DIEGO PÉREZ

USAID/PERU 118/119 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Report authors: Juan Carlos Riveros, Maina Martir-Torres, César Ipenza, Patricia Tello

September, 2019

DISCLAIMER: The author’s views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development or the United States Government.

USAID/PERU 118/119 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

September, 2019

Prepared with technical support from US Forest Service International Programs

LIST OF FIGURES LIST OF MAPS

Figure 1 Map 1 Summary of Main Threats and Drivers of Official Ecosystems Map of Peru 32 Biodiversity and Tropical Forest Loss in Tropical Forests and Marine Ecosystems 13 Map 2 Forest Loss in the Peruvian Amazon Figure 2 Between 2001-2017 39 Forest Loss in Peru 38 Map 3 Figure 3 National Natural Protected Areas Species Richness of Select Taxonomic Managed by SERNANP 43 Groups in Peru 40 Map 4 Figure 4 Forest Use Designations 45 Number of Threatened Plant Species 41

Figure 5 Number of Threatened Animal Species 41

Figure A5 1 Forest Loss in Selected Regions 135

LIST OF TABLES

Table 1 Table A2 1 Actions Necessary to Conserve Biodiversity Weekly Activities and Milestones 118 (Tropical Forests and Marine Ecosystems) 15 Table A5 1 Table 2 Ecosystem Categories 128 Policies and Other Legal Instruments Relevant for Biodiversity and Tropical Table A5 2 Forest Conservation 59 National Natural Protected Areas 130

Table 3 Table A5 3 Actions Necessary to Conserve Biodiversity CITES Listed Animal Species 133 (Tropical Forests and Marine Ecosystems) 84 Table A5 4 Table 4 CITES Listed Plant Species 133 Extent to which the Mission Meets the Identified Actions Conservation 91 Table A5 5 Classification of Ecosystem Services 134 Table 5 Recommendations 97 Table A7 1 Conservation Initiatives 139 LABBREVIATIONS AND ACRONYMS

ACCA Amazon Basin Conservation GMOs Genetically Modified Organisms Association GDP Gross Domestic Product ACT Amazon Cooperation Treaty GHG Greenhouse Gas ADS Automated Directive System GIZ German Society for International AIDER Association for Research and Integral Cooperation Development GOP Government of Peru AIDESEP Interethnic Association for ha Hectares Development of the Peruvian Jungle HCVA High Conservation Value Areas ASGM Artisanal and Small-Scale Gold Mining IBAs Important Bird Areas BEO Bureau Environmental Officer IBC Institute for the Common Good BPP Permanent Production Forest IADB Inter-American Development Bank °C Degrees Celsius ibid Refer to previous reference CAF Development Bank of Latin America IGP Geophysical Institute of Peru CBD Convention on Biological Diversity IIAP Peruvian Amazon Research Institute CDCS Country Development Cooperation IIRSA Initiative for the Integration of the Strategies Regional Infrastructure of South CEPAL Economic Commission for Latin America America and the Caribbean IMARPE Sea Institute of Peru CEPLAN National Strategic Planning Center INAIGEM National Institute for Research on CIAM Inter-regional Amazonian Council Glaciers and Mountain Ecosystems CINCIA Center for Amazonian Scientific INDEPA National Institute for the Development Innovation of Andean, Amazonian and Afro- CITES Convention on the International Trade Peruvian Peoples of Endangered Species of Wild Fauna INEI National Institute for Statistics and and Flora Computing Information cm Centimeters IPCC Intergovernmental Panel on Climate

CO2 Carbon Dioxide Change COFOPRI Organization of Informal Property IR Intermediate Result Formalization IUCN International Union for Conservation CONAP Confederation of Amazonian of Nature Ethnicities in Peru IUU Ilegal, unreported, unregulated fishing CONCYTEC Council on Science and Technology KfW German Development Bank DEVIDA National Commission for Development Km Kilometers and Life without Drugs Km2 Square kilometers DG General Directorate LAC Latin America & Caribbean DO Development Objective LAPOP Latin American Public Opinion Project e.g. exempli gratia LULUCF Land use, land-use change, and EIA Environmental Impact Assessment forestry ENSO El Niño Southern Oscillation m Meters EU European Union masl Meters above sea level FAA Foreign Assistance Act mm Millimeters FAO Food and Agriculture Organization MAAP Monitoring of the Andean Amazon FSC Forest Stewardship Council Project FONDAM Fund of the Americas MINAGRI Ministry of Agriculture and Irrigation FTA Free Trade Agreement MINAM Ministry of Environment MINCETUR Ministry of International Commerce REDD Reducing Emissions from and Tourism Deforestation and Forest Degradation MINCUL Ministry of Culture SAC Closed Anonymous Society MINEM Ministry of Energy and Mines SEA Strategic Environmental Assessment MoDef Ministry of Defense SENACE National Service for Environmental MRV Monitoring, Reporting and Verification Certification MT Metric Tons SENAMHI National Hydrological and MW Megawatt Meteorological Service NASA National Aeronautics and Space SERFOR National Service of Forests and Wildlife Administration SERNANP National Service of Natural Protected NBSAP National Biodiversity Strategy and Areas by the State Action Plan SERVIR National Public Service Law n.d. No Date SERVIR Activity led by NASA and USAID to NEP National Environmental Policy monitor climate and ecosystems NFCCS National Forestry and Climate Change SINANPE National System of Protected Natural Strategy Areas by the State NGO Non-Governmental Organization SNIFFS National Forestry and Wildlife No. Number Information System NORAD Norwegian Agency for Development SNP National Fisheries Society Cooperation sp. Species Natural Resource Management SPDA Peruvian Society for Environmental Law NRM National System of Environmental SPDE Peruvian Society for Ecodevelopment SEIA Impact Assessment spp. Various Species Non-timber Forest Product TNC The Nature Conservancy NTFP Organization for Economic UN United Nations OECD Cooperation and Development UNDP United Nations Development Program OEFA Environmental Oversight and UNDRIP United Nations Declaration on the Evaluation Agency Rights of Indigenous People OSINERGMIN Supervisory Agency of Investment of UNEP United Nations Environment Program Energy and Mining of Peru UNESCO United Nations Educational, Scientific OSINFOR Forest and Faunal Resources and Cultural Organization Supervisory Agency UNFCCC United Nations Framework PA Protected Area Convention on Climate Change PCM Presidency of the Council of Ministers UNODC United Nations Office on Drugs PeMAR Marine Diversity Barcoding Project and Crime PESs Payment for Ecosystem Services US United States PNCB National Forests Conservation USAID United States Agency for International Program Development PRODUCE Ministry of Production USD United States Dollar RAISG Amazon Network of Georeferenced USG United States Government Socio-environmental Information VCS Voluntary Carbon Standard Ramsar Convention on Wetlands of WB World Bank International Importance WCS Wildlife Conservation Society RCA Regional Conservation Area WWF World Wildlife Fund REA Regional Environmental Authorities ZEE Economic and Ecological Zoning 8 TROPICAL FOREST AND BIODIVERSITY ANALYSIS TABLE OF CONTENT

EXECUTIVE SUMMARY 10 INTRODUCTION 20 COUNTRY 1 CONTEXT 26 1.1 LOCATION AND COUNTRY CONTEXT 28 1.2 BIOPHYSICAL SETTINGS 29 STATUS OF THE 2 COUNTRY’S BIODIVERSITY 30 2.1 MAJOR ECOSYSTEM TYPES AND STATUS 32 2.2 STATUS OF TROPICAL FORESTS 37 2.3 STATUS OF MARINE RESOURCES 46 VALUE AND 3 ECONOMIC POTENTIAL 50 3.1 VALUE OF BIODIVERSITY 52 3.2 ECOSYSTEM GOODS AND SERVICES 53 LEGAL FRAMEWORK 4 AFFECTING CONSERVATION 56 4.1 NATIONAL LAWS, POLICIES, AND STRATEGIES 58 4.2 INTERNATIONAL AGREEMENTS 64 4.3 GOVERNMENT AGENCIES 65 4.4 CONSERVATION INITIATIVES: GAP ANALYSIS 65 STATUS OF THE COUNTRY’S BIODIVERSITY 9

THREATS TO BIODIVERSITY 5 AND TROPICAL FORESTS 68 5.1 CLIMATE CHANGE: A DIRECT THREAT AND DRIVER THAT EXACERBATES OTHER THREATS TO BIODIVERSITY AND TROPICAL FORESTS 71 5.2 DIRECT THREATS TO TROPICAL FORESTS ECOSYSTEMS 73 5.3 DRIVERS OF THREATS TO TROPICAL FORESTS ECOSYSTEMS 79 ACTIONS NECESSARY TO 6 CONSERVE BIODIVERSITY INCLUDING TROPICAL FORESTS AND MARINE RESOURCES 82 EXTENT TO WHICH THE MISSION 7 MEETS THE IDENTIFIED ACTIONS NEEDED 88

RECOMMENDATIONS 96

ANNEXES 98 10 TROPICAL FOREST AND BIODIVERSITY ANALYSIS EXECUTIVE SUMARY

INTRODUCTION The Foreign Assistance Act of 1961 (FAA) recognizes the fundamental role that tropical forests and biodiversity play in supporting countries as they progress along the journey to self-reliance. Sections 118(e) and 119(d) of the FAA of 1961 place a high priority on conservation and sustainable management of tropical forests and biodiversity as an important objective of U.S. development assistance. In accordance with USAID’s Program Cycle Operational Policy (Automated Directive System 201), USAID/Peru commissioned this Assessment to inform the development of the 2020-2025 Country Development Cooperation Strategy for Peru. The objectives of the Analysis were to: 1. Describe the current status of Peru’s tropical forests and biodiversity to include emerging issues, threats, and trends. 2. Identify actions necessary to conserve tropical forests and biodiversity, and the extent to which the Mission is supporting such actions necessary; and 3. Develop recommendations that will guide the Mission in developing the new CDCS.

Building on the 2016 Tropical Forests and Biodiversity Assessment, this Analysis was based on interviews conducted with over 50 stakeholders from government, academia, civil society and the private sector; review of secondary sources; and two site visits. The Analysis was conducted by a team of local consultants hired by the United States Forest Service under the activity Forest Oversight and Resource Strengthening (USAID/USFS/FOREST).

COUNTRY CONTEXT Peru’s diverse geomorphology and climatic conditions make it one of the ten most diverse countries worldwide. By 2021, the Peruvian population will reach 33 million and 39 million by 2050 (INEI, 2019). Peru has three major natural regions: coast, andean highlands, and the amazon jungle. Peru has a vast cultural heritage, with 51 ethnic groups from the amazon jungle and four from the andean highlands (MINCUL, 2019). Native communities located mainly in the amazon jungle manage about 80,464 km2 of land (6.3 percent of the county), while campesino communities, located mainly in the highlands, manage about 198,882 km2 of land (15.5 percent of the country). Indigenous territories are vulnerable to land use rights conflicts. Given disparities in access to services and economic opportunities, most Peruvians live in coastal cities such as Lima. The population in the highlands is declining due to migration to coastal areas and to the amazon, putting more pressure on tropical forests and biodiversity.

In 2018, the Gross Domestic Product (GDP) grew 4.0 percent, an increase compared to 2017 when the economy grew at a rate of 2.5 percent due to the negative impact of the El Niño phenomenon in the northern part of the country and the crisis of confidence and paralysis of projects generated by corruption cases. Peru’s average GDP has been 4.4 percent since 2009 (BCRP, 2018). The primary productive sectors are agriculture, fishing, metal mining, hydrocarbons, and primary manufacturing. The non-primary productive sectors are non- primary manufacturing, electricity and water, construction, and commerce and services. EXECUTIVE SUMMARY 11

STATUS OF THE COUNTRY’S BIODIVERSITY Peru’s megadiversity results from its diverse geomorphology and climatic conditions. Peru has more than 20,553 species of flora, 559 mammals, 1,859 birds, 469 reptiles and 2,231 fish (MINAM, 2018). Peru is an important center for agrobiodiversity and plant domestication. Peru’s rich cultural heritage and biodiversity have received international recognition, with two natural World Heritage sites, two mixed natural-cultural World Heritage sites and 13 Ramsar sites (spanning across 6.7 million ha).

Peru has over 68 million ha of forest classified into 14 ecosystem types (MINAM, 2019). Amazonian forest types such as the montane, terraces, floodplains and swamps represent 53 percent of the continental surface of Peru and are biodiversity hotspots. The conservation status of these ecosystems and the species is directly related to the loss of vegetation cover. As of 2014, 389 animals and 685 plants are considered threatened in Peru (MINAM, 2018c). According to MINAM’s GEOBOSQUES database, the area deforested in 2017 was 155,914 ha for a total of 2,130,122 ha in the period 2001-2017, and an annual average deforestation rate of 125,301 ha. Preliminary data shows that in 2018, 129,485 ha were deforested, a reduction as compared to previous years. Peru’s goal is to reduce deforestation rates by 5 percent by 2021 as stated in the National Biodiversity Conservation Strategy has been challenging to achieve (MINAM, 2019).

As of early 2019, protected areas managed by SERNANP corresponded to 16.9 percent of the continental territory (MINAM, 2019b), with less than 5 percent of the protected area’s surface affected by anthropic activity. Amazonian forest ecosystems are well represented in the current system with values greater than 17 percent of their original extent (MINAM, 2018). In general, deforestation within protected areas is very low and biodiversity protection is effective (MINAM, 2019b).

The level of representativeness of marine protected areas in the national system of natural areas protected by the state (SINANPE) is about 0.4 percent of the maritime domain. This level of representation is far from the goal of 10 percent by 2021, which Peru committed to under the Convention on Biological Diversity and the Sustainable Development Goals.

MINAM estimates that the goods and services provided by ecosystems contribute more than 14 percent of Peru’s GDP (MINAM, 2019). Amazonian forests play a key role in regional climate regulation due to carbon accumulation, improved air quality and their participation in nutrient cycles (Charity et al., 2016). The Amazon forest has an estimated carbon storage stock of 8,874 billion metric tons of carbon (MINAM, 2019b). Natural ecosystems also provide aesthetic and recreational environmental services. In the last decade, tourism activity doubled to more than four million international visitors (INEI, 2018b) representing a total of 4.5 billion dollars. The main destination of these visitors are archeological sites and protected natural areas. 12 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

LEGAL FRAMEWORK AFFECTING CONSERVATION Peru has a robust legal framework and is signatory to most international treaties that relate to the environment and natural resources. Over the past five years, Peru has continued to strengthen its legal framework and made progress towards the implementation of laws and regulations. Notably, the Congress approved the Framework Law on Climate Change in April 2018. This law will empower regional and municipal governments to take action to mitigate the impacts of climate change. Other important instruments include the approval of the National Strategy for Biological Diversity and its Action Plan (2014), National Wetlands Strategy (2015), and the Forests and Climate Change Strategy (2016). Progress has also been made to enforce environmental laws and regulations with the opening of the first specialized court on environmental affairs in Madre de Dios in 2018 and the processing of emblematic cases linked to illegal mining and illegal logging.

Despite these advances, the implementation of the legal framework and national level strategies continue to be a challenge. Inadequate institutional capacity, limited access to information and environmental justice mechanisms, and corruption exacerbate impacts on the environment and reduce civil society participation. EXECUTIVE SUMMARY 13

THREATS TO BIODIVERSITY AND DRIVERS The Assessment Team identified twelve direct biodiversity threats to the forest ecosystems and nine to the marine and coastal ecosystems (Figure 1). Based on scope, severity and irreversibility, the most significant threats to tropical forests and biodiversity were found to be climate change, illegal logging, illegal mining, small scale and shifting agriculture, species overexploitation and poaching, unplanned rural roads and the expansion of illegal crops. The main pressures generated by these threats are deforestation, degradation, and pollution. In the case of marine ecosystems, the main threats identified were climatic variability and El Niño Southern Oscillation, habitat conversion, illegal fishing and overfishing followed by pollution from land-based sources and oil and gas developments. Figure 1 Summary of Main Threats and Drivers of Biodiversity and Tropical Forest Loss in Tropical Forests and Marine Ecosystems

Institutional Economic Climate arrangements factors change DRIVERS OF BIODIVERSITY DRIVERS

AND TROPICAL FOREST LOSS AND TROPICAL FOREST Inadequate Inadequate Socio-political technical capacity management capacity factors

TROPICAL FOREST Climate change Illegal crops Illegal logging Provoked and natural fires Illegal mining Large road infrastructure Small scale and shiing agriculture Large extractive industries Species overexplotation Agribusiness projects Underplanned rural roads Introduced species

MAIN THREATS MARINE ECOSYSTEMS El Niño and climatic variability Lack of solid waste management Habitat conversion Contamination by oil/gas Illegal fishing developments Overfishing industrial fishing Bycatch fleet Unreated sewage

TROPICAL FORESTS AND MARINE BIODIVERSITY CONSERVATION 14 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

The Assessment team found similar patterns in terms of the main drivers of the threats to tropical forests and marine ecosystems. Below is a summary of the main drivers.

CLIMATE CHANGE Climate change is a significant threat to biodiversity in tropical forests and marine ecosystems and exacerbates drivers of threats at different levels. Agroclimatic extreme events can impact global commodity prices (Chatzopoulos, et al., 2019). In the case of Peru, extreme climatic events such as El Niño are expected to become more frequent (Wang, et al., 2019). Reductions in river flow resulting from drought and deforestation can lead to unreliable levels for transportation, thus increasing pressure on the demand for more rural roads. Climate change can also lead to the expansion of the agricultural frontier to higher elevations.

INSTITUTIONAL ARRANGEMENTS While the Government of Peru has made progress in strengthening the environmental laws and regulations, conflicts over land tenure and land use rights coupled with weaknesses in environmental governance and law enforcement at the regional and local levels continue to be factors driving threats to biodiversity and tropical forests.

INADEQUATE MANAGEMENT CAPACITY Territorial management in Peru is led at the regional and local level. Decentralization efforts, the transfer of such responsibilities from the national government, have taken years and for some regional and local governments human and financial resources are still insufficient to achieve sound management.

INADEQUATE TECHNICAL CAPACITIES Many farmers in the jungle region have limited capacity to increase productivity which contributes to the expansion of small scale and shifting agriculture. Inadequate technical capacities also contribute the environmental impacts caused by poorly planned roads, mining, land conversion and species overexploitation. Inadequate capacities, information and scientific evidence contribute to the undervaluation of biodiversity in tropical forests and marine ecosystems.

SOCIO-POLITICAL FACTORS While poverty rates in Peru have decreased steadily over the past ten years, inequality and informality continue to be prevalent. The 2017 Census found an increase in the population in the coast and jungle, and a decrease in the population in the highlands ( , 2018c). The increase in the population in the jungle coupled with weak environmental governance puts additional pressure on the local biodiversity and tropical forests. Weaknesses in public participation in environmental decision-making contribute to the lack of political will for the conservation and improved management of natural resources.

ECONOMIC FACTORS Peru’s primary productive sectors are agriculture, fishing, metal mining, hydrocarbons, and primary manufacturing. Global demand for metals and commodities impact Peru’s economy and given weaknesses in environmental governance, this demand drivers threats such as illegal mining, illegal logging, illegal fishing and overexploitation of wildlife. EXECUTIVE SUMMARY 15

Table 1 Actions Necessary to Conserve Biodiversity (Tropical Forests and Marine Ecosystems)

ACTIONS NEEDED TO CONSERVE BIODIVERSITY DRIVERS IN TROPICAL FORESTS CLIMATE CHANGE • Promote the use of natural infrastructure to Inadequate water levels and increase water storage for dry seasons; and reduce flow in rivers deforestation rates in sensitive areas. Droughts and buildup of • Develop a warning system for forest fire monitoring flammable organic material and prevention. • Boost technical capacity for implementing sustainable agricultural practices and extension services. Increases in temperatures • Create financial and non-financial incentives for and changes in agricultural products that do not contribute to deforestation of altitudinal frontier biologically sensitive areas. • Promote the implementation of ecological and economic zoning. INSTITUTIONAL ARRANGEMENTS Lack of political will to implement a shared vision for • Promote efforts to strengthen political will. sustainable development Institutional weakness at the • Consolidate decentralization efforts in the forest and subnational level environment sectors. • Promote GOP inter-agency coordination and build Land tenure and property capacities to streamline protocols. rights conflicts • Consolidate efforts that promote the management of indigenous lands. INADEQUATE MANAGEMENT CAPACITY • Develop joint strategies and protocols to promote coordination at the national and subnational level. Inadequate inter-sectoral • Strengthen Peru’s National Planning Center’s coordination (CEPLAN) capacity to promote cross-sectoral coordination, participation, and accountability. Inadequate coordination • Promote institutional mechanisms for policy between national and dialogue and coordination. subnational agencies • Develop joint intervention protocols for judiciary officials. Inadequate implementation of • Strengthen the services provided by the judiciary laws and regulations and enforcement system (specialized environmental courts; protection for environmental defenders; specialized teams with supranational jurisdiction). 16 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

ACTIONS NEEDED TO CONSERVE BIODIVERSITY DRIVERS IN TROPICAL FORESTS • Strengthen capacities to assess and mitigate environmental impacts of agricultural, land use change and infrastructure projects. Inadequate land use planning • Strengthen the implementation of economic and and management ecological zoning at the subnational and local levels. • Strengthen indigenous participation and capabilities for co-managing conservation areas. • Promote implementation of the Civil Service Law High staff turnover (SERVIR), and limit for the number of political appointees. • Promote implementation of the SERVIR law, and anti- bribery measures. Corruption • Promote investigative journalism and transparency efforts. INADEQUATE TECHNICAL CAPACITY Inadequate promotion and • Create incentives for economic activities and non- implementation of sustainable timber forest products that promote conservation agricultural practices and contribute to maintaining standing forest. • Build capacities among agricultural extension agents Inadequate technical to minimize environmental impacts and promote assistance for the agriculture biodiversity conservation. sector • Promote initiatives to scale up agricultural extension services. • Strengthen capacities to access relevant markets and Inadequate adaptation to financing. market demand for sustainable • Promote research on alternative products with a view products toward sustainability. • Promote incentives for sustainable businesses. • Promote private and financial sector involvement in Inadequate capacity for developing incentives for conservation enterprises. implementing incentives for • Create incentives for private conservation initiatives sustainable businesses (including financial incentives). • Implement the National Forest and Wildlife Inadequate capacity for Information System (SNIFFS) at the national and implementing traceability, regional level. monitoring, and enforcement • Foster transparency and accountability in the forest systems in the timber and gold and mining sectors. mining sectors • Promote formalization and oversight of artisanal and small-scale mining operations. • Promote research on biodiversity valuation, the dissemination of findings, and capacity-building at Undervaluation of biodiversity the sub-national level. • Promote environmental education and democracy strengthening initiatives. EXECUTIVE SUMMARY 17

ACTIONS NEEDED TO CONSERVE BIODIVERSITY DRIVERS IN TROPICAL FORESTS SOCIO-POLITICAL FACTORS • Promote sustainable development efforts in areas Lack of economic opportunities with high poverty levels. • Strengthen regional and local governments’ land use Migration planning and management capacity. • Build scientific capacity and use of evidence for Lack of information and decision-making at the subnational level. knowledge • Foster coordination between academic institutions and the government. ECONOMIC FACTORS • Strengthen the implementation of ecological and economic zoning. Demand for land • Build political will and capacities to address land tenure and property rights issues. • Strengthen capacity for compliance with laws and regulations, including through the implementation of Domestic and international timber traceability efforts. demand for natural resources • Promote efforts to raise public awareness in order to (gold, timber, species) prevent environmental crimes and demand for illegal products. • Strengthen capacity for compliance with laws and regulations. Illegal trafficking in natural • Promote efforts to raise public awareness in order to resources prevent environmental crimes. • Reinforce oversight and monitoring systems.

ACTIONS NEEDED TO CONSERVE BIODIVERSITY DRIVERS IN MARINE ECOSYSTEMS CLIMATE CHANGE El Niño Southern Oscillation • Promote learning among adaptation initiatives. (ENSO) and climatic variability • Promote adaptation of artisanal fishing operation. INSTITUTIONAL ARRANGEMENTS Uncoordinated and obsolete • Assess the current marine policy framework and coastal marine policy identify needs for modernization. Open access regime for • Develop a system for exclusive fishing rights. artisanal fishing • Consolidate decentralization efforts and strengthen Institutional weakness at the capacities at the regional and local government subnational level levels for the management of fisheries and marine resources. • Modify usage rights rates to ensure resources cover Insufficient fishing rights management costs. 18 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

ACTIONS NEEDED TO CONSERVE BIODIVERSITY DRIVERS IN MARINE ECOSYSTEMS INADEQUATE MANAGEMENT CAPACITY • Modernize management instruments to incorporate Inadequate fisheries the use of evidence, transparency and stakeholder management system participation in management decisions. • Develop joint strategies to align efforts, resources and technical capacity of the different institutions at national and sub-national level and across the Inadequate inter-sectoral different sectors. coordination • Strengthen CEPLAN’s capacity to promote coordination, participation, and accountability for intersectoral coordination. • Develop joint intervention protocols for judiciary officials. Inadequate implementation of • Strengthen the services provided by the judiciary laws and regulations and enforcement system (specialized environmental courts; protection for environmental defenders; specialized teams with supranational jurisdiction). • Strengthen capacities at the regional and local Un-planned urban government levels for the management of fisheries development and marine resources. • Promote implementation of the SERVIR law, and anti- bribery measures. Corruption • Promote investigative journalism and transparency efforts. INADEQUATE TECHNICAL CAPACITY Inadequate capacity to • Promote the development and adoption of best implement best practices practices and development of new technologies. Ecosystem management • Build capacities for the design and execution of approach and adaptive adaptive management strategies in the fisheries management sector. • Build technical capacity for biodiversity and blue Undervaluation of fisheries and carbon valuation in public accounts. marine resources • Promote efforts to disseminate information and knowledge. Inadequate capacities for • Build scientific capacity and dissemination of results planning and use of marine- at sub-national level. coastal resources Inadequate capacity to implement traceability, • Improve traceability systems for effective monitoring and control enforcement along the fishing value chain. systems EXECUTIVE SUMMARY 19

ACTIONS NEEDED TO CONSERVE BIODIVERSITY DRIVERS IN MARINE ECOSYSTEMS SOCIO-POLITICAL FACTORS • Build local capacities for land use planning, provision Population growth of state services and management. • Strengthen capacities to promote economic Lack of economic opportunities opportunities and employment. • Build scientific capacity and use of evidence for Lack of information and decision-making at the subnational level. knowledge • Foster coordination between academic institutions and the government. ECONOMIC FACTORS • Strengthen capacities for compliance with laws and Global demand for fish meal regulations and implement effective traceability and oil initiatives. • Strengthen capacity for compliance with laws and Illegal trafficking in natural regulations; and promote efforts to raise public resources awareness in order to prevent environmental crimes.

RECOMMENDATIONS The Assessment Team found the following activities and adjustments that USAID/Peru can make within the constraints of its current strategy and projects. • Integrate efforts between DO1, DO2 and DO3 in order to strengthen forest governance, promoting investment in alternative development activities while promoting forest conservation and biodiversity. Joint efforts could include: Promote inter-institutional coordination platforms or spaces among USAID operators under DO1, DO2 and DO3 to resolve priority bottlenecks such as land tenure in permanent production forests and strengthen local territorial planning capacities. Integrate aspects of conservation and value chains for non-timber products with market potential in projects under DO1 and DO3. Strengthen local capacities to mitigate the impacts of roads in biologically sensitive areas. Strengthen capacities of government agencies for inter-institutional monitoring of deforestation due to expansion of small-scale agriculture and illicit crops in priority areas. • Support relevant authorities to conduct environmental assessments to mitigate impacts of alternative development efforts. • Promote coordination between transparency and anti-corruption activities with the environment, forestry, and agricultural sector. • Support efforts to strengthen capacity of the Government of Peru to address land tenure and land use rights in priority areas. • Support efforts specifically aimed at generating political will for the conservation of biodiversity and tropical forests at multiple levels of government. • To address threats to marine ecosystems, USAID could consider expanding efforts to strengthen enforcement of environmental laws and regulations to include land conversion and illegal fishing; and include the management of marine ecosystems in transparency and anti-corruption initiatives. 20 TROPICAL FOREST AND BIODIVERSITY ANALYSIS STATUS OF THE COUNTRY’S BIODIVERSITY 21 22 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

he Foreign Assistance Act (FAA) of 1961 recognizes the fundamental role that tropical forest and biodiversity play in supporting countries as they progress along the journey to self-reliance. Sections 118(e) and 119(d) of the FAA of 1961 place a high priority on conservation and sustainable management of tropical forests and biodiversity as an important objective of U.S. development assistance. These sections direct USAID to conduct a country-specific analysis that describes (1) the actions necessary to achieve conservation and sustainable management of tropical forests and biodiversity and (2) the extent to which USAID is taking actions in any sector to achieve conservation and sustainable management of tropical forests and biodiversity. In accordance with USAID’s Program Cycle Operational Policy (Automated Directive System 201), USAID/Peru commissioned this Assessment to inform the development of the 2020-2025 Country Development Cooperation Strategy (CDCS) for Peru. 23

PURPOSE AND OBJECTIVES

The primary purpose of this 118-119 Analysis is to provide USAID/Peru with information to inform decisions and strategies in the development of the new CDCS covering the period 2020-2025. Specifically, the Analysis has three objectives: 1. Describe the current status of Peru’s tropical forests and biodiversity to include emerging issues, threats, and trends. 2. Identify actions necessary to conserve tropical forests and biodiversity and the extent to which the Mission is supporting such actions necessary; and 3. Develop recommendations that will guide the Mission in developing the new CDCS.

The Analysis builds on the previous Tropical Forest and Biodiversity Assessment published in 2016 (de Queiroz et al., 2014). The findings of the FAA 118/119 analysis will identify opportunities for leverage existing activities and new activity design to contribute to biodiversity conservation and tropical forest management.

BRIEF DESCRIPTION OF THE USAID PROGRAM

Peru has undergone a dramatic economic transformation to become a middle-income country. However, a variety of challenges undermine the country’s global integration and inclusive growth. USAID’s development assistance is accelerating Peru’s transition to a more inclusive, responsible partner with a market-based economy. Under USAID/Peru’s current 2013-2019 CDCS, USAID’s programs in Peru promote alternative development, strengthen natural resource management and biodiversity conservation in the Amazon, promote adaptation to climate change in the andean highlands, and strengthen governance and institutional capacities. The goal of the current CDCS is to help ensure that Peru’s stability and democracy are strengthened through increased social and economic inclusion and reductions in illicit coca cultivation and the illegal exploitation of natural resources. The CDCS results framework supports this goal through three development objectives (DO): DO-1: Alternatives to illicit coca cultivation increased in targeted regions. DO-2: Management and quality of public services improved in the Amazon Basin. DO-3: Natural resources sustainably managed in the Amazon Basin and glacier highlands. Programs under the current CDCS are expected to bridge into the new CDCS. Under DO1, USAID/Peru’s Alternative Development Program seeks to strengthen Peru’s capacity to transition farmers into a licit economy through the adoption of alternative crops such as coffee and cocoa in regions where areas of high biodiversity and tropical forests are also present. This successful model has lifted thousands of rural Peruvian families out of poverty and enabled them to move away from coca cultivation. Efforts under DO2 focus on strengthening institutions to promote transparency and human rights. Under DO3, USAID/Peru is currently implementing the five-year Amazonia Verde Project (2017- 2022), which seeks to conserve Peru’s unique biodiversity and strengthen the sustainable management of forests. The Mission expects to use both sustainable landscapes and biodiversity funding for this project. The findings of the FAA 118/119 analysis will inform how new activity design can complement the Amazonia Verde Project. METHODOLOGY

The Analysis was conducted by a team of local consultants with vast experience in biodiversity conservation and management of natural resources in the Peruvian Amazon and coastal areas. Biographical information and the Statement of Work used to conduct this Analysis can be found in page 143 and Aneexe 2, respectively.

DESKTOP REVIEW The team reviewed relevant reports and documents including: previous 118/119 analyses, current CDCS and project documents, information available online (websites of government ministries and development partners) on biodiversity conservation and tropical forest conservation, project reports and evaluations, the National Biodiversity Strategy by 2021 and Action Plan (NBSAP), the VI National Biodiversity Report (2019), the National Forest and Climate Change Strategy by 2030 (NFCCS), the National Strategy to Reduce Wildlife Trafficking in 2017-2027, Master Plan of Natural Protected Areas, and Nationally Determined Contributions 2018.

CONSULTATIONS The Analysis Team interviewed representatives from non-governmental organizations, government bodies, USAID’s private sector partners, and individuals who are knowledgeable about and/or implementing projects on environment, tropical forest and biodiversity conservation and other sectors relevant to tropical forest and biodiversity conservation, such as agriculture, economic growth, health and governance. The list of stakeholders interviewed during the consultation phase is included in Annex 3. SITE VISITS The Analysis team conducted two site visits to meet with key stakeholders and gather information about threats to biodiversity in areas of high biological significance. During the site visits, the team met with relevant stakeholders in Pucallpa, Ucayali; Yuyapichis, Huanuco; and Puerto Maldonado, Madre de Dios. These sites were selected in consultation with USAID given the high biological significance of the areas and the presence of threats such as illegal mining, illegal logging, and agricultural expansion (from licit and illicit crops). Site visits are described in Annex 2.

THREATS ASSESSMENT The team analyzed and rank threats following the methodology described in the Developing Situation Models in USAID Biodiversity Programming How-to-Guide published in 2016 (Stem et al., 2016). Information gathered through the desktop review and interviews was used to complement and validate the direct threats analysis.

SCOPE AND LIMITATIONS

The current Analysis builds on the 2016 Peru Tropical Forest and Biodiversity Assessment, updating information on threats to tropical forests ecosystems, marine and coastal areas. While Peru’s diverse topography and climatic gradients generate a wide range of ecosystems, the focus of this Analysis was tropical forests and marine ecosystems. The Analysis team did not visit important ecosystems such as the marine and coastal highlands, andean highlands, desert landscapes or dry woodlands. Information on these ecosystems was included in the Analysis from secondary sources. 26 TROPICAL FOREST AND BIODIVERSITY ANALYSIS STATUS OF THE COUNTRY’S BIODIVERSITY 27 28 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

1.1 LOCATION AND COUNTRY CONTEXT

Peru is located on the western coast of South andean highlands (MINCUL, 2019). The 2017 National America, bordering the Eastern South Pacific Ocean, Census surveyed 2,703 native communities, located between Chile and Ecuador; with Brazil and Bolivia in the jungle regions, and 6,682 rural or campesino to the East and Colombia to the Northeast. Its communities located mainly in the sierra and coast territory occupies 1,285,215.60 square kilometers regions. The native communities surveyed belong (km2), 1,279,996 km2 of land and 5,220 km2 of waters. to 44 ethnic groups, and over 77 percent have land Peru is divided into 25 first-level administrative titles. Of the campesino communities surveyed, 64 units, consisting of 24 geographic regions and percent belong to 20 ethnic groups. About 80 percent the autonomous Province of Callao. Regions are of the campesino communities have land titles. subdivided into 196 provinces, which are composed Land tenure conflicts are active in 30 percent of the of 1,874 districts in total (INEI, 2018d). native communities and 37 percent of the campesino communities (INEI, 2018c). By 2017 Peru’s population was 31,237,385 people, according to the National Census (INEI, 2018d), making Peru the fifth most populous country in Latin America. Peru’s National Statistics Institute Peruvian territory (INEI) estimates that by 2021, the population will occupies reach 33 million and by 2050 the population will reach 39 million (INEI, 2019). The average population 2 growth rate in 2017 was 1.0 percent, a decrease of 1,285,215 km 0.6 percent since 2007, following a decreasing trend since the censuses of 1961 and 1972 (INEI, 2018c). The population growth rate in urban areas as 1.6 In 2018, the Gross Domestic Product (GDP) grew at a percent, while in rural areas population decreased rate of 4.0 percent, an increase compared to 2017 when at a rate of -2.1 percent. Over half of the population the economy grew at a rate of 2.5 percent due to the lives in coastal areas. The census population in the negative impact of the El Niño in the northern part of coast region was 17, 037, 297 people, (58.0 percent of the country and the crisis of confidence and paralysis the population); in the sierra 8,26,183 people of projects generated by corruption cases. Peru has had (28.1 percent) and in the jungle 4,076, 404 people an average GDP of 4.4 percent since 2009 (BCRP, 2018). (13.9 percent). Poverty rates dropped from 33.5 The primary productive sectors are agriculture, fishing, percent in 2009 to 21.7 percent in 2017 (INEI, 2019). metal mining, hydrocarbons, primary manufacturing. The poverty rate in rural areas (44.4 percent) was The non-primary productive sectors are: non-primary about three times higher than in urban areas (15.1 manufacturing, electricity and water, construction, percent) with the coast, highlands and jungle showing commerce and services. The recovery of national poverty rates of 14.4 percent, 31.6 percent and 28.6 demand in 2018 contributed to the increase in GDP, percent, respectively, in 2017. Inequality as measured due to growth in non-primary sectors. In the case of by the Gini Index has improved slowly, from 0.47 in primary sectors, the agricultural sector reported the 2009 to 0.43 in 2017 (World Bank Data, 2019). highest growth rate in the last decade for agro-export products; and the fishing sector grew due to a higher Peru has a vast cultural heritage, with 51 ethnic fishing quota for anchovy. Mining activity contracted in groups from the amazon jungle and four from the 2018 due to lower extraction of copper and gold. COUNTRY CONTEXT 29

1.2 BIOPHYSICAL SETTING

Peru has a rugged relief resulting from the The Peruvian andean highlands are home to about presence of a mountainous system called the 71 percent of the world’s tropical glaciers (Thorsten Andes Mountains, which runs through the et al., 2018, Rabatel et al., 2013). This natural region has country longitudinally from South to North and a heterogeneous topography with prominent peaks, leads to the formation of three natural regions deep gorges, narrow inter-andean valleys and wide coast, highlands and jungle. Peru’s diverse plateaus. It covers an estimated area of 335,170 km2 geomorphology and climatic conditions make that represents 26 percent of the national territory. Peru one of the ten countries with the greatest diversity on the planet. The amazon or jungle region is located east of the andes and covers around 63 percent of the national Peru’s coast extends 3,079.5 km (INEI, 2018d). It is territory. Peru is the fourth country with the largest a narrow longitudinal strip with a variable width extent of tropical forest in the world, and second between 50 and 100 km, covering 11 percent of the in Latin America, after Brazil. The jungle region country’s total area. The Peruvian Sea, known as Mar is predominantly flat with two distinct zones: de Grau, extends 200 nautical miles from the coast the Mountain Forest and the Amazonian Plain or into the Pacific Ocean. Lowland Forest. 30 TROPICAL FOREST AND BIODIVERSITY ANALYSIS STATUS OF THE COUNTRY’S BIODIVERSITY 31 32 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

2.1 MAJOR ECOSYSTEMS TYPES AND STATUS

Due to its proximity to the Equator, the presence of the Andes mountain range, and the influence of cold marine currents, Peru is a megadiverse country. These factors generate differentiated climate conditions along altitudinal gradients that make Peru a complex mosaic of ecosystems. The official ecosystems map of Peru depicts 41 ecosystem types grouped into six categories: coastal marine, arid and semiarid, inland water, mountain, forest, and underground caves (Figure 2, MINAM, 2018). Below is a description of each ecosystem category and a summary of their main threats (additional details are provided in Annex 5). Coastal marine ecosystems are addressed in detail in section 3.3.

Map 1 Official Ecosystems Map of Peru by SERNANP STATUS OF THE COUNTRY’S BIODIVERSITY 33 34 TROPICAL FOREST AND BIODIVERSITY ANALYSIS STATUS OF THE COUNTRY’S BIODIVERSITY 35

ARID AND SEMIARID ECOSYSTEMS: Coastal wetlands include various formations SCRUBLAND, LOMAS, AND COASTAL DESERTS such as saltwater lagoons, mangroves, estuaries, The scrubland ecosystem is characterized by the oases, swamps, and deltas. Although small, they presence of shrubs and is found in both the coastal represent key habitats for biological processes andean foothills and at higher altitude in the andean such as reproduction and growth of major fishery highlands. Lomas are the result of the condensation species, as well as the seasonal migration of of sea mist on low coastal hills and are therefore a Neartic shore birds. highly seasonal ecosystem appearing as small oases in the middle of the coastal desert. These ecosystems are known to have a high degree of endemism and unique adaptations to the limited availability of Over 27,390 lakes water (MINAM, 2018). are registered in Peru, The main threat to these areas is the pressure from urban and agricultural land occupation and legal and covering a surface area illegal mining activity. Spurred by the current legal of about 5,000 square framework, agriculture has expanded into the desert, compromising water availability from underground meters. (MINAM, 2018) aquifers (Muñoz, 2016).

The rivers of the Pacific basin are experiencing INLAND FRESHWATER ECOSYSTEMS: threats resulting from higher population density; RIVERS, LAKES AND LAGOONS, AND COASTAL excessive water use for human consumption and WETLANDS farming, which has brought some aquifers to the The country’s hydrographic network is dominated brink of collapse (Damonte et al., 2016); and from by the presence of the Andes, with most rivers (564) the large volume of untreated waste water that is draining into the Amazon basin across 84 main released from residential, agricultural, livestock, watersheds. Rivers carry sediments and nutrients and industrial sources. Contamination from mining from the highlands to the Amazon lowlands, initially affects the upper watersheds of both Pacific- and making a very rapid, steep descent and later becoming Atlantic-bound waters. Dams for water storage tributaries of larger but slower rivers. The hydrographic and power generation in Pacific-and Atlantic- network in the Amazon is interconnected with forested bound waters interrupt the longitudinal and lateral areas. The rivers that drain into the Pacific Ocean connectivity between different types of aquatic (381) have shorter courses, and the vast majority have habitats and alters the sediment flows that are vital significant flow only during the short rainy season. to triggering fish reproduction processes, even in These form 62 watersheds. In the highlands, the Lake the Amazonian plains. Additionally, the introduction Titicaca basin, shared with Bolivia, includes 62 rivers in of invasive species like trout or the Argentinian 13 watersheds (INEI, 2018a). Approximately silverside for aquaculture and sport fishing purposes 1,200 species of freshwater fish have been identified in has led to the disappearance of native fish species Peru, along with a great diversity of microorganisms, (Cossios, 2010). plants, and fungi. Particularly in the Amazon jungle, the larger rivers form barriers to the dispersion of wildlife Overfishing is one of the main problems in the rivers and thereby contribute to generating biodiversity. of the Amazonian plain (García-Dávila et al., 2018), in addition to contamination from residential sources Over 27,390 lakes are registered in Peru, covering as well as oil spills, mainly north of the Amazon River a surface area of about 5,000 square meters (Orta-Martinez and Finer, 2010). In other parts of the (MINAM, 2018). These include permanent lakes and Amazon, informal, illegal gold mining and primary lagoons, although in recent years, with the steady processing of cocaine produce polluting effluents melting of andean glaciers, there are about 1,000 that adversely affect waterways and lakes (Del Olmo, new glacial lagoons. 1998; Salisbury and Fagan, 2013; Kahhat et al., 2019).

36 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Some of these effluents get magnified as they move along the food chain and eventually affect people who consume fish as part of their diet (Langeland Peru has 71% et al., 2017). The coastal wetlands are threatened mainly by conversion due to urban encroachment of planet tropical and by contamination from residential waste (MINAM, 2018). glaciers, distributed

across 18 mountain ANDEAN HIGHLANDS ECOSYSTEMS: ranges throughout JALCA, BOFEDAL, PUNA GRASSLAND, PÁRAMO, AND GLACIAL AND PERIGLACIAL ECOSYSTEMS the country. Peru has 71 percent of the planet’s tropical glaciers, distributed across 18 mountain ranges throughout the country. These fragile ecosystems are the least Seasonal dry forests are interspersed with studied in Peru, and few places have a species coastal desert and appear in fragments on the inventory, although high degrees of endemism have Marañón, Mantaro, and Apurímac river basins. been found in several taxonomic groups (MINAM, Their patchwork distribution has facilitated the 2018, Servat et al., 2017). Páramos and bofedales speciation and specialization of various taxa. stand out for their ability to host diverse flora. Relict forests are the remnants of species such Andean ecosystems in general have been key sources as Polylepis and Escallonia and their associated for the domestication of many species that are useful fauna, and are found in isolated parts of the upper to humans. The puna grasslands sustain native and Andes. The Pacific tropical forest is an evergreen introduced livestock. forest characterized by intense seasonal rains and the presence of species unique for Peru, with the The main threats to these ecosystems are number of species recorded growing as it is studied the encroachment of mining (along with the more intensively (MINAM, 2018b). environmental liabilities of legacy operations), conversion to agriculture and overgrazing The seasonal dry forests are threatened by (Rolando et al., 2017). The burning of grassland for the encroaching agricultural frontier and by agricultural expansion and hunting have caused overharvesting for firewood and coal (Cuentas and the local extinction of some threatened species. Salazar, 2017), and so are recognized as one of the Climate change is causing glacial ecosystems to most threatened ecosystems in the Neotropics (Miles steadily shrink (53.56 percent, INAIGEM, 2018) and et al., 2006). In contrast, the Pacific tropical forest is affecting the seasonality and distribution of some is entirely within the national system of protected particularly sensitive taxa, such as amphibians and areas, and its conservation status is nearly ideal. butterflies (MINAM, 2018).

UNDERGROUND CAVE ECOSYSTEMS FOREST ECOSYSTEMS This category includes small cavern systems of This group includes 23 types of forest ecosystems, volcanic, marine, or karst origin. The few studies that of which 14 are in the Amazon and will be discussed exist about the biodiversity in these ecosystems have in section 2.2. Among the non-Amazonian forest found endemic species and the occurrence of species ecosystems are the seasonal dry forests, relict new to science. At least 150 systems and individual forests, and Pacific tropical forests. caverns exist in Peru (Bermudez, 2016).

STATUS OF THE COUNTRY’S BIODIVERSITY 37

2.2 STATUS OF TROPICAL FORESTS

The most important and extensive of the 14 types of Amazonian forest ecosystems (MINAM, 2018) are the montane forest, terrace forests, alluvial flood forests, and swamp forests. These ecosystems represent 53 percent of the country’s mainland surface area and its principal source of biodiversity (MINAM, 2015).

The highland forest is found across the Andes between 600 and 2,500 masl.

Montane forests cover about one-fourth of Peru eastern yunga forests, also known as the highland and are found at altitudes of 150 to 800 masl. forests (selva alta), are found across the Andes They are colonized the most, owing both to between 600 and 2,500 meters and have restricted formal agriculture and livestock expansion and distribution genera such as Podocarpus, Clusia, to transhumance. These forests were originally and Weinmannia. The non-flood terrace forests, rich in highly prized timber species of the genera though smaller in area, are important for human Cedrela, Cedrelinga, Terminaliae, and Iriartea. The occupation and agricultural activities. 38 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

The alluvial forests are subject to the rise-and-fall the share of the large species in landings has declined, cycle of the large rivers of the Amazon. There are two and their stocks considered overfished (He et al., 2019). types: white-water forests, whose rivers have their Aquaculture has increased 15 percent per year in the headwaters in the Andes and carry a high sediment region owing to declining catches and fishing bans load, and black-water forests, whose waterways (García-Dávila et al., 2018), and today aquaculture originate in the Amazonian plain, which is why they production of some of these species is greater than the are acidic and have a high organic matter content. amount caught wild (PRODUCE, 2019). The flood areas are nutrient-rich and well suited to the seasonal cultivation of various locally consumed The conservation status of tropical forests is products. The swamps in turn are home to several directly related to the loss of vegetation cover. The palm species that provide habitat for a variety of Government of Peru closely monitors deforestation fauna and epiphytic flora. Additionally, some unique, rate, and platforms such as GEOBOSQUES allow smaller ecosystems have been identified, including the public to access information and receive wet palm savannas and white sand forests, which deforestation in selected areas. As shown in Figure have significant levels of plant, amphibian, and bird 2 and Map 2, according to data published by endemism (Kratter, 1997). MINAM and SERFOR, the amount of deforestation in 2017 was 155,914 ha, for a total of 2,130,123 ha The aquatic ecosystems of the Amazon support and an average rate of 125,301 ha per year over highly diverse wildlife, including the giant catfish the 2001-2017 period (MINAM and SEFOR, 2018). whose life cycles include migration to the mouth A preliminary update indicates that deforestation of the Amazon River on the Atlantic, e.g. the gilded fell to 129,485 ha in 2018, continuing the catfish (Brachyplatystoma rousseouxii) (Batista downward trend of recent years (SERFOR, personal et al., 2006), as well as other large fish species communication). Efforts to reduce the deforestation such as the arapaima (Arapaima gigas), tambaqui rate include the Joint Declaration of Intent on (Colossoma macropomum), and pirapitinga (Piaractus REDD+ signed by Peru, Norway, and Germany brachypomus). As commercial fisheries have increased, (MINAM, 2019c). Figure 2 Forest Loss in Peru

200,000

150,000

100,000

50,000

0 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017

<1 1-5 5-50 50-500 >500 STATUS OF THE COUNTRY’S BIODIVERSITY 39

Map 2 Forest Loss in the Peruvian Amazon Between 2001 - 2017 40 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

2.2.1 SPECIES DIVERSITY AND STATUS The Government of Peru recently updated the country’s biodiversity profile as part of the Sixth National Report to the Convention on Biological Diversity. Figure 3 summarizes species richness for the main taxonomic groups found in Peru. Figure 3 Species Richness of Select Taxonomic Groups in Peru 469 559 602 reptiles mammals marine algea

621 909 933 amphibeans fungi lichens 1,857 2,331 20,533 birds fish plants 31,775 invertebrates Source: MINAM, 2019

The report highlights that many taxonomic groups are understudied. Further, changes in number of species under each taxonomic group vary depending on the level of information available. In the case of plants, the Sixth National Biodiversity Report revealed a reduction in the number of species as compared to previous reports due to taxonomic rearrangements (MINAM, 2019).

Based on Peru’s national standards, there are 389 threatened plants, and 389 species of threatened fauna. The number of threatened fauna species reported in the 2014 assessment conducted by the Government of Peru is 54 percent higher than values reported in 2004. This change results from an increase in the taxonomic groups included in this assessment. The number of threated species reported is likely to continue changing as more information is available about the different taxonomic groups. Figures 4 and 5 summarize the number of threatened plants and fauna, and the number of species by threat category as reported in the Sixth National Report based on Peru’s standards. STATUS OF THE COUNTRY’S BIODIVERSITY 41

Figure 4 Number of Threatened Plant Species 12 15 17 aracaceae rosaceae fabaceae 28 39 51 malvaceae cactaceae asteraceae 57 301 138 solanaceae orchidaceae other

THREAT LEVEL: 194 73 203 critical danger vulnerable

Source: MINAM, 2019

Figure 5 Number of Threatened Animal Species THREAT LEVEL:

23 32 64 invertebrates reptiles critical 92 120 122 mammals amphibians danger 122 203 birds Source: MINAM, 2019 vulnerable 42 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

2.2.2 2.2.3 GENETIC DIVERSITY STATUS AND MANAGEMENT Peru is an important domestication site for plant OF PROTECTED AREAS species used in the global economy with about The National Natural Protected Areas System 182 domesticated species. Most of these species includes nine categories of protected areas managed and their wild relatives are found in andean by National Service for Protected Natural Areas environments, as is the case of the potato, with (SERNANP). In addition to these areas, Peru has 7 domesticated species, 98 wild species and over natural protected areas managed by regional 4,000 cultivars. The gene pool of wild and governments and private conservation areas. Natural domesticated species is considered a vital tool protected areas with transitory status are known in the search for alternatives that can adapt to as Reserved Areas. Map 3, shows natural protected changing climate conditions (MINAM, 2016). In the areas in Peru. At the start of 2019, the protected areas Amazon, numerous native species (fruit, vegetables, managed by SERNANP amounted to 16.9 percent of meat, fish) are part of people’s nutritional diet Peru’s mainland area (MINAM, 2019b). About (MINDES, 2009), and their inclusion in the country’s 5 percent of protected land is affected by anthropic gastronomic supply chain is being explored, along activity (ibid.). All the Amazonian forest ecosystems with improvements in production and protection are well represented in the current system of of their natural biodiversity (CONCYTEC, 2016). The protected areas, with more than 17 percent of their National Forest and Wildlife Inventory identified 718 original area protected (MINAM, 2018). economically useful species of trees and palms (FAO and SERFOR, 2017). Although there are no extensive Some communal reserves are co-management by studies of the genetic diversity of commercial timber the government and indigenous organizations. An species, several studies have assessed the genetic example is the co-management of the Amarakaeri diversity of some species such as mahogany (Andre Communal Reserve, which is now part of the et al., 2008), cedar (De La Torre, 2008) and bolaina IUCN Green List of Protected Areas. SERNANP and (Coral et al., 2016). Law enforcement authorities indigenous leaders co-manage the reserve under could also use information on the biogeography of an administrative management contract. Multiple these species to determine the origin of fine wood in activities such as illegal mining, illegal logging, and the international market (Degen, 2013). Efforts are road construction actively threated the area. As underway to document the wild Amazonian fish gene noted by the management leadership during the pool (García Dávila et al., 2018b) as wild varieties are site visit to Madre de Dios, close communication needed to develop regional aquaculture projects. and coordination with SERNANP have led to the successful co-management of the reserve.

Generally, deforestation within protected areas is Potatoes: minimal and biodiversity is protected effectively (MINAM, 2019b). Several factors conducive to 7 domesticated conservation have been identified, such as presence of native communities (Gullison and Hardner, 2018) species, 98 wild and the ability to obtain resources sustainably species and over (Miranda et al., 2016). Even so, several protected areas are under threat due to the expansion of rural 4000 cultivars. roads (Larrea et al., 2017), proximity to development projects (Vijay et al., 2018), expansion of illegal corps (mostly coca but also poppy and cannabis in the Yungas, and illegal small-scale gold mining in the lower Amazon. STATUS OF THE COUNTRY’S BIODIVERSITY 43

Map 3 National Natural Protected Areas Managed by SERNANP 44 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

2.2.4 Forest Stewardship Council (FSC) certification STATUS AND MANAGEMENT has a marginal better performance protecting OF KEY NATURAL RESOURCES the forest against deforestation agents but its OUTSIDE THE NATIONAL NATURAL efficacy is clearly connected to the spatial context PROTECTED AREAS SYSTEM (accessibility, neighboring land designations), as As shown on Map 4, tropical forests in Peru have well as, capacities for monitoring and enforcement multiple land use designations. Native communities (Anderson et al., 2019). However, recent studies occupy 14 percent of the Amazon, though about using passive acoustic monitoring found that 2,340,000 ha are still awaiting definitive titling. certified forests can maintain similar levels of fauna Additionally, five Territorial Reserves totaling biodiversity to those of forest in undisturbed areas 2,812,686 ha have been designated for the protection (Campos-Cerqueira et al., 2019). of indigenous peoples in voluntary isolation and initial contact. Counting the eight communal reserves Various portions of protected areas and forest under SERNANP as well, indigenous communities are concessions are participating in the voluntary involved in the management of some 20 percent of carbon credit market under emissions offset the Peruvian Amazon. Overall, land titling for native initiatives associated with Reducing Emissions communities has contributed significantly to reducing from Deforestation and Forest Degradation (REDD) and preventing deforestation (Blackman et al., 2017) projects (Hajek et al., 2014). The government, and may be even more effective than protected areas under the National Forest Conservation for Climate in doing so (Schleicher et al., 2017). Change Mitigation Program, provides economic compensation to indigenous organizations based The forest sector and the designation of permanent on native community forest conservation. The production forests (BPP) are key factors in the program enrolled 45 communities between process of land occupation and use in the Amazon. 2011 and 2013 for the pilot phase totaling The current forest management system was 558,997 ha and it has proven to be effective but still designed to support forest concessions for revolving needs some fine-tuning (Börner et al., 2016; Giudice periods of up to 40 years. These were expected et al., 2019) especially considering the differential to be ecologically, economically, and socially opportunity costs (those areas with higher sustainable (Sears and Pinedo-Vasquez, 2011), but accessibility also have a higher risk of deforestation) various cultural, technological, and knowledge and the uncertainty of alternative land uses barriers found in the implementation process connected to crops price volatility. have led to discouraging results (Ibid., Anderson et al., 2019). The timber sector didn’t have good Concessions granted for rubber latex (Hevea governance and the proposed legal reforms didn’t brasiliensis) and chestnuts, totaling about 880,000 ha, adequately consider the institutional arrangements have contributed to forest conservation, but their supporting the timber industry at the local level. effectiveness is limited (Oliveira et al., 2007). Most of the legal requirements were disconnected Private conservation and ecotourism concessions of the real capacities (technical and financial) of the cover some 1,164,500 ha and are the most people engaged in the activity creating conditions effective at preventing the loss of forest cover for extensive corruption and mismanagement of (Schleicher et al., 2017). The lack of incentives information. Even worse, the new regulations didn’t for private conservation areas, and threats from have a clear understanding of the geography and local pressures such as roads, illegal mining and distribution of valuable timber stocks in the Amazon illegal logging can generate challenges in the (Sears and Pinedo-Vasquez, 2011). management of these areas.

STATUS OF THE COUNTRY’S BIODIVERSITY 45

Map 4 Forest Use Designations 46 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

2.3 STATUS OF MARINE RESOURCES

Peru’s Exclusive Economic Zone spans 855,475 square kilometers. Despite its location in the tropics, the Peruvian sea is dominated by very nutrient-rich cold currents and only the northernmost part of the country has warm tropical waters. Multiple biological communities have developed along its 3,080-kilometer coastline, in contrast to the adjacent coastal desert ecosystem. Several underwater formations, including canyons and seamounts, have been identified and are also believed to contain a wealth of biological resources (Gutierrez, 2009).

STATUS OF THE COUNTRY’S BIODIVERSITY 47

2.3.1 The key species in this system is the Peruvian SPECIES DIVERSITY AND STATUS anchoveta (Engraulis ringens), which is primarily Peru’s marine diversity can be categorized according responsible for the transfer of energy from to its distribution in two main zones: neritic (near the photosynthetic organisms and zooplankton to other coast) or pelagic (open sea). These categories can vertebrate species, including seabirds and marine be divided again based on the predominant water mammals whose colonies help fertilize the sea with temperature—cold or tropical. their waste. Other important commercial fish species include Pacific chub mackerel (Scomber japonicus), Peru has 22 main islands and isles, with an area of Chilean jack mackerel (Trachurus murphyi), Peruvian approximately 94,400 ha, which host varied and hake (Merluccius gayi peruanus), and yellow-fin tuna abundant wildlife (INEI, 2018d). These islands are (Thunnus albacares). The most fished invertebrate inhabited by large seabird colonies that produce is the jumbo or Humboldt squid (Dosidiscus gigas) the natural fertilizer known as guano. They share (PRODUCE, 2019). There is also demand for sharks, their habitat with restricted distribution (endemic) including several CITES and threatened species and endangered bird species. The populations of (Gonzales-Pestana et al., 2014). The meat is mainly these birds, as well as of other vertebrate species, consumed locally, and the fins are exported to experience major fluctuations owing to the the Asian market (Oceana, 2019). Also present oceanographic variability characteristic of El Niño are endemic cold-water vertebrate species such Southern Oscillation (ENSO), and most of them show as the Humboldt penguin (Spheniscus humboldi), a decreasing trend. Inca tern (Larosterna inca), Peruvian diving petrel (Pelecanoides garnotii), and several species of other The cold-water ecosystem is characterized by petrels and albatross (Procellariformes). abundant plankton and by being the marine system with the highest secondary productivity (Bakun, Starting at 5 degrees south, by Piura, the marine 2008). It is a complex system of four marine currents environment has a mix of tropical warm water that run along the coast, among them the Humboldt (21 degrees Celsius) and cold water from the south. or Peru Current (13 to 17 degrees Celsius), which This transition zone, along with the warm northern maintain equilibrium and result in a pattern of nearly waters, have much more diversity than the rest of the constant coastal upwelling (rise of nutrients from the Peruvian sea, including such highly threatened species sea floor) that supports the biological wealth of the as sea turtles and cetaceans. In this region and further Peruvian sea. During ENSO episodes, this equilibrium north as well, there are formations of mangrove trees is upset and the warmer currents with a lower (Rizophora spp) in the estuaries of major rivers such nutrient load move closer to the coast, decreasing as the Tumbes, Zarumilla, Chira, and Piura, covering a the system’s productivity. total area of about 5,790 ha. 48 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

From the point of view of protection of fish species, 2.3.2 PRODUCE prohibits the fishing of species such as GENETIC DIVERSITY the whale shark Rynchodon typhus, the giant ray Knowledge of the genetic diversity of Peru’s marine Manta birostris; and commercial fishing for sailfish hydrobiological resources is limited. The Marine Istiophorus platypterus and merlin Makaira mazara, Institute of Peru (IMARPE) is therefore leading M. indica and Tetrapurus audax, and seahorse a project (known as PeMAR) to build a marine Hippocampus ingens. All cetaceans and marine biodiversity DNA bar code database. Individual species that reproduce on land such as turtles and studies have been done on the genetic diversity sea lions are legally protected. SERFOR has the legal of some economically important species such as competencies to manage the species that reproduce mahi mahi (Gozzer, 2015), hake (Oré, 2011), sharks on land, while PRODUCE manages species that (Velez-Zuazo et al., 2015); evaluations of species reproduce in the aquatic environment. The lack of substitution; and supply chain mislabeling (Marín an official list of threatened marine and continental et al., 2018, Biffi et al., 2019). To date no estimates freshwater fish species hinders the adequate have been made of the genetic wealth of the sea. management of these resources (MINAM, 2019). However, IMARPE launched recently a catalogue of STATUS OF THE COUNTRY’S BIODIVERSITY 49

marine biodiversity (http://biodiversidadacuatica. areas for marine conservation (Nakandakari, 2012). imarpe.gob.pe) which complements the information Currently IMARPE and MINAM are assessing new published by the National Agricultural University La proposals for submarine canyon and seamount Molina through the InfoPes platform (http://tumi. conservation areas (Gutiérrez et al., 2009). lamolina.edu.pe/infopes).

2.3.4 2.3.3 STATUS AND MANAGEMENT STATUS AND MANAGEMENT OF OF KEY NATURAL RESOURCES PROTECTED AREAS OUTSIDE PROTECTED AREAS Peru has no significant coverage in terms of marine All fishery resources in territorial waters are governed ecosystems protection. The SINANPE only has three by provisions issued by the Ministry of Production marine protected areas — the Paracas National (PRODUCE). Yet just 22 percent of the main fisheries Reserve, San Fernando National Reserve, and are subject to three or more regulatory instruments Guano Islands, Islets, and Capes National Reserve and more than a third are completely unregulated. System — which cover approximately 0.48 percent of the country’s territorial waters (see Annex 5, Annual landings range from five to seven summarizing SERNANP Protected Natural Areas). The tons, although since 2014 the oceanographic Paracas Natural Reserve, together with the National disturbances associated with ENSO events have Mangrove Sanctuary, are recognized as Ramsar sites led to smaller catches. The most important fishery because of their importance in the conservation of species is the Peruvian anchoveta, which accounts migratory birds and unique landscapes. for about 80-90 percent of total landed volume (see Annex 5 for additional information). This fish is According to effective management criteria, processed into meal and oil, mainly for export, as these areas are well equipped and have are most fishery resources. sufficient management resources but have some limitations in terms of number and capabilities The main tool for protecting habitats outside of of field personnel. There are also some problems protected areas is the fishing restriction on the associated with resolving jurisdiction over the first five miles from shore, where only the artisanal control and use of fishery resources within fleet may operate. This excludes industrial fishing, protected areas, especially regarding enforcement although the possibility of opening “windows” actions against illegal activities (SERNANP, personal closer to the coast, particularly off southern communication). Peru, where the continental shelf is narrower, is occasionally discussed (Paredes and Letona, 2013). A proposal to create a protected area in the northern This five-mile band is widely recognized as being a tropical sea region has been discussed actively since spawning and growth area for the country’s main 2015, but no designation has yet occurred, mainly fishery resources (IMARPE, 2010). Still, there is because of opposition from the oil and gas industry. occasional use of gear that damages the sea floor, This marine protected area would increase the total and in some places there have even been instances marine area under protection by 0.14 percent to a of fishing with explosives. total of 0.61 percent, far less than Peru’s neighbor countries and well below the Aichi target under the Additionally, PRODUCE grants concessions for areas Convention on Biological Diversity, which calls for 10 to be used for aquaculture of marine species, but percent of the country’s marine areas to be protected only scallop (Argopecten purpuratus) and shrimp by 2020 (MINAM, 2019c). (Penaeus spp. and Calinectes spp., among others) concessions have been successful. Attempts to In general, government initiatives aimed at farm seaweed and other species of mollusks have identifying key areas for marine conservation are been unsuccessful, partly because of the impact of nascent. The Nature Conservancy led a spatial ENSO and because of marine contamination from ranking process that identified 59 high-priority different sources. 50 TROPICAL FOREST AND BIODIVERSITY ANALYSIS STATUS OF THE COUNTRY’S BIODIVERSITY 51 52 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

3.1 VALUE OF BIODIVERSITY

Efforts to assess the economic value of biodiversity in Peru started about two decades ago (Portilla, 2000; Glave and Pizarro (eds), 2001), with studies focusing on protected areas and natural spaces. Yet it wasn’t until 2010 that the National Strategy on Biological Diversity (MINAM, 2014) was revised to include the requirement to value ecosystem services and to recognize the contribution of native biodiversity to sustainable business. Since then, MINAM promotes the development of an environmental accounting system, to include them in the national accounts and thereby highlight the contribution of biodiversity to the country’s GDP. An environmental accounting pilot study was conducted in the region of San Martín with support from Conservation International (Conservation International, 2016). Currently, the National Institute of Statistics and Information (INEI) and MINAM are developing an environmental satellite account modeled on the United Nations System of Environmental-Economic Accounting (Robles, 2016).

Among the efforts to improve biodiversity food, clothing, fibers, among others. Innovation is valuation was the creation, in 2013, of the National being promoted especially in the area of biotrade Crosscutting Program of Science, Technology, and in new natural products such as ungurahui oil, pulp Innovation in Biodiversity Valuation. The program and chestnut beer (MINAM, 2019). has identified barriers to valuation (lack of scientific knowledge, low technology levels, and limited On a larger scale, the sectors that best reflect the institutional capacity) and designed an improvement value of biodiversity are gastronomy and tourism. plan for the 2015-2021 period (CONCYTEC, 2016). Gastronomy benefits from agrobiodiversity products and the increasing appreciation of native In parallel, various economic valuation studies have species in gourmet cuisine. In the area of tourism, been conducted for specific ecosystems: Amazon the number of visitors to protected areas has forests, with regard to timber production (Rios, grown, generating about 20 billion soles in 2017 2017; Ruiz, 2017) and carbon sequestration and (MINAM, 2019b). storage (Sosa, 2016; Riofrío, 2017); production and value of marine fisheries (Christensen et al., 2014); hydrological ecosystem services (WWF Peru, 2016); and marine ecosystem services (Salgado et al., 2015); among others.

Today, perceptions of biodiversity and its contribution to the economy have improved, though its value is still considered to be marginal and tied mainly to meeting local needs, such as VALUE AND ECONOMIC POTENTIAL 53

3.2 ECOSYSTEM GOODS AND SERVICES

Peru classifies ecosystem services following the Millennium Ecosystems Assessment nomenclature in Regulation, Supply, Cultural, and Support Services (MINAM, 2018c). A detailed list is presented in Annex 5.

Amazon forests play a key role in regional climate also provide access to fish, which accounts for the regulation by storing carbon, improving air quality, largest percentage of protein intake in the region and participating in nutrient cycles (Charity et al., (García-Dávila et al., 2018), with annual per capita 2016). Additionally, through evapotranspiration, consumption of 45.9 kilograms in the city of Iquitos they play a part in the water cycle and heat balance (PRODUCE, 2018). in the Amazon (Nepstat, 2008). Amazon forest have a carbon stock estimated at 8,874 billion metric tons (MINAM, 2019b). How well these global environmental services work depends on the Amazon forests have physical integrity of the forest, as deforestation and the subsequent loss of carbon fuel a positive a carbon stock of feedback loop that diminishes the quality of services and causes them to decline over time (Lima 8,874 billion et al., 2014).

These forests are habitat for various species of metric tons. fauna and flora that provide local communities with fuel, game, fruit, timber, palms, medicinal (MINAM, 2019b) plants, and fibers for clothing and housing, while also meeting their cultural and traditional needs (Strand, 2018). Moreover, the rivers that periodically The cold marine ecosystem, given its high primary flood the alluvial ecosystems of the Amazon carry productivity, contributes to carbon dioxide nutrients that enrich croplands. The palms swamps sequestration in addition to regulating regional are the main underground carbon storage in the temperatures. It is also the source of 10 percent of region (Draper et al., 2014) along with the bamboo global fish landings (Montecino and Lange, 2009) forests that provide food and building materials and supports the world’s largest individual fishery (Takahashi, 2006). (Christensen et al., 2014), although almost all the industrial anchoveta fishery goes to manufacturing Freshwater ecosystems are critical in providing feed for aquaculture and livestock. The tropical sea environmental services such as water for direct in the north, although less extensive, accounts for consumption, as well as for agricultural and more than one third of the country’s direct human industrial processes. Lakes and wetlands help consumption (PRODUCE, 2018) and is also boosting regulate the climate and the water supply. Some the seafood-based gastronomic industry. In this rivers are used to produce hydropower, representing region, mangroves provide carbon storage and more than 55 percent of the total for the country water filtration services (Takahashi and Martínez, (INEI, 2018a). In the Amazon in particular, rivers are 2015) and support the local economy for at least the main means of transportation and connection 10 percent of the inhabitants of the Tumbes region with centers of government and commerce. They (Takahashi, 2002).

54 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

The andean highlands ecosystems play a crucial dry and shrub forests provide firewood for domestic role in water capture, regulation, and quality use and coal for commercial use, as well as fruit in the andean headwater basins, as well as in and economically important resins. They also serve controlling erosion. The páramos and bofedales are as a barrier against advancing desertification by the country’s densest carbon pools (León, 2016; blocking the movement of sand dunes (Depenthal Castañeda-Martín and Montes-Pulido, 2017). The and Meitzner, 2018). VALUE AND ECONOMIC POTENTIAL 55

Over the last decade, tourism has doubled to more than four millions international visitors, representing a total of $ 4.5 billion in foreign exchange.

Natural ecosystems also provide aesthetic and are archeological sites and protect natural areas. recreational environmental services. Over the last Part of what draws visitors to Peru is its local cuisine, decade, tourism has doubled to more than four which is based largely on its rich agrobiodiversity million international visitors (2017 data: INEI, 2018b) and has recently incorporated new species into its representing a total of 4.5 billion dollars in foreign gastronomic offerings (Pasco et al., 2018). exchange. The main destinations for these visitors 56 TROPICAL FOREST AND BIODIVERSITY ANALYSIS STATUS OF THE COUNTRY’S BIODIVERSITY 57 58 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

4.1 NATIONAL LAWS, POLICIES, AND STRATEGIES

Peru’s Constitution (1993) provides the central framework for all laws and regulations relevant to biodiversity conservation and the sustainable management of tropical forests. Per the Constitution, the government has the fundamental duty of managing natural resources and the environment. The following articles are of importance:

ARTICLE 2 PART 22 ARTICLE 67 Provides that all persons are entitled to enjoy a The State shall set national environmental policy. It “balanced” environment that enables them to live shall promote sustainable use of its natural resources. their lives. ARTICLE 68 ARTICLE 7-A (ADDED PER LAW 30588) The State shall promote the conservation of “The State recognizes the right of all persons to biological diversity and protected natural areas. progressive, universal access to safe drinking water. The State shall safeguard this right by assigning ARTICLE 69 priority to human consumption over other uses… The State shall promote the sustainable development The State promotes the sustainable management of the Amazon by means of appropriate legislation. of water, which is recognized as an essential natural resource and, as such, constitutes a public good and ARTICLE 89 national asset. Dominion thereover is inalienable Peasant and native communities have legal status and imprescriptible”. and personhood. They are autonomous in terms of their organization, communal work, and the ARTICLE 66 use of and free disposition over their land, as well Renewable and non-renewable natural resources are as economically and administratively, within the national assets. The State is sovereign in their use. framework set forth by law. Ownership of their Organic laws shall set out the conditions for their lands is imprescriptible, except in the case of use and concession to private parties. Concessions abandonment provided for in the previous article. grant the concessionaire property rights, subject to The State shall respect the cultural identity of such law. peasant and native communities.

Over the past five years, the pace of design of policies and legal instruments in the environment sector gained new momentum leading to the adoption of the National Strategy on Biological Diversity and its Action Plan, and strategies on wetlands, forests, and climate change; as well as new laws on ecosystem services, single use plastics and climate change. These instruments build on the National Environmental Policy (approved in 2009), which seeks to ensure the efficient, equitable conservation and sustainable use of Peru’s natural resources and the social welfare by assigning priority to integrated natural resource management. Social inclusion and public participation in natural resource management are important elements in recent policies and strategies. Table 2 summarizes policies and strategies relevant to biodiversity and tropical forest conservation. LEGAL FRAMEWOR AFFECTING CONSERVATION 59

Table 2 Policies and Other Legal Instruments Relevant for Biodiversity and Tropical Forest Conservation

POLICIES AND LEGAL DESCRIPTION INSTRUMENTS This policy was developed and approved in 2009, 15 years after Peru’s Constitution was adopted. The policy includes the following objectives: 1. Conserve and sustainably use biodiversity and renewable and non-renewable natural resources. 2. Create the conditions for controlled access and use of genetic resources, along with equitable distribution of the benefits thereof. 3. Achieve integrated management of the country’s hydrological resources. The National 4. Achieve planned occupation and use of Peruvian territory via economic Environmental Policy and ecological zoning studies, in a framework of legal certainty and conflict prevention. 5. Achieve integrated, sustainable management of fragile ecosystems, including tropical rainforests. 6. Achieve climate change adaptation for the people of Peru and implement mitigation measures conducive to sustainable development. 7. Implement valuation, evaluation, and financing tools for the conservation of natural resources, biodiversity, and environmental services. States that by 2021 Peru “will rationally conserve and use its megabiodiversity, valuing related traditional knowledge, in order to meet the basic needs and ensure the welfare of current and future generations in a context of inclusive, competitive, sustainable development.” The strategy has six strategic objectives: 1. Improve the state of biodiversity and maintain the integrity of the ecosystem services it provides. 2. Increase the contribution of biodiversity to national development, improving The National Strategy the country’s competitiveness and the equitable distribution of benefits. on Biological Diversity 3. Reduce direct and indirect pressures on biological diversity and its through 2021 and its ecosystem processes. Action Plan 2014-2018 4. Strengthen capabilities at the three levels of government for sustainable (MINAM, 2014) biodiversity management. 5. Improve knowledge and technologies for the sustainable use of biodiversity, and value indigenous peoples’ traditional knowledge relating to biodiversity. 6. Enhance cooperation and engagement among all population groups in biodiversity governance.

The Action Plan outlines the agencies responsible for implementing the 147 actions (and 13 targets) identified in a participatory manner. Regional Government Law No. 27867, Article 53 stipulates the roles and functions Regional Biodiversity of regional governments in matters related to the environment. In accordance with Strategies this law, several regional governments have developed biodiversity strategies. 60 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

POLICIES AND LEGAL DESCRIPTION INSTRUMENTS Adopted via Supreme Decree 004-2015-MINAM, its overall objective is to promote the conservation and sustainable use of wetlands by preventing, reducing, and mitigating the degradation of these ecosystems. It also contains specific objectives: 1. Promote a participatory system of wetland ecosystem management for the different management levels and scenarios. 2. Reduce the vulnerability of wetland ecosystems to natural and man-made pressures, including climate change, thereby lessening their fragility. 3. Strengthen the regulatory framework with updated coordination mechanisms National Wetlands and tools to improve wetland ecosystems management within the Peruvian Strategy (MINAM, 2015) government. 4. Strengthen participatory, integrated wetlands management by modernizing communication systems and tools to optimize cross-sector coordination, engaging civil society and the private sector and especially indigenous and local communities through citizen participation and education. 5. Rediscover and value the techniques of local communities and the traditional knowledge of indigenous peoples as they relate to the sustainable use and conservation of natural resources in wetlands, strengthening their cultural, economic, and productive dynamics. Approved in 2015 (Supreme Decree 011-2015-MINAM), the strategy outlines actions National Climate to conserve carbon sinks and reduce greenhouse gas emissions particularly from Change Strategy land use, land-use change, and forestry (LULUCF). National Strategy on Its overall objective is to reduce forest loss and degradation in Peru, and Forests and Climate consequently greenhouse gas (GHG) emissions from LULUCF, and to enhance Change (adopted the resilience of the forest landscape and of the people who depend on these via Supreme Decree ecosystems, with special emphasis on indigenous and peasant communities, to 007-2016-MINAM) reduce their vulnerability to climate change. Approved in April 2019 by the National Accord Forum - a working group led by the National Center for Strategic Planning (CEPLAN) and whose members included representatives from the Office of the President, Office of the President of the Peru’s Vision for 2050 Council of Ministers, civil society, and political parties - emphasizes the country’s sustainable development and includes sustainable management of nature and climate change measures as one of its pillars. Approved in June 2014 and its regulation, adopted via supreme decree 009-2016-MINAM. This law promotes, regulates, and provides for oversight over mechanisms for payment for ecosystem services (PES) deriving from voluntary Law on payment for agreements that set out conservation, recovery, and sustainable use actions to ecosystem services ensure ecosystem permanence. The regulation affirms the importance of investing mechanisms (law in ecosystem conservation, recovery, and sustainable use. The law designates 30215) MINAM as the lead agency, highlights the duty of local and regional governments to serve as conservation promoters, and endorses and gives legitimacy to PES initiatives at the local level. LEGAL FRAMEWOR AFFECTING CONSERVATION 61

POLICIES AND LEGAL DESCRIPTION INSTRUMENTS Approved in April 2018, the law establishes the framework to reduce the country’s climate change vulnerability, seize opportunities for low-carbon growth, and meet the international commitments assumed by the government under the United Climate Change Nations Framework Convention on Climate Change, applying an intergenerational Framework Law (Law approach. This framework law requires climate risk and vulnerability to be 30754) analyzed and climate change mitigation and adaptation measures to be identified as part of the evaluation of investment projects subject to the National Environmental Impact Assessment System, in addition to giving regional and local governments responsibilities in climate change matters for the first time. Approved in December 2018, the purpose of the law is to establish the regulatory framework on single-use plastics, other non-reusable plastics and disposable Single Use Plastics and containers of expanded polystyrene (Styrofoam) for food and beverages for human Disposable Containers consumption in the national territory. The law seeks to reduce the adverse impact Law (Law 30884) of single-use plastics on human health and the environment by reducing plastic litter on rivers, lakes and the marine areas. The Law on Conservation and Provides a legal framework for implementing the Convention on Biological Sustainable Use of Diversity in Peru. Biodiversity (Law 26839) Law on Protected Provides a legal framework for the management and conservation of protected Natural Areas (Law areas pursuant to Article 68 of the Peruvian Constitution. 26834) Regulates fishing activity with a view to fostering its continued development General Fisheries Law as a source of food, employment, and income and to ensure responsible use (Decree Law 25977 of hydrobiological resources, optimizing economic benefits in keeping with environmental protection and biodiversity conservation. Forest and Wildlife Law Creates a new institutional framework for the administration of forests in Peru, (Law 29763) including the new National Forest and Wildlife Service (SERFOR). Prevention of Risks Regulates the use and release of genetically modified organisms (GMOs), and Law Derived from the Use 29811 establishes a 10-year moratorium on the import and production of GMOs in of Biotechnology (Law Peru. 27104) Environmental Impact Creates a system of evaluating the environmental impact of economic activities. Assessment System Law The law requires every public or private project that may have an impact on the (Law 27446) environment to obtain environmental certification before implementation begins. Amends several articles of Peru’s Criminal Code relating to environmental crimes Environmental Crimes such as illegal trafficking in plants and animals, illegally catching aquatic species, Law (Law 29263) and engaging in illegal activities that cause the degradation of natural forests, among others. Law on the Sustainable Use of Medicinal Plants Regulates and promotes the sustainable use of medicinal plants. (Law 27300) 62 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

POLICIES AND LEGAL DESCRIPTION INSTRUMENTS Regional Government Law No. 27867, Article 53 stipulates the roles and functions Regional Biodiversity of regional governments in matters related to the environment. In accordance with Strategies this law, several regional governments have developed biodiversity strategies. Promotion and Regulates and promotes aquaculture in marine, coastal, and freshwater Development of ecosystems as a source of food, employment, and income. These objectives must Aquaculture (Law be pursued in harmony with the environment and biodiversity conservation. 27460)

On June 2019, Congress approved the Law to Promote Incentives for Installation of Forest Plantations. As of the elaboration of this Analysis, the law has not been published in the official government newspaper. The law would create a Forest Fund, to be administered by SERFOR, in which the budgets that different public agencies have earmarked for reforestation would be pooled. Any private companies that contribute to the fund will be able to deduct the amount as an expense on their income tax return. The fund will be used to return 100 percent of the money spent investing in forest plantations to investors within two to four years. Questions have been raised about the law’s logic, as it will not benefit common citizens or indigenous communities that do not have the resources to plant the required 1,000 trees and maintain them for two years until the government returns the money. Another concern raised during the debate was that an incentive consisting of returning 100 percent of the investment could fuel an appetite for the more commercial eucalyptus and oil palm plantations, which would lead to an increase in deforestation. LEGAL FRAMEWOR AFFECTING CONSERVATION 63

POLICY IMPLEMENTATION AND GAPS A brief review of Peru’s legal framework reveals significant progress in the environment sector. As in many developing countries, challenges exist with the implementation of policies and regulations and law enforcement. Access to information and to environmental justice mechanisms, weak institutional capacity, and levels of corruption are examples of challenges that exacerbate environmental impacts and reduce civil society participation (ECLAC and OECD, 2016). Despite all ongoing efforts, there is still a lack of environmental data, which adversely affects policy-making and informed participation. In the case of species diversity, information gaps still exist for multiple taxonomic groups and official lists of threated species for marine ecosystems are still in development, which limits adequate management. Additionally, the significant number of social-environmental conflicts reported in Peru suggests challenges in terms of civil society to access information and participate in environmental decision-making. There is also a need to strengthen administrative-judicial coordination to ensure information is available to prevent conservation crimes and to process the substantial number of lawsuits and criminal proceedings in the environment sector. Among the factors preventing the different sectors and levels of government from implementing rules and regulations are unfamiliarity with the current framework, the lack of technical capacities and high turnover. These challenges are still prevalent among competencies transferred from national government to the regional government as is the case of forestry and small-scale mining. The lack of economic resources, staff, and technical capacity mean that agencies cannot effectively assume responsibilities and fulfill their institutional role in these areas. In the case of environmental impact assessments, rules and regulations are mostly in place, but procedures still need to be adjusted to align rules regarding environmental impacts with the Environmental Impact Assessment System, in order to clarify the process for evaluating certain projects and the roles of national government agencies. The process of decentralizing forest-related authority has had unfortunate results, and alarming levels of corruption have been discovered in Loreto and Ucayali, the regions with the highest rates of forest-related environmental crimes (CIEL, 2019). As noted during interviews and site visits conducted for this Analysis, challenges remain in the multisector and multilevel coordination and planning needed for forest management and prosecution of environmental crimes. Weakness in institutional capacity and coordination can hamper progress toward national level goals and international commitments. For instance, marine areas protected under the National System of Protected Natural Areas (SINANPE) represent about 0.4 percent of Peru’s territorial waters, far from the target of 10 percent by 2020, a commitment assumed as a Sustainable Development Goal signatory country and as part of the Convention on Biological Diversity. New efforts are underway for MINAM to provide technical assistance to regional and local governments to strengthen integrated management and planning of marine and coastal areas. 64 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

4.2 INTERNATIONAL AGREEMENTS

Peru is party to most international instruments pertaining to biodiversity and tropical forest conservation, including: • Convention on Biological Diversity; • Convention on Wetlands of International Importance (Ramsar Convention); • Convention on International Trade in Endangered Species (CITES); • Convention on the Conservation of Migratory Species of Wild Animals (Bonn Convention); • International Convention for the Prevention of Pollution from Ships; • Minamata Convention on Mercury; • International Tropical Timber Agreement; • International Treaty on Plant Genetic Resources for Food and Agriculture; • United Nations Declaration on the Rights of Indigenous Peoples; • International Labor Organization Convention 169 concerning Indigenous and Tribal Peoples; • Convention for the Protection of the Marine Environment and Coastal Area of the South-East Pacific; • Protocol for the Conservation and Management of Protected Marine and Coastal Areas of the South-East Pacific; • World Heritage Convention; • Convention for the Conservation and Management of Vicuña; • Inter-American Convention for the Protection and Conservation of Sea Turtles; • Amazon Cooperation Treaty (ACT).

Peru is also party to the Agreement on Port State Measures to Prevent, Deter, and Eliminate Illegal, Unreported, and Unregulated (IUU) Fishing, an international instrument spearheaded by the FAO whose objective is to prevent, deter, and eliminate IUU fishing by having port States implement effective measures to ensure the long-term conservation and sustainable use of living marine resources and marine ecosystems. Peru’s accession to this instrument was ratified by Supreme Decree 040-2017-RE of September 7, 2017.

In addition to these international agreements, Peru also participates in and has adopted several regional plans of action and strategies, including: • The Regional Biodiversity Strategy for Tropical Andean Countries (namely, Bolivia, Colombia, Ecuador, and Peru). • ACT’s Regional Action Plan for Biodiversity in the Amazon (which involves Bolivia, Brazil, Colombia, Ecuador, Guyana, Peru, Suriname, and Venezuela).

In the area of trade, the Trade Promotion Agreement between Peru and the United States, which includes an environment chapter with its forestry annex, has led to the implementation of important mechanisms that promote both environmental measures and measures for the sustainable use of forest resources. An example of this is the recent announcement by the United States Trade Representative of enforcement actions to block illegal timber imports from Peru from the Iquitos-based timber company, WCA Inversiones. A similar action was taken in October 2017, when timber products and exports from another Peruvian enterprise, Inversiones Oroza (Oroza), were denied entry after Peru was unable to verify whether the shipment had been inspected. LEGAL FRAMEWOR AFFECTING CONSERVATION 65

Lastly, Peru has been an important participant in regional negotiations on the most recent environmental agreement for Latin America and the Caribbean: “Regional Agreement on Access to Information, Public Participation, and Access to Justice in Environmental Matters in Latin America and the Caribbean” (the “Escazú Agreement”). This Agreement aims to ensure full and effective implementation in Latin America and the Caribbean of the rights to access environmental information, public participation in environmental decision- making, and access to justice in environmental matters, as well as capacity building and cooperation, in an effort to help protect the rights of every individual, of present and future generations, to live in a healthy environment and sustainable development. While Peru signed the Agreement in September 2018 in New York, ratification by Congress is pending. 4.3 GOVERNMENT AGENCIES

The three branches of government—legislative, of policies, laws, and regulations, above all in executive, and judicial—all play an important role areas where different sectors like agriculture, in developing and implementing the policies, laws, the environment, mining, and water, converge, and regulations that govern natural resource and as is the case in the Amazon region. Annex 6 biodiversity conservation at the national, regional, describes the role the different government and local level. Coordination among different lead agencies play in natural resource management agencies is key to the effective implementation and biodiversity conservation.

4.4 CONSERVATION INITIATIVES: GAP ANALYSIS

Multiple initiatives are underway to promote of Amazonas; and the Shunté and Mishollo forests biodiversity and tropical forest conservation in Peru (91,405.53 ha) in the region of San Martín (SERNANP, (see Annex 7). Among those led by the Government 2019). The actions taken by SERNANP have helped of Peru are SERNANP’s efforts to strengthen the to reduce adverse impacts on biological diversity by National Natural Protected Areas System (SINANPE). 0.28 percent. In 2018, a significant milestone was achieved by boosting the percentage of ecosystems conserved This is not, however, keeping pace with deforestation in protected areas from 95.44 percent to 95.72 rates in the Peruvian rainforest. According to a study percent. In 2018, SINANPE added: 868,927.84 ha done by the University of Maryland, and published of forestland with the creation of Yaguas National by Global Forest Watch, Peru lost 140,185 ha of Park in the department of Loreto; the regional primary forests in 2018, making it the seventh-ranked conservation areas of Vista Alegre Omia country in the world, and the fourth-ranked country (48,944.51 ha; the seasonally dry tropical forests in the Americas, with this type of deforestation. of Marañón (13,929.12 ha), located in the region Furthermore, Peru reported no significant changes 66 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Peru lost 140,185 ha of primary forests in 2018, making it the seventh-ranked country in the world, and the fourth- ranked country in the Americas, with this type of deforestation.

in deforestation rates in the period of 2013-2017 according to the Sixth National Report to the Convention on Biological Diversity (MINAM, 2019).

In terms of international cooperation efforts, a study was conducted in 2018 to generate recommendations for how to link forest-related international cooperation to Peru’s priorities analyzed policies, plans and strategies implemented in 2012-2017 (Pronaturaleza, 2018 Unpublished). In general, the study found an increase in international cooperation efforts in the forest sector, with most initiatives concentrated in the Amazon regions, prioritizing biodiversity conservation and forest sector regulations. Actions such as forest management, restoration, community forest management, and strengthening of authorities at the regional level were less represented. The study also found a need to strengthen coordination among donors and with government authorities at the national and regional level to promote ownership. The study indicates that when it comes to international cooperation, there needs to be a push for establishing and managing a specific forest-related cooperation agenda that avoids duplication and strengthens synergies. LEGAL FRAMEWOR AFFECTING CONSERVATION 67 68 TROPICAL FOREST AND BIODIVERSITY ANALYSIS STATUS OF THE COUNTRY’S BIODIVERSITY 69 70 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

he Analysis team identified twelve direct biodiversity threats to forest ecosystems and nine to marine and coastal ecosystems. Based on scope, severity and irreversibility, the most significant threats to tropical forests and biodiversity were found to be climate change, illegal logging, illegal mining, small scale and shifting agriculture, species overexploitation and poaching, unplanned rural roads and the expansion of illegal crops. The main pressures generated by these threats are deforestation, degradation, and pollution. In the case of marine ecosystems, the main threats identified were climatic variability and El Niño Southern Oscillation, habitat conversion, illegal fishing and overfishing followed by pollution from land-based sources and oil and gas developments. Threats to biodiversity in marine ecosystems and drivers are described in Annex 4. Climate change is discussed at the beginning of each section as the impacts of climate change can be considered threats and drivers which exacerbate other threats. THREATS TO BIODIVERSITY AND TROPICAL FORESTS 71

5.1 CLIMATE CHANGE: A DIRECT THREAT AND DRIVER THAT EXACERBATES OTHER THREATS TO BIODIVERSITY AND TROPICAL FORESTS

The Amazon rainforest dynamics are closely linked to the global climate system. The forest is continuously pumping water into the atmosphere through evapotranspiration from leaves (Aragao, 2012; Spracklen et al., 2012). This process consumes a significant portion of the solar energy that reaches the earth’s surface and, in this way, reduces the available heat. Forests are also massive carbon reservoirs, with carbon transferred to wood and fibers but also released back to the atmosphere through fires and decay. Wetlands in the Amazon are also reservoirs of underground carbon. If not managed adequately, the Amazon could become a source rather than a sink of greenhouse effect gases (Brienen et al., 2015; Wang et al., 2018).

Although the impact of climate change is yet to be fully understood, it is expected that global warming will likely reduce rainfall and increase temperatures Over 187,000 ha in the Amazon, contributing to regional vicious cycles between threats such as deforestation, degradation, has been impacted droughts, and more fires (Nepstad, 2008). According to future climate models the Amazon will become by fires in the peroid drier and the potential for large scale changes due to fire will be higher regardless of the protection status of 2012-2016 with because of the growing storage of dry fuel material most the forest (Coe et al., 2013; Lima et al., 2014). Drought, rising temperatures, accumulation of flammable organic impacted located in the matter and inadequate agricultural practices such as burning can contribute to the increased frequency and highlands areas. spread of forest fires. Over 187,000 ha were impacted by fires in the period of 2012-2016 with most of the forests impacted located in the highland areas, where Climate change can exacerbate drivers of threats burning is a common practice (SERFOR, 2018b). and threats at different levels. Agroclimatic extreme events can impact global commodity prices Severe droughts have the potential to collapse local (Chatzopoulos, et al., 2019). In the case of Peru, transportation systems based on river navigation extreme climatic events such as El Niño are expected and in extreme cases extensive fish mortality events to become more frequent. Reports by the Central could compromise human welfare at a local scale Reserve Bank indicate that the devastation caused by (Marengo et al., 2011; Freitas et al., 2013). In a El Niño in 2017, contributed to a reduction in GDP to similar way, Amazon forests are highly vulnerable to 2.7 percent as compared to 4 percent in the previous water stress resulting in lower primary production year (BCR, 2018). Responding to the event, required (Feldpausch et al., 2016), and, in extreme cases, the Government of Peru to mobilize financial and tree mortality leading to carbon emissions and a human resources to impacted areas during the positive feedback on climate change in the near term emergency and a commitment to invest about (Phillips, et al., 2009; Brienen et al., 2015). USD $2 billion in reconstruction efforts. 72 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Extreme climatic events cannot only lead to changes in of coffee in Peru, a study conducted by the World investment priorities, but also an increased pressure at Agroforestry Centre and the International Center for the local level for investment in roads. In many areas of Tropical Agriculture found that about 40 percent of the Peruvian Amazon, waterways are the main form of the current production areas in Peru’s northeast will transportation. Reductions in river flow resulting from no longer be suitable for coffee production by 2030 drought and deforestation can lead to unreliable levels due to climate change. Shifting to higher elevation for transportation, thus increasing pressure on the may be an alternative to farmers, putting additional demand for more rural roads. pressure on the biodiversity and headwaters (Robiglio et al., 2017). Interviews conducted for Climate change can also lead to the expansion of the this analysis revealed that some coffee farmers are agricultural frontier to higher elevations. In the case already shifting to higher elevations. THREATS TO BIODIVERSITY AND TROPICAL FORESTS 73

5.2 DIRECT THREATS TO TROPICAL FORESTS ECOSYSTEMS

ILLEGAL LOGGING to illegal gold mining in Madre de Dios was nearly Illegal logging is a widespread threat which causes 100,000 ha in 1984-2017, and record high levels were forest degradation and loss of target species. It is reached in 2017 and 2018 (CINCIA, 2018; Finer and also a driver for deforestation due to the increase in Mamani, 2018). About 70 percent of the artisanal the number of access roads for illegal operations. and small-scale gold production comes from Madre Lack of clarity on land tenure, corruption and the de Dios (Ramirez, 2017) around 20 tons annually expansion of unplanned rural roads opened (Larrea (GOMIAM, 2015). et al., 2017) contribute to the spread of illegal logging. In addition, illegal logging is a powerful A recent study identified 110 different mining sites disincentive to formal wood production as the throughout the Amazon region affecting forest market needs are satisfied by the low-cost illegal concessions, indigenous lands and protected areas products (Santos de Lima et al., 2018; Romero et al., (RAISG, 2019). Besides its large local impacts, 2017). Illegal selective logging has contributed to small scale gold mining uses mercury for ore reduce the overall monetary value of the standing processing, which is transformed into methyl forest and as the more valuable woods are harvested mercury, a hazardous substance that bioaccumulates the remaining forest cover is less attractive for throughout the food chain and freshwater forestry enterprises. Information gathered during ecosystems (Langeland et al., 2017). It is estimated site visits indicates that most of the timber is sold that around 500 tons of mercury were released to domestically, often through informal businesses. the atmosphere in Madre de Dios between1995 and Today, most of the wood being traded from Peru has 2007 (Ramirez, 2017). A study conducted in Madre legal documentation supporting its origin, however de Dios found little relationship between high levels the government is not able to ensure the legality of mercury in sediments and mercury levels in fish of the wood. Studies conducted by investigative (Martinez et al., 2018). These results point at the organizations have found high levels of timber need to analyze the impacts of mercury pollution at harvested from controversial areas such annulled the watershed and landscape level. Illegal mining is harvest areas (Global Witness, 2019). Finer et al found usually associated with other illegal activities such as in 2014 that 68.3 percent of the forest concessions human trafficking, illicit substances processing and had controversial performances due to illegal transport, land grabbing and other environmental activities (Finer et al., 2014). crimes (Cortés-McPherson, 2019).

ILLEGAL MINING SMALL-SCALE AND SHIFTING AGRICULTURE Small scale illegal gold mining is one of the most Usually, after logging roads and secondary roads pervasive problems in the lowland amazon, not are constructed, or if they exist near to development only because of its direct impacts (loss of vegetation projects, small-scale peasants (parcels usually cover, degradation and pollution of aquatic smaller than 5 ha) practicing subsistence slash ecosystems) but also its role as a powerful driver for and burn agriculture gradually clear forest areas immigration (Scullion et al., 2014; Alarcon et al., 2016; (Marquardt et al., 2013). According to MINAM Caballero et al., 2018). It is estimated that Peru loses up to 90 percent of deforestation is caused by around 9,000 ha of rainforest each year due to illegal shifting agriculture, however, this could be an mining. Recent analyses conducted by CINCIA and oversimplification of the complexity of the land MAAP projects revealed that deforestation related use change involving indigenous people, migrant 74 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

peasants and established colonists (Ravikumar Fishing intensity in the lowland Amazon was et al., 2017; Marquardt et al., 2019). Most of the traditionally low and used for subsistence and original impact of this small-scale agriculture has local markets until the 1980a. With the quick taken place in the montane forests of San Martín, development of commercial fisheries, the landings Huánuco, Pasco, Junín and Cuzco, with more than 70 increased until maximums were reached in 2010 percent of the deforestation affecting these forests (García et al., 2011; García-Dávila et al., 2018). types (Dance, 1983). By 2017, around 45,709 km2 of Nowadays, several large fish species have become montane forests had been deforested, and up to one scarce in the landings, and smaller species have the quarter of the remaining forests have a high or very largest share of the catch (Garcia-Dávila et al., 2018). high deforestation probability in the following years Also, several species are targeted for illegal trade (Bax and Francesconi, 2018). It also worth noting the as pets (freshwater turtles, birds) and ornamentals role of the alternative crops (palm, coffee, cacao, (orchids, fishes). According to SERFOR, boas, lizards piña, and others) introduced to farmers following and turtles are among the most trafficked reptile the eradication of coca in these areas. Several local species (SERFOR, 2017). Although most of the specialists consulted for this Analysis indicated trafficked wildlife is sold in local markets, there that the expansion of these crops have contributed is illegal trading with Asia and Europe as primary to deforestation. Environmental assessments of destinations. In the case of Iquitos, there has been alternative development programs could generate a recent surge in the demand of jaguar’s teeth and the information needed for decision makers to skins that could be linked international demand prevent or mitigate negative impacts. (WCS, personal communication).

Nowadays, small-scale agriculture is expanding in the Amazon lowlands with the increased accessibility UNPLANNED RURAL ROADS provided by the extensive road development of There are more than 7,000 km of unpaved rural the past decade. Also, some abandoned forest roads in the Amazon region (CIE-Perucámaras, concessions are being invaded by migrant peasants 2017) of which 37 percent are small trails used for and land traffickers. In addition, capital obtained local communities and forests extractors. A large from informal and illegal activities (small-scale portion of these roads is opened by hand without mining, illicit crops cultivation, etc.) is used to any planning, engineering study or safeguard. acquire land for farming and other purposes These unplanned roads create the opportunities (Macroconsult, 2012). Furthermore, the colonization for access to forest resources, land trafficking initiatives of a few religious groups looking for a and other illegal activities (Salisbury and Fagan, “promised land” have a strong deforestation impact 2013; Dammert, 2018). Impacts of the opening at specific sites in the Amazon: Arca Pacahuara at of roads include increased fire frequency, soil Iberia, Madre de Dios, Alto Monte de Israel at San erosion, landslides, alteration of sediment loads Pablo, Loreto, and Canaan de la Esperanza, Yavarí, in rivers and streams, introduction of invasive Loreto (Rivas, 2005). species, higher hunting and poaching pressure and proliferation of small-scale agriculture (Kleinschroth and Healey, 2017). Some early warning initiatives SPECIES OVEREXPLOITATION have been established in the past few years to (LEGAL AND ILLEGAL) alert the authorities about these unexpected Selective and illegal logging have caused the developments (such as MINAM-GEOBOSQUES, practical commercial extinction of several valuable ACCA-MAAP, Global Forest Watch). The information hardwoods like mahogany Swietenia macrophylla, generated by these initiatives allows for the easy red cedars Cedrela spp., and it is driving to extinction identification deforestation hotspots and leakage some others like shihuahuaco Dipteryx micrantha sites, however the actual intervention in the field to and Dipteryx charapilla in the absence of suitable address the problems detected is hindered by the habitat for natural regeneration (Andre et al., 2008, limited logistical and technical capacities of local Grogan et al., 2008; Putzel et al., 2011). enforcement institutions. THREATS TO BIODIVERSITY AND TROPICAL FORESTS 75

ILLEGAL CROPS fires to clear the remnants of the previous harvest, According to the latest public report on coca leaf or to clear land (Socolar et al., 2019). Often these production, in 2017 Peru was the second world bad practices lead to wildfires that result in further producer with almost 50,000 ha (UNDOC and DEVIDA, deforestation and the release of greenhouse 2018). Illicit crops have a similar expansion pattern to gases. Forest fires also release large amounts of small-scale agriculture, and in several cases the same smoke that affect public health and the normal social actors are involved. Most of the expansion operation of public services like air transportation of the coca crops have been restricted to tropical (De Mendonca et al., 2004). In 2017, 15,959 ha were montane forests starting in Cuzco in the sixties and impacted by forest fires in Peru (SERFOR, 2019). later to Huanuco and San Martin in the 1980s (Young, 1996). Current production is focused in Apurimac, Ene and Mantaro river basins (Bax and Francesconi, 2018). The illegal nature of the operation, and the Peru is the Latin large amounts of money involved leads to the development areas controlled by criminal groups as American country with a defense mechanism against the law enforcement (Davalos et al., 2011). the highest rate of forest

Coca crops have been identified inside protected conversion to palm areas mainly in Madre de Dios, Loreto and Pasco cultivation between totaling 228 ha (UNDOC and DEVIDA, 2018). SERNANP staff revealed they are planning joint 2014 and 2017. interdiction operations in these protected areas and their buffer zones. There were 3,368 ha of coca crops detected in indigenous lands, however the involved communities argued these activities are AGRIBUSINESS PROJECTS conducted by illegal invaders supported by corrupt Large scale and mechanized agriculture is fairly authorities. The impact of coca growing extends new in the Peruvian Amazon, and has come with well beyond deforestation. The leaves are usually the presence of industrial monocultures such as processed locally into coca paste using acids oil palm and cacao (Gutierrez-Velez et al., 2011; and solvents which are later disposed of in the Dammert, 2015, 2018). The expansion is mostly soil, polluting downstream streams and aquifers driven by the local and international market, but (Salisbury and Fagan, 2013). promoted as “development” by the regional and local governments. According to Vijay (2018) the palm oil expansion is responsible for 11 percent of NATURAL AND PROVOKED FIRES the agriculture expansion in the 2007-2013 period. Over the past two decades severe droughts In a comparative study among Latin American contributed to a higher frequency and magnitude countries, Furumo and Aide (2017) identified Peru as of wildfires in the Amazon (Campanharo et al., the country with the highest rate of forest conversion 2019). As droughts in the Amazon will become more to palm cultivation between 2014 and 2017. frequent it is expected the intensity and scope of forest fires will increase, and the carbon released Besides the loss of forest cover, their expansion from fires and decaying vegetation will be higher compromises important ecosystem services like (Aragao et a.l., 2018). As the forest is logged, and climate regulation and food security. The large size larger trees are removed, shrubs and grasses of the palm oil crops causes a higher fragmentation occupy of the clearings. During the dry season they impact than that of traditional agriculture, and dry and accumulate as fuel, increasing fire risks the use of pesticides and the maintenance of (Nepstad et al., 2008). Human-caused forest fires service roads require an increased monitoring and are closely linked to the expansion of agriculture surveillance program to prevent and reduce the in the Amazon. Usually, landowners set controlled ecological impact of the activity. 76 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

By 2016, extensive palm oil and cacao plantations had deforested around 13,000 ha in Loreto and Ucayali. THREATS TO BIODIVERSITY AND TROPICAL FORESTS 77

By 2016, extensive palm oil and cacao plantations Despite the environmental and social safeguards had deforested around 13,000 ha in Loreto and enforced by the financing bodies (IADB, CAF), many Ucayali. Some companies involved in industrial of the projects had relatively large impacts during the agriculture have used illegal practices. The Melka building phases, including increased encroachments Group was accused by the Peruvian Government of migrants looking for labor opportunities, of illegal deforestation, hostile displacement of displacement of indigenous groups, introduction of local and indigenous communities, and bribery and exotics, illegal logging and poaching. Furthermore, extortion of local authorities, among other illegalities some of the more pervasive environmental impacts (CONVOCA and OXFAM, 2016). In August 2019 Cacao were identified once the road was operational: del Perú Norte SAC, a member of the Melka Group, impact analysis showed that the buffer zone of was sanctioned with a USD 5 million fine and prison 10 km around the roads have a higher deforestation for the company managers. There are still several rate than other areas (Reymondin et al., 2013), conflicts between indigenous communities and the expected positive economic benefits to small plantations pending solution in the Amazon: Grupo landowners were not met (Oliveira et al., 2019), 8P (previously Plantaciones de Pucallpa SAC) in and resulted in forest clearing and burning, land Ucayali, Palmas de Shanusi in San Martín, and trafficking and illegal logging (Redwood, 2012). In Tamshi SAC in Loreto, among others. the case of Madre de Dios, the Interoceanic Highway, part of IIRSA Sur threatens the connectivity of the Information gathered during site visits indicates Vilcabamba-Amboro biological corridor due to the that there is interest from the private sector to related expansion of artisanal and small-scale gold reduce the negative impacts of agribusinesses mining, small-scale agriculture and rural roads and the negative perceptions around oil palm, (Vanthomme et al., 2019). in particular, by adopting best practices and international standards. The Amazon waterway (hidrovía amazónica) project in Northern Peru is affecting the largest rivers: Marañón, Ucayali, Huallaga, and Amazonas. This project LARGE TRANSPORTATION expects to increase the speed and size of vessels INFRASTRUCTURE using the river for transportation of people and goods The construction and paving of new roads buy dredging several shallow areas in those rivers. facilitate the expansion of the development Besides the environmental issues already identified frontier by providing access to forest resources, (Bebbington et al., 2018; Bodmer et al., 2019), the but also by reducing the costs of transportation major issue are the long term viability of these to markets (Mäki et al., 2001). In recent times improvements as the lowland amazon rivers have the most important regional infrastructure plan strong lateral dynamics, and some of the original is the Initiative for the Integration of Regional shallow spots identified 20 years ago have changed Infrastructure in South America (IIRSA) started in (WCS, comm.pers.). The project is managed by 2000, and spearheaded by Brazil. The original IIRSA Consorcio Hidrovias II (a joint Chinese and Peruvian portfolio included 335 projects with around investment) since 2017 and it is bringing a growing USD 37 billion investment, but these numbers were number of Chinese citizens to the region. doubled by 2011 (Kis Madrid, 2011). The Peruvian Amazon was involved in the IIRSA Sur (Matarani port facilities – Madre de Dios), IIRSA Centro (Lima- INTRODUCED SPECIES Tingo María-Pucallpa road, ports and logistics Several plant species were introduced to the centers), and IIRSA Norte (Bayóvar and Paita ports, Amazon decades ago to complement agroforestry multimodal connection to Manaus and Santarem practices and to help in the recovery of degraded including roads, waterways and logistics facilities). soils after long fallow periods (Palm et al., 2005). The detailed Peruvian plan included 31 roads and Unfortunately, some of these plants successfully 4 waterways with a total of 12,000 km to connect adapted to wild conditions and have spread, agricultural production and mining centers with along with the progressive colonization of the national and international markets. amazon region. These invasive species compete 78 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

with natural vegetation and crops for nutrients could become a serious problem if they escape reducing production volume and quality. They are to water courses as they are very aggressive usually very aggressive, expanding into the range of and voracious. natural vegetation and causing environmental and economic damage. Control systems are expensive and require periodical interventions. Often farmers LARGE EXTRACTIVE INDUSTRIES burn the land to eradicate invasive species, a (OIL AND GAS) practice that may aggravate the problem (Marquardt There are twelve oil/gas blocks in operation in Peru, et al., 2013). and five blocks in the exploration phase (Perupetro http://www.perupetro.com.pe). Hydrocarbon Some of the more pervasive exotic species in the exploration and exploitation is driven by increasing Peruvian Amazon are coquito (Cyperus rotundus), local demand as Peru is importing diesel and oil arrocillo (Rottboellia cochinchinensis), and kudzu to satisfy its internal needs. These initiatives are (Pueraria phaseoloides). Kudzu is a leguminous strongly supported by governmental policies and are nitrogen-fixing herbaceous cover crop that was considered a national priority. However, extractive introduced to Peru in 1942. It is used to improve industries have a long record of negative interactions fallows or in association with Inga in agroforestry with both biodiversity conservation and indigenous (Preininger et al., 2010). It is also used as forage people, especially in remote areas (Orta-Martinez for livestock and as supplement in pig farming et al., 2007; Humphreys et al., 2018). Despite a diets. However, the risk of kudzu expansion affects paucity of reports, it is estimated that more than natural areas is very high as it can displace native 60 oil spills have occurred in the Peruvian Amazon plants due to its adaptative capacity to acid and low according to OSINERGMIN. fertility soils. Offshore-in-land operations have the potential to There are several fish species introduced in Peru reduce the environmental impacts of hydrocarbon as live food or for aquaculture that have been operations (Finer et al., 2013). However, practices able to establish wild populations. This is the case used during the seismic exploration phase could of gambusia (Gambussia cf. affinis) and tilapia impact native species distribution (Kolowski and (Oeochromis niloticus) but there are no records of Alonso, 2010). Soundscape analysis around natural negative interactions with local fauna (Cossios, gas wells revealed bird diversity reduction and 2010). Other tilapia species such as O. aureus and lower hunting activity near these operation sites O. hornorum are raised only in fish farms but they (Deichmann et al., 2017). THREATS TO BIODIVERSITY AND TROPICAL FORESTS 79

5.3 DRIVERS OF THREATS TO TROPICAL FORESTS ECOSYSTEMS

INSTITUTIONAL INADEQUATE ARRANGEMENTS MANAGEMENT CAPACITY Peru’s vision through 2050 highlights a commitment Territorial management in Peru is the responsibility to the sustainable management of the territory and of the regional and local authorities. Decentralization to its ecosystem services, including biodiversity efforts, the transfer of such responsibilities from conservation and adaptation to climate change. the national government, have taken years and This vision reflects a commitment from the some regional and local governments lack the Government of Peru to promote an economic human and financial resources needed for adequate development model that respects and values the management of their territories. This challenge conservation of biodiversity and natural resources, was raised in multiple meetings with government but its implementation requires political will at all officials during the site visits. A study conducted levels of government to ensure that the required by the Smithsonian Institution analyzed different financial resources and institutional arrangements development scenarios for the region of Madre de are in place. Dios, and found that active territorial management of the region’s landscape would provide higher While the Government of Peru has made progress in economic performance than unmanaged strengthening the implementation of environmental development through 2040 (Vanthomme, et al., laws and regulations, weaknesses in environmental 2019). While this study focused only in Madre de Dios, governance at the regional and local levels continue the need to strengthen management capacities at to be factors driving threats to biodiversity and the regional and local level is pervasive in Peru. tropical forests. Some of the challenges identified in the 2016 Tropical Forest and Biodiversity Assessment Multiple agencies are involved in natural resources (de Quiroz et al 2014) are still prevalent and were management. Inadequate intersectoral and mentioned by stakeholders consulted for this interinstitutional coordination can result in reduced analysis. Such challenges include: efficiency of government efforts (Vanthomme, et al., • Concessions are allocated on a sector basis, which 2019). The bureaucratic complexity of processing land can lead to overlap in the legally conceded use use permits, formalizing concessions, or managing rights. Cases such as overlaps between mining private conservation were challenges raised by concessions and agricultural or forest rights are stakeholders consulted for this Analysis. Stakeholders common in areas like Madre de Dios. raised the need for improving coordination between • Lack of clarity on land tenure is another related national and regional level authorities to ensure source of conflict that impacts native communities regional contexts are considered in the development and farmers settled in areas such as permanent of laws and regulations. production forests. • Criteria for land holders to secure a land title or High staff turnover rates can also contribute to land us rights include the need to demonstrate inadequate management capacity if knowledge is that the parcel of land is under production or has not adequately transferred or new staff lack needed been “improved”. This continues to be a perverse skills or are appointed to respond to private interests. incentive that contributes to deforestation. In addition to staffing fluctuations as a result of new elected officials, the slow implementation of the public service law (SERVIR) means that some government staff work on short-term contracts and 80 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

often do not receive payment for months, which can may return to planting illicit crops as a source reduce retention. of income. • Mitigating the impacts of large scale and Positive signs towards strengthening management rural roads. efforts and coordination were observed during the • Mitigating the environmental impacts of artisanal site visits. In Ucayali, efforts are underway to create a and small-scale gold mining, as well as restoration new Regional Office for Forestry and Wildlife Issues. of areas impacted by this activity. Following the steps of the region of San Martin, this • Developing incentives for conservation change in the management structure is expected to enterprises. raise the profile of the forest sector in the region by • Generating scientific evidence for decision- increasing financial resources and decision-making making. In terms of biodiversity, there is a need authority. In the case of Madre de Dios, in February to conduct population assessments for multiple 2019, the Government of Peru launched Operacion species in Peru to determine their current status Mercurio, an interagency effort to eliminate illegal and threat level. mining from an area known as La Pampa. This was an effort to reduce the encroachment of illegal mining into protected areas. This operation resulted from SOCIO-POLITICAL political will at the highest levels of the government FACTORS to mobilize both human and financial resources. While poverty rates in Peru have decreased steadily Deforestation due to illegal gold mining decreased over the past ten years, inequality and informality 92 percent between 2018 (900 ha) and 2019 (67 ha), continue to be prevalent. Access to services and representing the situation before and after the start economic opportunities continues to drive migration of Operation Mercury (Villa and Finer, 2019). towards urban areas, with populations in rural areas decreasing at a rate of 2.1 percent per year (INEI, 2018c). The 2017 Census found an increase in the INADEQUATE population in the coast and amazon jungle, and a TECHNICAL CAPACITIES decrease in the population in the highlands. The The VI National Report on Biological Diversity increase in the population in the jungle, coupled with highlights the need to strengthen government weak environmental governance puts additional capacities to achieve conservation goals (MINAM, pressure on the local biodiversity and tropical 2019). Inadequate technical capacities at the forests. The Latin America Public Opinion Project different scales of government, and among civil (LAPOP) found that illegal logging is perceived as the society can limit the management of Peru’s tropical main illegal activity in the jungle, and illegal mining forests and the wellbeing of the communities that in the highlands; while narco-trafficking is perceived depend on these forests. as the main illegal activity that contributes to the economy in the north coast, central highlands and The need to strengthen local capacities was raised Lima (Carrion et al., 2018). by multiple stakeholders during the site visits and consultations conducted for this Analysis, in areas Public participation in environmental decision- such as the following: making, and greater awareness of the value • Implementing traceability mechanisms in the of biodiversity and tropical forests are key to forest sector, strengthening community forest helping increase political will for the conservation management, and promoting value chains for non- and improved management of these resources. timber forest products. According to LAPOP, most Peruvians would prioritize • Supporting coffee and cacao farmers to increase environmental protection over economic activities the productivity and quality of their crops to (Carrion et al., 2018). However, the environmental access specialized markets and mitigate the performance review of Peru conducted by the impacts of climate change. Given that the price of OECD found that even though Peru is making these commodities depends on global markets, progress in the development of laws and regulations when prices are down vulnerable farmers that promote citizen participation, “citizens still THREATS TO BIODIVERSITY AND TROPICAL FORESTS 81

have only limited opportunities to influence environmental decisions.” Instruments such as environmental impact assessments and territorial Timber exports in 2018: governance processes need to be strengthened to allow for broad participation of all affected social groups (OECD, 2016). Furthermore, lack USD $125 million of information or access to relevant information can hinder public understanding, awareness and decreased as compared participation (OECD, 2016); and contribute to the to 2015: undervaluation of the environmental goods and services provided by forest ecosystems as described in the 2014 Tropical Forests and Biodiversity USD $151 million Assessment (de Quiroz et al 2014). according to the Central During consultations conducted for this Analysis, and the site visit to Madre de Dios, some interviewees Reserve Bank of Peru highlighted the value of activities aimed at (BCRP, 2018). strengthening scientific capacity and access to information for decision-making. Findings of studies conducted by the Center for Amazonian Scientific Innovation with support from USAID and other Demand for agroindustry production will also partners, have contributed to developing plans to continue putting pressure on tropical forests and restore lands degraded by illegal gold mining. biodiversity. The expansion of the oil palm and cacao industries is a major threat. In 2018, oil palm exports were about USD 5.3 million, as compared to ECONOMIC USD 189,000 in 2014. In the case of cacao products, FACTORS exports in 2018 were USD 56.8 million, as compared Peru’s primary productive sectors are agriculture, to USD 1.9 million in 2014. While the expansion fishing, metal mining, hydrocarbons, and primary of oil palm plantations is a significant concern, a manufacturing. Global demands for metals and recent announcement from oil palm producers commodities impact Peru’s economy, and given and the Government of Peru suggest an increased weaknesses in environmental governance, are commitment to reduce deforestation in oil palm drivers of threats such as illegal mining, illegal production by 2021. logging and overexploitation of wildlife. On August 23, 2019, gold price reached a six-year high of USD 1,537 per ounce. Given the risks of a new global recession, gold prices are expected to increase, thus Gold prices are continuing to put pressure on biologically sensitive expected to increase, areas in the Amazon, as is the case in Madre de Dios. In the case of the timber industry, a study conducted thus continuing to by the FAO in 2018 found that in Peru most of the demand for timber is local. In 2015, only 10 percent put pressure on of the timber sales were exports. Exports in 2018 (USD 125 million) decreased as compared to 2015 biologically (USD 151 million) according to the Central Reserve sensitive areas Bank of Peru (BCRP, 2018). The same study found that it is complicated to verify traceability around in the Amazon. internal trade, due to the large number of economic units and lack of capacity of authorities to verify volumes of timber commercialized. 82 TROPICAL FOREST AND BIODIVERSITY ANALYSIS STATUS OF THE COUNTRY’S BIODIVERSITY 83 84 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Table 3 outlines actions needed to address the different drivers of threat to biodiversity. The drivers are summarized in subcategories. The actions were identified based on the information collected during the review of secondary literature, site visits and consultations. Table 3 Actions Necessary to Conserve Biodiversity (Tropical Forests and Marine Ecosystems)

DRIVERS ACTIONS NEEDED TO CONSERVE BIODIVERSITY IN TROPICAL FORESTS CLIMATE CHANGE Inadequate water levels • Promote the use of natural infrastructure to increase water storage for dry and flow in rivers seasons; and reduce deforestation rates in sensitive areas. Droughts and buildup of flammable organic • Develop a warning system for forest fire monitoring and prevention. material • Boost technical capacity for implementing sustainable agricultural practices and Increases in extension services. temperatures and • Create financial and non-financial incentives for products that do not contribute changes in agricultural to deforestation of biologically sensitive areas. altitudinal frontier • Promote the implementation of ecological and economic zoning. INSTITUTIONAL ARRANGEMENTS Lack of political will to implement a shared • Promote efforts to strengthen political will. vision for sustainable development Institutional weakness • Consolidate decentralization efforts in the forest and environment sectors. at the subnational level Land tenure and • Promote inter-agency coordination and build capacities to streamline protocols. property rights conflicts • Consolidate efforts to promote the management of indigenous lands. INADEQUATE MANAGEMENT CAPACITY • Develop joint strategies and protocols to promote coordination at the national Inadequate inter- and subnational level. sectoral coordination • Strengthen CEPLAN’s capacity to promote cross-sectoral coordination, participation, and accountability. Inadequate coordination • Promote institutional mechanisms for policy dialogue and coordination. between national and subnational agencies • Develop joint intervention protocols for judiciary officials. Inadequate • Strengthen the services provided by the judiciary and enforcement system implementation of laws (specialized environmental courts; protection for environmental defenders; and regulations specialized teams with supranational jurisdiction). ACTIONS NECESARY TO CONSERVE BIODIVERSITY 85

DRIVERS ACTIONS NEEDED TO CONSERVE BIODIVERSITY IN TROPICAL FORESTS • Strengthen capacities to assess and mitigate environmental impacts of agricultural, land use change and infrastructure projects. Inadequate land • Strengthen the implementation of economic and ecological zoning at the use planning and subnational and local levels. management • Strengthen indigenous participation and capabilities for co-managing conservation areas. • Promote implementation of the Civil Service Law (SERVIR), and limits for the High staff turnover number of political appointees. • Promote implementation of the SERVIR law, and anti-bribery measures. Corruption • Promote investigative journalism and transparency efforts. INADEQUATE TECHNICAL CAPACITY Inadequate promotion and implementation of • Create incentives for economic activities and non-timber forest products that sustainable agricultural promote conservation and contribute to maintaining standing forest. practices Inadequate technical • Build capacities among agricultural extension agents to minimize environmental assistance for the impacts and promote biodiversity conservation. agriculture sector • Promote initiatives to scale up agricultural extension services. Inadequate adaptation • Strengthen capacities to access to relevant markets and financing. to market demand for • Promote research on alternative products with a view toward sustainability. sustainable products • Promote incentives for sustainable businesses. Inadequate capacity • Promote private and financial sector involvement in developing incentives for for implementing conservation enterprises. incentives for • Create incentives for private conservation initiatives (including financial sustainable businesses incentives). Inadequate capacity • Implement the National Forest and Wildlife Information System (SNIFFS) at the for implementing national and regional level. traceability, monitoring, • Foster transparency and accountability in the forest and ASGM sectors. and enforcement • Promote formalization and oversight of artisanal and small-scale mining systems in the timber operations. and gold mining sectors • Promote research on biodiversity valuation, the dissemination of findings, and Undervaluation of capacity-building at the sub-national level. biodiversity • Promote environmental education and democracy strengthening initiatives. SOCIO-POLITICAL FACTORS Lack of economic • Promote sustainable development efforts in areas with high poverty levels. opportunities • Strengthen regional and local governments’ land use planning and Migration management capacity. • Build scientific capacity and use of evidence for decision-making at the Lack of information subnational level. and knowledge • Foster coordination between academic institutions and the government. 86 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

DRIVERS ACTIONS NEEDED TO CONSERVE BIODIVERSITY IN TROPICAL FORESTS ECONOMIC FACTORS • Strengthen the implementation of ecological and economic zoning. Demand for land • Build political will and capacities to address land tenure and property rights issues. Domestic and • Strengthen capacity for compliance with laws and regulations, including international demand through the implementation of timber traceability efforts. for natural resources • Promote efforts to raise public awareness in order to prevent environmental (gold, timber, species) crimes and demand for illegal products. • Strengthen capacity for compliance with laws and regulations. Illegal trafficking in • Promote efforts to raise public awareness in order to prevent environmental natural resources crimes. • Reinforce oversight and monitoring systems.

DRIVERS ACTIONS NEEDED TO CONSERVE BIODIVERSITY IN MARINE ECOSYSTEMS CLIMATE CHANGE ENSO and climatic • Promote learning among adaptation initiatives. variability • Promote adaptation of artisanal fishing operation. INSTITUTIONAL ARRANGEMENTS Uncoordinated and • Assess the current marine policy framework and identify needs for obsolete coastal marine modernization. policy Open access regime for • Develop a system for exclusive fishing rights. artisanal fishing • Consolidate decentralization efforts and strengthen capacities at the regional Institutional weakness and local government levels for the management of fisheries and marine at the subnational level resources. Insufficient fishing • Modify usage rights rates to ensure resources cover management costs. rights INADEQUATE MANAGEMENT CAPACITY Inadequate fisheries • Modernize management instruments to incorporate the use of evidence, management system transparency and stakeholder participation in management decisions. • Develop joint strategies to align efforts, resources and technical capacity of the different institutions at national and sub-national level and across the different Inadequate inter- sectors. sectoral coordination • Strengthen CEPLAN’s capacity to promote coordination, participation, and accountability for intersectoral coordination. • Develop joint intervention protocols for judiciary officials. Inadequate • Strengthen the services provided by the judiciary and enforcement system implementation of laws (specialized environmental courts; protection for environmental defenders; and regulations specialized teams with supranational jurisdiction). ACTIONS NECESARY TO CONSERVE BIODIVERSITY 87

DRIVERS ACTIONS NEEDED TO CONSERVE BIODIVERSITY IN TROPICAL FORESTS Un-planned urban • Strengthen capacities at the regional and local government levels for the development management of fisheries and marine resources. • Promote implementation of the SERVIR law, and anti-bribery measures. Corruption • Promote investigative journalism and transparency efforts.

INADEQUATE MANAGEMENT CAPACITY Inadequate capacity • Promote the development and adoption of best practices and development of to implement best new technologies. practices Ecosystem management • Build capacities for the design and execution of adaptive management approach and adaptive strategies in the fisheries sector. management Undervaluation of • Build technical capacity for biodiversity and blue carbon valuation in public fisheries and marine accounts. resources • Promote efforts to disseminate information and knowledge. Inadequate capacities for planning and use • Build scientific capacity and dissemination of results at sub-national level. of marine-coastal resources Inadequate capacity to implement traceability, • Improve traceability systems for effective enforcement along the fishing value monitoring and control chain. systems SOCIO-POLITICAL FACTORS • Build local capacities for land use planning, provision of state services and Population growth management. Lack of economic • Strengthen capacities to promote economic opportunities and employment. opportunities • Build scientific capacity and use of evidence for decision-making at the Lack of information and subnational level. knowledge • Foster coordination between academic institutions and the government. ECONOMIC FACTORS Global demand for fish • Strengthen capacities for compliance with laws and regulations and implement meal and oil effective traceability initiatives. Illegal trafficking in • Strengthen capacity for compliance with laws and regulations; and promote natural resources efforts to raise public awareness in order to prevent environmental crimes. 88 TROPICAL FOREST AND BIODIVERSITY ANALYSIS STATUS OF THE COUNTRY’S BIODIVERSITY 89 90 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

his section focuses on the actions necessary to conserve biodiversity in tropical forests given that work on the conservation of marine resources has not been a core component of USAID development objectives in Peru. The extent to which the Mission meets the identified actions is summarized on Table 4. EXTENT TO WHICH THE MISSION MEETS THE IDENTIFIED ACTIONS NEEDED 91

Table 4 Extent to which the Mission Meets the Identified Actions Conservation

TROPICAL FORESTS AND BIODIVERSITY

ACTIONS NEEDED EXTENT TO WHICH THE MISSION MEETS IDENTIFIED ACTIONS INSTITUTIONAL ARRANGEMENTS Promote efforts to strengthen political Projects under Development Objective 3 (DO3) include will. Promote political advocacy and activities to share information and raise awareness among efforts to communicate the importance government agencies at a technical level. Additional efforts of conservation to Peru’s economic could be considered for improving awareness-raising at the development. political and legislative level. Consolidate decentralization efforts in the Efforts under DO3 include work with the regional governments forest and environment sectors. and SERFOR in transferring capacities and resources to local forest authorities. The Mission is no longer investing directly in the decentralization process.

Strengthen the public and natural resource Projects under DO3 aim to build subnational capacity relating management capabilities of the regional to forest resource management. Projects under DO1 and DO2 governments. aim to strengthen public management capacity to promote transparency and public investment in priority areas for alternative development programs. Promote inter-agency coordination and The Mission provides limited support to matters related to land streamline protocols to help resolve land tenure and property rights. tenure conflicts.

Consolidate efforts to promote the Activities under DO3 help build local capacities for the management of indigenous lands. management of indigenous lands in targeted areas. INADEQUATE MANAGEMENT CAPACITY Develop joint strategies and protocols to Activities under DO3 strengthen forest governance capabilities promote coordination at the national and at the subnational level. The new activity focusing on subnational level. environmental crimes will promote coordination between national and subnational agencies to prevent, investigate, and sanction environmental crimes. Strengthen CEPLAN’s capacity to The projects under DO1 and DO2 aim to strengthen public promote coordination, participation, and management capabilities for promoting transparency and accountability in cross-sector management public investment in priority areas for alternative development to ensure the effective management of programs. natural resources and prevention of threats. Promote institutional mechanisms for The Mission implements actions focused on the objectives of policy dialogue and coordination. each of the three DOs via its corresponding programs. 92 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

ACTIONS NEEDED EXTENT TO WHICH THE MISSION MEETS IDENTIFIED ACTIONS Develop joint intervention protocols for The new activity under DO3 focusing on environmental crimes judiciary officials. will promote coordination between national and subnational agencies to prevent, investigate, and punish environmental Strengthen the services provided by crimes. The Mission is not directly supporting the creation of the judiciary and enforcement system specialized courts. (specialized environmental courts; protection for environmental defenders; specialized teams with supranational jurisdiction).

Create effective mechanisms to ensure The Mission does not have a program focused on protection for those who act in defense of environmental defenders. the environment and natural heritage. Include environmental assessments in land The Mission does not have any activity focused on use change and infrastructure projects in strengthening capacity in terms of environmental the Amazon. assessments, except for specific efforts under DO3 focused on the forest sector. Promote implementation of the SERVIR The Mission is supporting SERFOR with the implementation of law at the regional and local government the SERVIR law. level, and limit the number of political appointees. Promote investigative journalism and The Mission is supporting initiatives to promote transparency efforts. transparency in the government under DO2 and DO3 (focusing on the forest sector). Develop and adopt anti-bribery practices The Mission is supporting initiatives to promote transparency in and standards and computerize the government under DO2 and DO3. mechanisms that impede “access” to officials. INADEQUATE TECHNICAL CAPACITY Create incentives for economic activities Activities under DO1 and DO3 incorporate deforestation and non-timber forest products that do not prevention efforts. contribute to deforestation in the Amazon. Through a new DO3 activity, USAID is planning to promote partnerships with the private sector to strengthen sustainable businesses. Promote the implementation of ecological The Mission does not have activities aimed at enhancing the and economic zoning at the subnational ecological and economic zoning process. However, support is level. being provided for forest zoning. Strengthen capacities to access to relevant Through a new DO3 activity, USAID is planning to promote markets and financing. partnerships with the private sector to strengthen sustainable businesses. Under DO1, the Mission supports market linkage Promote incentives for sustainable efforts for coffee and cacao in alternative development areas. businesses.

Promote incentives for private conservation initiatives (fast-track procedures). EXTENT TO WHICH THE MISSION MEETS THE IDENTIFIED ACTIONS NEEDED 93

ACTIONS NEEDED EXTENT TO WHICH THE MISSION MEETS IDENTIFIED ACTIONS Build capacities among agricultural The Mission, under DO1, supports rural extension efforts extension agents to minimize through the National Commission for Development and Drug- environmental impacts and promote free Life (DEVIDA) in alternative development areas. biodiversity conservation.

Promote initiatives to scale up agricultural extension services. Promote research on alternative products Under D01, the Missions supports efforts focused on coffee and with a view to sustainability. cacao in alternative development areas. Implement the National Forest and Through DO3 activities, the Mission is supporting development Wildlife Information System (SNIFFS) at and implementation of the SNIFF. USAID expects to foster the national and regional level. Promote coordination between relevant agencies via a new activity to transparency and accountability in the combat environmental crime. forest and ASGM sectors. Efforts under DO2 could be expanded to promote transparency Promote formalization and oversight and accountability in the forest sector. of artisanal and small-scale mining operations. Promote research on biodiversity valuation, The Mission has supported biodiversity valuation efforts under the dissemination of findings, and capacity- the current CDCS. Productive activities under DO1 have helped building at the sub-national level. Promote place value on biodiversity (coffee and cacao). Forest sector environmental education and democracy activities under DO3 have helped to strengthen value chains for strengthening initiatives. timber and non-timber products. The new activity to promote private sector investment is expected to contribute to better valuation of biodiversity and ecosystem services. SOCIO-POLITICAL FACTORS Promote sustainable development efforts The Mission provides limited support for this action. in Peru’s andean highlands, which are home to its highest poverty levels. Strengthen regional and local governments’ The Mission provides limited support for this action. land use planning and public management capacity. Foster education for socio-environmental Activities under DO2 and DO3 promote transparency and democracy. citizen participation in decision making. Strengthen indigenous participation and USAID efforts under DO2 and DO3 have supported co- capabilities for co-managing conservation management of protected areas (e.g., Management Contract areas. Executor Amarakaeri). Promote research, the dissemination of Efforts under DO1, DO2, and DO3 have helped to generate findings, and capacity-building at the scientific knowledge and disseminate information. Activities subnational level (universities). like those of the Center for Amazonian Scientific Innovation Strengthen the capacity of research (CINCIA) and the Partnerships for Enhanced Engagement in institutions at the subnational level. Research projects directly support the generation of scientific knowledge. FOREST has started partnerships between US and Promote coordination between academic Peruvian universities. Additional efforts are needed to build institutions and the government. local scientific capacities. 94 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

ACTIONS NEEDED EXTENT TO WHICH THE MISSION MEETS IDENTIFIED ACTIONS ECONOMIC FACTORS Strengthen the implementation of The Mission provides limited support for efforts related to land ecological and economic zoning. ownership.

Build political will and capacities to address land tenure and property rights issues.

Strengthen capacity for compliance with Efforts under DO1, DO2, and DO3 support these actions. The laws and regulations, including through new environmental crime activity under DO3 will promote the implementation of timber traceability coordination between national and subnational agencies to efforts. prevent, investigate, and punish environmental crimes.

Promote efforts to raise public awareness in order to prevent environmental crimes and demand for illegal products. CLIMATE CHANGE Promote the use of natural infrastructure to The Mission partially supports this action. Measures to mitigate increase water storage during dry seasons; the environmental impact of USAID productive activities and reduce deforestation rates in sensitive include recommendations for preventing erosion and for the areas. use of buffer strips near rivers and gullies. Activities under DO1 encourage the use of these measures but the degree to which they are implemented is limited insofar as implementation is up to farmers.

The Natural Infrastructure for Water Sustainability (NIWS) activity under DO3 focuses on promoting conservation and better management of natural infrastructure for storing water in upper basins.

The Mission does not have activities focused on promoting or implementing environmental safeguards associated with rural roads. Develop a warning system for forest fire Efforts under DO3 include technical assistance to strengthen monitoring and prevention. government agencies’ capacity to plan responses to forest fires. Promote the implementation of ecological The Mission does not have activities aimed at enhancing the and economic zoning at the subnational ecological and economic zoning process. However, support is level. being provided for forest zoning.

96 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

RECOMMENDATIONS STATUS OF THE COUNTRY’S BIODIVERSITY 97

The Assessment Team found the following activities and adjustments that USAID/Peru can make within the constraints of its current strategy and projects, and that could contribute to the integration among Development Objectives (DOs) and the self-reliance of Peruvian institutions. Table 5 Recommendations

PROACTIVE: ADAPTING OPPORTUNITY: DIRECT THREAT REDUCTION: PROGRAMS TO IMPROVE WORKING UNDER DESIGNING NEW ACTIVITIES THE EXTENT TO WHICH EXISTING USAID SPECIFICALLY TO REDUCE THREATS USAID ADDRESSES THE PROGRAMS TO AND PROMOTE BIODIVERSITY ACTIONS NECESSARY Integrate efforts between Strengthening capacities DO1 and DO3 in order of government agencies to strengthen forest Support relevant authorities for inter-institutional governance, promoting to conduct environmental Alternative monitoring of investment in alternative assessments to mitigate impacts development deforestation due to development activities of alternative development expansion of small-scale while promoting forest efforts. agriculture and illicit conservation and crops in priority areas. biodiversity. Promote coordination Support efforts to Support efforts specifically aimed between transparency strengthen capacity of the Governance and at generating political will for the and anti-corruption Government of Peru to institutional conservation of biodiversity and activities with the address land tenure and strengthening tropical forests at multiple levels environmental, forestry, land use rights in priority of government. and agricultural sector. areas. Design new activities to Promoting inter- strengthening local capacities to institutional coordination mitigate the impacts of roads in platforms or spaces biologically sensitive areas. Integrating aspects of among USAID operators conservation and value under DO1 and DO3 To address threats to marine chains for non-timber Environment to resolve priority ecosystems, USAID could consider products with market and sustainable bottlenecks such as land expanding efforts to strengthen potential in projects growth tenure in permanent enforcement of environmental under DO1 and DO3. production forests laws and regulations to include and buffer zones land conversion and illegal fishing; and strengthen local and include the management territorial planning of marine ecosystems in capacities. transparency and anti-corruption initiatives.

In addition, USAID/Peru is well positioned to take a leading role in the coordination with other donors and U.S. Government Agencies investing in the forest sector and environmental law enforcement to maximize the impact of the activities that will bridge into the 2020-2025 CDCS. USAID/Peru can also leverage efforts under the Amazon Regional Environment Program to complement efforts on strengthening indigenous economies, promoting best practices in large scale infrastructure and extractive industries, and strengthening Peru’s capacities to monitor the impacts of climate change in the Amazon. 98 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

ANNEXES

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ANNEXE 2 SCOPE OF WORK

I. BACKGROUND As part of the documentation for the 2020-2025 Country Development Cooperation Strategy (CDCS), USAID/ Peru is required by Sections 118 and 119 of the Foreign Assistance Act (FAA), as amended, to prepare an analysis of tropical forests and biodiversity in Peru.

By mandating an FAA 118/119 analysis (hereafter referred to as “the analysis”), the U.S. Congress is recognizing the fundamental role that tropical forest and biodiversity play in supporting countries as they progress along the journey to self-reliance. The analysis will examine the country-level forest and biodiversity conservation needs and the extent to which the Mission in Peru is currently addressing the identified needs for forest and biodiversity conservation. The report recommendations will help the Mission identify ways to strengthen host country commitment and capacity to biodiversity conservation.

1.1 SUMMARY OF RELEVANT PARTS OF FAA SECTIONS 118 AND 119 FAA Sections 118 and 119, as amended, require that USAID missions address the following:

1) FAA Sec. 118 Tropical Forests (e) COUNTRY ANALYSIS REQUIREMENTS. Each country development strategy statement or other country plan prepared by the Agency for International Development shall include an analysis of: 1) The actions necessary in that country to achieve conservation and sustainable management of tropical forests. 2) The extent to which the actions proposed for support by the Agency meet the needs thus identified.

2) FAA Sec. 119 Endangered Species (d) COUNTRY ANALYSIS REQUIREMENTS. Each country development strategy, statement, or other country plan prepared by the Agency for International Development shall include an analysis of: 1) The actions necessary in that country to conserve biological diversity. 2) The extent to which the actions proposed for support by the Agency meet the needs thus identified.

The FAA 118/119 analysis for USAID/Peru must adequately respond to the two questions for country strategies, also known as “actions necessary” and “extent to which.”

1.2 PURPOSE The primary purpose of this task is to conduct an analysis of Peru’s tropical forests and biodiversity in compliance with Sections 118 and 119 of the FAA of 1961, as amended, and ADS guidelines. The analysis will inform USAID/ Peru in the development of its CDCS. USAID’s approach to development requires that the Agency examine cross-sector linkages and opportunities to ensure a robust development hypothesis. Conservation of forests and biodiversity is a critical component in achieving self-reliance and should be considered in mission strategic approaches to improve development outcomes. The analysis therefore can define opportunities to integrate tropical forest and biodiversity conservation into priority development sectors such as institutional governance, anti-corruption, alternative development, economic growth, and climate change mitigation and adaptation to support the journey to self-reliance. Examples might include adding environmental education into curriculum development, selecting sub-sectors that reduce land conversion, encouraging investments in zero-deforestation enterprises, or mobilizing youth to advocate for more transparent governance of a country’s natural capital assets.

Peru is classified as a Tier 1 country under the USAID Biodiversity Policy, as such USAID/Peru will include conservation strategies in the new CDCS and is expected to request sufficient funding to have an impact 112 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

on biodiversity targets. In addition to developing recommendations on ways to integrate biodiversity into other technical sector activities, this analysis could be used to help identify actions necessary for forest and biodiversity conservation interventions, including priority geographical areas and key threats and drivers. The analysis is an important early step in identifying opportunities to use integrated approaches that support both biodiversity conservation and improved development outcomes in Peru. Recommendations may include: • Indirect conservation co-benefits: Programs without an explicit, measurable conservation objective seek out opportunities to contribute toward reduction of threats. • Direct threat reduction: Programs are designed with an explicit objective of reducing threats or otherwise contributing to biodiversity or forest conservation.

While the analysis should not be used as a climate-risk assessment, climate change is a global concern, and as such, the analysis will evaluate the threat to the country’s tropical forest and biodiversity from climate change. Peru is considered highly vulnerable to impacts of climate change. According to the Ministry of Environment, 67% of disasters in Peru are linked to climate change, and 14 million Peruvians are vulnerable to climate change-related food insecurity.

The analysis team should begin by considering the following available reports on Peru’s climate change vulnerabilities in the analysis: • Cobertura y deforestación en los bosques húmedos amazónicos 2017 https://www.gob.pe/institucion/minam/informes-publicaciones/235274-cobertura-y-deforestacion-en-los- bosques-humedos-amazonicos-2017 • Contribuciones Nacionalmente Determinadas https://www.gob.pe/institucion/minam/informes-publicaciones/2589-contribuciones-nacionalmente- determinadas • La gestión del territorio en el contexto de cambio climático. https://www.gob.pe/institucion/minam/informes-publicaciones/2597-la-gestion-del-territorio-en-el-contexto- de-cambio-climatico

Team should also review other sources of climate information available such as the World Bank Climate Change Knowledge Portal and the United Nations Climate Change website.

1.3 MISSION PROGRAM Peru has undergone a dramatic economic transformation to become a middle-income country. However, a variety of challenges undermine the country’s global integration and inclusive growth. USAID’s development assistance is accelerating Peru’s transition to a more inclusive, responsible partner with a market-based economy. Under USAID/Peru’s current 2013-2019 CDCS, USAID’s programs in Peru promote alternative development, strengthen natural resource management and biodiversity conservation in the Amazon, promote adaptation to climate change in the Andean highlands, and strengthen governance and institutional capacities. The goal of the current CDCS is to help ensure that Peru’s stability and democracy are strengthened through increased social and economic inclusion and reductions in illicit coca cultivation and the illegal exploitation of natural resources. The CDCS results framework supports this goal through three development objectives (DO): • DO-1: Alternatives to illicit coca cultivation increased in targeted regions. • DO-2: Management and quality of public services improved in the Amazon Basin. • DO-3: Natural resources sustainably managed in the Amazon Basin and glacier highlands.

USAID/Peru is currently implementing the five-year Amazonia Verde Project (2017-2022), which seeks to conserve Peru’s unique biodiversity and strengthen the sustainable management of forests. The Mission expects to use both sustainable landscapes and biodiversity funding for this project. The findings of the FAA 118/119 analysis will inform how new activity design can complement the Amazonia Verde Project. For STATUS OF THE COUNTRY’S BIODIVERSITY 113

example, the findings are expected to help identify strategic partnerships and interventions that will help Peru progress on a resilient, low emission and sustainable development pathway over the next five years.

USAID/Peru’s climate change adaptation efforts focus on securing water supply by promoting natural infrastructure in the highlands.

USAID/Peru’s Alternative Development Program seeks to strengthen Peru’s capacity to transition farmers into a licit economy through the adoption of alternative crops such as coffee and cocoa in regions where areas of high biodiversity and tropical forests are also present. This successful model has lifted thousands of rural Peruvian families out of poverty and enabled them to move away from coca cultivation. Over the last five years, families participating in USAID programs have seen their incomes increase by 53 percent; in USAID target regions, extreme poverty dropped from 55 to 30 %. The findings of the FAA 118/119 analysis will identify opportunities for new activity design to contribute to biodiversity conservation and tropical forest management.

II. STATEMENT OF WORK To achieve the above-stated purpose, the analysis team, under the direction of the Team Leader, will proceed as described in this section. As described herein, this analysis will mainly involve synthesis and analysis of existing information, coupled with key stakeholder consultations and site visits to ground-truth information. The analysis will not generate original primary data.

Under the direction of the team leader, the analysis team will evaluate the status of tropical forests and biodiversity in Peru. The focus of all activities undertaken will be threefold:

a) Describe the current status of Peru’s tropical forests and biodiversity to include emerging issues, threats, and trends. b) Identify actions necessary to conserve tropical forests and biodiversity and the extent to which the Mission is supporting such actions necessary.

c) Develop recommendations that will guide the Mission in developing the new CDCS.

To accomplish this task, the analysis team will perform the activities in Sections 2.1 and 2.2:

2.1 PRE-FIELD WORK ACTIONS

2.1.1 DESK-BASED DATA COLLECTION AND ANALYSIS 1. Gather and begin to analyze existing information to identify tropical forest and biodiversity status, key biodiversity issues, stakeholders, policy and institutional frameworks and gaps in the available information. The team should review pertinent reports and documents including but not limited to: previous 118/119 analyses, current CDCS and project documents, information available online (websites of government ministries and development partners) on biodiversity conservation and tropical forest conservation, project reports and evaluations, the National Biodiversity Strategy by 2021 and Action Plan (NBSAP), the National Forest and Climate Change Strategy by 2030 (NFCCS), the National Strategy to Reduce Wildlife Trafficking in 2017-2027, Master Plan of Natural protected areas, and Nationally Determined Contributions 2018. 114 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

2.1.2 PLANNING AND LOGISTICAL PREPARATIONS

Note: The activities described in this Section may occur prior to, or in parallel with, activities described in Section 2.1.1.

1. Organize weekly planning meetings with the mission. The team should plan weekly calls with the activity manager ahead of in-country arrival to support planning and logistic preparations such as site visits, lodging and in-country travel, key informants, work plan development, key informant interview protocols, and political or other sensitivities. See section 2.2 for further details and topics for the pre- field work meetings.

Plan site visits. In coordination with the mission, the team should begin planning site visits based on the mission’s recommendations and the team’s preliminary review of key topics and information gaps. 2. Site visits allow information gathering from key informants, and direct observation, and supplement information gathered from consultations, literature review and other second-hand sources. Site visit locations should be finalized at least two (2) weeks prior to in-country fieldwork to allow the consultant to complete necessary logistical preparations.

Peru’s tropical rainforests are mainly found on the Eastern part of the country, towards the Pacific drainage, also known as the Peruvian Amazon region. Currently, USAID/Peru is implementing activities in five regions located in the Peruvian Amazon. Biodiversity conservation and Forestry activities focus on the regions of Loreto, Ucayali, San Martin, and Madre de Dios; while Alternative Development activities focus on San Martin, Ucayali, and Huanuco. The team should plan field visits to at least two regions, likely Ucayali and Madre de Dios or Loreto to validate information about forests and key protected areas. These visits will provide an opportunity for the assessment team to discuss current state of biodiversity conservation; forest management and timber tracking; environmental governance and prosecution of environmental crimes; alternative livelihoods for forest dwelling communities in coca growing areas; sustainable plantation forest management; implementation of Reducing Deforestation and Forest Degradation (REDD) activities; and the Payment for Forest Environmental Services (PFES) system.

3. Develop and submit draft work plan: 10 days after the start of the period of performance, the consultant will submit a draft work plan (Deliverable 1). The draft work plan will also include a preliminary: a) List of the type of information to be obtained through further desk research and through consultations; and b) Mapping of key people to engage throughout the analysis process. This may include US-based (predominantly Washington D.C.) stakeholders; mission staff, including the program office, all sector technical staff, and the deputy and mission director; implementing partners; and other key in-country stakeholders (e.g., organizations, government bodies, the private sector and individuals knowledgeable about and/or implementing projects on environment, biodiversity and tropical forest conservation and other sectors relevant to tropical forest and biodiversity conservation, such as agriculture, economic growth, health, climate change and governance). Washington D.C. based stakeholders may include USAID Forestry and Biodiversity Team, Global Climate Change Team, and Latin America and Caribbean Bureau Environment Team technical staff. In addition, the analysis team may consider meeting with U.S. conservation organizations currently active in Peru to learn about their work and conservation experience in Peru. c) Itinerary for in-country consultations and site visits, based upon information made available by the mission regarding geographies of existing programming, areas of known concern and areas being considered for future programming. d) Key informant interview guides to be used for stakeholder consultations. STATUS OF THE COUNTRY’S BIODIVERSITY 115

e) Report outline based on the outline attached to the SOW (refer to Annex B: Analysis Report Annotated Outline in the FAA 118/119 Best Practices Guide), with differences noted and explained. f) Schedule for written progress reports to, or calls with, the activity manager starting on 15 days after the start of the period of performance and bi-weekly calls thereafter during the pre-field and field segments. If calls are chosen, they will be documented with written call notes provided to the USAID Activity Manager.

4. Revise work plan. Following receipt of mission comments and suggestions on the draft work plan, the team will revise the work plan and submit a revised version 2-5 days before the start of the field work.

Note: Logistical details and planning for site visits can only be finalized once sites are agreed upon; if insufficient time is afforded the consultant to research and collaborate with the mission, the work plan will include only general information on site visits.

2.2 MISSION AND FIELD CONSULTATIONS AND SITE VISITS

Note: see section 5 “Role of USAID Mission” for role of the USAID activity manager in supporting the in-country program described in this section.

In-country, in coordination with the activity manager, the analysis team will:

1. Conduct in-brief meetings with the Environment and Sustainable Growth Office (ESG), Office of Alternative Development (AD), Office of Governance and Institutional Strengthening (GIS), Mission leadership, the U.S. Embassy’s RSO, and ESTH team to: a) Orient the attendees to the overarching objective of the 118/119 analysis, the methodology to be used (i.e., approach the analysis team will take to conduct the analysis and recommendations for potential biodiversity linkages with other sectors), and the agreed upon itinerary per the approved work plan. Ideally this will have already been circulated within the mission prior to the team’s arrival in country. b) Review with the mission the approach to the assignment and learn specific mission areas of interest or concerns regarding the planned itinerary and consultations. c) Learn of any sensitivities related to the exercise (e.g., political constraints, mission challenges in working with the host country government or other generalized in-country implementation challenges) that could refine the analysis team’s consultations and strategic or programming recommendations (i.e., the potential for raising expectations and the need to be clear about the purpose of the analysis). d) Identify any additional organizations to be contacted and site visits to be planned, including advice and protocol on approaching USAID partners and host country organizations with respect to the assignment.

The meeting with ESG will be critical because the office has led USAID’s forest management and biodiversity conservation portfolio for several years. The ESG team will brief the analysis team on current programs and explain the challenges and lesson learned from their experiences.

2. Meet with the program office at USAID to: a) Understand the mission’s planned timeline for new CDCS development. b) Gain an understanding of the status of the new CDCS development/results framework and anticipated changes to overarching strategic goals and/or development objectives, to the extent they are known at the time of fieldwork. 116 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

3. Meet (separately) with all mission technical teams to: a) Understand current programming (geographic areas of focus, earmarks and related mandates or constraints) and the ways in which it may have supported or contributed to actions necessary to conserve forests and biodiversity. b) Learn about planned or potential future programming or strategic orientation.

4. Meet with stakeholders and undertake site visits identified in the work plan. Meet with the agreed upon organizations, government bodies, USAID’s private sector partners, and individuals who are knowledgeable about and/or implementing projects on environment, tropical forest and biodiversity conservation and other sectors relevant to tropical forest and biodiversity conservation, such as agriculture, economic growth, health and governance.

As a start, the analysis team should meet with the following organizations: • NGO sector and academic institutions World Wildlife Fund Peru, IUCN Peru, Wildlife Conservation Society (WCS), Amazon Basin Conservation Association, Center for International Forestry Research, AIDER, CINCIA, Gordon and Betty Moore Foundation, Smithsonian Institution, and Ciudad Saludable. • Development partners European Union, GIZ, UNDP, Interamerican Development Bank, World Bank. • Government organizations MINAM (Forest Program, Climate Change Office, Biodiversity Office) SERNANP, SERFOR, DEVIDA, FEMA, PRODUCE, IMARPE.

In addition, the analysis team should meet with USAID/Peru’s current environment and alternative development partners implementing the following activities: Probosques, FOREST, NIWS, CINCIA, Alianza Foretal, Alianza Peru Cacao, Alianza Café. To the extent possible, the analysis team should also meet with USAID South America Regional partners implementing environment related activities, such as BMPs and SERVIR.

Conduct exit briefing: Prior to departure, host an exit briefing with the Mission, including Mission management, Regional Program Office and all technical teams, to provide an overview of the analysis and preliminary report findings (Deliverable 2).

2.3 PREPARATION OF THE FAA 118/119 ANALYSIS 1. The analysis team will analyze the information gathered and will prepare the analysis in accordance with the outline attached to the SOW. The analysis team should also refer to the FAA 118/119 Best Practices Guide for useful information on producing the analysis and Annex B of the guide, the Analysis Report Annotated Outline, which provides details on the information required in each section of the report.

2. The analysis team shall prepare a draft report, of between 20-35 pages excluding annexes for review by USAID (Deliverable 3).

3. The analysis report will respond to the legislative requirements listed above and include both single- sector and cross-sectoral recommendations on how the mission can address tropical forest and biodiversity conservation in the upcoming CDCS.

4. The Mission review period for draft reports will be 15 days. Following receipt of Mission comments on the draft report, the analysis team will prepare and submit a final analysis (Deliverable 4) that incorporates Mission comments, in accordance with the schedule of deliverables below. The analysis report should STATUS OF THE COUNTRY’S BIODIVERSITY 117

be sent to the relevant bureau in Washington for review and concurrence. The Mission may review and provide comments on Deliverable 4 until the analysis is considered final and sufficient.

5. The FAA 118/119 analysis draft and final reports will follow the outline in Annex A of the SOW, and should include the following maps and tables:

a) Map of main ecosystems in the country;

b) Map of the forested areas and land uses;

c) Map of protected areas, including forest reserves;

d) Map of aquatic and marine resources;

e) Protected area status table with: • A list of all declared and proposed protected areas (national parks, wildlife reserves and refuges, forest reserves, sanctuaries, hunting preserves, marine protected areas, etc.); • Institution(s) responsible for the protection and management of each protected area; • Area of coverage; • Ecosystems contained in each protected area; and • Protected area management plan status. • Table of the status of natural resources outside protected areas with: • Land cover and land-use type (e.g., wetlands/freshwater sources, major catchment areas, agricultural ecosystems, etc.); • Institution(s) responsible for management; • An overview of the major threats and challenges to conserving biodiversity outside protected areas; • Economic potential.

f) Table of conservation initiatives including: • A list of the main conservation initiatives implemented by government, donors, non-governmental organizations, private sector and universities; • Brief evaluation of effectiveness; • Implementation dates; and • Funding levels.

g) Table of largest threats to forests and biodiversity classified according to relevant weight of threat, with justification for classification.

III. SCHEDULE AND LOGISTICS The assignment will cover a period of on/about May 27, 2018 to August 30, 2019. This includes approximately four weeks of preparation work, two weeks of work in-country including field visits, three weeks to produce the draft report following in-country work, two weeks for USAID review of the draft report, and two weeks to produce the final report.

The level of effort (LOE) requirements for this task are: • A total of 30 days for expatriate staff in-country; and • A total of 60 days for local staff. 118 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Table A2 1 Weekly Activities and Milestones

WEEK ACTIVITY/MILESTONE COMMENTS Clear understanding of USAID/Peru expectations

Initial planning meeting with USAID/Peru Documents, contacts, and list of sites to visit Week 1-2 gathered and reviewed (Mission) Submit work plan and interview guide Preparatory tasks for in-country meetings, and site visit logistics completed Desk studies Consultations by phone for the team Bibliography of consulted sources Week 3 leader with USAID/W and suitable conservation organizations in DC. Interviews summarized Schedule consultations in Lima Week 4 Continue desk studies Summary of findings In-brief with Mission Director and Mission teams Interview summarized Week 5 Consultations/Interviews with Maps collected stakeholders in Lima Week 6 Site visits in field Interviews and data from field visit summarized Compilation of findings and recommendations Week 7 Exit briefing Weeks Report writing & Submit draft report Preliminary report findings 7,8,9 Week 10,11 Review draft report USAID/Peru and USAID/W review the draft report Incorporate comments and Submit Week 12,13 final report USAID/Peru and USAID/W review and approve Week 14-15 the report STATUS OF THE COUNTRY’S BIODIVERSITY 119

IV. DELIVERABLES The following are the deliverables for this task:

Deliverable 1. Work plan and schedule submitted within 10 working days of start date. The work plan should include all tasks and a timetable, milestones and deliverables and explain the following information: • Plan for coordination and consultations with the mission; • A brief agenda for development objective (DO) and program office meetings and for the in-briefing and exit briefing;

Deliverable 2. Submit preliminary recommendations and exit briefing presentation following consultations in Lima and field visits.

Deliverable 3. Draft FAA 118/119 submitted 45 working days after the conclusion of in-country work.

Deliverable 4. Following USAID review and comment, a revised final report, incorporating all comments, formatted and branded in accordance with USAID requirements, will be submitted within 15 working days of the receipt of comments on the draft.

V. ROLES The analysis team will be composed of the following:

Analysis Team Leader The Analysis Team Leader will provide overall guidance during the analysis development; lead the planning of field visits and scheduling of consultations meetings; lead the design of the interview questionnaire; oversee the analysis of findings; and draft the final report.

Qualifications: • Natural resource management specialist with postgraduate qualifications (master’s level degree or higher) in biology, ecology, zoology, forestry, geography, ecosystem conservation or a closely related field. • Expertise in assessing environmental threats. • Knowledge of the Peruvian context and experience working in Peru. • Expertise in Peru’s environmental policy and institutional framework. • Expertise in Peru’s biodiversity and natural resources management status. • Good contacts within Peru’s government, nongovernmental organizations, international donors, and private sector. • Knowledge of USAID’s strategic planning process related to tropical forests and biodiversity. • Experience coordinating analyses and leading teams. • Exceptional organizational, analytical, writing and presentation skills. • Fluent in English and Spanish.

Environmental Policy Specialist, Local Consultant The Environmental Policy Specialist will lead the analysis of Peru’s environmental legal framework; and threats to biodiversity conservation and their drivers. The consultant will work under the guidance of the Analysis Team Lead and will collaborate with other local consultants in the drafting of the different sections of the Analysis. 120 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Qualifications: • At least 5 years of experience in forestry, natural resource management, or international development; • At least a Master’s degree in biology, forestry, ecology, international development or another relevant social science/science field or Law degree; • At least 5 years of experience working in Peru; and • Knowledge of Peruvian environmental laws, policies, and regulations.

Biodiversity Specialist, Local Consultant The Biodiversity Specialist, will lead the analysis of the status of tropical forests and biodiversity in Peru, including threats and drivers. The consultant will work under the guidance of the Analysis Team Lead and will collaborate with other consultants in the drafting of other sections of the Analysis.

Qualifications: • At least 10 years of experience in forestry, natural resource management, or international development; • At least a Master’s degree in biology, forestry, ecology, international development or another relevant social science/science field; • At least 10 years of experience working in Peru; and • Knowledge of Peruvian Forest Sector and biodiversity conservation.

Natural Resources Management Specialist, Local Consultant The consultant will lead the assessment of threats to biodiversity and tropical forests in alternative development areas, including the identification of drivers, actions needed to address the threats and recommendations; and will lead a field visit.

Qualifications: • At least 5 years of experience in forestry, natural resource management, or international development; • At least a Master’s degree in biology, environmental sciences, forestry, ecology, international development or another relevant social science/science field; • At least 5 years of experience working in Peru; • Knowledge of USAID Alternative Development activities; and • Knowledge of Peruvian Environmental and Agricultural Sectors.

Role of USAID Mission: The USAID Mission will: • Provide additional information and documents to review; • A list of key stakeholders; • Site visit list and schedule; • Provide support and logistics with contacts information and (public and private stakeholders/partners); and • Review, provide feedback on the draft analysis report and give approval of the work plan, report outline, and final analysis report.

The U.S. Forest Service will: • Contribute to the overall planning and oversight of the analysis. • Provide logistics support for in-country meetings and site visits; • Review and submission of final report. STATUS OF THE COUNTRY’S BIODIVERSITY 121

ANNEXE 3 LIST OF STAKEHOLDERS CONSULTED

GOVERNMENT ENTITIES Ministry of Environment (MINAM) Ministry of Energy and Mines (MINEM) National Natural Protected Areas Service (SERNANP - Lima, Madre de Dios, Ucayali) Peruvian Marine Research Institute (IMARPE) Ministry of Production (PRODUCE) Peruvian Amazon Research Institute (IIAP) National Service for Environmental Certification (SENACE) National Forestry and Wildlife Service (SERFOR - Lima, Madre de Dios) The National Commission for Development and Life without Drugs (DEVIDA) Environmental Prosecution Office (FEMA - Lima, Ucayali, Madre de Dios) Regional Agriculture Directorate, Regional Government of Ucayali Regional Forestry and Wildlife Office, Regional Government of Ucayali Regional Natural Resources and Environment Office, Regional Government of Madre de Dios

NGO AND CIVIL SOCIETY ORGANIZATIONS Ciudad Saludable World Wildlife Fund Amazon Basin Conservation Association World Conservation Society Center for Conservation, Research and Management of Natural Protected Areas (CIMA -Cordillera Azul) Rights, Environment and Resources (DAR) Kene - Forest and Environment Research Institute Peruvian Society for Environmental Rights (SPDA) Proética Frankfurt Zoological Society Common Goods Institute (IBC) Regional organization of the inter-ethnic development association of the Peruvian jungle Ucayali (ORAU) Tambopata National Reserve Management Committee

PRIVATE SECTOR Ucayali Timber Producer Association (APROFU) Olamsa (Palm Oil Company) Palm Oil Producers Association of Ucayali Ucayali Timber Export Consortium (CEMU) Panguana Private Conservation Area

INVESTIGATIVE JOURNALISM Ojo Público

UNIVERSITIES National Intercultural University of the Amazon (UNIA) National University of Ucayali (UNU)

DONOR German Development Bank (KFW) 122 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

USAID-FUNDED ACTIVITIES ProBosques Forest Oversight and Resource Strengthening FOREST Natural Infrastructure for Water Security (NIWS) Center for Amazonian Scientific Innovation (CINCIA) Alianza Forestal Alianza Perú Cacao Alianza Café Institutional Strengthening Partnership for DEVIDA Best Management Practices in the Amazon Activity SERVIR

ANNEXE 4 MARINE BIODIVERSITY: THREATS AND DRIVERS

BIODIVERSITY AND MARINE AND COASTAL ECOSYSTEMS Climate change: a direct threat and driver that exacerbates other threats to biodiversity in marine and coastal areas The Peruvian upwelling system responsible for the huge fish productivity in the Eastern Pacific is periodically affected by El Niño Southern Oscillation (ENSO) events. This phenomenon affects not only marine productivity but impacts most of the species and communities along the Peruvian coastline (Timmermann et al., 2018). The collapse of the anchoveta fisheries in early 70s has been attributed to a combination of ENSO and bad public policies (Gutierrez et al., 2017). The mortality of seabirds and seals, as well as local displacement are the more visible effects of ENSO (Jahncke, 1998; Soto el al., 2004). However, underwater the situation is similar with anchoveta and other cold water species. They are starving and moving southward or deeper, looking for better conditions (Gutierrez et al., 2017). In the midterm, several species in natural banks are replaced by warm water species. During the strongest ENSO episodes, massive die-offs of coastal seaweed beds affect the spawning areas for several commercial species (Vasquez et al., 2006).

Under climate change conditions, ENSO events could be more frequent, have a higher magnitude, or ENSO conditions could even become the new natural oceanographic pattern for the region (Wang, 2006; Gutierrez et al., 2011; Cai et al., 2018; Freund et al., 2019). This will have a strong impact on the biological base of the current fisheries system affecting multiple levels of the country’s coastal economy (Medina et al., 2015).

Sea temperature has also changed over the past decade, with a decrease of about 0.2 - 0.3 ° C per decade on the central and southern coast with intense upwelling, while the opposite occurs in the north of the country (Gutierrez et al., 2011). Changes in acidity and oxygenation of the water column that could affect fisheries and aquaculture are also expected, but the evidence is still inconclusive (Bertrand et al., 2011).

THREATS TO MARINE AND COASTAL ECOSYSTEMS Illegal, unreported and unregulated fishing (IUU) Illegal, unreported and unregulated fishing (IUU) is one of the main problems affecting the Peruvian marine environment. According to PRODUCE, Peru loses between USD 300 - 500 million annually due to IUU. Illegal fishing is widespread given the limited enforcement capacity in Peru (Proética, 2019). Illegal activities include fishing in prohibited areas and restricted species or during closed seasons, blast fishing, fishing with prohibited gear and even from boats without the corresponding permits. Artisanal fishing is mainly unreported since around 35 percent of the catch lands outside adequate facilities and in poor sanitary conditions. Landing ANNEXES 123

statistics are unreliable given the limitations in fish identification and registration capacity at the local and regional government scales (Mendo and Wosnitza-Mendo, 2014).

The level of compliance with the regulation is poor and like the case of illegal timber, it is frequent that the application of the law be ignored and that the officials in charge have no capacity or incentives to apply it. The magnitude and extent of informality in this sector is so great that successive attempts to formalize the fleets have failed due to social pressure (Proética, 2019)

Overfishing by the industrial fleet Despite the strong regulatory framework and surveillance system of the industrial fishing activities there is evidence of overexploitation of the target resources. Changes in the regulatory framework to expand or reduce permitted fishing zones, quotas and allowed sizes, have been associated with pressure from civil society and El Niño events (Macroconsult, 2018).

In the case of the anchovy, there have been cases in which fishing has continued even when the conditions of the resource merited reducing quotas or not opening seasons. Peru has issued controversial measures for the capture of juveniles. In November 2016, a supreme decree (DS 024-2016) was issued, which allows the capture of juveniles without limitations while the fleet reports to PRODUCE so that it temporarily closes fishing in the area with excess juveniles. The measure has been highly questioned and to date there is no independent evaluation of its effects. The main effect of the capture of juveniles is the reduction of the renewal capacity of the stock.

In the case mackerel, the resource was overexploited until the late 2000s. In this period fishing quotas were exceeded, high percentages of juveniles were captured and part of the fishing was even used to make fishmeal which is legally prohibited. Since then, fishing has been reduced to less than 5 percent of the historical average (Corrales et al., 2018) with a slight stock recovery in recent years.

Overfishing by the small-scale fleet As noted above, there is less control over artisanal fishing than over industrial fishing, so the landings record is unreliable. Given the lack of enforcement capacity, juveniles smaller in size than allowed by law are sometimes sold without restrictions in local markets. Despite the lack of detailed and reliable landing statistics, the information collected by IMARPE reflects that the landing volumes of some species have been reduced in recent years, suggesting overexploitation. However, the average landing volume remains stable due to the replacement effect with other species (Guevara-Carrasco and Bertrand, 2017).

Another indicator of overfishing is that landing sizes are well below the legally permitted sizes. Among this group are the lisa (Mugil cephalus), cachema (Cynoscion analis), coco (Paralonchurus peruanus), cabinza (Isacia conceptionis) and lorna (Sciaena deliciosa) (Marín, 2018). The current extraction rate of juveniles threatens the renewal capacity of the stock. The Government of Peru has established seasonal bans for species such as pejerrey, choro, chanque, concha navaja and macha in Southern Peru to promote the stock recovery.

Bycatch Most of the marine fishing activities present bycatch but due to their magnitude industrial fishing has a greater impact. Tolerance limits for bycatch are regulated. In industrial anchovy fishing, the main affected species include dolphins, sea wolves and seabirds. It is estimated that around 15,000 dolphins die each year in industrial anchovy fishing (WWF, pers. Comm.). Industrial hake fishing also captures sea lions, birds and sea turtles, sharks and rays (Céspedes, 2013). Bycatch tolerance standards are generally respected in anchovy fishing (10 percent by volume) but their application in the case of artisanal fishing is scarce and opportunistic (Mangel et al., 2006). Among these, the hooks used to catch mahi-mahi also catch seabirds, turtles, sharks and other species, some of them prohibited or threatened (Valqui et al., 2016). In the case of tuna fishing, lack of 124 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

enforcement and informality do not prevent the landing and commercialization of bycatch. This situation is similar in all artisanal fisheries and although some mitigation measures such as pingers and modified hooks have been tested, their adoption is not yet attractive to fishermen (Mangel, et al., 2018; Alfaro-Shigueto et al., 2018). The implementation of the US Seafood Import Monitoring Program is driving a strong effort from the government and the private sector to reduce bycatch in mahi mahi fisheries.

Habitat conversion Most Peruvians live now in coastal areas, and migration to the coast continues to increase according to the 2017 Census. The increases in urbanization, the development of ports and tourist infrastructure near the sea, have caused the loss of quality and disappearance of natural coastal habitats. Most of the coastline along the main coastal cities is occupied by constructions and infrastructure that has caused the loss of critical habitats for shore and migratory birds, spaces for reproduction and rest of marine fauna as well as wetlands and natural breakers (COMUMA, 2018). In the absence of urban development policies, expansion only responds to economic interests and market demand. Additionally, in the absence of adequate technical studies, some infrastructure works such as breakwaters and platforms generate problems of coastal erosion with large losses of land such as has happened in Trujillo and Chimbote (Sánchez et al., 2010). In the case of areas with high tourist value such as Paracas Bay, hotel expansion has caused the loss of quality of the nearby protected area for migratory birds (SERNANP, pers. Comm.).

Sewage and non-point source contamination with agriculture fertilizers Less than 30 percent of the wastewater generated in Peru is treated before reaching marine environments. Rivers transport untreated domestic wastewater to the ocean, also carrying traces of fertilizers and pesticides used in agricultural valleys. Wastewater pollution affects natural ecosystems by altering the availability of nutrients such as nitrogen and phosphorus, as well as infecting organisms with pathogens. The increase in nutrients can cause eutrophication (excessive increase in primary productivity) of large areas of the coast in shallow waters and have been associated with the development of Tidal tides that cause massive mortality of aquatic organisms (Martinez, 2018).

Aquaculture, especially in the north of the country, is particularly sensitive to contamination by sewage due to the proliferation of coliforms and other pathogens that can infect crops. These harmful algal blooms can cause losses to aquaculture not only by direct mortality but also by the generation of toxic substances that are accumulated in the filtering organisms and that makes them unsuitable for human consumption (Monja, 2015; Orozco et al., 2017). Areas most affected by this problem include Ferrol, Sechura, Callao, Chancay and Huacho. Marine environments are also polluted by effluents from fishmeal production and waste produced during unloading and cleaning of artisanal fishing.

Solid waste (plastics, litter) The majority (58 percent) of the Peruvian population lives on the coast (INEI, 2018c) and solid waste management is inadequate (Sanchez et al., 2010). MINAM estimates that around 80 percent of marine litter comes from terrestrial sources (Alfaro, 2006). Further of the total generated waste, only 84 percent is collected but more than half of the collected waste goes to informal dumps. Marine litter can act as a refuge for pests and vectors of diseases, and in large quantities affect the operation of ports and ships causing economic damage to fish, tourism and commerce. Litter impacts marine life directly. The case of plastic stands out due to its persistence and wide distribution as microplastics (Purca and Henostrozam, 2017), presence in common fish (Ory et al., 2018), as well as its impact on the diet of birds and sea turtles (Almendras, 2017, Alfaro-Shigeto, comm. Pers.). Phantom fishing by lost and abandoned fishing gear has not yet been studied in the country despite the amount of waste reported mostly in the north of the country (Ganoza et al., 2014). ANNEXES 125

Pollution from extractive industries Oil activity on the north coast of the country began in 1863 with multiple perforations in the coastline. The first offshore wells were drilled in the 1970s. Currently only three lots are in the exploitation phase in the northern plinth of the country, however, the government is promoting lots throughout of the entire coastline under the premise of a lower potential for social conflict. However, conflicts exist between the hydrocarbons sector and the establishment of new marine protected areas in the north of the country.

The main environmental risks of the activity during the exploratory phase are related to underwater seismic prospecting that generates noise in wavelengths and magnitudes that would affect marine fauna. Although there has been much speculation, and this activity has even been linked to episodes of mass dolphin mortality in 2012, there is no documentation to prove a causal relationship. Oil spills have been detected, but they have been isolated and of little volume. Other points of contamination related to the activity are the sites of embarkation and disembarkation of crude oil and refineries such as Talara, La Pampilla, Puerto Marítimo (Callao) and Conchán (Lima) (Sanchez et al., 2010).

DRIVERS OF THREATS TO MARINE AND COASTAL ECOSYSTEMS Institutional arrangements The complex network of sectoral competencies, sometimes overlapping, slows down decision-making and is one of the main obstacles to the conservation of marine biodiversity in Peru. This situation is analogous to that of the forestry sector with the complicating fact that the regime of open access for artisanal fishermen hinders needed planning and control.

The management of marine resources lacks a long-term vision and development goals at different scales. As an example, the General Fisheries Law (Table 4) does not have a policy that guides its application or establishes a metric to evaluate its performance. In general, the fisheries sector responds to short-term circumstances and market expectations, which makes it very vulnerable to pressure from interest groups and fragile to public opinion.

Additionally, the implementation of the fisheries management regulation at the species level lacks adaptive management mechanisms, transparency and mechanisms for public participation. Although IMARPE collects, systematizes and analyzes information relevant to public policy, this information is not publicly available, and the reports that support policy decisions are only made available after the corresponding regulations have been issued.

Artisanal fishing is managed by regional governments, which often do not allocate enough resources for this purpose. Similarly, the exchange of information between regional governments and PRODUCE is not efficient and the information that should feed the regulatory framework is of poor quality. The low transparency of the sector contributes to this situation, which is evident during interdictions against illegal fishing, illegal trade, and diversion of anchovy for direct human consumption towards the production of fishmeal. Additionally, the fishing rights are only required for industrial fishing and currently not enough to cover the costs associated with managing the resource.

Inadequate management capacity In addition to overlapping competencies, management capacities at the local and regional levels are often inadequate to implement the measures needed to ensure the sustainability of marine resources. Often staff is hired based on political affinities and clientelism rather than by professional merits. This situation results in poor management of the public budget and a high turnover of officials that hinders the continuity of the few development plans in the sector. 126 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Although protocols exist for the implementation of policies and regulations, there are ongoing disputes between sectors regarding competencies in situations such as the control of illegality or the allocation of permits for the use of resources or urbanization. This situation has allowed an active expansion of urban and recreational areas, compromising coastal habitats such as breakers and wetlands even if these environments have been previously identified as priorities for conservation. Similarly, solid waste management is the responsibility of local governments that often have inadequate capacity and resources to do so.

Corruption exacerbates the issues mentioned above. Corruption is facilitated by factors such as lack of transparency, overlap and multiplicity of institutional competencies and weaknesses in regulatory governance regarding IUU fishing (Proética, 2019). One aspect in which this activity is very evident in the fisheries sector is the limited (to practically nil in some areas) control of fishing landings on the coast. A high percentage of what is recorded is reported by the interested parties themselves and data is not collected on minimum size or bycatch. Consequently, the landing figures are lower than the real values (Mendo and Wosnitza-Mendo, 2014) and, in the absence of traceability, it is possible that massive levels of IUU fish is entering the national market.

Inadequate technical capacities Despite the importance of the fishing sector for the economy of the coast, there is a limited technical capacity available to meet the development needs of the industry. Scientific research focuses on the most exploited species such as anchovy, sardine, hake and mackerel. There are few resources available for the investigation of other resources that could replace or complement the fishery of traditional resources. Similarly, industrial fishing activity has concentrated on having vessels, rigs and processing infrastructure required for these few species and allocates very few resources to explore other resources.

Technical limitations are exacerbated at the subnational government level due to lack of qualified staff. High turnover of officials and unstable hiring mechanisms make government positions less attractive to professionals than private sector positions (which generally offer higher salaries and greater job stability). Some emerging issues such as adaptation to climate change, integrated spatial planning to identify priority areas, valuation of environmental services, reduction of bycatch, among others are completely absent from the university curricula sector and young professionals have few opportunities to learn about them.

The large majority of the over 67,000 fishermen in Peru lack formal training and technical capacity to manage their businesses in an effective and efficient way, but also implement personal security measures. This issue is prevalent among artisanal fishermen (Marin, 2018).

In general, marine ecosystems are undervalued. There is a general perception of the seas as spaces that generate wealth in an inexhaustible way and that if one resource is scarce another will appear to replace it. Most of the investment and innovation in the fisheries sector has focused on transformation and commercialization, while little attention is given to improving the health of the marine ecosystem that sustains the stocks. This goes hand in hand with the undervaluation of fisheries and the biodiversity that sustains them when compared to the development of hydrocarbon extraction operations or large port infrastructure.

Sociopolitical factors As noted above, the Peruvian coast concentrates the largest proportion of the country’s population in part due to migration from the andean highlands. According to IMARPE (2018), between 2012 and 2015, the number of artisanal fishermen increased from 44,161 to 67,427, which indicates that fishing absorbed a high percentage of labor from other sectors or unemployment. Fishing serves as a refuge for workers during periods of high labor demand, complementing other income generating activities such as agriculture, construction, or family businesses. ANNEXES 127

As a result of this increase in the number of fishermen, the number of illegal vessels has also increased. Efforts led by the government to formalize artisanal fishermen have not been successful due in part by opposition from regional governments that claim competence on the issue as well as by fishermen not willing to follow the rules of formalization. The most recent formalization effort began in September 2018 (Decree Law No. 1392) to incorporate artisanal vessels in the Artisanal Fishing Formalization System in a period of two years.

Economic factors Industrial fishing in Peru is highly concentrated in a single product: anchovy to produce fishmeal and fish oil. On average 85 to 90 percent of the landings in the country is anchovy. For this reason, the fishing industry is particularly susceptible to the climatic variability caused by El Niño and to climate change in general. Unfortunately, despite the perception of the problem, there is little has been done to develop productive alternatives, shelter employment opportunities or even insurance that helps mitigate the consequences of lower anchovy fishing yield. For this reason, the industry is very sensitive to any initiative that may compromise the allocation of quotas that do not meet their expectations and is very active by pressing media on the risks to the sector in terms of employment or the possible reduction of GDP if the quotas recommended by IMARPE to PRODUCE are not high enough.

China is the main destination of fishmeal produced by Peru, Europe and Chile for fish oil. In recent years, the decline in flour production caused by El Niño has caused a reduction in Peru’s participation in Chinese market. Emerging producers such as Vietnam, Thailand and African countries are now competing with Peru in the Chinese market. The fishing industry is susceptible to the levels of Chinese consumption (Han et al., 2018). A reduction in Chinese consumption will affect the main fishing activity of the country if alternative markets are not found or fishing efforts are not directed to other resources.

China is also the main destination of various illegally traded marine products. These include dried shark fins, seahorses and sea cucumbers, swim bladders and seaweed. The main use is in traditional Chinese medicine in which they are used to treat various ailments without any scientific evidence of sustenance. Shark fins, cucumbers and swim bladders are very precious in Chinese food and are also attributed aphrodisiac and disease prevention effects.

In the case of shark fins, Peru acts as a crossing point for laundering of fins obtained in Ecuador where directed fishing is not allowed. Once the fins are admitted to Peru with confusing documentation or by contraband they are regularly exported from Peru. The shark fin export business reaches around 50 million dollars annually, but this value is multiplied by up to ten in Chinese markets. The extraction and trade of seahorses has been prohibited in Peru since 2004, but export practice persists as contraband camouflaged within other products. In the last three years, between 8 and 10 million specimens have been seized for an approximate value of USD 4 million each year. Finally, the Chinese market concentrates 99.9 percent of brown seaweed exports for alginate production in the food industry. They are exported on average between 25 and 30 thousand tons per year, but the official collection and processing figures account for only a quarter of this export. It is estimated that the rest comes from informal or illegal sources. 128 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

ANNEXE 5 ADDITIONAL TABLES AND FIGURES Table A5 1 Ecosystem Categories

% OF THE ECOSYSTEM ECOSYSTEM AREA (HA) NATIONAL % PROTECTED CATEGORY TERRITORY Rivers 1,474,389.46 1.14 9.22 Inland Lakes and ponds 891,921.67 0.69 13.05 freshwater Coastal wetlands 56,769.34 0.04 1.91 Mangroves 6,943.31 0.01 42.69 Marine and Marine islands - - 99.90 coastal Tropical sea - - - Cold sea - - - Jalca 1,340,320.57 1.04 8.25 Bofedal 548,174.41 0.42 6.10 Pajonales de puna húmeda 11,981,914.03 9.26 3.18 High mountain Pajonales de puna seca 4,887,186.88 3.78 10.06 Páramo 82,948.54 0.06 7.39 Glacier and periglacier area 2,959,578.37 2.29 18.00 Matorral xérico 64,175.98 0.05 38.58 Arid and Matorral andino 10,304,035.94 7.96 2.02 semiarid Coastal desert 7,107,338.2 5.49 3.66 Loma costera 294,033.05 0.23 0.87 ANNEXES 129

% OF THE ECOSYSTEM ECOSYSTEM AREA (HA) NATIONAL % PROTECTED CATEGORY TERRITORY Seasonally dry eastern forest 87,254.76 0.07 0.00 Seasonally dry interandean forest 535,871.6 0.41 0.00 Seasonally dry plain forest 1,452,575.98 1.12 0.50 Seasonally dry riparian forest 52,152.65 0.04 7.00 Seasonally dry hill and montane 1,897,483.31 1.47 11.60 forest Pacific Tropical Forest 20,692.06 0.02 99.99 High-andean relict forest 156,973.41 0.12 10.09 Occidental relict forest 90,703.86 0.07 12.85 Inter-andean relict forest 24,964.55 0.02 1.10 Midmontane yunga forest 8,237,633.88 6.36 33.56 Montane yunga forest 4,528,359.89 3.5 24.60 Forest Highmontane yunga forest 2,377,288.52 1.84 17.86 ecosystems Whitewater floodplain flooded forest 9,038,741.41 6.98 17.92 Blackwater floodplain flooded forest Low hill forest 31,801,303.37 24.57 22.20 High hill forest 3,862,298.23 2.98 32.82 Sierra del Divisor hill forest 71,428.28 0.06 69.90 Non-flood terrace forest 4,805,993 3.71 22.11 Wet savanna with palms 6,631.15 0.01 100.00 Varillal 571.36 0.04 17.14 Shrubby swamp 795,573.87 0.61 13.84 Palm swamps 5,527,523.42 4.27 17.05 Pacal 29,721.44 0.02 22.04 Other Underground caves, and karstic wetlands

Source: MINAM, 2019 130 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Table A5 2 National Natural Protected Areas

CATEGORY LOCATION AREA (HECTARES) Total 19,456,485.32 National Parks 10,394,366.70 Alto Purús Ucayali y Madre de Dios 2,510,694.41 Manu Cusco y Madre de Dios 1,716,295.22 Cordillera Azul San Martín, Loreto, Ucayali y Huánuco 1,353,190.85 Bahuaja – Sonene Madre de Dios y Puno 1,091,416.00 Huascarán Áncash 340,000.00 Otishi Junín y Cusco 305,973.05 Río Abiseo San Martín 274,520.00 Güeppi-Sekime Loreto 203,628.51 Cerros de Amotape Tumbes y Piura 151,767.49 Yanachaga – Chemillén Pasco 122,000.00 Ichigkat Muja - Cordillera del Amazonas 88,477.00 Cóndor Cutervo Cajamarca 8,214.23 Tingo María Huánuco 4,777.00 Sierra del Divisor Loreto y Ucayali 1,354,485.10 Yaguas Loreto 868,927.84 National Reserves 4,652,851.63 Pacaya – Samiria Loreto 2,080,000.00 Pucacuro Loreto 637,953.83 Matsés Loreto 420,635.34 Salinas y Aguada Blanca Arequipa y Moquegua 366,936.00 Paracas Ica 335,000.00 Tambopata Madre de Dios 274,690.00 San Fernando Ica 154,716.37 Sistema de Islas, islotes y puntas Áncash, Arequipa, Ica, La Libertad, 140,833.47 guaneras Lambayeque, Lima, Moquegua, Piura Calipuy La Libertad 64,000.00 Allpahuayo - Mishana Loreto 58,069.90 Junín Junín y Pasco 53,000.00 ANNEXES 131

CATEGORY LOCATION AREA (HECTARES) Titicaca Puno 36,180.00 Tumbes Tumbes 19,266.72 Pampa Galeras Bárbara D' Achille Ayacucho 6,500.00 Lachay Lima 5,070.00 Reserved Areas 636,717.39 Santiago Comaina Amazonas y Loreto 398,449.44 Cordillera Huayhuash Áncash, Huánuco, Lima 67,589.76 Sierra del Divisor Loreto 62,234.62 Illescas Piura 37,452.58 Río Nieva Amazonas 36,348.30 Reserva Paisajística Cerro Khapia Puno 18,313.79 Lomas de Ancón Lima 10,962.14 Chancaybaños Cajamarca 2,628.00 Ancón Lima 2,193.01 Bosque de Zárate Lima 545.75 Communal Reserves 2,166,588.44 El Sira Huánuco, Pasco y Ucayali 616,413.41 Amarakaeri Madre de Dios 402,335.62 Airo Pai Loreto 247,887.59 Machiguenga Cusco y Junín 218,905.63 Purús Ucayali y Madre de Dios 202,033.21 Asháninka Junín y Cusco 184,468.38 Huimeki Loreto 141,234.46 Tuntanain Amazonas 94,967.68 Yanesha Pasco 34,744.70 Chayu Nain Amazonas 23,597.76 Landscape Reserves 711,818.48 Sub Cuenca del Cotahuasi Arequipa 490,550.00 Nor Yauyos - Cochas Lima y Junín 221,268.48 132 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

CATEGORY LOCATION AREA (HECTARES) Protection Forest 389,986.99 Alto Mayo San Martín 182,000.00 San Matías - San Carlos Pasco 145,818.00 Pui Pui Junín 60,000.00 Pagaibamba Cajamarca 2,078.38 Puquio - Santa Rosa La Libertad 72.50 Aledaño a la Bocatoma del Canal Lima 18.11 Nuevo Imperial National Sanctuaries 389,986.99 Megantoni Cusco 215,868.96 Cordillera de Colán Amazonas 39,215.80 Tabaconas - Namballe Cajamarca 32,124.87 Pampa Hermosa Junín 11,543.74 Huayllay Pasco 6,815.00 Calipuy La Libertad 4,500.00 Ampay Apurímac 3,635.50 Manglares de Tumbes Tumbes 2,972.00 Lagunas de Mejía Arequipa 690.60 Hunting Areas 124,735.00 El Angolo Piura 65,000.00 Sunchubamba Cajamarca 59,735.00 Historic Sanctuaries 41,279.38 Machu Picchu Cusco 32,592.00 Bosque de Pómac Lambayeque 5,887.38 Chacamarca Junín 2,500.00 Pampas de Ayacucho Ayacucho 300.00 Wildlife Refuge 20,775.11 Bosques Nublados de Udima Cajamarca 12,183.20 Laquipampa Lambayeque 8,328.64 Pantanos de Villa Lima 263.27 ANNEXES 133

Table A5 3 CITES Listed Animal Species

CLASS APPENDIX I APPENDIX II TOTAL Actinopterygii 0 2 2 Amphibians 1 45 46 Anthozoa 0 5 5 Birds 10 274 284 Chondrichthyes 1 17 18 Mammals 29 84 113 Reptiles 7 21 28 TOTAL 48 448 496

Source: MINAM, 2019

Table A5 4 CITES Listed Plant Species

CLASS APPENDIX I APPENDIX II APPENDIX III TOTAL Actinopterygii 0 186 0 186 Cyatheaceae 0 79 0 79 Dicksoniaceae 0 2 0 2 Euphorbiaceae 0 1 0 1 Fabaceae 0 11 0 11 Lauraceae 0 1 0 1 Meliaceae 0 1 1 2 Orchidaceae 11 2,203 0 2,214 Zamiaceae 0 9 0 9 TOTAL 11 2,493 1 2,505

Source: MINAM, 2019 134 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Table A5 5 Classification of Ecosystem Services

CATEGORY LOCATION Regulation of air quality Water quality regulation Climate regulation (including carbon sequestration) Disease and pest control Regulation Services Water regulation Pollination Erosion control Regulation of natural risks Food (from wild sources: fishing, hunting, gathering) Freshwater Wood and fiber Pharmaceutical and products used in traditional medicine Provisioning Services Fuels, energy supply Geotic materials (salt and others) Genetic resources Ornamental resources Pastures and soil for cultivation Aesthetics - landscape beauty Spiritual and religious Cultural Services Educational Recreational and ecotourism Nutrient cycle Soil formation Supporting Services Primary production Biodiversity maintenance

Source: MINAM, 2018 ANNEXES 135

Figure A5 1 Forest Loss in Selected Regions

Amazonas Ayacucho Cajamarca Cusco Huánuco Loreto Madre de Dios San Martín Ucayali

Forest loss (ha) loss Forest

2 21 211 212 213 214 215 216 217 Source: MINAM, Forests Program. Figure elaborated by Analysis Authors

ANNEXE 6 DESCRIPTION OF GOVERNMENT AGENCIES

Office of the Comptroller General This is the lead office for the National Control System and is responsible for ensuring efficiency in the use of public monies. It includes an Environmental and Cultural Heritage Management Office, under Resolution 345-2-2-CG, for planning, organizing, administering, executing, and evaluating the activities of decentralized government institutions and investment projects. This is achieved through environmental audits, the prioritization of critical natural and national heritage areas (e.g., protected areas, watersheds, and archeological sites), and the enforcement of international agreements to which Peru is party.

Regional and local governments These governments are responsible for establishing local natural resource and environmental management administrative units. The administrative units are responsible for local forests and environmental management in general. Regional and municipal governments also approve the scope, composition, and operation of regional and municipal environmental committees.

National Center for Strategic Planning (CEPLAN) CEPLAN is the lead agency in charge of coordinating the National Strategic Planning System, whose aim is to pursue sustainable development for Peru. CEPLAN is responsible for the current National Plan for Strategic Development (PEDN), the updating of the PEDN looking down the road to 2030, and Peru’s Vision for 2050.

Ministry of Agriculture (MINAGRI) MINAGRI manages agricultural and grazing lands and is responsible for developing national policies, strategies, regulations, plans, programs, and projects related to the sustainable use of forest resources and wildlife. 136 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

National Forest and Wildlife Service (SERFOR) SERFOR’s mission is to provide coordinated and effective technical and regulatory leadership in managing and promoting the sustainability and competitiveness of the forest and wildlife sector for the benefit of the public and the environment. It is Peru’s national forest and wildlife authority and the lead agency of the National Forest and Wildlife Management System (SINAFOR).

National Water Authority (ANA) Pursuant to Law 29338 (Law on Water Resources), ANA is the lead agency and senior technical-regulatory authority of the National Water Resource Management System. Its functions include management and oversight of natural water sources, granting water use rights, and authorizing the discharge and reuse of treated wastewater.

Ministry of Environment (MINAM) MINAM was created in 2008 to promote environmental sustainability in Peru through the conservation, protection, and restoration of its ecosystems and natural resources. Its mission is to ensure the sustainable use and conservation of natural resources, as well as environmental quality, for the benefit of the public and the environment in a standardized, effective, decentralized, and coordinated manner with public, private, and civil society organizations, in the context of green growth and environmental governance. Seven environmental institutions comprise the specialized agencies that fall under MINAM: • Research Institute of the Peruvian Amazon (IIAP): IIAP’s objective is to help improve socioeconomic conditions in the communities of Peru’s Amazon basin through research focused on sustainable development. It is Peru’s main public research institute in the Amazon. • Environmental Assessment and Enforcement Agency (OEFA): OEFA is responsible for monitoring the enforcement of environmental laws and regulations and penalizing environmental infractions. It also serves as lead agency for the National Environmental Enforcement System. • National Service for Protected Natural Areas (SERNANP): SERNANP is responsible for administering Peru’s National System of Protected Natural Areas (SINANPE), which involves both technical and legal enforcement functions. While it does fall under MINAM, SERNANP has both budgetary and functional autonomy. • National Environmental Certification Service (SENACE): Through SENACE, the Ministry of Environment now has the authority to review and certify environmental impact assessments (EIAs) for large projects, regardless of the sector. • National Institute for Research on Glaciers and Mountain Ecosystems (INAIGEM): INAIGEM’s mission is to promote and expand scientific and technological research on glaciers and mountain ecosystems, promoting the sustainable management thereof for the benefit of the communities that live in or benefit from such ecosystems.

Marine Institute of Peru (IMARPE) IMARPE conducts research on marine and coastal areas in close coordination with the Ministry of Environment. Currently, IMARPE is in charge of the Coastal Marine Biodiversity Program. It is also responsible for the environmental monitoring of Peru’s coasts and territorial waters. IMARPE’s monitoring and research work leans toward marine production.

National Institute for Agricultural Research (INIA) INIA implements an agrobiodiversity management and conservation program.

Council on Science and Technology (CONCYTEC) CONCYTEC is a government institution attached to the Ministry of Education whose mission is to promote, coordinate, and guide scientific and technological research. CONCYTEC can and should play an active role in promoting applied research to guide environmental management. Currently, however, no formally coordinated research program exists to bring together academic and government institutions responsible for biodiversity conservation and management. ANNEXES 137

Committee for Andean, Amazonian, and Afro-Peruvian Peoples, the Environment and Ecology (CPAAAAE) This congressional committee has the exclusive function of creating, amending, interpreting, or repealing laws. Draft bills are decided on by the special committees, in this case the CPAAAAE, and passed by the full Congress to become law. The CPAAAAE also engages in political supervision or oversight to evaluate actions taken by government agencies (ministries, regional and local governments, etc.), as well as the political conduct of public officials to help solve Peru’s main issues.

Office of the Special Prosecutor for Environmental Matters (FEMA) FEMA was created in 2008 and began to operate in 2010. It is responsible for preventing and investigating environmental crimes and has field offices in all of Peru’s judicial districts. The signing of the Trade Promotion Agreement prompted the creation of FEMA, which marked an important change in Peru’s environmental institutional framework.

The Office of the Ombudsperson Is an autonomous governmental institution created under the 1993 Constitution with the mission to defend the constitutional rights of persons and communities. This Office includes a division responsible for the environment, public services, and indigenous peoples. Among other rights, this division guarantees the right of all Peruvian citizens to a healthy environment. To that end, the Office of the Ombudsperson ensures that the government meets its administrative obligations concerning the environment.

Ministry of Production - Vice Ministry for Fisheries Oversees the management and control of the harvest of aquatic biota, as well as cultivation of aquatic species with economic value.

Ministry of Foreign Trade and Tourism (MINCETUR) MINCETUR is relevant to the environment in terms of its objective of making sustainable tourism a means for socioeconomic development in Peru. MINCETUR is also responsible for the U.S.-Peru Trade Promotion Agreement, including its environmental chapter.

National Commission for Development and Drug-free Life (DEVIDA) DEVIDA is a decentralized government agency whose mandate is to develop income-generating activities with local communities in watersheds prone to illicit crop cultivation. These activities must be compatible with biodiversity conservation and deter increased illicit crop cover.

Ministry of the Interior This is the Executive Branch ministry responsible for governance inside Peru, and for law enforcement and public order, through the Peruvian National Police (PNP). Under the provisions of Peru’s constitution and Legislative Decrees 1095 and 1100, the PNP works with the Public Prosecution Ministry to carry out operations to stop illegal logging and mining. In addition, the PNP has an Executive Directorate on the Environment (DIREJMA–PNP), whose mission is to plan, organize, manage, execute, monitor, and supervise police activities nationwide related to environmental protection.

Ministry of Defense (MIMDEF) MIMDEF requests from the Ministry of Energy and Mining or the regional governments, as necessary, detailed information on mine owners under their purview who have the necessary authorization. It also requests accounts of the authorized machinery, and its owners, in the case of small-scale mining. MIMDEF further supports the police in carrying out operations to stop illegal mining and illegal logging through the Directorate General of the Coast Guard (DICAPI). 138 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

Forest and Wildlife Resources Oversight Agency (OSINFOR) OSINFOR falls under the Office of the President of the Council of Ministers and is the national agency responsible for overseeing and monitoring the sustainable use and conservation of forest resources and wildlife. OSINFOR takes immediate special enforcement actions in forest concessions in order to verify that concession holders are not engaging in illegal mining activities or have encouraged such activities by proxy or by allowing them to occur without authorization within the area of their concession. Should evidence be found that a concession holder has engaged in or encouraged illegal mining, OSINFOR will revoke the forest concession in question.

Office of the Special Solicitor for Environmental Crime (under MINAM) This Office defends the Government’s interests when these are impacted by environmental crimes. In this regard, it is involved in preliminary and/or preparatory investigations and legal proceedings already underway, or set to begin, for environmental crimes, such as crimes pertaining to contamination and natural resources.

Tax Administration Superintendency (SUNAT) SUNAT is responsible for prevention, inspection, and enforcement when it comes to the smuggling and illegal trafficking of goods nationally, whatever their origin and nature, and for punishing those who violate legal and administrative tax and customs provisions. SUNAT oversees enforcement operations in retail fuel establishments to prevent the indiscriminate sale of fuel primarily destined for illegal mining activities. It is likewise responsible for establishing so-called “fiscal routes,” with checkpoints that make it possible to stem the irregular supply of chemicals and machinery, to fight illegal mining. In addition to playing a role in the international gold and timber trade, through its customs division, SUNAT is also in charge of detecting and seizing gold of illegal origin.

Financial Intelligence Unit (FIU) of the Superintendency of Banking and Insurance (SBS) and Pension Fund Managers (AF) The FIU’s legal mandate is to protect financial integrity, understood as protecting the public via the creation of anti-money laundering and countering the financing of terrorism (AML/CFT) regulations in order to reduce the likelihood of financial crime and its potential impact. This mandate involves all persons defined as regulated entities. In order to verify implementation of an AML/CFT system, both the SBS and the FIU conduct on-site and off-site inspections of the following regulated entities: companies in the financial and insurance systems and private pension fund managers; savings and loans cooperatives and correspondent offices; and regulated entities under their purview (like gold mining and trade companies). ANNEXES 139

ANNEXE 7 CONSERVATION INITIATIVES Figure A7 1 Conservation Initiatives

ADDITIONAL ORGANIZATION DESCRIPTION INFORMATION World Bank Integrated Forest The Project seeks to strengthen sustainable Landscape Management Project in management and use of forest landscapes in USD 12.20 million Atalaya, Ucayali, the Raimondi, Sepahua, and Tahuanía districts 2019- 2024 of the Atalaya province. The Project seeks to strengthen the capacity of World Bank Integrated Water targeted water resources management related Resources Management in Ten institutions to plan, monitor and manage water USD 88.15 million Watersheds of Peru Project resources at the national level and in selected 2017- 2022 river basins in Peru. The Project seeks to generate and share information for environmental quality control at the national level, by supporting World Bank Improvement of the Government of Peru to improve its Environmental Quality Services environmental monitoring and analytical USD 70.41 million 2017 - 2022 capacity, increase public access to environmental quality information, and promote informed public participation in environmental quality management. World Bank Grant Mechanism for Indigenous Peoples Specific Donation Mechanism for and Local Communities in Peru improve USD 5.50 million Saweto, Peru sustainable forest management practices. 2015 - 2021 The Program supports government institutions (in Peru and Colombia), civil society organizations, representatives of indigenous European Union - Food and peoples and private sector organizations Agriculture Organization Regional to address their priority needs for forest USD 7.4 million Program governance and law enforcement. Focus areas 2015 - 2021 include illegal logging, promote trade in timber products of legal origin and contribute to sustainable forest management and poverty reduction. The objective of the Program is to contain the deforestation and degradation of Amazonian forests, the loss of their biodiversity and European Union Amazonia 2.0 ecosystem services, including climatic services, USD 7.4 million 2017 - 2021 empowering indigenous and campesino organizations in Peru, Ecuador, Colombia, Brazil, Guyana and Suriname. 140 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

ADDITIONAL ORGANIZATION DESCRIPTION INFORMATION The general objective is that by 2020, the protected area systems of the Amazon biome European Union increase the resilience of ecosystems to the Integration of the Protected Areas effects of climate change and maintain the USD 5.8 million of the Amazon Biome provision of goods and services in Brazil, 2015 - 2019 Bolivia, Peru, Colombia, Ecuador, Suriname, Guyana, French Guyana, Venezuela. European Union The Project seeks to increase the commitment Increased capacity for execution of civil society to strengthen the application and cooperation to combat wildlife of the law and cooperation with and between USD 7.7 million and timber trafficking in the Andes authorities in Bolivia, Ecuador, Colombia, Peru, Amazon region with the border areas of Brazil to combat illegal 2018 - 2021 trafficking of wildlife and timber. GEF - UN Environment The project seeks to strengthen national Project “Effective implementation capacities for the effective implementation of the regime of access and of access regimes to genetic resources and participation in the benefits and traditional knowledge in accordance with the USD 2.19 million traditional knowledge in Peru Nagoya protocol and thus contribute to the in accordance with the Nagoya conservation of biological diversity and human protocol” well-being in the country. 2017 - to date The purpose of the Paracas Fund is to support Pluspetrol Paracas Fund the management and recovery of the Paracas USD 7.0 million 2004 - 2044 National Reserve, in accordance with its Master Plan. The Project seeks to implement a sustainable GEF - IADB forest management and preservation model Mitigation of deforestation in Brazil for Brazil nut concessions in Madre de Dios, nut concessions in Madre de Dios, USD 1.57 million which contributes to reducing greenhouse Peru gas emissions caused by deforestation and 2014 - 2019 degradation. The Critical Ecosystem Partnership Fund Partnership fund for the The project seeks to ensure that civil society is tropical hotspot critical ecosystems involved in biodiversity conservation initiatives USD 253,100 of the Tropical Andes in hotspots or “hot spots” of biodiversity. 2015 - 2020 The project seeks to enhance the resilience capacity of the indigenous communities living Green Climate Fund in the rich carbon stock wetland ecosystem in Building wetland resilience in the the Province of Datem del Marañón in Loreto. USD 6.2 million Datem del Marañón province, Peru The project aims to create social capital and 2016 - 2022 agreed plans to entrust the management of the natural resource base to the indigenous communities. ANNEXES 141

ADDITIONAL ORGANIZATION DESCRIPTION INFORMATION GEF - FAO The objective of the project is to conserve in- Sustainable management of situ and to sustainably use globally-important agro-biodiversity and recurrence agro-biodiversity through the preservation of of vulnerable ecosystems in the traditional agricultural systems, the integrated USD 9.2 million andean region of Peru through the management of forests, water, and land focus of important systems of the resources, and the maintenance of ecosystem World Agricultural Heritage services. 2016 - 2023 The program seeks to contribute to the consolidation of the network of protected natural areas in the marine and coastal areas; KfW and contribute to the consolidation of the Protection of Natural Areas - Peruvian system of protected areas with a view Phase III - Conservation of marine to meeting the objectives of the Convention USD 11.8 million biodiversity on Biological Diversity. It also seeks the 2017 - 2022 maintenance of environmental services provided by these ecosystems, including those associated with mitigation and adaptation to climate change. Adaptation Fund The project aims to support the Peruvian Adaptation to the impacts of Government in reducing the vulnerability of climate change on coastal marine coastal communities to the impacts of climate USD 6.9 million ecosystems and fisheries in Peru change on coastal marine ecosystems and their 2017 - 2022 fishery resources. Joint Declaration of Intent Efforts under the Joint Declaration seek to between Governments of Norway, mitigate the impacts of climate change by Norway committed up Germany and Peru reducing emission from land use change and to USD 230 million 2014 - 2020 contribute to Peru’s sustainable development. IUCN - Vilcanota Polepys Vilcanota The overall objective of the project is to work Polylepis Fund with local indigenous communities to protect USD 938,866 Started in 2017 and continues and restore Polylepis native forests. to date Project Finance for Permanence mechanism Gordon and Betty Moore established to secure long-term financing and Foundation - Patrimonio Natural Over USD 40 million management for national-scale protected area del Peru or Peru’s Legacy initiative raised by 2018 systems. Led by the Government of Peru in Started in 2014 partnership with multiple organizations. The objective of the project is to promote long- term financial sustainability for the effective GEF - WWF management of the National System of Natural Ensuring the future of Peru’s ANP USD 9.0 Million Protected Areas of Peru (SINANPE) for the 2018 - 2022 protection of globally important biodiversity and ecosystem services in the Amazon Biome. 142 TROPICAL FOREST AND BIODIVERSITY ANALYSIS

PHOTOS: Diego Pérez / USAID-USFS FOREST pixabay.com Juan Carlos Riveros Juan Carlos Riveros is a Biologist graduated from the National Agrarian University La Molina, with a Master of Science in Forest Resources Conservation. He has over 25 years of experience in biodiversity conservation with a strong background in the application of scientific principles to the design and implementation of conservation actions. Mr. Riveros has worked extensively with local NGOs and research institutions as well as international conservation organizations to conduct species and ecosystems assessments. He is recognized by his expertise in landscape ecology, geographical information systems, remote sensing and modeling tools for systematic conservation planning, conservation status assessments and climate change scenarios. He was particularly renowned for his work as Science Leader of WWF Peru’s Amazon Program, whose team developed the Amazonian biodiversity conservation vision and the Hydrological Information System to assess the impact of hydropower development in the region. In recent years he has specialized in the use of science to support political decision-making on energy and adaptation to climate change in tropical forests and marine areas.

Maina Martir-Torres Maina Martir-Torres is a Biologist with a Ph.D. in Soil Science and Biochemistry from Penn State University and a Master of Science in Soil Science from the University of Minnesota. Dr. Maina Martir-Torres worked for the U.S. Agency for International Development from 2014-2019 as a Science and Technology Policy Fellow, assigned to the Peru Mission. While in Peru, she managed biodiversity conservation and climate change adaptation activities and served as the technical expert on illegal gold mining issues with a focus on the environmental degradation. Before joining USAID, Dr. Martir-Torres worked for the U.S. Department of State supporting trade-related environmental cooperation programs in Latin America and Asia. She has over eight years of experience supporting and conducting research in biodiversity, ecosystem processes, and forest dynamics.

César Ipenza César Ipenza is a lawyer graduated from the San Martín de Porres University in Lima, with a Master in Conservation of Protected Natural Spaces by the Autonomous University of Madrid and Complutense University of Madrid. He has over twenty years of practical experience with environmental law at the international, national, and community-based levels, and has frequently worked with indigenous groups and other traditionally excluded communities. Mr. Ipenza also has conducted participatory and analytical processes in the public sector and civil society in the area of biodiversity, natural resources, mining and hydrocarbons, lands, and indigenous peoples. He has served as key negotiator for Peru on issues of the Convention on Biological Diversity and the Regional Agreement on Access to Information, Public Participation and Justice in Environmental Matters in Latin America and the Caribbean (Escazú Agreement).

Patricia Tello Patricia Tello is a Renewable Natural Resources Engineer with a Masters in Agroecology and a minor in Environmental Management from the Universidad Nacional Agraria de la Selva in Peru. She has over 12 years of experience in agroforestry and environmental management working in the regions of San Martin, Huánuco, Ucayali, Junín, Loreto and Puno (PERU). Patricia has worked for multiple USAID-funded projects serving as environmental coordinator for alternative development activities, helping meet environmental compliance requirements, and contributing to the design and implementation of innovative agroforestry systems for cocoa and coffee crops. She has also supported forest management activities in native communities in tropical forests, and developed protocols for the restoration of soils degraded by coca cultivation in areas formerly covered by tropical forests in Peru. www.usaid.gov