well as update the agenda and progress made. Ministry of Environment (MINAM) § In April of 2011, The National Program of Forest Conservation for the Mitigation of Climate Change (PNCBMCC) of MINAM, in conjunction with MINAGRI and the Amazonian Interregional Council (CIAM), formed the work group of Community Forestry Management (MFC). § The PNCBMCC has been pushing the MFC, to add this to the National and Regional Platform of the Communal Forestry Management, additionally it is working so that part of the received funds for the communities with conservation agreements through which economic incentive transfers could be used for the financing of some activities for communal forestry management. To this day, various communities with conservation agreements are taking advantage of MFC;; in the utilization of

Met

Pending/Additional Steps 1. Ministry of Environment (MINAM) Pending Steps § As part of the framework of the work group of MFC, which constitutes the MINAM, MINAGRI and CIAM, the development of the second National Meeting of Community Forest Management is planned for during the first trimester of this year. § It is participating in the process to push the MFC Platform of the Central Jungle, San Martin y Amazonas. § In the framework of the MFC Platform, the PNCBMCC will add the efforts of the initiative of the DGFFS of the MINAGRI in order to implement a Center Skills for the training of the indigenous in Central Jungle.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance Wood, rubber trees, and medicinal plants § The strengthening of the management of actors with legal skills in forestry management: Regional and local governments, ecologic police, and environmental attorneys. § Incorporation in the plans of economic investment activities based on the Forrest Accords of the MFC. § By way of the Conservation Agreement between the PNCBMCC and the CCNN, it prohibits illegal logging, and change of land use. § Strengthening of zoning in communities and the delimitation of forests for management and protection.. § They continue implementing a joint work plan over MFC with the General Forestry and Wild Fauna Directorate of MINAGRI Organization for the Supervision of Forestry Resources and Wild Fauna (OSINFOR): As contribution to the process of formalization and training that the indigenous communities generally require, and framed in the principals of the Forestry Governance, which was put into effect in the year 2013: • 03 oral audiences with concessionaires of Loreto and Ucayali so that they can make use of their right to a defense • 40 supervising forestry observers from indigenous organizations • 49 training events with close to 3,000 enabling titles , with 19 of those events having close to 1,200 people that are affiliated with the Indigenous Communities

Met

Pending/Additional Steps OSINFOR Continuous Action. Additional Steps The 19 events directed toward the indigenous communities are mainly located in Ucayali, Amazonas, Junin, and Loreto, which are mainly representative of ethnicities such as: Shawi, Awajun, Wampis, Shiwilu, Huitotos, Shipibo- Conibo, Cacataibo, Shipibo, Yaguas, Boras, Ashéninka, Yine, Yanesha, EtnoMachiguenga y Ashaninka.

Obligation 23. Adequately identify the protected areas and concessions.

Forestry Annex 3.j

Objectives Concrete objective defined in the Annex

Activities conducted towards compliance

Met

Pending/Additional Steps

Ministry of Agriculture and Irrigation (MINAGRI) – Directorate General of Forestry and Wild Fauna (DGGFS) § The new LFFS, Law N° 29763, considers forestry registry, which takes into account all of the zoning and regulation categories known to be forestry, just as the enabling titles do. This registry would be of great utility in order to avoid overlapping and aid with forestry regulation within the framework of territorial regulations. § Additionally, it considers new requirements for the creation of forests of permanent construction, among the elaboration of the studies of the environmental impact, with the purpose of guaranteeing the sustainability of the environment. § Currently, it has a geographic information system in which its database considers the permanent production forests with the forest concession and protected areas, as well as other coverage (native communities, mining, etc.). § The competitive forest development program in the Peruvian amazon (CAF) considers as part of the strengthening component of the forestry public administration, the topics in planning issues, land and inventories in the 8 regions of the Peruvian Amazon. § On the other hand the DGFFS of the MINAG in 2011 has developed and validated a Manual Base of Planning and Execution of Forestry Inventories in Permanent Production forests *BPP), in a participatory manner with the Regional Governments. The manual has been approved through RM Nº 172-2012-AG. § Based on the above manual, forest inventories have been carried out in the permanent production forests not yet concession in Zones 7 and 8 of the Loreto region in 2011, zones 2 and 3 in the Cusco region in 2012: zones 2, 3A- 1, 3A-2 y 3C in Ucayali region and zones 3C-1 y 3C- in the San Martin region.

YES

Ministry of Agriculture and Irrigation (MINAGRI) – Directorate General of Forestry and Wild Fauna (DGGFS) Additional Steps § Entry into full force of the LFFS (Law N°29763). § Implementation of the Competitive Forestry Program on the Amazonian with Treasury budget and indebtedness of CAF. . 1. 1.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance National Service of Protected Natural Areas (SERNANP):

From March 2012 to February 2013 the following ANP were established and recognized.

§

ANP of National Admisnitration : - National Park Güeppí – Sekime - Community Reserve AiroPai - Community Reserve Huimeki - Reserve Zone Huacachina Lagoon § Private conservation Areas: - Boa WadackDari - Nuevo Amanecer - Benjamin I Forest - Community Plam Tree Forest. TauliaMolinopamapa - El Gato - Taypipiña - Checca - Gotas de Agua I - Gotas de Agua II - Los Chilchos - Camino Verde § From March 2013 to February 2014 the following new 13 private conservation Areas (ACP) were recognized in Peru: - Larga Vista I - Larga Vista II - Pucunucho - Berlín - Neblina and Paramos de Samanga Forests - Benjamín II Forests - Selva Virgen - La Pampa del Burro - Benjamín III Forest - Las Panaguanas 3 - Las Panaguanas 4 - Las Panaguanas 2 - Paraíso Natural Iwirati §

Met

Pending/Additional Steps National Service of Protected Natural Areas (SERNANP): There are no pending or additional steps reported.

Obligation

Forestry Annex

24. Strengthen the judicial framework that governs forest 4.a property and the international trade of forestry products.

Objectives Goal not defined in the ANNEX. DGFFS Goal: Expect a new LFFS that responds to an integral vision of forest, that promotes its sustainable use and the development of the market for products of forestry and Wild Fauna, and that also takes into account the necessities of the users of the forest, the new institutions, and the decentralization process.

Activities conducted towards compliance

Met

MINAGRI-DGFFS § New LFFS, Law N° 29763, published July 22, 2011. § The law was drafted by the Executive Branch in 2009 by means of a transparent and participatory process. Additionally, in 2010 and 2011 it passed through a prior free and informed consultation process with indigenous villages carried out by Congress with technical support from the Executive Branch and the presence of the Department of the Ombudsman. § Since the Forestry and Wild Fauna Law was approved in 2011 (Law N° 29763), the regulation process has been worked on through its dissemination. In January of 2012 an Intergovernmental Group was formed MINCETUR, MINAM, MINCULTURA, OSINFOR, PRODUCE, IN Regional Governments (GOREs), led by MINAG- PROCESS DGFFS) and a Technical Team from DGFFS to accompany the whole process. A validated methodology is expected from the Intergovernmental. § The Methodology considers three 3 large consecutive stages: i) contribution incentives from the regions through the dissemination of the LFFS, ii) process of de citizen participation and, iii) process of prior consultation to indigenous villages. § With Supreme Decree N° 09-2013-MINAGRI the Forest and Wild Fauna Policy was approved (PNFFS).

Pending/Additional Steps MINAGRI-DGFFS Pending steps. § Total Entry into Force of the Forest and Wild Fauna Law (Law N° 29763) for which the development and approval of the Regulation of Law N° 29763 is required.

Obligation

25. Conduct periodic audits (at least every 5 years) on the producers and exporters of wood products to the U.S.

Forestry Annex

6.a

Objectives

Concrete goal defined in the ANNEX

Activities conducted towards compliance

Met

Pending/Additional Steps

OSINFOR OSINFOR Supervision and audit of authorization certificates (periodic audits) with CITES species. Continuous Action § 17 supervisions on certificates with mahogany export Additional steps quotas in the framework of the regulated process through D.S. N° 001-2008-MINAM where administrative and Continue supervising and auditing the Annual scientific authorities intervene due to the current Operation Plans of the country’s forest vulnerability that natural populations of this species concessions, applying the following prioritizing present. criteria: In this regard, OSINFOR dedicates special attention to this 1. National Export Quota specie according to its competency, developing 100% of 2. Mobilization of forest product actions of supervision and audit in the implementation of 3. Protected Species for national legislation the annual Operative plans included in the respective 4. Zafra or seasonality for the use of forest export quotas. products 5. Change of unauthorized use of the land Supervision of authorization certificates (periodic 6. Validity of the authorized certificate IN audits) 7. Execution reports of the presented PROCESS annual Operative plans § New versions of management instruments of OSINFOR 8. Refund of wood to licensees for third were approved with reference to the supervision and party logging audit of forest concessions: - Supervision Manual of Forest Concessions for timber, Additionally, the budgetary availability is approved with R.P N° 006-2013OSINFOR considered to determine the final quantity, - Regulation of the Single Administrative Procedure – PAU location, and method of the supervisions to by means of R.P. N° 007-2013-OSINFOR. perform. - Supervision Manuals of Ecotourism and Conservation Additional Steps Concessions, by means of R.P. N° 0502013-OSINFOR. Supervision Manual of Forest Concessions for timber, Complementing the presented normative Supervision Manual of the Management and Use of proposals, OSINFOR considers the articulation Chestnut Concessions and Forest Permits, and of the of the various actors who manage forest Supervision Manual of Afforestation Concessions and/or resources information of high relevance. For Reforestation, approved by Presidential Resolution N° example, the National Superintendent of Tax 049-2013- OSINFOR (2.10.2013), in order to clarify the Administration –SUNAT, which counts on technical and legal criteria to supervise the compliance information from the economic movement of of contractual obligations and of forest and Wild Fauna firms. legislation.

Forestry Annex

Obligation

Objectives

Activities conducted towards compliance § 3,167 supervisions (periodic audits) of authorization certificates from 2005 to 2013 (63% of total certificates) Of the total supervisions performed, 1,044 correspond to forest permits on private land, 500 to timber forestry concessions, 415 to non-timber forestry concessions, 376 to forestry permits (native and rural communities, local forests) and 249 to afforestation and reforestation concessions, while the rest corresponds to other modalities. Five-year Audits: § A single version of the manual for five-year audits In the year 2012, the development of the Five-Year Audits Manual for forestry concessions was initiated with the support of international experts from Perú Bosques (USAID). The proposal presented was not approved because greater clarity was required for some aspects. Updates continue in the present year in order to perform consultation workshops that allow the contributions to be incorporated from actors in Iquitos, Tarapoto, Pucallpa and Puerto Maldonado (April 2014), in addition to having the support of international experts. Prior to its approval, a pilot of the manual to validate its verifiers (May 2014) will be developed in concessions of the Loreto and Made de Dios regions. After incorporating the improvements, the manual will be approved to be subsequently disseminated.

Met

Pending/Additional Steps It could also complete a junction or audit of the information with the economic value of wood that passes through the control posts of the granting forestry authority, just as with the supervision information of OSINFOR. Likewise, an initiative is being driven in conjunction with the Amazon Investigation Institute (IIAP) to apply the analysis from the DNA in order to identify forestry species and their origins, in such a way that whatever link of the production chain can verify the legal origin of a forestry resource. In this regard, a specific framework agreement was signed with the IIAP in December of 2012 and October of 2013, realizing the following: § Course realized between IIAP and OSINFOR in August of 2013 on the application of protocols for biological samples and analysis from DNA of Amazonian forest species. § Collection of biological samples to be held by personnel of OSINFOR during their supervisions of the year 2014.

Forestry Annex

Obligation 26. Verifications by request of the U.S and obligation of Peru to present a written report of the results of the verification

Objectives

7-12

Concrete goal defined in the ANNEX, Auto-executable

Activities conducted towards compliance MINAGRI-DGFFS Does not require implementation measure.

Met YES

Pending/Additional Steps MINAGRI-DGFFS Additional Steps Despite the measure being auto-executable, MINAG considered it necessary to establish an interagency work procedure for when these requests occur. In this sense, the following actions have been taken: § A Preparatory Working Group was formed for the National Audit and Verifications Commission with the participation of OEFA, MINAG, MINCETUR, and SERNANP. Regional governments of San Martín, Madre de Dios, Loreto, Ucayali, and PNP, among other institutions. § A Regulation Project was prepared from National Audit and Verifications Commission and the processes for each case, in order to improve national coordination for these requests that are in evaluation. § There is pending approval of a Supreme Decree that formalizes the procedure for Audits and Verifications.

27. Work within the framework of CITES to protect the species listed, taking into account the 15 decisions and resolutions of the PCO, Permanent Committee, Fauna Committee and Flora Committee.

Concrete goal defined in the ANNEX of permanent character

MINAGRI-DGFFS § Peru was considered legislation country type I for the implementation of the CITES Convention in the last conference of the Parties that took place in Doha (Qatar). § Peru was elected as alternate member for the Latin- American & Caribbean Region in the CITES Permanent Committee. § Advances were presented from the working group on livelihoods in Doha and Peru was reelected as president of the Working Group. § Peru has performed two international workshops in the framework of presidential activities of the livelihoods working group and CITES. We expect a resolution and decisions to be proposed for approval in COP16. § It has been fulfilled to publish in the webpage of MINAG the information on CITES export permits of mahogany in the framework agreement with the Permanent Committee. § The Permanent Committee, in its 61ª Meeting, agreed that Peru had reached the three compliance verifiers adopted in the 59ª Meeting. It accepted Peru’s offer to send a report to the Secretary’s Office on its continued efforts to improve the management of the mahogany trade. It also agreed that Peru will send a brief update to the Secretary’s Office on the first verifier, who would present the received information to the 62ª Meeting of the Permanent Committee. § In the 62º Meeting of the Permanent Committee it was concluded that Peru should not present additional reports of the management of mahogany in Peru because that point in the agenda was suppressed for the next meetings of the Permanent Committee. § With Ministerial Resolution N 361-2012- AG (27.12.2012), technical guidelines were approved for the provision of seized or abandoned live Wild Fauna, considering Res. Conf. 10.7 (Rev. CoP15)* of CITES on the Ruling of live confiscated specimens from the species included in the Appendices. In June, a preparatory meeting was carried out to the 67ª Meeting of the CITES Permanent Committee. § The DS Nº 019-2010-AG was implemented 100% on the obligations of the field verifiers by the Administrative

YES

MINAGRI-DGFFS Additional Steps § Continue assistance to CITES Convention meetings. § Peru is considering realizing a technical document about the country’s experience in mahogany management in the CITES Convention framework. § A workshop has been scheduled with the purpose of diffusing the application of these guidelines with the ATFFS and Regional Governments.

Authority of CITES-Perú, which considers the use of the mahogany species prior to its approval. MINAM From December of 2012, the implementation of the Technical Assistance Program PAT USAID – MINAM has started for the strengthening of MINAM as a CITES Scientific Authority. § In January and February of 2013, an analysis was performed for the definition of the position, with respect to the proposal of amending the CITES appendices, which th will be revised in the 16 Meeting of the Conference of the Parties to CITES. Likewise, there have been coordination meetings with MINAG, PRODUCE Y RREE. § From the 5th to the 7th of February of 2013, we have participated in the Regional Preparatory Meeting of the th OTCA member countries at the 16 Meeting of the Conference of the Parties to CITES. th MINAM participated in the 16 Meeting of the Conference of rd the Parties to CITES that will take place from the 3 to the 14th of March in the city of Bangkok, Thailand. OSINFOR: OSINFOR supervises the authorization certificate participants of the mahogany export quota with 100% verification of the specie, according to what was declared in the annual Operative plan.

MINAM § Participation of MINAM is planned in the Meetings of the Committees of Fauna and Flora 2014 which will take place in México. OSINFOR: Continuous action. Additional steps See realized actions in numeral 12.

Obligation

Forestry Annex

28. Establish a Forestry Sub Committee through which the parties will perform periodic 17 consultations and will exchange information on: - bilateral trade of timber products, - customs data and - efforts against illegal logging, among others.

Objectives Concrete goal defined in the ANNEX

Activities conducted towards compliance

Met

Pending/Additional Steps

MINAGRI-DGFFS § Participation in the sessions of the Forestry Sub- Committee convened by MINCETUR and el USTR. MINCETUR § Since its entry into force of the TPA Peru –US, 5 meetings of the Forestry Subcommittee have been held: ü Lima, July 15, 2009 ü Lima, September 8, 2010 ü Washington, April 27, 2011 ü Lima, July 14, 2011 ü Washington, May 29-31, 2012 ü Lima, April 3-4, 2013 § The press releases of these meetings are of public knowledge on the webpage of MINCETUR, specifically on the following link: http://www.acuerdoscomerciales.gob.pe/index.php?optio n=com_content&view=category&layout=blog&id=56&Ite mid=79 In these meetings, officials of various State institutions have participated, geared towards the implementation of the Forestry ANNEX of the TPA Peru – US, such as: MINCETUR, MINAG, MINAM, OSINFOR, and Regional Governments.

MINCETUR It has been scheduled to hold the next meeting of the Forestry Subcommittee in the month of February 2015 (date to be determined).

YES

Forestry Annex

Obligation 29. Establish a procedure for the public to present comments on issues of the ANNEX and they will be re- transmitted to the other part.

Objectives

Activities conducted towards compliance

MINAGRI-DGFFS § Each project linked to the implementation of the Forestry ANNEX will be realized through participative processes. § The new Forestry and Wild Fauna Law (Law N° 29763) indicates that SERFOR establishes a unit of specialized attention to transparency and reception of contributions to Concrete goal civil society. defined in the ANNEX § With technical and financial support of PFSI, the DGFFS has a reception system of contributions of the revisions process from the Proposal of RLFFS. To be developed in the second trimester of 2013. § http://cites.minag.gob.pe/comments/Public/Home MINCETUR § As the entity in charge of the administration of Free Trade Agreements signed by Peru, it is the entity in charge of seeking comments regarding the agreement with the U.S. § In the institutional portal of MINCETUR, an email has been allocated (consultastlc@mincetur.gob.pe) to receive questions and suggestions regarding Free Trade Agreements signed by Peru (including the Forestry ANNEX of the Peru – U.S TPA.), specifically through the following link: http://www.acuerdoscomerciales.gob.pe/index.php?optio n=com_aicontactsafe&view=message&layout=message &pf=1&Itemid=183

Met

Pending/Additional Steps MINAGRI-DGFFS Additional Steps § Total entry into force of Law N° 29763.

YES