Permitting process for

projects under development

and construction
15004_PE
Work Program
Audit Global Generation
September 2015

Proceso de permisos para

proyectos bajo desarrollo y
construccin
15004_PE
Work Program
Audit Global Generation
September 2015

Proceso de permisos para proyectos bajo desarrollo y

construccin
Agenda

Audit Objectives and Scope of Work

Areas / Department involved

Audit Team

Timing

Permitting process for projects under development and construction

Lima, September 2015

Proceso de permisos para proyectos bajo desarrollo y

construccin
Agenda

Objetivos de la auditoria y alcances del trabajo.

reas / Departamento involucrado

Equipo de Auditora

Cronograma

Permitting process for projects under development and construction

Lima, September 2015

Permitting for projects under development and

construction
Audit Objectives and Scope of Work
Objetivos de la auditoria
The 2015 Audit Plan includes an audit on permitting process for projects under development and construction in Peru. The analysis will not
include the management of the permitting process for power plants in operation.
This audit will be performed also in other LATAM countries (Brasil, Chile and Colombia).

Alcances del trabajo

The main goal of these audits is to assess the adequacy of the internal control system implemented for the management of the process and the
mitigation of the related risks. The analysis will be mainly focused on:
roles and responsibilities for managing the permitting process;
definition, collection and planning of projects permitting needs;
permitting documentation preparation and issue;
coordination and communication flow among involved units;
relations with relevant Authorities;
management of permitting requirements in case of relevant changes vs authorized projects configuration.

Audit activities will be carried out through interviews with management and personnel involved in the activities, the acquisition and study of
relevant documentation to pursue the objectives of the work.
Furthermore, audit activities will include a compliance assessment in respect of Compliance Program.
Permitting process for projects under development and construction

Lima, September 2015

Proceso de permisos para proyectos bajo desarrollo y

construccin
Audit Objectives and Scope of Work
Objetivos de la auditoria
El Plan de Auditora 2015 incluye una auditora sobre el proceso de permisos para proyectos en desarrollo y construccin en Per. El anlisis no
incluir la gestin del proceso de permisos para plantas de energa en funcionamiento. Esta auditora se llevar a cabo tambin en otros pases
de LATAM (Brasil, Chile y Colombia).

Alcances del trabajo

El principal objetivo de estas auditoras es evaluar la adecuacin del sistema de control interno implementado para la gestin del proceso y la
mitigacin de los riesgos relacionados. El anlisis se centrar principalmente en:
roles y responsabilidades para la gestin del proceso de permisos;
definicin, recopilacin y planificacin de proyectos que dejen necesidades;
permitiendo la preparacin de documentacin y emisin;

que la coordinacin y comunicacin fluya entre las unidades involucradas;

relations with relevant Authorities;

management of permitting requirements in case of relevant changes vs authorized projects configuration.

Audit activities will be carried out through interviews with management and personnel involved in the activities, the acquisition and study of
relevant documentation to pursue the objectives of the work.
Furthermore, audit activities will include a compliance assessment in respect of Compliance Program.
Permitting process for projects under development and construction

Lima, September 2015

Permitting for projects under development and

construction
Audit Objectives and Scope of Work - Main Risks

Macro-process

Process

Risk classification
(category/typology)

Operational /
Efficiency

Specific risk description

The obtainment of permits could be affected by inefficiencies in managing relations

within the project team / other units involved and with Authorities (impact also on time
delays)

Operational /
Business
interruption

Business interruption arising from missing update of permitting documentation, in case

of relevant changes to projects configuration, may lead to costs and/or time overrun

Compliance /
Compliance with
laws and regulations

Missing / delayed requests aimed at obtaining authorizations (e.g. water rights,

environmental permitting, etc) for development of projects may cause risks of
sanctions, financial losses and reputation degradation

Compliance /
Fraud - illegal acts

Corruption or other illegal / unauthorized acts (by Company personnel or by Partners /

Third parties) in order to obtain permits from local authorities leads to sanctions,
financial losses and reputation degradation

Compliance /
Reputation

The image of the Company could be viewed in a negative way by the public and
relationship of trust with shareholders could be damaged by not compliant/adequate
permits management

Health, Safety,
Environment,
Permitting and

Permitting

Quality

Permitting process for projects under development and construction

Lima, September 2015

Permitting for projects under development and

construction
Areas / Departments involved & Audit Team
Areas / Departments involved
The following Global/Local units, within Global Generation Area, will be involved in the audit activities:

Health, Safety, Environment and Quality

Business Development

Engineering and Construction

Local Generation Units

Other Units / Departments will be involved during analysis, if necessary.

Audit Team
Audit Global Generation

Audit LATAM

Cristina GALLO

Rmulo INGA CRUZ

Alessandro RUELLO
Giordano UBALDI
Head of Audit Peru
Leonardo CASTRO
Head of Audit Global Generation

Head of Audit LATAM

Marco PROIETTI

Alain ROSOLINO

Permitting process for projects under development and construction

Lima, September 2015

Permitting for projects under development and

construction
Timing*

Phases

Start date
20/07/15

Jul15

Aug15

Sept 15

Oct 15

Nov15

Dec 15

PLANNING (preliminary analysis)

FIELD WORK (interviews, detailed
review, sample testing)

End date
18/12/15

REPORTING (Sharing the results with

the process owners, definition of the
action plan, formalization and release
of the final report)

* Timing is related to the entire cross countries activities.

Field works in Peru

Permitting process for projects under development and construction

Lima, September 2015