2015 diagnosis: transparency in the peruvian mining-energy sector
DESCRIPTION
Executive SummaryTRANSCRIPT
EXEC
UTIV
E SUM
MAR
YTransparencyin the Peruvian
SectorMining – Energy
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With support from:
AuthorAída Mercedes Gamboa Balbín
Special Collaborators
Nilda Máyerlin Vargas Camero in the sections:• Transparency Portals in Public Entities • Access to Public Information in Public Entities
Harlem Siu Mariño Saavedra in the sections:• Transparency for governance in the granting of hydrocarbon rights • Transparency for governance in the evaluation processes of Environmental Impact Assessments for hydrocarbons
Diego Antonio Saavedra Celestino in the sections: • Transparency for governance in the granting of hydrocarbon rights • Transparency for governance in the evaluation processes of Environmental Impact Assessments for hydrocarbons
Astrid Aguilar Vargas Machuca in the sections:• Transparency for governance in the granting of hydrocarbon rights • Transparency for governance in the evaluation processes of Environmental Impact Assessments for hydrocarbons
Luisa Elizabeth Castillo Linares in the sections:• Transparency for governance in the granting of hydroelectric plant rights • Transparency for governance in the evaluation processes of Environmental Impact Assessments for hydroelectric plants
David Álamo García in the sections:• Transparency for governance in the Regional Governments of Loreto and Cusco
General Editing and Review Aída Mercedes Gamboa BalbínVanessa Cueto La Rosa
General CoordinationAnnie Morillo Cano
Cover PhotosDARChristian Pérez / DARMinisterio de DefensaCarlos OlivaresGisella Valdivia
Derecho, Ambiente y Recursos Naturales - DARJr. Coronel Zegarra N° 260, Jesús María, Lima - PerúTelephone numbers: (+511) 2662063 / (+511) 4725357Email address: [email protected]: www.dar.org.pe
Design and PrintingMedia Praxis S.A.C.Jr. Los Jazmines 423, Urb. San Eugenio – Lince.Telephone numbers: (+511) 4411901 / (+511) 4411562Email address: [email protected]: www.mediapraxis.net CitationDiagnosis 2015: Transparency in the Peruvian Energy Sector. Executive Summary. Lima: DAR, 2015. 60 pagesFirst Edition: December 2015, 1000 copies Printed: February 2016.
Legal Deposit at the National Library of Peru N° 2016-01254.ISBN: 978-612-4210-34-1.
Partial or total reproduction of this executive summary is permitted, its processing, transmission by any form or means, be it electronic, mechanical, photocopying or others; with necessary indication of the source.
This publication is made possible by funding from the Open Society Foundations (OSF).
This publication presents the opinion of the author and not necessarily the vision of the Open Society Foundations (OSF).
Printed and made in Peru.
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ABBREVIATIONS AND ACRONYMS
ANA National Water Authority
EIA Environmental Impact Assessment
EITI Extractive Industries Transparency Initiative
ELECTROPERÚ ELECTROPERU S.A. Peruvian Electricity Company
FONAM National Environmental Fund
GORECU Regional Government of Cusco
GOREL Regional Government of Loreto
GSP Peruvian Southern Gas Pipeline
IGP Geophysical Institute of Peru
IMARPE Peruvian Institute of the Sea
INGEMMET Geological, Mining and Metallurgy Institute
IWP Institutional Web Portal
MEF Ministry of Economy and Finance
MINAGRI Ministry of Agriculture
MINAM Ministry of Environment
MINCU Ministry of Culture
MINEM Ministry of Energy and Mines
MINSA Ministry of Health
MRE Ministry of Foreign Affairs
MTC Ministry of Transport and Communications
OEFA Agency for Environmental Assessment and Enforcement
Photo: Ottocarotto
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OGP Open Government Partnership
OSINERGMIN Supervision Agency for Investment in Energy and Mining
OSF Open Society Foundations
PCM Presidency of the Council of Ministers
PERUPETRO PERUPETRO S.A.
PETROPERÚ PETROPERÚ S.A. - Petroleum of Peru
PNCP National Program for Forest Conservation
PPC Citizen Participation Plan
PRODUCE Ministry of Production
PROFONANPE Fund for the Promotion of Natural Protected Areas of Peru
PROINVERSIÓN Private Investment Promotion Agency
SENACE National Service of Environmental Certification for Sustainable Investments
SENAMHI National Service for Meteorology and Hydrology of Peru
SERFOR National Service for Forests and Wildlife
SERNANP National Service of Natural Areas Protected by the State
SMV Superintendence of Securities Market
STP Standard Transparency Portal
STR Supporting Technical Reports
ToR Terms of Reference
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1. INTRODUCTION
For the past several years, our country has been fostering several hydrocarbon and hydroelectric investment projects in the Peruvian Amazon, which have brought about socio-environmental conflicts. This situation puts forth the mistrust of the population toward authorities, companies and the implementation of extractive projects.
Therefore, sound government or governance practices are a necessary alternative to improve the current situation, as they promote citizen participation in public decision-making.
These practices are based on principles (DAR 2012; Gamboa 2013, 2014) such as: planning of processes, policies, plans and programs; management capacity, coordination between government and intersectoral levels; public authorities’ accountability toward citizenship; citizen participation, public integrity to promote ethics and prevent corruption; and transparency and access to public information. With regard to this study, transparency and access to public information are crosscutting elements of the governance principles.
Transparency is the capacity of public entities to share information, data, documents, policies and decision-making processes publicly. Moreover, the right of access to public information is a fundamental human right contained in the freedom of thought and expression, established internationally in several instruments.
These two elements can be found in our national regulatory framework, developed in the 1993 Political Constitution of Peru, and, can also be found expressly in the Law for Transparency and Access to Information and its Regulation. Although there has been progress in several sectors in the national and regional arenas, the recent political scenario, with large corruption scandals, shows that there are significant challenges to consolidate a democratic and transparent State.
It is decisive to promote transparency and the exercise of the right to access public information in the mining and energy sectors, specifically, in institutional development and in the governance principles of crucial processes, such as: granting of rights (biddings and contracts) for hydrocarbon use and for the construction of hydroelectric power plants; as well as in the evaluation of environmental impact assessments.
Transparency in the Mining – Energy Sector
The present study shows a comprehensive analysis and comparison of the results of the indicators developed by DAR in 2013 and applied for the years 2013, 2014 and 2015; this analysis allows us to see positive progress in the implementation of the standard transparency portals and the compliance on responding requests for access to public information.
However, we still need greater efforts to ensure that the information is accessible in an intercultural manner and that the areas of transparency and access to information have a specific budget, in order to better apply the Law of Transparency and Access to Public Information.
It should be noted that in 2015, the analysis of transparency portals and requests for access to information in public institutions has included two important lines of work: mining and climate change. That is to say, 14 new entities have been added to the evaluation. The study continues with the case-by-case analysis of the processes of granting of rights and environmental assessments in hydrocarbons and hydroelectric plants.
This diagnosis shows again the need for the State to prioritize transparency and access to information in the mining and energy sector - according to the Law of Transparency and Access to Public Information and related regulations, the principles of good governance and international initiatives undertaken by Peru on transparency - in order to achieve sustainable development and the adequate exploitation of mining - energy resources, which will also generate greater confidence from the population toward public institutions and reduce socio-environmental conflicts.
At the same time, it is essential that these
two principles are also applied in the
institutions linked to climate change
work. As a result of the COP20 (Lima, 2014)
and our participation in the COP21 (Paris,
2015), Peru has greater prominence
and commitments to fulfil in the reduction
of greenhouse gas emissions, which
need to be acknowledge by the
citizenship and key actors to help achieve
them.
Photo: Christian Pérez / DAR
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Transparency refers to the public knowledge of data, documents, information, policy and decision-making processes on the activities of State agencies (Ombudsman’s Office 2010; 2010a; 2012). It is a means for the full exercise of rights such as public participation and access to public information. The latter is a human right contained in the right to freedom of thought and expression, based on international instruments such as the Universal Declaration of Human Rights of 1948, the International Covenant on Civil and Political Rights of 1966, the American Declaration on the Rights and Duties of Man of 1948, the American Convention on Human Rights of 1969, among others (Special Rapporteurship on Freedom of Expression 2007: 12-16).
In Peru, the greatest progress in transparency and access to information after what is stated in the Peruvian Constitution (Article 2, inc. 5), is the promulgation in 2003 of the Law on Transparency and Access to Public Information (Law 27806) and its Regulations (Supreme Decree 072-2003-PCM modified by Supreme Decree 070-2013-PCM). Subsequently, Law N° 27927 adds some articles to the law of transparency and it is adopted as a Consolidated Text through Supreme Decree 043-2003-PCM.
This normative framework develops two mechanisms: the standard transparency portal (STP) and the request for access to public information. Its implementation still means a challenge. This is why the Ombudsman’s Office and Peruvian civil society, for the past 3 years, have been the driving force behind the creation of a Transparency and Access to Public Information national authority capable of directing the policy on transparency that will generate national jurisprudence and develop appropriate standards to consolidate a transparent and corruption-free State.
At the international level, Peru also assumed commitments, since it has incorporated itself to global initiatives that promote transparency, such as the Open Government Partnership (OGP) and the Extractive Industries Transparency Initiative (EITI).
The Open Government Partnership is formed by 64 countries. Peru is a member since 2012 with the approval of Peru’s Open Government Action Plan 2012-2014 (R. M. N° 085-2012-PCM). In 2013, a Multisectoral Commission was permanently
2. INITIATIVES ON TRANSPARENCY AND ACCESS TO INFORMATION AT THE INTERNATIONAL AND NATIONAL LEVELS
Photo: Loyola Escamilo
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set up (D. S. N° 003-2013-PCM) for that initiative, assigned to the Presidency of the Council of Ministers (PCM), with the participation of the State, civil society and private sector.1
In 2014 the new Action Plan 2014-2016 was developed, however, due to the numerous changes of staff within the PCM - responsible for directing the Partnership - the document was not approved and the Partnership came to a halt. This gave rise to a warning call from the OGP to the Peruvian government in November 2014. A month later, civil society organizations were forced to suspend indefinitely their participation within the Multisectoral Committee, due to the refusal from the Government to approve the 2014-2016 plan - a document developed and agreed on with civil society - which prioritized the creation of a National Authority for Transparency and Access to Public Information.
Finally, on July 17th 2015, the Plan for open government 2015-2016 was approved (Ministerial Resolution 176-2015-PCM), without participation and validation from civil society, a major stakeholder in public transparency. This plan assigned responsibilities to civil society organizations that are no longer part of the Partnership. In addition, the Plan was given a retroactive nature that did not apply - its validity started in January 2015 -; however, this cannot proceed because this quality only applies to criminal matters according to article 103 of the Political Constitution of Peru.
For civil society, this approval was given because it was one of the requirements to enter the Organization for Economic Cooperation and Development (OECD), the main objective of the current government. Between July and September 2015, more than 30 civil society organizations issued three statements requesting the Government to report on the establishment of the National Authority of Transparency and Access to Information2.
The Extractive Industries Transparency Initiative is an international strategic partnership composed of 48 countries which brings together governments, companies (extractive mining, oil and gas) and civil society. Peru is part of it since 2005; in 2011 the “Permanent Multisectoral Commission for monitoring and supervision of transparency in the use of resources obtained by the State from the development of the Mining and Hydrocarbon Industries” was created (Supreme Decree 028-2011-EM). This initiative was composed in a tripartite manner (with members and alternates) by the private, State and civil society sectors.
In 2012, Peru received the qualification (status) of “responsive country” according to the requirements of the EITI International Secretariat, making it the first country in the American continent to receive this qualification.
From 2004 to 2013, four EITI reports were developed, known as National Conciliation Studies (according to the agreement for transparency information between industries and the State). The fourth study of 2013, drawn up under the new EITI standard, was presented in June 2015 and reveals the payments made by 63 companies: 44 from the mining sector and 19 from the hydrocarbon sector, revealing over 6 billion dollars.
In addition, the EITI has been implemented at subnational levels in the regions of Piura and Moquegua. This was great progress in the global scope, since there is no similar experience in other countries part of the initiative.
On November 30th 2015, civil society agreed on the challenges raised for the EITI VII World Conference, to be held in Lima from February 22nd to 25th 2016. This event is the opportunity to learn about progress and the future agenda regarding transparency in the extractive sector in Latin America and the world, and to also include the civil society proposals.
Furthermore, in December 2015, new representative members and alternates were elected for the National Multisectoral Commission of the EITI for the 2016-2017 period, whom will be the hosts for the Global Conference next February3.
The main demand from the civil society is to incorporate an environmental standard within the EITI, in order to disseminate information on the amount extractive companies spend on:
- The implementation of environmental and social commitments found in environmental impact assessments.- Prevention, mitigation and environmental remediation.
1 The Multisectoral Commission chaired by the Secretary General of the PCM and is composed of two representatives (and alternate) of the Secretariat of Public Management (GSP), the National Office of Electronic Government and Informatics (ONGEl), the Ministry of Justice and Human Rights (MINJUS), the Ministry of Foreign Affairs (MRE), the Judiciary Powers (PJ), the National Confederation of Private Business Institutions (CONFIEP), the Lima Chamber of Commerce, Proética; Ciudadanos Al Día (CAD) and of the Peruvian Press Council. The Ombudsman’s Office, the Office of the Comptroller General of the Republic and the Commission for High Level Corruption (CAN) are invited as observers.
2 Refer to first pronouncement from July 27th 2015 in: http://bit.ly/1ZAsHEV. See second pronouncement from October 1st 2015 in: http://bit.ly/1jBtDG2. See third pronouncement from October 1st 2015 (long version of the second pronouncement) in http://bit.ly/1iRj1Ci.3 At present, integrated by the State the Ministry of Energy and Mines (MINEM) and the Ministry of Economy and Finance (MEF); by civil society,
Derecho, Ambiente y Recursos Naturales (DAR), Grupo Propuesta Ciudadana (GPC), Centro de Investigación y Promoción del Campesinado (CIPCA) of Piura, Centro de Educación, Organización y Promoción del Desarrollo (CEOP) of Moquegua, the Pontifical Catholic University of Peru (PUCP) and the National University of Santiago Antunez de Mayolo (UNSAM) of Ancash; and by the extractive sector, the National Society of Mining, Oil and Energy Association, SNMPE, Southern Peru Copper Corporation and Repsol Exploration Peru Branch.
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It evaluates the standard transparency portals, the attention to requests to access information and the processes of granting of rights and evaluation of the environmental impact assessments in hydrocarbon activities and hydroelectric plants.
Through this analysis, recommendations are reached for the Peruvian government in the national and regional levels, with the objective that entities from the mining and energy sectors improve their transparency and access to public information.
Diagnosis 2015 analyses three aspects:
• Aspect 1: The standard transparency portals of public entities (which are evaluated on a quarterly basis).
• Aspect 2: The access to public information from public entities (which are evaluated on a semi-annual basis).
• Aspect 3: Transparency for governance in:a) Processes of granting of rights for hydrocarbons and hydroelectric plantsb) Evaluation processes for environmental impact assessments in hydrocarbons
and hydropower plantsc) Management of the Loreto and Cusco regional governments
Public institutions evaluated in the Diagnosis 2015 are part of the mining and energy sectors, because we believe that there is a need for a comprehensive overview of the transparency and access to information on the extractive sector in order to strengthen dialogue channels with the citizenship.
3. METHODOLOGY
Diagnosis 2015: Transparency in the
Peruvian Mining and Energy Sector
shows the level of transparency
and access to public information
in the public agencies with the
management, promotion, use
and evaluation of mining - energy
resources in Peru, as well as those
linked with climate change.
Photo: Kabelleger y David Gubler
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It also includes agencies involved in the decisions taken in the field of climate change that require monitoring from civil society, with the aim of strengthening their transparency tools regarding the funds they receive to comply with the commitments Peru has in this area.
Institutions and Agencies evaluated in the Diagnosis 2015:
The Mining and Energy analysis
Agencies with direct and indirect competencies in the management, promotion, use and evaluation of mining - energy resources:
- Private Investment Promotion Agency (PROINVERSIÓN)- National Water Authority (ANA)- Electricity Company of Peru (ELECTROPERÚ S. A.)- Regional Government of Cusco (GORECU)- Regional Government of Loreto (GOREL)- Geological, Mining and Metallurgy Institute (INGEMMET)4
- Ministry of Agriculture and Irrigation (MINAGRI)- Ministry of Culture (MINCU)- Ministry of Economy and Finance (MEF)- Ministry of Energy and Mines (MINEM)- Ministry of the Environment (MINAM)- Agency for Environmental Assessment and Enforcement (OEFA)- Supervision Agency for Investment in Energy and Mining (OSINERGMIN)- PERUPETRO S. A.- Petroleum of Peru - PETROPERÚ S. A.- Presidency of the Council of Ministers (PCM)- National Service of Natural Areas Protected by the State (SERNANP)- National Service of Environmental Certification for Sustainable Investments (SENACE)5
- Superintendence of Securities Market (SMV)6
During 2015, the regional governments of Loreto and Cusco were also analysed as large and important investment projects were to be developed under their jurisdiction. In addition, the transfer of functions in the field of energy and mining from the Executive branch to these Regional Governments ended in 2008, as stated by Ministerial Resolution 046-2008-EM-DM (published on February 2nd 2008) and Ministerial Resolution 009-2008-MEM/DM (published on January 16th 2008).
4 Institution evaluated since Diagnosis 2014.5 Is evaluated since Diagnosis 2015.6 Is evaluated since Diagnosis 2015.
Photo: Carlos Olivares
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The Analysis on Climate Change
Agencies part of the National Commission on Climate Change:
- National Water Authority (ANA)- Peruvian Institute of the Sea (IMARPE)- Geophysical Institute of Peru (IGP)- Ministry of Agriculture and Irrigation (MINAGRI)- Ministry of Culture (MINCU)- Ministry of Economy and Finance (MEF)- Ministry of Energy and Mines (MINEM)- Ministry of Production (PRODUCE)- Ministry of Foreign Affairs (MRE)- Ministry of Health (MINSA)- Ministry of Transport and Communications (MTC)- Ministry of the Environment (MINAM)- Supervision Agency for Investment in Energy and Mining (OSINERGMIN)- Presidency of the Council of Ministers (PCM)- National Program for Forest Conservation (PNCB)- National Service of Natural Areas Protected by the State (SERNANP)- National Service of Meteorology and Hydrology of Peru (SENAMHI)- National Service Forestry and Wildlife (SERFOR)
The analysis also includes the review of the institutional web portal (PWI), under the transparency indicators of STP for the Fund for the promotion of the Natural Protected Areas of Peru (PROFONANPE) and the National Environment Fund (FONAM), private organizations that are members of the National Commission on Climate Change (Supreme Decree 006-2009-MINAM modified by Supreme Decree 015-2013-MINAM).
While these institutions are private and do not have the obligation to publish information or have a transparency portal, it is recommended that these organizations publish relevant information on their management, as well as the data of their personnel, budget information, investment projects, recruitment and procurement of goods and services. In this manner, it will generate transparency in management and handling of funds related to climate change - important for the government - because it is a subje ct that concerns Peruvians and would contribute toward strengthening the country´s governance.
Diagnosis 2015 is composed of matrixes which contain a set of indicators and means of verification that allowed to monitor the situation of the transparency and access to information in the year 2015, in comparison to the assessments carried out in 2013 and 2014.
The evaluation of transparency portals is intended to obtain an unbiased reading of the updating of the STP of public agencies during the first half of 2015, in comparison with the results obtained in 2013 and 2014. The compilation of information has been carried out on a quarterly basis to identify in which period there is greater availability of information from public entities.
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The indicators used in Diagnosis 2013 and 2014 were developed in the framework of the Law of Transparency and Access to Public Information (Supreme Decree 043-2003-PCM), a Ministerial Resolution approving the “Guidelines for the Implementation of the Standard Transparency Portal in Public Administration Entities” (Directive 001-2010-PCM/SGP), Ministerial Resolution 203-2012-PCM amending article 10 of Directive N° 01-2010-PCM/GSP and Supreme Decree 070-2013-PCM amending the regulation of the Law of Transparency and Access to Public Information (Supreme Decree 072-2003-PCM).
The evaluation of the access to public information is intended to obtain an objective reading on the compliance of indicators created on the basis of legislation on access to information held by public agencies and others, which were developed in order to raise the standard in the institutions, during the first half of 2015, in comparison with the results obtained in 2013 and 2014.
The indicators have been designed on the basis of the Law of Transparency and Access to Public Information (Supreme Decree 043-2003-PCM) and its Regulations (Supreme Decree 072-2003-PCM, amended by Supreme Decree 070-2013-PCM). The indicator of the effectiveness of the information refers to how long it takes for the entity to respond to access to information requests, while the indicator of the quality of the information is to verify whether the responses of the entity satisfy what was requested by the citizens.
The assessment of the transparency for governance has the purpose of analysing transparency as a cross-cutting issue of the governance criteria: planning, management capacity, coordination, participation, accountability and integrity to the public on the important processes within the mining – energy sector.
In the case of the granting of rights and environmental assessment for hydrocarbons and hydroelectric plants, the standards related to the hydrocarbons and electricity subsectors were used as a reference, which took into consideration recent changes in environmental management from 2013. We have analysed the cases of a hydroelectric plant in Veracruz and the Peruvian Southern Gas Pipeline (GSP).
Before the elaboration of the Diagnosis 2015, we underwent a process to validate the indicators and results obtained through meetings with officials of the entities monitored and with civil society organizations at the national and regional levels.
In this regard, between the months of July and December meetings were scheduled with the aim of presenting the indicators, evaluations and results obtained from the 2015 Diagnosis, in order to gather the contributions and reply to their observations. After the completion of these activities, changes were made and new recommendations incorporated.
Photo: Annie Morillo / DAR
The evaluation of the access to public information is intended to obtain an objective reading on the compliance of indicators created on the basis of legislation on access to information held by public agencies.12
Tran
spar
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in th
e Per
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n Min
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Ener
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ctor
DIAG
NOSIS
2015
Exec
utive
Sum
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y
On the transparency portals of public entities in the mining - energy sector:
• ThequarterlyupdateontheSTPoftheevaluatedinstitutionshasimprovedin comparison to 2013 and 2014. It has reached an average of 81% of compliance in the institutions with direct competencies and 86% in institutions with indirect powers in the management, promotion, use and evaluation of mining - energy resources, during the second quarter of 2015.
• It is seen that from 2013 to the second quarter of 2015, institutionswithdirect powers have increased the compliance of their STP by 25%, since in the first evaluation in2013 there was a compliance of only 56% on average. The institutions with indirect powers had an increase in compliance of 21%, and in the first evaluation of 2013 compliance only reached an average 65%.
• For the second quarter of 2015, the MINAM, MINEM, MEF, Electroperúand the MINAGRI achieved 100% of compliance in the STP. While the lowest percentage was SENACE, situation that should change as it will be the authority responsible for reviewing environmental management instruments, such as the environmental impact assessments (EIA), supporting technical reports (STR), among others.
4. MAIN FINDINGS
The main findings of the study show that, while
there are improvements in the implementation
of the standard transparency portals and in the responses
to requests for access to information in the
public institutions at the national and regional
levels, there is still a need to strengthen the implementation of the
Transparency Law and its Regulations, as well as to disseminate information
on the initiatives the government has taken in
this field.
Photo: Liliana García / DAR
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Quarterly comparison of results in standard transparency portals (STP)Mining and energy sectors 2013-2015
• RegardingtheresultsonSTPsinformationaccessibility,thenumberofclicksacitizenperformstosearchfortheinformation for each item inside the STP was evaluated. The SERNANP was the institution with less difficulty to access the information, while the OSINERGMIN was the one of greater difficulty, in the second quarter of 2015.
Elaboration: Gamboa and Vargas.
AGENCy STP 2013-2 STP 2013-3 STP 2014-1 STP 2014-2 STP 2014-3 STP 2014-4 STP 2015-1 STP 2015-2
MINEM 93% 76% 98% 98% 100% 100% 100% 100%
MINAM 80% 95% 97% 100% 100% 100% 100% 100%
ELECTROPERÚ 81% 87% 84% 98% 97% 100% 98% 100%
OSINERGMIN 47% 63% 60% 97% 95% 88% 83% 97%
OEFA 59% 38% 60% 76% 81% 86% 91% 98%
PERUPETRO 7% 41% 81% 90% 86% 69% 97% 93%
PETROPERÚ 5% 43% 10% 52% 59% 55% 59% 64%
PROINVERSIÓN 47% 68% 53% 57% 62% 69% 81% 84%
INGEMMET - - - 64% 69% 83% 90% 86%
SENACE - - - - - - 52% 53%
GOREL 77% 86% 90% 75% 90% 57% 89% 84%
GORECU 60% 58% 80% 87% 84% 87% 98% 97%
MINAGRI 71% 92% 97% 98% 100% 100% 100% 100%
SERNANP 49% 73% 76% 90% 88% 93% 93% 79%
MINCU 68% 98% 96% 97% 100% 97% 98% 97%
ANA 53% 29% 48% 53% 66% 74% 69% 72%
MEF 75% 75% 74% 83% 90% 88% 93% 100%
PCM 71% 86% 78% 93% 98% 97% 100% 90%
SMV - - - - - - 84% 88%
AVERAGE 60,5% 71% 74,5% 83,5% 87% 86,5% 89% 88,5%
Quarterly results on information accessibility Mining and energy sector 2013 - 2015
(*) Although SENACE is the organization with fewer clicks it is not necessarily easiest, since its STP has disabled items, so it does not have all the required information.
KEy Greatest Difficulty Less Difficulty
On the transparency portals of public entities linked with climate change management:
• ThequarterlyupdatetotheSTPoftheevaluatedinstitutionsinthesecondquarterof2015hadageneralaverageof compliance of 73%. The institutions that stand out were the MINEM, MINAM, MINAGRI and the MEF with 100% compliance. While the lowest percentage was the SERFOR with 40% compliance, because it only implemented its STP in 2015.
• Thetwoevaluationsconducted in2015 (Quarter1and2)verify that themajorityof the institutionshavenotbeen able to stay in their results and many of them decreased their level of compliance. The percentage of decline in the average compliance was of 2%, because in the first quarter of 2015 the average compliance was 75%; while in the second quarter of 2015 the average was 73%.
AGENCy CLICKS2013-2
CLICKS 2013-3
CLICKS 2014-1
CLICKS 2014-2
CLICKS 2014-3
CLICKS 2014-4
CLICKS 2015-1
CLICKS 2015-2
MINEM 3,8 3,6 3,4 3,3 2,9 2,6 3,1 3,2
MINAM 3,6 3,5 3,2 2,7 2,7 2,7 2,9 3,0
ELECTROPERÚ 3,2 2,9 3,6 3,1 3,1 2,8 3,1 3,1
OSINERGMIN 3,1 3,3 3,5 3,2 3,2 3,2 2,7 3,5
OEFA 2,9 3,3 3,5 2,9 2,8 2,7 2,7 2,9
PERUPETRO 2,8 2,9 3,2 3,1 2,9 2,7 3,2 3,0
PETROPERÚ 1,8 2,7 2,2 2,8 2,6 2,6 2,7 2,7
PROINVERSIÓN 3,0 3,3 3,1 3,0 2,6 2,9 3,0 2,9
INGEMMET - - - 2,9 2,7 2,8 3,1 2,8
SENACE (*) - - - - - - 2,6 2,6
GOREL 3,0 3,4 3,2 3,1 2,9 2,8 3,3 3,0
GORECU 2,7 3,1 3,0 3,4 2,7 3,0 3,0 3,0
MINAGRI 3,2 3,4 3,0 3,3 2,9 3,2 3,7 2,8
SERNANP 2,9 3,5 3,3 3,5 3,0 3,6 3,4 2,7
MINCU 3,4 3,5 3,2 3,3 2,9 3,4 3,3 2,8
ANA 3,1 3,2 2,8 2,9 2,7 3,6 3,4 2,8
MEF 3,3 3,0 3,2 3,5 2,8 2,8 3,6 3,0
PCM 3,5 3,4 3,4 3,5 3,0 2,9 3,7 2,9
SMV - - - - - - 2,9 2,8
AVERAGE 3,1 3,25 3,2 3,15 2,85 3 3,2 2,9
Elaboration: Vargas.
15Tr
ansp
aren
cy in
the P
eruv
ian M
inin
g – En
ergy
Sect
orDI
AGNO
SIS 20
15Ex
ecut
ive Su
mm
ary
Quarterly comparison of results in standard transparency portals (STP)Climate change 2015
Elaboration: Gamboa and Vargas.
• Regardingtheaccessibilityof informationofSTPs, thenumberofclicksthatthecitizenperformedtosearchforthe information for each item in the STP was evaluated. In the second quarter of 2015, the SERNANP was the institution with less difficulty to find the information, while the IGP website presented the greatest difficulty to find information.
AGENCy STP 2015 - 1
STP2015 - 2
MINEM 100% 100%
MINAM 100% 100%
MINAGRI 100% 100%
MEF 79% 100%
MRE 98% 88%
PRODUCE 100% 71%
MTC 93% 90%
MINSA 100% 88%
MINCU 98% 97%
PCM 100% 90%
SERNANP 93% 79%
ANA 69% 72%
PNBC 72% 78%
SENAMHI 81% 71%
IGP 90% 76%
IMARPE 79% 69%
SERFOR 34% 40%
OSINERGMIN 83% 97%
AVERAGE 75% 73%
16Tr
ansp
aren
cy in
the P
eruv
ian M
inin
g – En
ergy
Sect
orDI
AGNO
SIS 20
15Ex
ecut
ive Su
mm
ary
Quarterly results on information accessibility Climate change 2015
• TheinstitutionalwebportalsforFONAMandPROFONANPEwereconsideredforreview,bothprivateorganizationsthat comprise the National Commission on Climate Change. While such organizations are not obliged to publish information, nor have a transparency portal, it is considered necessary that such organizations publish relevant information required by the STP, to generate transparency in its management and in the management of funds that are related to climate change, and thus contribute to governance.
KEy Greatest Difficulty Less Difficulty
Elaboration: Gamboa and Vargas.
AGENCy Clicks 2015 -1
Clicks2015 - 2
MINEM 3,1 3,2
MINAM 2,9 3,0
MINAGRI 3,7 2,8
MEF 3,6 3,0
MRE 3,1 4,0
PRODUCE 3,1 3,6
MTC 2,8 4,0
MINSA 2,6 3,1
MINCU 3,3 2,8
PCM 2,7 2,9
SERNANP 3,4 2,7
ANA 3,4 2,8
PNBC 2,8 3,7
SENAMHI 2,6 3,5
IGP 2,4 4,1
IMARPE 2,3 3,6
SERFOR 2,0 3,5
OSINERGMIN 2,6 3,5
AVERAGE 2,7 3,4
17Tr
ansp
aren
cy in
the P
eruv
ian M
inin
g – En
ergy
Sect
orDI
AGNO
SIS 20
15Ex
ecut
ive Su
mm
ary
Key:
» Yes: When the information sought is complete and available in its integrity. » NO: when the information sought is not available. » Partial: when the information sought is unfinished, incomplete, outdated or displays the document only partially.
• InthecomparisonoftheinstitutionalportalsofPROFONANPEandFONAM,usingindicatorsofstandardtransparencyportals, it has been verified that PROFONANPE would have 3% of compliance and FONAM, 12%.
Elaboration: Vargas.
Comparison of institutional portals with STP indicators Second Quarter 2015
AGENCy yES NO PARTIAL
PROFONANPE 3% 97% 0%
FONAM 12% 88% 0%
AVERAGE 5% 95% 0%
On the attention to requests for access to public information in the mining and energy sector institutions:
• In some cases the attention to requests for access to public information have delays in regard to the timeestablished by law, which is mainly due to the fact that the information systematized or digitalized. However, in comparison to 2013 and 2014, during 2015 the response time to requests for access to information improved.
• Onaverage,theentitieswithdirectcompetenciesinmanagement,promotion,useandevaluationofmining-energyresources took six days to respond to the information requests from users in the first half of 2015.
Elaboration: Vargas.
Half-year comparison of the average number of days to obtain information from institutions with direct powers in the mining sector and energy 2013 - 2015
2013SI-2015 SI-2014SII-2014
9 9
20
16
30
8 87
20
7
15
22
46 6
13
7
13
21
7 75
7
3
911
45
6
15
4
9
5
12
6 7
1518
56 6
0
7
GORECUGOREL
SENACE
INGEMMET
ELECTROPERÚ
PROINVERSIÓNMINAM
OEFA
OSINERGMIN
PETROPERÚ
PERUPETROMINEM
25
20
15
10
5
0
18Tr
ansp
aren
cy in
the P
eruv
ian M
inin
g – En
ergy
Sect
orDI
AGNO
SIS 20
15Ex
ecut
ive Su
mm
ary
• Onaverage,theentitieswithindirectpowersinthemanagement,promotion,useandevaluationofmining-energyresources needed five (5) days to respond and deliver the information that the user requested in the first half of 2015.
• Themajorityofinstitutionsstillhaveproblemstoimplementmechanismsforaccesstoinformationdifferentiatedfor the diversity of stakeholders in the country, takin into consideration indigenous populations own characteristics such as language, interests and access to technology. In the case of entities with direct powers, only 67% have alternative mechanisms for vulnerable populations; while 57% of the entities with indirect powers have these mechanisms.
• Forthefourthconsecutiveperiod,theMINAMistheentitythathasansweredinlesstime,astheyhavewell-trainedpersonnel and an efficient follow-up system to attend information requests.
• TheGORECU,theGORELandPERUPETROaretheinstitutionswhichtooklongertorespondduringthefirsthalfof2015. The GORECU needed nine (9) days on average; the GOREL, eight (8) days on average and Perupetro, nine (9) days.
Elaboration: Vargas.
Half-year comparison of the average number of days to obtain information from institutions with indirect powers in the mining and energy sectors 2013 - 2015
2013SI-2015 SI-2014SII-2014
9
4 47
11
7 9
15
10
3 35
8
3
17
22
28
4 5
25
20
64
75
SMVPCM MEF
MINAGRIANA
MINCU
SERNANP
30
25
20
15
10
5
0
19Tr
ansp
aren
cy in
the P
eruv
ian M
inin
g – En
ergy
Sect
orDI
AGNO
SIS 20
15Ex
ecut
ive Su
mm
ary
Resu
lts of
the i
nfor
mat
ion c
olle
cted
by ac
cess
to pu
blic
info
rmat
ion
Mini
ng an
d Ene
rgy s
ecto
r - Fi
rst H
alf o
f 201
5Cr
iteri
onin
diCa
tor
Unit
of M
easU
reM
ent
Mine
MPe
rUPe
tro
Petr
oPer
Úos
iner
GMin
oefa
Mina
MPr
oinV
ersiÓ
neL
eCtr
oPer
Úin
GeMM
etse
naCe
Go
reL
Gore
CUse
rnan
PMi
nCU
ana
Mina
Gri
Mef
sMV
PCM
I. Exi
sten
ce o
f an
inst
itutio
nal
trans
pare
ncy
polic
y
Has
a sp
ecifi
c in
stitu
tiona
l pol
icy
for t
rans
pare
ncy
and
acce
ss to
info
rmat
ion
(doc
umen
t or
dire
ctiv
es th
at im
plem
ent t
his p
olic
y).
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
Yes
II. Im
plem
enta
tion
of m
echa
nism
s fo
r acc
ess t
o in
form
atio
n
Has
an
inqu
iry m
echa
nism
via
web
por
tal
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Has
a m
echa
nism
for u
ser g
uida
nce
to
resp
ond
to q
uerie
s or r
eque
sts f
or in
form
atio
n N
Ot p
ublis
hed
(Gui
danc
e offi
ce o
r oth
er)
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Has
a c
itize
n pa
rtic
ipat
ion
mec
hani
sm
impl
emen
ted
in 2
015.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
NO
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Has
alte
rnat
ive
care
mec
hani
sms f
or v
ulne
rabl
e po
pula
tions
impl
emen
ted
by th
e in
stitu
tion.
Yes
Yes
Yes
NO
Yes
Yes
Yes
NO
NO
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
NO
Yes
III. Im
plem
enta
tion
of a
follo
w-u
p an
d m
onito
ring
syst
em f
or a
cces
s to
info
rmat
ion
requ
ests
Iden
tifies
the
type
of i
nfor
mat
ion
requ
ired
by u
sers
thro
ugh
requ
ests
for a
cces
s to
clas
sroo
ms a
nd v
irtua
l inf
orm
atio
n (h
as
data
base
with
this
info
rmat
ion)
.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Iden
tifies
ons
ite, e
lect
roni
c an
d on
-the-
web
re
ques
ts (n
umbe
r) su
bmitt
ed a
nd a
ttend
ed
durin
g 20
15. In
dica
tes h
ow m
any
have
be
en a
nsw
ered
with
in th
e de
adlin
e, h
ow
man
y ou
tsid
e th
e de
adlin
e, h
ow m
any
have
N
Ot b
een
answ
ered
and
on
how
man
y op
port
uniti
es th
e en
tity
has r
eque
sted
an
exte
nsio
n of
the
dead
line.
Yes
Yes
Yes
NO
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
Yes
Yes
NO
Yes
Yes
Yes
Yes
Has
a sy
stem
for t
he m
onito
ring
and
eval
uatio
n of
requ
ests
for i
nfor
mat
ion
via
coun
ter a
nd
emai
l. Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
s
Has
a sy
stem
of c
ompu
ter s
ecur
ity
man
agem
ent o
f pub
lic in
form
atio
n fo
r con
trol
and
prop
er u
se o
r a d
irect
ive.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
Yes
Yes
Yes
Yes
Yes
Yes
Reco
gnize
s the
adm
inist
rativ
e pr
oces
ses
to c
halle
nge
or p
erfo
rm ju
dici
al p
roce
sses
in
itiat
ed b
y la
ck o
f res
pons
e in
201
5.Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
s
IV. P
erso
nnel
and
tra
inin
g of
staff
fo
r tra
nspa
renc
y an
d ac
cess
to
info
rmat
ion
Has
staff
resp
onsib
le fo
r del
iver
ing
info
rmat
ion
acce
ssib
le to
the
publ
ic.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Has
trai
ning
mec
hani
sms a
nd in
cent
ives
fo
r the
staff
resp
onsib
le fo
r tra
nspa
renc
y an
d ac
cess
to p
ublic
info
rmat
ion.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
Yes
V. B
udge
t Ite
mH
as in
form
atio
n on
the
annu
al b
udge
t for
th
e sy
stem
of t
rans
pare
ncy
and
acce
ss to
in
form
atio
n.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
Yes
Yes
Yes
Yes
Yes
Yes
Yes
PLANNING AND MANAGEMENT CAPACITY IN THE ATTENTION TO ACCESS TO PUBLIC INFORMATION
20Tr
ansp
aren
cy in
the P
eruv
ian M
inin
g – En
ergy
Sect
orDI
AGNO
SIS 20
15Ex
ecut
ive Su
mm
ary
Crite
rioin
diCa
dor
Unid
ad de
Med
ida
Mine
MPe
rUPe
tro
Petr
oPer
Úos
iner
GMin
oefa
Mina
MPr
oinV
ersiÓ
neL
eCtr
oPer
Úin
GeMM
etse
naCe
Go
reL
Gore
CUse
rnan
PMi
nCU
ana
Mina
Gri
Mef
sMV
PCM
I. Im
plem
enta
tion
of a
n ev
alua
tion
syst
em fo
r the
in
stitu
tiona
l tr
ansp
aren
cy p
olic
y
Has
a m
echa
nism
to d
eter
min
e th
e le
vel o
f tra
nspa
renc
y pe
rcep
tion
for e
ntiti
es.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Has
a m
echa
nism
for t
he o
vera
ll ra
ting
of th
e se
rvic
e of
tran
spar
ency
and
acc
ess t
o pu
blic
in
form
atio
n it
prov
ides
.Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
s
II. Im
plem
enta
tion
of m
onito
ring
for
the
func
tioni
ng
of m
echa
nism
s fo
r acc
ess t
o in
form
atio
n
Iden
tifies
the
mea
ns b
y w
hich
mos
t of t
he
info
rmat
ion
is re
ques
ted
(web
page
requ
ests
, pu
blic
atio
ns, o
ther
s), a
nd o
ther
type
s of
info
rmat
ion
requ
ired.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Has
a m
echa
nism
on
the
qual
ifica
tion
of
alte
rnat
ive
care
mec
hani
sms f
or v
ulne
rabl
e po
pula
tions
.Ye
sYe
sYe
sYe
sN
OYe
sYe
sYe
sYe
sN
ON
ON
OYe
sYe
sYe
sYe
sYe
sYe
sYe
s
III. E
valu
atio
n of
th
e sy
stem
for
the
mon
itorin
g an
d ev
alua
tion
of re
ques
ts fo
r ac
cess
to p
ublic
in
form
atio
n
Has
a st
udy
on th
e es
timat
ed ti
me
in w
hich
the
entit
y se
nds r
espo
nses
to re
ques
ts fo
r acc
ess t
o pu
blic
info
rmat
ion.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
The
entit
y ha
s im
plem
ente
d a
mec
hani
sm to
im
prov
e th
e at
tent
ion
to re
ques
ts fo
r acc
ess
to in
form
atio
n an
d m
odifi
es d
elay
s and
NO
re
spon
ses f
rom
this
asse
ssm
ent.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
IV. C
ontin
uity
in th
e tr
aini
ng o
f the
staff
fo
r Tra
nspa
renc
y
Cond
ucts
an
ongo
ing
eval
uatio
n of
trai
ning
st
aff. In
dica
tes t
he n
umbe
r of a
nnua
l tra
inin
g se
ssio
ns.
Yes
Yes
IPYe
sYe
sYe
sYe
sYe
sYe
sN
ON
ON
OYe
sYe
sYe
sYe
sYe
sN
OYe
s
V. B
udge
t Ite
m
Perfo
rms a
n ev
alua
tion
on th
e bu
dget
and
w
heth
er it
is su
ffici
ent.
Indi
cate
s whe
ther
or
not t
here
is a
n in
crea
se o
n th
e ba
sis o
f the
as
sess
men
t.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
IPYe
s
Elab
orat
ion:
Gam
boa
and
Varg
as.
»Ye
s: If
the
info
rmat
ion
requ
este
d is
del
iver
ed a
nd th
e do
cum
ent s
ent f
or a
ppro
val o
r if t
he in
form
atio
n re
ques
ted
is in
the
proc
ess
of im
plem
enta
tion,
pro
vidi
ng th
ere
is a
dra
ft d
ocum
ent a
ttac
hed.
»N
O: I
f the
inst
itutio
n do
es n
ot h
ave
the
requ
este
d in
form
atio
n. »
Part
ial (
IP):
If th
e in
stitu
tion
send
s in
com
plet
e in
form
atio
n. »
Non
-app
licab
le (N
COR)
: If t
he in
form
atio
n se
nt is
diff
eren
t fro
m w
hat w
as re
ques
ted.
»N
ot R
espo
nsiv
e (N
RSP)
: If th
ere
is n
o re
spon
se fr
om th
e in
stitu
tion
to th
e re
ques
ted
info
rmat
ion.
Thi
s pos
sibl
e sc
enar
io is
par
t of t
he a
ssum
ptio
n th
at th
e in
stitu
tion
has a
nsw
ered
the
othe
r req
uire
men
ts.
»D
oes
not a
nsw
er (N
SOC
): If
past
the
wai
ting
time
and
addi
tiona
l leg
al g
iven
tim
e, th
ere
is n
o re
ply
from
the
inst
itutio
n.
EVALUATION OF THE SERVICE AND ATTENTION TO CITIZENS IN THE PROCESSES OF ACCESS TO PUBLIC INFORMATION
21Tr
ansp
aren
cy in
the P
eruv
ian M
inin
g – En
ergy
Sect
orDI
AGNO
SIS 20
15Ex
ecut
ive Su
mm
ary
Elaboration: Vargas.
In 2015, with regard to 2013 and 2014, the entities with direct competencies in management, promotion, use and evaluation of mining - energy resources have improved in the implementation of mechanisms for the attention of information access requests, among the main results are:
• The first half of 2015, these institutionshave implemented a computer security system, amechanism for userorientation and a document or a directive on the institutional policy on transparency and access to information.
• Inall,82%oftheseinstitutionsidentifiestheinformationmorefrequentlyrequestedbytheuser.Upto92%havea follow-up or monitoring system for requests and has conducted training sessions on transparency and access to information for their staff.
Also, with regard to 2013 and 2014, entities with indirect powers in the management, promotion, use and evaluation of mining - energy resources have improved in the implementation of mechanisms for the attention of information access:
• Thefirsthalfof2015,theseinstitutionsimplementedasystemoffollow-upormonitoringtorequestsforaccesstoinformation, a computer security system, a mechanism for user orientation and identification of the information most required by users.
• Inall,86%oftheseinstitutionscarriesouttrainingintransparencytostaffandhaveadocumentoradirectiveonthe institutional policy on transparency and access to information.
On the attention to requests for access to public information in the institutions linked to climate change, in the first half of 2015:
• Onaverage, theministries involvedwith climate changehave taken six (6)days to respond to the informationrequested by users.
• 90%oftheentitiesrespondedwithintime,while10%didsooutsideofthis,ashappenedwithPRODUCE.
Number of days to obtain information from ministriesClimate change - First half of 2015
6
4
5
6
6
21
5
7
2
1
7
AVERAGE
MINCU
PCM
MINSA
MTC
PRODUCE
MRE
MEF
MINAGRI
MINAM
MINEM
0 5 15 2510 20
22Tr
ansp
aren
cy in
the P
eruv
ian M
inin
g – En
ergy
Sect
orDI
AGNO
SIS 20
15Ex
ecut
ive Su
mm
ary
Photo: Digital Democracy
Elaboration: Vargas.
Number of days to obtain information from technical agencies Climate change - First half of 2015
• On average the technical agencies linked to climate change have taken six days to respond and deliver theinformation requested from users in the first half of 2015. Of the total number of requests, 86% of the monitored entities responded to them within the period established by law and 14% outside of this, as is the case of SENAMHI, which took 11 days to respond to a request (when the term is seven days, plus five if the institution requires an extension, which was not the case).
• Inthemajorityofinstitutionsthereisanurgencytoimplementdifferentiatedmechanismstoaccessinformationfor vulnerable populations such as indigenous peoples. In the case of Ministries, 90% of them have alternative mechanisms for these populations, but in the case of the technical agencies, only 38% of the entities have them.
6
3
6
7
6
11
8
3
6
AVERAGE
OSINERGMIN
SERFOR
IMARPE
IGO
SENAMHI
PNBC
ANA
SERNANP
0 2 6 10 124 8
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Resu
lts of
info
rmat
ion c
olle
cted
rega
rdin
g acc
ess t
o pub
lic in
form
atio
nCl
imat
e Cha
nge -
Firs
t Hal
f 201
5
Crite
rion
indi
Cato
rUn
it of
Mea
sUre
Men
tMi
neM
Mina
MMi
naGr
iMe
fMr
ePr
odUC
eMt
CMi
nsa
PCM
MinC
Use
rnan
P an
aPn
CBse
naMH
iiG
PiM
arPe
serf
oros
iner
GMin
I. Exi
sten
ce o
f an
inst
itutio
nal
trans
pare
ncy
polic
y
Has
a sp
ecifi
c in
stitu
tiona
l pol
icy
for t
rans
pare
ncy
and
acce
ss to
info
rmat
ion
(doc
umen
t or d
irect
ives
th
at im
plem
ent t
his p
olic
y).
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
II. Im
plem
enta
tion
of m
echa
nism
s fo
r acc
ess t
o in
form
atio
n
Has
an
inqu
iry m
echa
nism
via
web
por
tal
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Has
a m
echa
nism
for u
ser g
uida
nce
to re
spon
d to
qu
erie
s or r
eque
sts f
or in
form
atio
n no
t pub
lishe
d (G
uida
nce
office
or o
ther
).Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sIP
Yes
Yes
Yes
Has
a c
itize
n pa
rtic
ipat
ion
mec
hani
sm im
plem
ente
d in
201
5.Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sN
ON
OYe
sYe
sYe
sYe
sYe
s
Has
alte
rnat
ive
care
mec
hani
sms f
or v
ulne
rabl
e po
pula
tions
impl
emen
ted
by th
e in
stitu
tion.
Yes
Yes
Yes
NO
Yes
Yes
Yes
Yes
Yes
NO
Yes
Yes
NO
Yes
NO
NO
Yes
Yes
III. Im
plem
enta
tion
of a
follo
w-u
p an
d m
onito
ring
syst
em fo
r acc
ess
to in
form
atio
n re
ques
ts
Iden
tifies
the
type
of i
nfor
mat
ion
requ
ired
by u
sers
th
roug
h re
ques
ts fo
r acc
ess t
o cl
assr
oom
and
virt
ual
info
rmat
ion
(has
dat
abas
e w
ith th
is in
form
atio
n).
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Iden
tifies
ons
ite, e
lect
roni
c an
d on
-the-
web
requ
ests
(n
umbe
r) su
bmitt
ed a
nd a
ttend
ed d
urin
g 20
15.
Indi
cate
s how
man
y ha
ve b
een
answ
ered
with
in th
e te
rm, h
ow m
any
outs
ide
the
dead
line,
how
man
y ha
ve n
ot b
een
answ
ered
and
how
man
y tim
es th
e en
tity
has r
eque
sted
an
exte
nsio
n of
the
dead
line.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
Yes
Yes
Yes
Yes
Yes
NO
Has
a sy
stem
for t
he m
onito
ring
and
eval
uatio
n of
requ
ests
for i
nfor
mat
ion
via
coun
ter a
nd
emai
l. Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
s
Has
a sy
stem
of c
ompu
ter s
ecur
ity fo
r m
anag
emen
t of p
ublic
info
rmat
ion
for c
ontr
ol
and
prop
er u
se o
r dire
ctiv
es.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NO
Yes
Yes
Yes
Reco
gnize
s adm
inist
rativ
e pr
oces
ses f
or th
e im
pugn
atio
n or
judi
cial
pro
cess
es u
nder
way
due
to
lack
of r
espo
nse
in 2
015.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
IV. P
erso
nnel
and
tra
inin
g th
e st
aff
of tr
ansp
aren
cy
and
acce
ss to
in
form
atio
n
Has
staff
resp
onsib
le fo
r del
iver
ing
info
rmat
ion
acce
ssib
le to
the
publ
ic.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Has
trai
ning
mec
hani
sms a
nd in
cent
ives
for t
he
staff
resp
onsib
le fo
r tra
nspa
renc
y an
d ac
cess
to
publ
ic in
form
atio
n.Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
s
V. B
udge
t Ite
mH
as in
form
atio
n on
the
annu
al b
udge
t for
th
e sy
stem
of t
rans
pare
ncy
and
acce
ss to
in
form
atio
n.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
PLANNING AND MANAGEMENT CAPACITY IN THE ATTENTION TO ACCESS TO PUBLIC INFORMATION
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ecut
ive Su
mm
ary
Crite
rion
indi
Cato
rUn
it of
Mea
sUre
Men
tMi
neM
Mina
MMi
naGr
iMe
fMr
ePr
odUC
eMt
CMi
nsa
PCM
MinC
Use
rnan
P an
aPn
CBse
naMH
iiG
PiM
arPe
serf
oros
iner
GMin
I. Im
plem
enta
tion
of a
syst
em o
f ev
alua
tion
of th
e in
stitu
tiona
l pol
icy
of tr
ansp
aren
cy
Has
a m
echa
nism
to d
eter
min
e th
e le
vel o
f tr
ansp
aren
cy p
erce
ptio
n fo
r ent
ities
.Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sN
OYe
sYe
s
Has
a m
echa
nism
for t
he o
vera
ll ra
ting
of th
e se
rvic
e of
tran
spar
ency
and
acc
ess t
o pu
blic
in
form
atio
n it
prov
ides
.Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
s
II. Im
plem
enta
tion
of a
mon
itorin
g of
th
e fu
nctio
ning
of
the
mec
hani
sms
for a
cces
s to
info
rmat
ion
Iden
tifies
the
mea
ns b
y w
hich
mos
t of t
he
info
rmat
ion
is re
ques
ted
(web
page
requ
ests
, pu
blic
atio
ns, o
ther
s), a
nd o
ther
type
s of
info
rmat
ion
requ
ired.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Has
a m
echa
nism
on
the
qual
ifica
tion
of
alte
rnat
ive
care
mec
hani
sms f
or v
ulne
rabl
e po
pula
tions
.Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
s
III. E
valu
atio
n of
th
e sy
stem
for
the
mon
itorin
g an
d ev
alua
tion
of re
ques
ts fo
r ac
cess
to p
ublic
in
form
atio
n
Has
a st
udy
on th
e es
timat
ed ti
me
in w
hich
the
entit
y se
nds r
espo
nses
to re
ques
ts fo
r acc
ess t
o pu
blic
info
rmat
ion.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
The
entit
y ha
s im
plem
ente
d a
mec
hani
sm to
im
prov
e th
e at
tent
ion
to re
ques
ts fo
r acc
ess
to i
nfor
mat
ion
and
mod
ifies
del
ays a
nd n
o re
spon
ses f
rom
this
asse
ssm
ent.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
IV. C
ontin
uity
in
the
train
ing
of
the
staff
of t
he
Tran
spar
ency
Cond
ucts
an
ongo
ing
eval
uatio
n of
trai
ning
st
aff. I
ndic
ates
the
num
ber o
f ann
ual t
rain
ing
sess
ions
.Ye
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
sYe
s
V. B
udge
t Ite
m
Perfo
rms a
n ev
alua
tion
on th
e bu
dget
and
w
heth
er it
is su
ffici
ent.
Indi
cate
s whe
ther
or
not t
here
is a
n in
crea
se o
n th
e ba
sis o
f the
as
sess
men
t.
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
EVALUATION OF THE SERVICE AND ATTENTION TO CITIZENS IN THE PROCESSES OF ACCESS TO PUBLIC INFORMATION
Elab
orat
ion:
Gam
boa
and
Varg
as.
»Ye
s: If
the
info
rmat
ion
requ
este
d is
del
iver
ed a
nd th
e do
cum
ent s
ent f
or a
ppro
val o
r if t
he in
form
atio
n re
ques
ted
is in
the
proc
ess
of im
plem
enta
tion,
pro
vidi
ng th
ere
is a
dra
ft d
ocum
ent a
ttac
hed.
»N
O: I
f the
inst
itutio
n do
es n
ot h
ave
the
requ
este
d in
form
atio
n. »
Part
ial (
IP):
If th
e in
stitu
tion
send
s in
com
plet
e in
form
atio
n. »
Non
-app
licab
le (N
COR)
: If t
he in
form
atio
n se
nt is
diff
eren
t fro
m w
hat w
as re
ques
ted.
»N
ot R
espo
nsiv
e (N
RSP)
: If th
ere
is n
o re
spon
se fr
om th
e in
stitu
tion
to th
e re
ques
ted
info
rmat
ion.
Thi
s pos
sibl
e sc
enar
io is
par
t of t
he a
ssum
ptio
n th
at th
e in
stitu
tion
has a
nsw
ered
the
othe
r req
uire
men
ts.
»D
oes
not a
nsw
er (N
SOC
): If
past
the
wai
ting
time
and
addi
tiona
l leg
al g
iven
tim
e, th
ere
is n
o re
ply
from
the
inst
itutio
n.
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• The institutions linked to climate change are implementing various instruments to respond to requests forinformation access. However, in the first half of 2015, among the technical agencies related to climate change, only 88% have a computer security system.
On the processes of granting of rights for hydrocarbons and for hydroelectric plants:
• Inthe2015analysisithasbeenobservedthat,forbothprocessesofgrantingofrights,publishedinformationexistsin the web portals of the competent entities, but not all the documents of the processes are public. The published documents are found only in Spanish, not in other languages. There are also difficulties in the coordination between other sectors and with regional governments; a similar situation occurs in the implementation of accountability mechanisms toward citizenship and citizen participation.
• Inthesubsectorofhydrocarbons,thecaseofthePeruvianSouthernGasPipeline(GSP)showsthatthemethodologyused and the current processes of citizen participation are not sufficient to reduce social unrest. In addition, it has been found that the population has no clear information on the project and its impacts, as well as the budget to mitigate social impacts, and the prevention plans against these impacts, among others. This happens because there is an environmental management tool adopted prior to 2015.
• Inthecaseoftheelectricitysubsector,anypriorconsultationprocesshasyettobeimplemented.Thisshouldnotlimit the ability of the MINEM to prepare for this process. However, it has not developed instruments to allow the realization of future processes of prior consultation, a basic reliable graphic on indigenous communities and their relationship with electrical projects. This is due to the difficult community relations in these regions and the constant social conflicts in the area.
On the evaluation processes of Environmental Impact Assessments in hydrocarbons and hydroelectric plants:
• Forbothprocessesforthegrantingofrights,thereareimportantdocumentssuchasTermsofReference(TdR)ortheCitizen Participation Plan (PPC), but these are not published on the MINEM website or are not updated in a timely manner and can only be found in Spanish. Nor is it possible to access, through the web portal, documents generated in participatory workshops and public hearings. In addition, the mechanisms for intersectoral and intergovernmental coordination, accountability and population participation to avoid social conflicts are insufficient.
• RegardingtheevaluationprocessesforEIAinhydrocarbons,thestudyoftheGSPhasverifiedthatcitizenparticipationprocesses do not comply with their objectives to incorporate people’s views or the project’s impacts, or verifies the fundamental information in the project to reach the population, a task carried out by the competent authority. As is the case with the approval of the STR which modifies important parts of the project but do so without citizen participation.
• Regarding theprocessesof evaluationof the EIA inhydroelectric installations, through the studyof the caseofVeracruz, it has been found that the current system for access to public information in the review of physical files from the MINEM, is only accessible to those who have the possibility to review the dossiers in Lima, either because they are residents or can move there. This also makes it difficult for citizen participation, supporting the claims of both the population and the regional governments within the evaluation process of the EIA.
Regarding the management of the Loreto and Cusco Regional Governments:
• TheRegionalGovernmentsofLoretoandCuscohavenotimplemented,toalargeextent,theLawofTransparencyand Access to Information regarding transparency portals and requests for access to information in an appropriate manner; there have been delays in the update of information and in responding to requests for information access.
• ThenationalprocessesdirectedbythePCMontransparencyandaccesstopublicinformationarenotlinkedandhave limitations in their training of staff on issues of transparency, access to information, energy and environmental governance. Therefore, greater inclusion is needed in the process of granting of rights and environmental assessment in hydrocarbons and hydropower projects.
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• Tocomplywiththecommitmentsontransparencyandaccesstoinformationthatthegovernmenthasassumedat the international and national levels, the following is needed:
(I) To adopt a new Action Plan for Open Government Peru, with the PCM as the key actor to be recognized. The approved plan for the 2015-2016 period was done retroactively and without including the commitment to create the National Authority of Transparency and Access to Information, which was proposed by the civil society. This authority will contribute to implement the transparency policy, homogenizing procedures for the attention of requests for information access and generating national jurisprudence.
(ii) To promote the EITI initiative at the regional and national levels, for more regional governments to implement it in their jurisdictions, and to generate a link between the population, government and companies, where accountability on payments and income product of extractive activities enable a better, sustainable development. For this to be possible, the support of key stakeholders is fundamental.
(iii) To insert in the public agenda the proposal from the civil society to include environmental information within the conciliation studies of EITI Peru, as payments made by firms for the implementation of socio-environmental commitments that are found in the environmental impact assessments, as well as the expenses for prevention, mitigation and environmental remediation. This proposal has a chance of being taken into account in February 2016, when the EITI Global Conference takes place in Lima.
(iv) To promote the training of citizenship and among vulnerable populations, by the Peruvian government on issues of transparency, access to public information, as well as report on the international initiatives on transparency, through institutional arrangements or strategic partnerships between the MINCU, PCM, MIDIS and MINEM.
5. RECOMMENDATIONS
Photo: Carlos Olivares
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(v) To promote processes of approval for national environmental legislation, appropriately accompanied by channels of transparency, access to information and citizen participation in order to prevent social conflict.
• TocomplyappropriatelywiththeprovisionsfromtheLawofTransparencyandAccesstoPublicInformationandtoimprove service delivery to citizens, the following is needed:
(i) The internal verification of compliance with the deadlines in the publication of information in standard transparency portals, as well as the government issuing the respective sanctions when needed.
(ii) The allocation of a specific budget for transparency and access to information in government institution.
(iii) The creation of an area or office of Transparency and Access to Public Information within public entities of the Mining and Energy Sector and other public entities related to climate change.
(iv) Implement computer equipment or increase the number of professionals dedicated to transparency and access to information within the entities being evaluated.
(v) Increase the number of training staff on transparency and access to information.
(vi) Implement alternative mechanisms for vulnerable populations, which minimize the barriers of distance and accessibility to information by these users.
(vii) Agencies with low compliance levels in the standard transparency portal as SENACE and SERFOR have to improve their levels of compliance through the strengthening of their institutional capacities and of professionals responsible in these matters, as they are new entities that have important information about mining - energy resources and climate change for citizenship.
(viii) Institutions such as the PROFONANPE and the FONAM should provide information according to the indicators of transparency of STP in their institutional portals.
• Intheprocessofgrantingofrightsinhydrocarbonsandforhydroelectricplants,thefollowingisrecommended:
(i) That information, especially for the potentially affected population, of the definition of hydrocarbon blocks and the areas to be put into concession for hydroelectric plants is accessible, intercultural, virtual or physical.
(ii) That procedures are developed so that the population can influence the decisions made prior to the adoption of the hydrocarbon blocks and hydroelectric plants are tendered, i.e. in the preparation of the concession contracts and the bases for tenders.
(iii) Greater coordination between the regional governments and MINCU in these processes to ensure a better dialogue with the population and an adequate management of natural resources.
(iv) Have information plans which adapted both contextually and interculturally for areas where there are indigenous peoples and rural population, as well as the possibility that these populations are able to access more information during the bidding processes.
(v) Systematize information in plain language and in other languages on the generated information about the process for granting rights to hydrocarbons and hydropower, as there is valuable information generated from different spaces, but that is not published in the relevant entities’ web portals.
(vi) Train the staff of the MINEM on citizen participation, consultation and interculturality, to ensure intercultural processes and standards that enable people to assimilate as much information as possible about the projects.
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(vii) Strengthen the mechanisms to ensure prior consultation in the electrical sub sector since, until now there has been no consultation process in the case of hydroelectric plants.
• Intheevaluationprocessforenvironmentalimpactassessmentsinhydrocarbonsandhydroelectricplants,the
following is recommended:
(i) Develop a policy to ensure the certification processes of citizen participation, whose mechanisms influence in the decision-making process prior to the approval of the EIA.
(ii) Create coordination spaces between the Vice-Ministry of interculturality of MINCU and SENACE in participatory processes of evaluation of the EIA where indigenous population, in order that these processes have adequate intercultural standards.
(iii) Strengthen the spaces of transparency and citizen participation, given that all the information generated in the informative workshops and public hearings is not accessible through the portal of the competent entity.
(iv) Guarantee the citizens living outside of Lima the accessibility to the physical files of the EIAs so that they can include its recommendations and strengthen citizen participation.
(v) Promote coordination spaces between MINEM, SENACE, regional governments, civil society and the population
involved, in order to generate greater confidence among the citizens in the extraction processes of mining – energy resources.
• InthemanagementoftheRegionalGovernmentsofLoretoandCusco,thefollowingisrecommended:
(i) Strengthening the enforcement of the Law on Transparency and Access to Information to improve responses to requests for access to information with a team of professionals to perform these tasks.
(ii) Train the staff of the regional governments in the principles of good governance, transparency, access to information, institutional planning processes, energy and environmental issues, with the aim of achieving a good governance at the regional level and that the officials perform their functions efficiently.
(iii) Strengthen the relationship between the national and regional levels for the processes and activities that are used in transparency and access to information, as well as for the fulfilment of the international initiatives.
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15Ex
ecut
ive Su
mm
ary
DEFENSORÍA DEL PUEBLO (OMBUDSMAN’S OFFICE)2010. Documento Defensorial N° 12. Ética Pública y Prevención de la Corrupción. Lima: Defensoría del Pueblo. (Defence document no. 12. Public ethics and corruption prevention)2010a. Informe Defensorial N° 151. La Política Forestal y la Amazonía Peruana: Avances y obstáculos en el camino hacia la sostenibilidad. Lima: Defensoría del Pueblo. (Report N° 151. The Forestry Policy and the Peruvian Amazon: progress and obstacles in the path toward sustainability)2012. Documento Defensorial N° 17. Diagnóstico sobre la realización de las audiencias públicas de rendición de cuentas en seis gobiernos regionales. Lima: Defensoría del Pueblo. (Defence document no. 17. Diagnosis on the public hearings of accountability in six regional governments)
DERECHO, AMBIENTE y RECURSOS NATURALES (DAR)2012. Informe anual 2011: Transparencia en el sector forestal peruano. Lima: Derecho, Ambiente y Recursos Naturales (DAR). (Annual Report 2011: Transparency in the Peruvian Forest Sector)
GAMBOA, Aída2013. Diagnóstico 2013: Transparencia en el sector energético peruano. Lima: Derecho, Ambiente y Recursos Naturales (DAR). (Diagnosis 2013: Transparency in the Energy Sector in Peru)2014. Diagnóstico 2014: Transparencia en el sector energético peruano. Lima: Derecho, Ambiente y Recursos Naturales (DAR). (Diagnosis 2014: Transparency in the Energy Sector in Peru)
OFFICE OF THE SPECIAL RAPPORTEUR FOR FREEDOM OF EXPRESSION 2007. Special Study on the Right of Access to Information. Washington D.C.: Inter-American Commission on Human Rights - Organization of American States (OAS). (Estudio Especial sobre el Derecho de Acceso a la Información. Washington D. C.: Comisión Interamericana de Derechos Humanos – Organización de los Estados Americanos (OEA)
6. BIBLIOGRAPHY
Photo: Ministry of Environment
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AGNO
SIS 20
15Ex
ecut
ive Su
mm
ary