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PLANNING

IN THE ENVIRONMENTAL
ENFORCEMENT
Acronyms
President of Board of Directors:
Hugo Ramiro Gmez Apac

Members of Board of Directors:


Genaro Lino Matute Meja
Csar Paul Ortiz Jahn EFA:
Roxana Mara Barrantes Cceres Environmental Enforcement Entity

OEFA:
Agency for Environmental Assessment and
Enforcement

PLANEFA:
Annual Environmental Assessment and
Enforcement Plan
PROGRE SO
PARA TODOS

SINEFA:
National Environmental Assessment and
Enforcement System
PLANNING
IN THE ENVIRONMENTAL
ENFORCEMENT
Prepared by the Agency for Environmental
Assessment and Enforcement - OEFA

T he purpose of this document is to promote


the Guidelines for the Preparation, Approval
and Assessment of the Annual Environmental
in a non-planned manner, as well as have logistical
and human resources required for its execution
with the pertinent technical rigour.
Assessment and Enforcement Plan (PLANEFA)
in charge of Environmental Enforcement Entities In the same manner, this document explains the
(EFA), approved by Decision of Board of Directors importance of said planning instrument and
No. 004-2014-OEFA/CD. mentions the public entities that are obliged to
prepare, approve and execute said instrument.
The PLANEFA is important because it is a Furthermore, the elements to be taken into account
planning instrument that allows organizing and by the EFA at the moment of elaborating its
guiding the technical and planned execution of corresponding PLANEFA since 2015 are detailed.
the assessment and supervision functions carried
out by the EFA. In that sense, the planning within It is important to mention that, during 2014,
the Public Administration is an activity that has the OEFA is giving an intensive training to
to be carried out with a year in advance of its public officers in the implementation of the new
execution; hence, it is necessary to have clear, guidelines for all of the EFA are able to properly
precise, anticipated and opportune rules for the prepare, approve, file and fulfill its PLANEFA in
environmental enforcement may not be carried out the year 2015.
The PLANEFA
by the EFA

The PLANEFA
is an instrument of planning

in which each EFA plans the environmental enforcement actions, under their jurisdiction,
which shall be executed during the correspondent calendar year in order to

organize and guide the technical and planned


execution of the assessment
and supervision functions of
said entity.

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The compliance of these
guidelines is mandatory by all
cision the EFA (at national, regional
y v ir tu e of the De
B s
f Director and local level) related to the
of Board o -OEFA/CD, the
014
No. 004-2 ved the Guidelines
pro
ELABORATION,
OEFA ap n , approval
and
for the ela
b
n t
o r
o
a
f
ti
th
o
e PLANE
FA in APPROVAL AND
assess m e
charge of
the EFA. ASSESSMENT of
its pertinent PLANEFA
since 2015.

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What does the
environmental
enforcement
mean?
It is the CONTROL
action performed by a public
entity in order to verify the
compliance with the
environmental obligations
to be controlled in charge
of a company, either natural
person or legal entity under public
or private law. It also covers the
environmental enforcement actions
that are exercised by the OEFA and
the EFA according to their jurisdiction,
and may be understood in a broad and
strict sense.

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Environmental Enforcement
in a broad sense:
It covers the actions of surveillance,
control, monitoring, follow-
up, verification and other such actions that
are set within the functions of assessment,
supervision, enforcement and imposition
of penalties in order to ensure
the compliance with the
environmental obligations to be
controlled. Environmental Enforcement
in a strict sense:
It covers the power for
investigating the commission
of potential administrative
offenses as well as imposing
penalties and
corrective measures.

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National EFA:
Some ministries and public
specialized technical agencies

What does exercise the functions of


environmental enforcement

the EFA mean? through their head offices, areas


or environmental offices, or by
the entity acting as such.

The EFA are the public


entities at national,
regional or local level
that are responsible for E X A M P L E O F C O M P E T E N T E
some or all of the
actions of
environmental
enforcement In the AGRICULTURAL SECTOR, the
Ministry of Agriculture and Irrigation exercises
in a broad sense. the function of environmental enforcement of
agricultural and agro-industrial projects and
The performance of the activities, as well as any other activity related to
EFA is supervised by the the renewable natural resources under the scope
of its jurisdiction, through the General Bureau of
OEFA. Agricultural Environmental Matters.

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Regional EFA: Local EFA:
The regional governments The province and district
exercise functions of municipalities exercise the
environmental enforcement functions of environmental
through the areas of natural enforcement through the
resources, energy, mining and environmental organizational
hydrocarbons, environmental units, the enforcement areas,
health, aquaculture and non- or by the entity carrying out
industrial fishing, among these functions.
others.

N C E S O F E N V I R O N M E N TA L E N F O R C E M E N T O F T H E E FA

If the neighbors of a district complain about


The regional governments, through their energy the production of NOISES generated by the
and mining areas, are responsible for carrying out development of economic activities in the
the enforcement of environmental obligations community (discos, bars, restaurants, among
in charge of the ARTISANAL AND SMALL- others), the corresponding EFA that has to solve
SCALE MINERS. said complaint is the pertinent local government,
which controls all the activities related to the
production of smokes, gases, noises and other
polluting elements.

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Do the environmental
enforcement actions have to
be planned by the EFA?

Yes. The
environmental enforcement
actions are executed by the Environmental
EFA through the planned Enforcement by
activities which are included the EFA
within the PLANEFA of
each entity.
However, the execution of the
environmental enforcement
of each EFA is not limited
to what its pertinent
PLANEFA establishes due Planned
to the fact that the EFA can activities:
carry out additional activities Included in the Non-planned
that are not planned in the PLANEFA activities:
execution of its powers. Depends on the
existence of
environmental
complaints,
8 emergencies, etc
Important facts
about the PLANEFA

What is the basis of


the PLANEFA?
The legal basis related to the PLANEFA is the following:

1 2 3
Ministrys Order Decision of Board of Directors Decision of Board of Directors
No. 247-2013-MINAM, No. 004-2014-OEFA/CD, No. 016-2014-OEFA/CD,
dated August 27, 2013, which dated January 24, 2014, which dated April 15, 2014, which
approves the Common approves the Guidelines for approves the Regulation for
System of Environmental the Preparation, Approval and Supervision of the Environmental
Enforcement. Assessment of the Annual Enforcement Entities
Environmental Assessment and
Enforcement Plan.

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Who approves the PLANEFA
of the EFA?

The PLANEFA is approved by an order


issued by the Head of the EFA.

For instance:

Nacional EFA Regional EFA Local EFA

Head of the EFA: Head of the EFA: Head of the EFA:


Minister, head, president, Regional president Province and/or district
among others mayor
Legal provision for approving Legal provision for approving Legal provision for approving
the PLANEFA: the PLANEFA: the PLANEFA:
Ministrys Order, Heads Regional Executive Order Mayors Order
Order, Decision of Board of
Directors, among others

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Who elaborate the
PLANEFA of the EFA?

The organizational units with powers in environmental


enforcement, as well as the planning and budgetary bodies, have
to take part in the elaboration process of the PLANEFA.

mber When the PLANEFA has to


dece be approved?
The EFA will have to approve the
PLANEFA during the first fifteen
(15) calendar days of the month of
December of the year prior to its
execution.

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What are the components
of the PLANEFA?

The components of the


PLANEFA are the following:

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1 Plan of
Environmental
Plan of Supervision:
Environmental It involves the planning
Assessment: of actions of follow-up
It involves the environ- and verification of the
mental monitoring and environmental obligations to
surveillance actions that be controlled in charge of the
will be carried out by natural persons and legal
the EFA as part of its entities.
powers.

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What criteria have to be considered
by the EFA prioritize the environmental
enforcement activities?

The EFA, in order to


prioritize the environmental
enforcement activities
contained in the PLANEFA, Risk of damage of the environmental
have to take into components caused by the activities
consideration, among others, developed in the zone
the criteria detailed as follows:
Risk of damage of the surrounding
populations caused by the activities
developed in the zone
Environmental complaints received in the
EFA regarding the activities developed in
the zone
Social-environmental problems caused by
the activities developed in the zone
Other reasons depending on the
consideration of the EFA

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When and how the EFA
can register the PLANEFA?

The PLANEFA shall be


registered within
10 working days
following its approval using the
computer application available
in the official web page of the
OEFA:

http://www.publico.oefa.gob.pe/planefa
In case the PLANEFA may
not be registered using the
computer application, the EFA
may send the PLANEFA to
the OEFA in a format other
than the electronic.
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When and how the execution of the
PLANEFA is reported?

Each EFA shall inform the


execution of its PLANEFA in
the Annual Report
of Environmental
Enforcement Activities,
detailing the assessment and The EFA have
supervision actions included in its to submit the Annual
plan, as well as the execution of
special or non-planned supervisions
Report of Environmental
(based on environmental complaints, Enforcement Activities
environmental emergencies, among within
others).
30 working days
of the year ended.

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Estructure
of the PLANEFA
ANNEX No. 1: PLANEFA

ANNUAL ENVIRONMENTAL V. ORGANIZATIONAL STRUCTURE.- In this


ASSESSMENT AND section, the organizational unit or units developing
environmental enforcement actions within the
ENFORCEMENT PLAN entity will be identified.

VI. DEVELOPMENT OF ENVIRONMENTAL


I. INTRODUCTION.- The reason for which ASSESSMENT AND SUPERVISION
the Annual Environmental Assessment and ACTIONS.- In this section, the following
Enforcement Plan (PLANEFA) was prepared information will be detailed:
as an annual planning tool of the environmental Universe of companies: according to Format No. 1
enforcement actions of the entity will be explained. (attached).
II. OBJECTIVES OF THE PLAN.- The purposes Annual Environmental Assessment Plan: the
to be reached by the PLANEFA will be detailed. environmental assessment activities of the entity will
be detailed according to Format No. 2 (attached).
III. LEGAL FRAMEWORK.- The rules supporting Annual Environmental Supervision Plan: the
the intervention of the environmental enforcement environmental supervision activities of the entity will
entity will be detailed. be detailed according to Format No. 3 (attached).
IV. SITUATION STATUS.- In this section, the VII. ANNEXES.- The Formats No. 1, No. 2 and No. 3
diagnostic of the environmental problem, identified will be attached because they contain information
under the scope of intervention of the entity, will about the environmental enforcement actions to be
be described. developed by the entity.

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FORMAT No. 1: UNIVERSE OF COMPANIES (natural persons and legal entities)

ENTITY: YEAR:

COMPANY
No LOCATION ACTIVITY
(natural person or legal entity)

Indicate the name of all the Indicate the location where Indicate
companies to be submitted to the the company develops if it is a
environmental enforcement by its activities. In the event production,
the EFA. If it is a natural person, that the company has business
indicate the full name and if more than one production, or service
it is a legal entity, indicate the business or service unit, activity.
company name. In the event that the location of each of
the company has more than one them has to be detailed.
production, business or service unit,
the name of the company has to be
repeated detailing the production,
business or service unit.

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FORMAT No. 2: ANNUAL ENVIRONMENTAL ASSESSMENT PLAN

ENTITY:

STARTING AND
MONITOR OR VIGILANCE ENDING DATE OF
MONITOR
PROGRAM OF THE LOCATION / ADDRESS MONITOR
FREQUENCY AIR (emissions)
ENVIRONMENTAL QUALITY OR VIGILANCE

I
Indicate the name Indicate the geographic Indicate the Indicar la fecha
of the monitor location involving the frequency of de inicio y fin
or vigilance execution of monitor and execution of del monitoreo
program to the vigilance of environmental the monitoring y vigilancia
environmental quality to be done. The program of the de la calidad
quality. department, province and environmental ambiental.
district as well as some quality (for
references (like zone, valley, example, once,
among others), if apply, have twice, thrice a
to be detailed. month, etc.).

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YEAR:

ENVIRONMENTAL COMPONENT TO BE EVALUATED

WATER (effluents, PERSON IN CHARGE


AIR (noise) SOIL FLORA FAUNA OTHERS
discharges)

Indicate the environmental component to be evaluated (water, air, soil, flora, fauna, others).
Indicate the person in
charge of monitoring the
environmental quality (detail
the corresponding EFA
area).

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FORMAT No. 3: ANNUAL ENVIRONMENTAL SUPERVISION PLAN

ENTITY:

SCHEDULE OF
COMPANIES TO BE SUPERVISED
ENE FEB MAR APR MAY JUN

Indicate the name of the company Mark with an X the month (or mon
to be supervised by the EFA. If
it is a natural person, indicate
the full name, and if it is a legal
entity, indicate the business name.
In the event that the company
has more than one production,
business or service unit, the name
of the company has to be repeated
detailing the production, business or
service unit.

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YEAR:

SUPERVISIONS
TOTAL SUPERVISIONS IN A YEAR
JUL AGO SEP OCT NOV DEC

nths) when the supervision will be made.

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ANNEX No. 2: ANNUAL REPORT OF ENVIRONMENTAL ENFORCEMENT ACTIVITIES

ENTITY::

SCHEDULED ACTIVITIES
I SCHEDULED DATE FOR THE ACTIVITY EXECUTION DATE
IN THE PLANEFA

5 Indicate the starting and ending date Indicate the date when the
Indicate all the assessment and
enforcement activities scheduled of the monitor and vigilance activities, scheduled assessment and
6 as well as the date of the supervision supervision activities were executed
in the PLANEFA.
activities. according to the PLANEFA.

NON-SCHEDULED ACTIVITIES IN THE


II NUMBER OF REPORT EXECUTION DATE
PLANEFA

5
Indicate all the assessment and Indicate the number of report as a Indicate the date when the
enforcement activities non- result of the non-scheduled assessment non-scheduled assessment
scheduled in the PLANEFA. and supervision activities according to and supervision activities were
the PLANEFA (it is not necessary to executed according to the
attach the report). PLANEFA.

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YEAR:

EXECUTED
NUMBER OF REPORT REMARKS
YES NO

Indicate if the assessment and Indicate the number of report Indicate important information about
supervision activities have as a result of the assessment the execution of the PLANEFA that
been executed. Therefore, and supervision activities. If is not able to describe in any other
mark with an X in the the OEFA deems necessary, segment. Likewise, if any assessment
column YES or NO. the respective report will be and supervision activity scheduled in
requested. the PLANEFA has not been executed,
its non-compliance must be supported
herein.

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Legal basis
LAW No. 29325 - LAW ON THE Article No. 11 - General functions COMMON SYSTEM OF
NATIONAL ENVIRONMENTAL () ENVIRONMENTAL ENFORCEMENT,
ASSESSMENT AND ENFORCEMENT 11.2 The OEFA, acting in its capacity as APPROVED BY MINISTRYS ORDER
SYSTEM, AMENDED BY LAW No. 30011 governing body of the National Environmental No. 247-2013-MINAM
Assessment and Enforcement System
Article No. 4 - Competent authorities (SINEFA), exercises the following functions: Article No. 2 - Scope of application
The following take part of the National () 2.1. The provisions of the Common System
Environmental Assessment and Enforcement b) Supervisory function of the national, regional of Environmental Enforcement are applicable
Syste: and local environmental enforcement to:
a) The Ministry of Environment (MINAM) entities (EFA): it covers the power to a) The national, regional or local EFA, this
b) The Agency for Environmental Assessment monitor and verify the performance of the means, any public entity at national,
and Enforcement (OEFA) controlling functions that are within the regional or local level which has been
c) The National, Regional or Local jurisdiction of the national, regional and conferred some or all of the actions of
Environmental Enforcement Entities local environmental enforcement entities environmental enforcement in a broad
referred to in the Article No. 7. sense, which is referred to in paragraph 2.2
Article No. 7 - National, Regional or Local The OEFA, in the exercise of its supervisory of the rule in question.
Environmental Enforcement Entities function, may establish the procedures b) The Agency for Environmental Assessment
The National, Regional or Local Environmental for the submission of reports, technical and Enforcement (OEFA), both in its
Enforcement Entities are those entities having papers and any information related to the capacity as governing body of the SINEFA
express power to develop functions of environmental compliance with the functions that are and in its functions of assessment, direct
enforcement; furthermore, they may exercise their within the jurisdiction of the environmental supervision, enforcement and imposition
powers regardless of the OEFA. These entities take enforcement entities (EFA). of penalties that are within its jurisdiction.
part of the National Environmental Assessment The non-compliance with the 2.2. The environmental enforcement,
and Enforcement System and support their abovementioned functions will constitute detailed in this rule, covers the actions of
performance with the rules of the said Law and functional responsibility, which is reported environmental enforcement that are exercised
other rules with regard to environmental matters, to the corresponding body of the National by the OEFA and the EFA, according to their
as well as the provisions issued by the OEFA as Control System. jurisdiction.
governing body of the abovementioned System. The environmental enforcement, in a broad

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sense, covers the action of surveillance, control, extended to those that do not have any permit, Article No. 5 - Regular exercise of the
monitoring, follow-up, verification, assessment, authorization and license for the exercise of the environmental enforcement
supervision, enforcement in a strict sense and activities that are within the jurisdiction of the The EFA, for the regular exercise of the functions
other such actions, in order to ensure the EFA and the OEFA. of environmental enforcement which are within
compliance with the environmental obligations their jurisdiction, shall comply, as minimum, with
to be controlled and those derived from the Article No. 4 - Duty of the OEFA regarding the the following:
exercise of the environmental enforcement. Common System of Environmental Enforcement a) Approve or propose, as the case may be, the
The environmental enforcement, in a strict 4.1. The OEFA is responsible for the management provisions that regulate the classification
sense, covers the power to investigate the and supervision of the application of the Common of applicable environmental penalties and
commission of potential administratively System of Environmental Enforcement. offenses, according to the rule issued by the
punishable offenses and impose penalties, As the governing body of the SINEFA, the OEFA on this matter, observing the maximum
subject to the beginning of the administrative OEFA exercises the regulatory and supervision amount of the fine which is established in
procedure to impose penalties. function of the EFA in compliance with Article Article No. 136 of the Law No. 28611, General
When in this rule is referred to the No. 44 of the Law No. 29158, Organic Law on Law on Environment.
environmental enforcement, it shall be Executive Branch, and Article No. 11 of the Law In the absence of such rules, the EFA will apply,
understood in a broad sense. No. 29325, Law on National Environmental in a supplementary manner, the classification of
2.3. The environmental obligations to be Assessment and Enforcement System, amended general and transversal penalties and offenses,
controlled are established in the environmental by Law No. 30011. the methodology for the calculation of
legislation issued by the corresponding 4.2. According to the regulatory function, the environmental fines and other supplementary
bodies of the authorities of the three levels OEFA regulates the exercise of environmental rules regarding the matter approved by the
of the government, in the environmental enforcement within the framework of the OEFA.
management instrument, and, likewise, in the National Environmental Assessment and The power to make the classification shall be
orders and provisions issued by the EFA and Enforcement System (SINEFA) and approves exercised in compliance with the jurisdictions
the OEFA, among other sources of obligation. the corresponding rules to exercise the supervision conferred, within the framework of the
The obligations to make or not to make are function of the environmental enforcement principles of legality and classification.
the ones related to the protection of the entities, which are binding upon such entities in b) Approve the legal, operating, technical
environment, as well as the sustainable use the three levels of the government. instruments and others required for the
of the natural resources, including the social- 4.3. Within the framework of the supervisory exercise of such functions.
environmental aspects. function of the environmental enforcement c) Have the necessary technical equipment and go
2.4. In order to ensure the constitutional right entities, the OEFA monitors and verifies the to accredited laboratories to properly execute the
of any person to live in a balanced environment performance of the functions of environmental actions of environmental enforcement which are
suitable for the development of their live, enforcement that are within the jurisdiction of the within their jurisdiction, as the case may be.
the compliance with the abovementioned EFA, without prejudice of the paper corresponding d) Have mechanisms to measure the
environmental obligations to be controlled is to the agencies of the National Control System. effectiveness and efficiency of the exercise of

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the environmental enforcement which are established by the Ministry of Environment. activities contained its pertinent PLANEFA,
responsible for, within the framework of the 6.3. Each EFA shall execute the activities which must be submitted to the OEFA, shall
indicators established by the OEFA, as well as detailed in its previously approved PLANEFA. be quarterly and it will be performed according
others made for such purpose. In case the execution of the activities of to the special format that will be prepared
e) Comply with the preparation, approval, the PLANEFA is not performed, this shall by the OEFA; this is without affecting the
execution and report of the Annual be reported to the OEFA through the compliance with information confidentiality
Environmental Assessment and Enforcement corresponding Annual Report of Environmental rule referred to in the Single Text of the Law
Plans referred to in this rule. Enforcement Activities detailing the reasons on Transparency and Access to the Public
f ) Inform the OEFA on the exercise of their for said situation. Information, approved by Supreme Decree No.
functions of environmental enforcement in The regular exercise of the environmental 043-2003-PCM. In this report the compliance
compliance with the provisions issued by the enforcement in charge of each EFA is with the planned actions as well as the results
OEFA for such purpose not limited to what is established in their obtained in improving the quality of the
corresponding PLANEFA. environment as a result of such actions shall be
Article No. 6 - Planned Exercise of 6.4. The OEFA will yearly publish the informed.
Environmental Enforcement consolidated report of execution and compliance ()
6.1. The Annual Environmental Enforcement with the activities planned by the EFA in their 5.6. The failure to comply with the submission
Plans (PLANEFA) are the planning correspondent PLANEFA, without affecting of the report detailed in the previous item, as
instruments through which each EFA schedules its communication to the competent body of well the execution of the planned supervisions
the actions that are under its jurisdiction the National Control System, as well as the shall be reported to the Office of the Auditor
related to environmental enforcement to be adoption of other legal actions that might exist. General by the OEFA every six months in
executed during a tax year. The PLANEFA are order to take the pertinent control measures.
prepared, approved and reported by the EFA,
according to the directive established by the LESGILATIVE DECREE No.
OEFA for such purpose. 1101 - LEGISLATIVE DECREE GUIDELINES FOR THE PREPARATION,
6.2. The PLANEFA have to be prepared within THAT ESTABLISHES MEASURES APPROVAL AND ASSESSMENT OF
the framework of the National Environmental FOR STRENGTHENING THE THE ANNUAL ENVIRONMENTAL
Enforcement Plan (PLANFA), which is ENVIRONMENTAL ENFORCEMENT ASSESSMENT AND ENFORCEMENT
approved by the Order of Board of Director of AS A MECHANISM TO COMBAT PLAN (PLANEFA), APPROVED BY THE
the OEFA. The PLANFA is a two-year national AGAINST THE ILLEGAL MINING DECISION OF BOARD OF DIRECTORS
instrument that serves for planning the aspects No. 004-2014-OEFA-CD
related to environmental enforcement and is Article No. 5 - Exercise of environmental
set within the National Environment Policy, enforcement of artisanal and small-scale Article No 1 - Purpose
the National Environmental Action Plan, mining activities These guidelines regulate the preparation,
the National Environmental Action Agenda () approval and assessment of the Annual
and the priorities of environmental policy 5.4. The report on the execution of the Environmental Assessment and Enforcement

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Plan (PLANEFA) in charge of the enforcement actions in a broad sense. of the organizational units in charge of the
environmental enforcement entities (EFA). The environmental enforcement may be environmental enforcement as well as the
exercised by one or more organizational detail of the environmental supervision and
Article No 2 - Scope of application units of the EFA. Exceptionally, and assessment actions to be executed by the
These guidelines are binding upon all the EFA pursuant to the legal provision, any agency EFA, in compliance with the Annex I of the
at national, regional and local level. of the entity that is empowered to perform Guidelines in question.
Article No. 3 - Definitions the functions of environmental enforcement
a) Environmental Enforcement: It is the may be considered as EFA. Article No. 5 - Components of the
control action performed by a public entity c) Annual Environmental Assessment and PLANEFA:
in order to verify the compliance with the Enforcement Plan (PLANEFA): It is a The PLANEFA have the following
environmental obligations to be controlled planning instrument in which each EFA sets components:
in charge of a company, either natural person the actions of environmental enforcement a) Environmental assessment plan: It covers
or legal entity under public or private law. It that are within their jurisdiction, which environmental monitoring and surveillance
also covers the environmental enforcement will be executed during the corresponding actions which shall be executed by the EFA
actions which are exercised by the OEFA calendar year. The regular exercise of the within the scope of their jurisdiction.
and the EFA according to their jurisdiction, environmental enforcement in charge b) Environmental supervision plan: It includes
and may be understood in a broad and strict of each EFA is not limited to what is the actions of monitoring and verification of
sense. established in their pertinent PLANEFA. environmental obligations to be controlled in
(i) Environmental enforcement in a broad charge of the natural persons or legal entities
sense: It covers the actions of surveillance, Article No. 4 - Approval of the PLANEFA within the scope of their jurisdiction.
control, monitoring, follow-up, verification 4.1 The PLANEFA is approved by the Heads
and other such actions that are set within Order of the EFA. Article No. 6 - Prioritization of the Activities
the functions of assessment, supervision, 4.2 The organizational units with jurisdiction The activities of environmental enforcement
enforcement and imposition of penalties in environmental enforcement matters, as well to be considered within the PLANEFA of the
in order to secure the compliance with the as the planning and budgetary bodies will take EFA shall be prioritized taking into account,
environmental obligations to be controlled. part in the process to elaborate the project of among others, the following criteria:
(ii) Environmental enforcement in a strict the PLANEFA of the EFA in order to ensure a) Risk of damage of the environmental
sense: It covers the power for investigating the execution of the planned activities. components caused by the activities
the commission of potential administrative 4.3 The EFA shall approve the PLANEFA developed in the zone.
offenses, as well as imposing penalties and within the first fifteen (15) days of December b) Risk of damage of the surrounding
corrective measures. of the year prior to its execution. populations caused by the activities
b) b) Environmental Enforcement Entity 4.4 The PLANEFA shall contain, as minimum, developed in the zone.
(EFA): It is any public entity at national, a diagnosis of the environmental problems c) Environmental complaints received in the
regional or local level which has been that are limited to the scope of action of EFA regarding the activities developed in
conferred some or all of the environmental the corresponding EFA, the identification the zone.

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d) Social-environmental problems caused by of Environmental Enforcement Activities the Annual Environmental Assessment and
the activities developed in the zone. within thirty (30) working days of the calendar Enforcement Plan of the entities that take part
e) Other reasons depending on the year ended in compliance with the Annex II of in the National Environmental Assessment
consideration of the EFA. the Guidelines in question. and Enforcement System, approved by
8.3 In case the execution of the evaluation and Presidents Order of Board of Directors No.
Article No. 7 - Registration of the PLANEFA supervision planned in the PLANEFA is not 070-2010-OEFA-PCD.
7.1 The PLANEFA of the EFA shall be performed, the pertinent EFA shall report to the
registered using the computer application OEFA the reasons proving such circumstance
available in the Web Page of the OEFA (www. through the corresponding Annual Report of REGULATION FOR SUPERVISION OF
oefa.gob.pe) within ten (10) working days Environmental Enforcement Activities. ENVIRONMENTAL ENFORCEMENT
following its approval. 8.4 Without affecting the compliance with ENTITIES, APPROVED BY DECISION
7.2 In case the PLANEFA may not be the submission of the Annual Report of OF BOARD OF DIRECTORS No.
registered using the computer application Environmental Enforcement Activities, the 16-2014-OEFA-CD
authorized by the OEFA, the EFA may send OEFA, as governing body of the National
the PLANEFA to the OEFA in a format Environmental Assessment and Enforcement Article No. 3 - Definitions
other than the electronic, explaining the System (SINEFA), and according to its For the purpose of this Regulation, it
reasons why such planning instrument may supervisory function of the performance of is necessary to establish the following
not be registered. the EFA, may require additional information definitions:
related to the environmental enforcement ()
Article No. 8 - Annual Report of actions carried out by the EFA. b) Environmental Enforcement Entity (EFA):
Environmental Enforcement Activities SINGLE FINAL SUPPLEMENTARY It is any public entity at national, regional or
8.1 Pursuant to Article No. 6 of the Common PROVISION.- These Guidelines are binding local level which has been conferred some
System of Environmental Enforcement, upon all the environmental enforcement or all of the environmental enforcement
approved by Ministrys Order No. entities, with regard to the preparation, actions in a broad sense. Exceptionally,
247-2013-MINAM, the EFA shall yearly approval and assessment of their corresponding and pursuant to the legal provision, any
report to the OEFA on the execution of the PLANEFA, from the year 2015. agency of the entity that is empowered to
monitoring and supervision actions contained perform the functions of environmental
in its PLANEFA, as well as the execution SINGLE TEMPORARY enforcement may be considered as EFA.
of special or not planned supervisions in SUPPLEMENTARY PROVISION.- For ()
case of environmental claims, environmental the preparation, execution and assessment
emergencies or other circumstances when of the PLANEFA corresponding to year Article No. 6 - Conditions for the exercise
necessary. 2014 will be necessary the Board for the of environmental enforcement functions in
8.2 The EFA shall submit the Annual Report Preparation, execution and assessment of charge of the EFA

28
Pursuant to the Common System of function of the EFA, or who acts as such, in
Environmental Enforcement, the OEFA will the office and/or facility where the on-site
verify the EFA comply, as minimum, with the supervision is made.
following conditions for the regular exercise c) Issue orders or provisions to the EFA and
of the environmental enforcement functions subsequently make the monitoring and
which are within their jurisdiction: control of their compliance.
() d) Request documents and/or access to the
e) Comply with the preparation, approval, pertinent information for the exercise
execution and report of their Annual of its supervisory function of the EFA,
Environmental Assessment and setting a specific time to be submitted. The
Enforcement Plan (PLANEFA), in information and documentation submitted
compliance with the rule approved by the may be verified and reviewed by the OEFA.
OEFA on this matter. e) Systematize and integrate in an annual
f )
Inform to the OEFA the actions of basis the information on the execution and
environmental enforcement performed compliance with the PLANEFA of each
in compliance with the established in this EFA.
regulation. f )
Provide technical assistance to the
EFA with regard to the environmental
Article No. 8 - Functions and powers of the enforcement functions which are within
OEFA related to the supervision of the EFA their jurisdiction
The OEFA, within the scope of the supervision, g) Provide technical opinion with regard
may exercise the following functions and to the regulatory projects submitted for
powers: consideration by the EFA.
a) Monitor and verify the performance of the h) Inform to the Office of the Auditor General
environmental enforcement functions in on the compliance with the environmental
charge of the EFA through supervisions enforcement functions in charge of the
made in their offices and/or facilities as well EFA.
as make visits to the zones in which the Article No. 17 - Consolidated Annual
environmental enforcement in charge of the Report
EFA is made. The OEFA will annually publish the
b) Demand, if necessary, the presence of consolidated report of execution and
the person responsible for the area which compliance with the planned activities by the
performs the environmental enforcement EFA in their pertinent PLANEFA.

29
Credits:
THE PLANNING IN THE ENVIRONMENTAL ENFORCEMENT

First edition: May 2014


Agency for the Environmental Assessment and Enforcement OEFA
Printed by Billy Vctor Odiaga Franco
Taxpayer Registration: 10082705355
Av. Arequipa 4558 Miraflores - Lima
May 2014

Writing and Review Committee:


Team of the Department of Supervision to Entities of the Supervision
Bureau
Team of the Office of Communications and Citizen Services
AGENCY FOR ENVIRONMENTAL
ASSESSMENT AND ENFORCEMENT OEFA

The digital version of this document is available at


www.oefa.gob.pe

Printing: 2 000
Made in the Legal Deposit in the Peruvian National
Library No 2014-06783
This publication is printed at Cyclus Print Matt, on a paper fully
made of recycled fibers, free of chlorine and optical brighteners,
certified by NAPM (National Association of Paper Merchants).
Furthermore, it has been made with Bio Energy (a non-polluting
energy) and is certified by Ecoflower and Blue Engel who supervise
the products are made under appropriate environmental conditions,
in a socially responsible manner and with economically viable
resources.
The benefits in using a paper fully made of recycled fibers have a
lower impact on the ecosystem, equivalent to:

419 kg. of tree fiber not consumed


7 142 liters saved of water
2588 kg of solid waste not generated
51 kg of greenhouse gases avoided
658 kW/h of energy not consumed
508 km not covered in a standard car

OTRAS CERTIFICACIONES :
Licence 544.021 Nordic Swan
ISO9001 Quality management
EMAS, ISO1400 EU environmental management/certification scheme
DIN6738 Archive properties, LDK class 24-85 (> 200/g years)
EN71-3 Safety of toys, migration of certain elements
Environmental enforcement
for change

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