The Role of OSINFOR in Forestry Management Mรกximo Salazar Executive President (e) OSINFOR
Scope, functions and organizational structure
Management process, enforcement and capacity building
OSINFOR and Forestry Governance
Agency of Natural Resources and Wildlife Supervision OSINFOR is responsible for monitoring and enforcing the responsible harvesting of forestry and wildlife resources, under the terms of the corresponding enabling titles, in order to guarantee their legal trade.
Public Agency Attached to the Council of Ministers With its own approved budget
Enforcement and Monitoring
• Of enabling titles (concessions, permits and other forestry and wildlife authorizations), and of other environmental services.
Verification of Annual Export Quotas
• Of protected species (Convention on International Trade in Endangered Species of Wild Fauna and Flora -CITES).
Setting Standards
• Establishing regulations and guidelines as needed for its procedures.
Implementing Five Year Audits
• Of compliance under the General Plans of Forestry Management (PGMF) – (long term plan document that applies to the duration of a concession or permit given to a native community)
Training and capacity building
• Of those involved in the forestry and wildlife use processes
Permits in private property
OSINFOR
DSPAFFS (Directorate for the Supervision of Forestry and Wildlife Permits and Authorizations)
Permits in native and/or rural communities Contracts for the management of local forests Authorization for the utilization of timber and non timber-yielding forestry resources
Authorization for the management and exploitation of wildlife ex situ Concessions for timber yielding forest products.
DSCFFS (Directorate for the Supervision of Forestry and Wildlife Concessions)
Concessions for non timber yielding forest products. Conservation and ecotourism concessions. . Afforestation and reforestation concessions. Wildlife concessions.
In the last three years, supervisory and enforcement mechanisms in OSINFOR have undergone substantial changes in order to enhance OSINFOR’s capacities. It is an atypical institution. These modifications have led to changes in how monitoring and enforcement practices are employed, such as: The use of scientific criteria (statistical and economical) to determine the applicable penalties. Using a consistent methodology in the issuing of fines and penalties. Creating a flexible means of penalizing (such as scales for fines and penalties). Applying simplified administrative procedures.
Monitoring of Authentication Certificates From 2009 to 2015 OSINFOR has carried out 4,251 supervisions nation-wide in order to contribute to a more sustainable use of our natural forests.
More than 7 million hectares have been monitored and enforced by OSINFOR
*OSINFOR’s remit is forests under concessions or permits (32% of forest cover), another 42% is under the supervision of the national forestry authority SERFOR and the Regional Governments, and 26% under the national park service SERNANP.
Adopted Criteria Communities that report the movement of timber
Selection of enabling titles (to be supervised)
Communities that include the utilization of CITES species (caoba and cedar) Communities located adjacent to protected natural areas and/or territorial reserves. Complaints and/or other solicitations.
Adopted Criteria
ď ą On-site monitoring, is set at the end of the rainy season (April-November).
Schedule of Supervision
ď ą In exceptional cases it can be carried in the first trimester or last month of the calendar year (urgent requirements and/or complaints)
For over 10 months OSINFOR, SERFOR and the Regional Governments worked together to converge methodologies and standardize criteria for evaluating specific tree and timber specimens during supervisions of rainforests.
Adopted Criteria
Standardization of the manuals for supervision procedures
ď ąThere is a single criteria used in gathering evidence in the field for the different modalities of use (of forests).
ď ą In the case of (native) communities, consideration is given to their participation in the field work that is carried out.
Adopted Criteria
Significant sampling
ď ą in the case of non-CITES species, a sample is drawn from the whole of the area comprised under the Annual Operative Plan (POA) (of the concession or permit).
ď ą In the case of CITES species, supervisions must cover 100% of tree specimens.
Adopted Criteria
Collection of Field Evidence
ď ą Supervisors involved with the gathering of field evidence are trained in Criminology. ď ą Detailed description of field evidence; stumps, vials, natural regeneration, period of harvesting, etc.
Adopted Criteria
Collection of Botanical Samples
Supervisors are constantly trained in dendrology: identification of timber yielding species.
In case identification is doubtful, there are protocols for the collection of botanical samples. Affiliated institutions like the Botanical Garden of Missouri and the IIAP (Institute for Research of the Peruvian Amazon) collaborate in species identification.
Adopted Criteria
Reliable Information
Constant quality control of field evidence through OSINFOR’s Geomantic and Management Information Systems SISFOR/SIGO.
Implementation of Other Monitoring Techniques Collection of Botanical Samples during the supervision of enabling titles, especially, those that differ from the named species in the document.
RP N째 052-2015-OSINFOR, approved the protocol for the collection of botanical samples from supervised species.
Registration and geofilming of supervised enabling titles, using unmanned aerial vehicles (drones)
2015: it was used to monitor local forests
Enforcement of Supervised enabling titles
Finalist in the Law Enforcement Category
Case is archived
Supervision report Penalty Applied
Corrective Measure Applied
Yes Is there indication of possible forestry violation?
Concession/Permit is rescinded
Single Administrative Procedure (PAU) is initiated
Case may be archived (if not found in violation)
Surface deforested in native communities (hectares/ % of total deforestation) in bright yellow Surface deforested in forestry concessions (hectares/ % of total deforestation) in dark purple
Surface deforested outside of forestry concessions (hectares/ % of total deforestation) in red
Forestry concessions in green Natural protected areas in light purple Native communities shaded in grey *“Permanent production forest� (a sustainable use modality) in light shaded yellowish green.
*For guidance on forest legislation and classifications: http://www.legislacionforestal.org/
Surface deforested in native communities (hectares/ % of total deforestation) in bright yellow Surface deforested in forestry concessions (hectares/ % of total deforestation) in dark purple
Surface deforested outside of forestry concessions (hectares/ % of total deforestation) in red
Forestry concessions in green Natural protected areas in light purple Native communities shaded in grey
“Permanent production forest� in light shaded yellowish green. *For guidance on forest legislation and classifications: http://www.legislacionforestal.org/
Surface deforested in native communities (hectares/ % of total deforestation) in bright yellow Surface deforested in forestry concessions (hectares/ % of total deforestation) in dark purple Surface deforested outside of forestry concessions (hectares/ % of total deforestation) in red
Forestry concessions in green Natural protected areas in light purple Native communities shaded in grey
“Permanent production forest� in light shaded yellowish green. *For guidance on forest legislation and classifications: http://www.legislacionforestal.org/
Capacity Building and Training Native Communities (Ethnicities: Shawi, Awajun, Wampis, Shiwilu, Huitotos, Shipibo-Conibo, Cacataibo, Shipibo, Yaguas, Boras, Ashéninka, Yine, Yanesha, EtnoMachiguenga, Ashaninka, quechua, among others).
Techniques: “Forest Backpack” Winner of the Effective Environmental Management Category Methods: Instructional graphic methods to explain indigenous populations specific forestry issues, such as the cubing process for wood. The participants then replicate these teachings to others in their native language, verifying the learning.
Focal Points • Identification of Timber yielding species • Timber Cubage • GPS Usage • Forest Mensuration Measurements
Is used as a precautionary measure to decrease the frequency of forestry infractions, as well as contribute to the responsible management of their forests.
Forestry Oversight : Relevant training and equipment has been donated [to these communities] in order to enhance the forestry management by these Indigenous Organizations
Strengthening Capacity of forestry actors For all Public Entities and OSINFOR personnel in order to achieve uniformity. First, Second, and Third Regional Workshops “Specializing in National Policies and Norms of the Environmental and Forestry and Wildlife Sector” (2013, 2014 y 2015).
Objective: Strengthening the capacities of specialized environmental Prosecutors and OSINFOR’s Departments legal professionals to enhance their understanding of national policies, forestry and wildlife norms, aiming to strengthen the supervision and enforcement of the forestry and wildlife sector applying the norms that are in force.
Coordination with Other Institutions 42 interinstitutional agreements signed
SUNAT (National Tax and Customs Authority) • The Comptroller’s office • Public Prosecutor’s Office • High Commissioner in the fight against illegal logging
National agreements with Indigenous Organizations, Universities, etc
Objective: Contribute to the responsible management and legal commerce of timber
14 with Indigenous Organizations High Commissioner in the fight against illegal mining FEMA
Ministries of Environment of Colombia and Bolivia WRI
Modernization of Public Management and Forestry Governance HUMAN RESOURCE MANAGEMENT PROCESS MANAGEMENT INFORMATION MANAGEMENT IT MANAGEMENT
TIME MANAGEMENT
Prioritizing the supervisors (due to the risk of corruption, collusion, or kidnapping), lawyers (risk of corruption, collusion or kidnapping) and notifying officials (risk of misleading information) Recruiting,, incorporation, development (capacity building) and promotion. Merit-based Civil Service System of Health and Safety in the Workplace Evaluation of Strategic Institutional Plan (PEI) compliance
Principal Processes Supportive Processes
Internal and External Information Security Management System
Data center Automation of Principal and Supportive Processes Integrated Systems Electronic Notifications
Prioritization Identification of supervisory bottlenecks Identification of enforcement bottlenecks
Modernization of Public Management and Forestry Governance COMMUNICATION STRATEGIES
Increase transparency and accountability Website structuring Online publishing of resolutions Observatory Payment Information for Fines and Penalties Systemization and diffusion of experiences
INTERNAL CONTROL SYSTEM
RISK MANAGEMENT
Diagnostic of the internal control system (SCI) SCI plan Supervision and monitoring of the SCI plan
Internal Control System System of Health and Safety in the Workplace Information Management System Risks and Disasters
THE PATH TOWARDS BETTER SERVICE
PROGRESS TOWARDS THE PROFESSIONAL CIVIL SERVICE REGIME 3. INTERNAL IMPROVEMENT
2. SITUATIONAL ANALYSIS Mapping of posts June 2014
1. PREPARATION
Mapping of processes January 2015
Formation of a Commission to transition toward SERVIR
Identification and Prioritization of Enhancement Opportunities June 2015
January 2014
Concluded
Forwarded to SERVIR October 2015)
ROF (Rules for OSINFOR Functioning) updated in August 2015
Forwarded to PCM January 2016
Sizing and resource Assignment Aug-Sep 2015 Manual Profiles for each post September 2015
To be Concluded
Request for Initiation Resolution June 2015
Public contests (applications) to cover each post 1st semester 2016
Posts and Processes Mapping Updated in June 2015
Valuation of each post
Concluded
4. IMPLEMENTATION OF THE NEW REGIME
Initiation Resolution presented December 2015
Forwarded to PCM Febrruary 2016 Programmed February 2016 Programmed March 2016
Strategic processes Strategic Management
Document Management and Processing
Institutional Control and Risk Management
Image and Communication Management
Legal Defense
Primary Processes
State (1)
Supervision and Five Year Audits
State (1)
Enforcement (2)
Implementation of Enforcement Resolutions(3)
Citizenship
Settlement of Appeals(4) Concerned Parties
Capacity Building
Concerned Parties
Attention to Third-Party Requirements Supportive Processes Documentation
Logistics
Financials(5)
Human Resources
Information Technology
Legal Counsel
Notes 1. MINAGRI, MINAM, MINCETUR among other entities of state. 2. First Administrative Body 3. Monitoring complience with resolutions (penalties, corrective measures), includes communication to competent entities and collection of fines. 4. Second Administrative Body: Forestry and Wildlife Tribunal 5. Includes the collection of payments and expenditures for granted authorizations of forestry use.
Follow-up and Supervision Cause and effect of each risk identified
Risk Management Planning
Risk Identification
Prioritized enforcement and supervisi贸n processes
Appraisement of Risks
Identified existing controls and their effectiveness
Risk Response
Determined probability and impact of risks
Communication and Information
Evaluation and controls
Determined effective control measures
CONSOLIDADED MATRIX OF RISK AND CONTROLS (example) Macroprocess: Supervision Process: Monitoring Planning and Five Year Audits
level
value
9
moderate
value
1 9
Effeciency Average
3
Manual
3
automation
Opportunity
Revising and approving the Supervision Director of the Plan and the DSCFFS program of Five Director of the Year audits. DSPAFFS (Procedure N째4)
Preventive
regularity
Response mitigation
level
Responsible
Control
value
9
Efficiency Level
permanent
Control Activities
Risk Level
3
Risk Level
Response to the Risk Factor
unacceptable
value
level
value
Impact
3
Probable
Monitoring plan for inactive enabling titles
Disastrous
level
Risks
probability
Appraisement
1
The implementation of the SGSI will allow for the creation of new policies and procedures that will reflect the business objectives of the organization.
Documents approved By the SGSI Committee
Development of Information Apps - Objective To make sure that updated enforcement and supervision data of enabling titles is available and relayed to all involved parties in order to carry out effective action and guarantee a responsible management and use of forestry resources (Information Transparency).
Data Collection Mechanisms and Data Sharing
DATA CENTER
Database of enabling titles
Database of Enforcement Processes
Integration of the Scanned Documents
Visualization of Information by different clients through :
On site numerical and geospaciol data collection Tablet use ďƒ GETAC F110
SISFOR OSINFOR’s Geographic Information System of Forest Supervision Administers georeferenced information from all supervised enabling titles, thereby permitting an accurate understanding of the biodiversity and spatial distribution of each authentication certificate supervised by OSINFOR. By doing this OSINFOR’s actions in the field then become transparent and available to the general public
SISFOR What it Offers: • Distribution of supervised enabling titles. • Status of OSINFOR’s supervised enabling titles (penalized, rescinded, archived). • Deforestation monitoring in the departments of Loreto, Ucayali, and Madre de Dios. • Multi-temporal monitoring of illegal mining activity. • Information on other territorial units(Protected Natural Areas, Regional Conservation Areas,, Permanent Production Forests, Territorial Reserves, etc.) and base geography.
Modes of Access
SISFOR Desktop
SISFOR Mobile
www.osinfor.gob.pe or sisfor.osinfor.gob.pe
Winners
SISFOR
Thematic Layers Example: Analysis of abundance of forest species
SIGO SIGO is the Geomantic and Management Information System that contains information on the monitoring, enforcement, development training, processes and obtained results for OSINFOR. This includes information about the enabling titles and related documents that have been authorized by the by the appropriate Forestry and Wildlife authority. SIGO allows for a wider understanding natural resource and wildlife use through enabling titles nation-wide making it possible to establish higher levels of compliance and behavioral changes (optimal measurement indicators).
Mode of Access
www.osinfor.gob.pe
Usefulness of SIGO
OSINFOR
Follow-up of completion of OSINFOR’s primary functions. Nation-wide intervention results Institutional positioning Management optimization Evaluation of PEI completion and related documents
SUPERVISION DEPARTMENTS
USERS
EXTERNAL
Intervention follow-ups Standardization of supervision reports Follow-up of delegated tasks to professionals Decision making process Time control of proceedings Evaluation of POI completion Time Control of delegated tasks Productivity of each official Error reduction
Knowledge of the actions taken by OSINFOR. Knowledge of the status of enabling titles Knowledge of the evolution of forestry and wildlife management
Comprehensive Models -SIGO
Supervision
Enforcements
enabling titles
Training
Reports
Comprehensive Modules-SIGO
SIGO – OSINFOR Observatory for the Legal Commerce of Timber Classifies enabling titles and/or other forestry management plans according to risk levels based on the results taken from the field, in order to promote the legal, and responsible, commerce of timber. Provides the private sector with an orientation that facilitates decision making in the investment, transformation, or commercialization of timber. Contributes with appropriate authorities in order to create a more effective forestry management process.
Generation of Information Evaluation of Deforested Areas
Atlas of TimberYielding Concessions
Spatial Modeling of Ecological Niches
Analysis in the regions of Loreto, Ucayali and Madre de Dios due to the land use change.
Shows the status of forestry coverage in seven departments (7): Loreto, Ucayali, Huánuco, Pasco, Junín, Madre de Dios and San Martín.
Evaluation of the probability of woodland species in the Peruvian Amazon based on data gathered during the monitoring process and bioclimatic parameters.
Distribution of Forestry Species of Peru
Proposal to update taxonomic classification by utilizing the APGIII based on data received from the Botanical Garden of Missouri.
OSINFOR’s Contribution in the implementation of Legislative Degree N° 1100, in Madre de Dios
Shows the data received by OSINFOR from the supervision of authentication certificates in Annex 01 del D. Leg. N° 1100.
Generation of Information Records of the Identification of Timber Yielding and Non-Timber Yielding Species of the Peruvian Amazon
Supervision and Enforcement of Forestry permits granted to Indigenous Communities by OSINFOR
These contribute to the identification of the principal forest species in the Peruvian Amazon.
Evaluation and analysis of the data obtained in the supervision and enforcement processes for forestry permits for Native Communities.
OSINFOR’s Supervision Data Obtained During the Time Frame of Operation Amazon 2014
The Forest Backpack, Training Methods and Participation of Indigenous Communities
Shows the primary findings and irregularities product of the supervision and enforcement of the authentication certificates included in the International Operative “ Operation Amazon 2014”
Training programs are described in order to strengthen understanding of forestry management in Indigenous communities in order to reduce the pressures on these resources and avoid penalties.
Pending Topics
Ocular Inspections
• Ocular inspections take place before the approval of the management instruments.
Technical and Operative strengthening of Regional Governments (GORE) • Completion of transferred functions
Strengthening of Interinstitutional Cooperation • Interinstitutio nal coordination measures
“Let’s use our forests responsibly!” www.osinfor.gob.pe Av. Javier Prado Oeste 694 - Magdalena del Mar