Transformative planning for environmental justice in Lima

The Bartlett Development Planning Unit

Transformative planning for environmental justice in metropolitan LimaWater, risk and urban development: Present outlooks, possible futures

MSc Environment and Sustainable Development Student Report

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dpuDevelopmentPlanning Unit

The Bartlett

Transformative planning for environmental justice in metropolitan LimaWater, risk and urban development: Present outlooks, possible futures

July 2013

MSc Environment and Sustainable Development Student Report

This research is undertaken as part of the practice mod-ule of the MSc in Environment and Sustainable Develop-ment at the Development Planning Unit (ESD), University College London, co-ordinated by Adriana Allen and Rita Lambert. It has been conducted in collaboration with lo-cal partners Foro Ciudades Para La Vida, based in Lima, together with Liliana Miranda, Andres Alencastre Calde-ron, Carlos Esteban Escalante, Isabel Fernandes, Carlos Huaycho, José Rodrigues, Silvia de Los Rios, and DPU staff Adriana Allen, Liza Griffin, Rita Lambert, Etienne von Bertrab and Matthew Wood-Hill.

Many people have contributed to research findings and strategy development: local facilitators, aca-demics, researchers, public officials, colleagues and friends in Lima and in London, and above all, women

and men from the five case study sites who warmly opened up to us and patiently shared their knowledge and experience.

Finally, the students of the MSc Environment and Sustain-able Development 2012-2013 enthusias tically engaged with this action-research project to generate valuable and detailed primary information, produced a range of out-puts, and put forward interesting insights. These further the understanding of the relationship between water, risk and urban development and contribute to the framing of environmentally just urbanization of cities in the Global South, and specifically in Lima-Perú.

This compilation of reports is the final product of their work. To all, many thanks from the ESD Staff.

Costa Verde- Taboada Cantagallo Barrios Altos José Carlos

Mariátegui Huaycán

Preface

1. Costa Verde- Taboada Turning to the Sea

2. CantagalloUncertainty in the City: respect for rights and identity

3. Barrios AltosUrban Renovation with Life and Memory

4. José Carlos MariáteguiBetween the City and the Sky: Consolidation without expansion

5. Huaycán Rebuilding Hope

7

8

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68

112

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Content

Preface

These reports have been produced in the MSc Environ-ment and Sustainable Development programme at the Development Planning Unit (DPU), University College London (UCL) in response to terms of reference for the ‘Environment and Sustainable Development in Practice’ module, 2012-13.

Conceived as part of the DPU platform Water Justice in Latin American Cities, this research represent the first year of four, focusing on Lima. Its objective is to contrib-ute to the understanding of the relationship between wa-ter, risk and urban development and how environmental injustices are produced and reproduced in Metropolitan Lima. The aim of the project is to provide a diagnosis of the problematic as well as explore scenarios and develop strategies that contribute to transformative change.

The research included a four month desk-study in which the analysis and synthesis of secondary, as well as pri-mary information was undertaken, and three weeks of in-country fieldwork were dedicated to mapping and the collection of primary information in five case study sites: Costa Verde- Taboada, Cantagallo, Barrios Altos, José Carlos Mariátegui (San Juan de Lurigancho) and Huay-cán. Each of these sites offer unique readings of the city and enable a better understanding of the urbanization processes (institutional, private and local communities practices) operating in Metropolitan Lima.

This report as well as the videos produced as part of the project are available from the DPU website:http://www.bartlett.ucl.ac.uk/dpu/programmes/post-graduate/msc-environment-sustainable-development/in-practice/o-f

1. Costa Verde- Taboada. Turning to the Sea

Bas ParisCecile FaraudEleni IntzidiJames YooMakinzie ClarkMartin LichteneggerNora Nebelung

Table of Contents

1 Acknowledgements

2 Abbreviations

3 Executive Summary

4 Background

5 Methodology, Objectives and Limitations5.1 Methodology and Objectives

6 Conceptual Framework and Hypothesis6.1 Hypothesis and Research questions6.2 Conceptual Framework

7 Research Findings7.1 Geographies of Hope and Despair7.2 Spatialisation7.3 Long-term Impacts7.4 Opportunities for Change

8 Strategies8.1 Improve Environmental Awarness and Education8.2 Develop a Culture of Urban Citizenship

9 Conclusion

Reference List

Appendices

The Costa Verde. Photograph by James Yoo

10 MSc ESD Student Report 2012/2013

1. Acknowledgements

This project would not have been possible without our facilitators: Liliana Miranda, Isabel Fernandez, Liza Grif-fin, Adriana Allen, Étienne Von Bertrab, Rita Lambert and Matthew Wood-Hill who together provided us with in-sight, guidance and continuous support.

We would also like to express our sincere thanks to the following people and institutions who through interviews, presentations, tours and patience provided us with their valuable knowledge and insights: Marco Vargas, Josué Cespedes Alarcon, Ivan Rodriguez (SEDAPAL), Luiz Gal-lego (CREDEMAV), Irene Hofmeijer (LOOP), Julio Echazu (Regional Government of Callao), Juan espinola (IMP), Milagros Verastegui, Sofia Hidalgo (Ministry of Environ-ment), Angela Icumina (Municipality of La Perla), Juan Carlos Takahesu, Jimmy Sanchez (Municipality of San Miguel), Oscar Lineares Alva (Municipality of San Miguel), Ruth Fernandez Gonzales (Costa Verde Office), Gustavo Riofrio (Ministry of Housing and Sanitation), Oscar Quin-cho (Municipality of Ventanilla), Alfonso Aguirre (ACS).

The passion of residents in all of our case study areas has continuously amazed us, specifically in their desire to protect their living environment and have a say in the development of their living space. In particular we would like to thank Miranda de Valencia whose struggle, and successful victory, to prevent the opening of the collector in La Perla is an inspiration to all of us.

Moreover, we would like to convey our gratitude to Al-berto Ibanez and Cecilia Estevez for providing us with in-sights and an overview into the workings of the city.

Throughout our project we came in contact with a large number of activists fighting for their right to the city. We would like to thank Bart Klaar, Issy Marina Barsallo, Lenin Valencia and Jose Rodriguez for inspiring us and remind-ing us of the importance of defending your rights.

2. Abbreviations

ACS - Actividades de Construcciòn y Servicios Activities Construction and Services

APCV - Autoridad del Projecto Costa Verde Autority of the Costa Verde Project

CREDEMAV - Coordinadora Regional de Defensa del Medio Ambiente y de la Vida

Regional Coordination of the Defense of the Envrionment and Livelihoods

EIA - Environmental Impact Assesment

LOOP - Life Out Of Plastic

MINAM - Ministerio Nacional del Medio Ambiente National Ministry of Environmental of Peru

PTAR - Planta de Tratamiento de Aguas Residuales Waste Water Treatment Plant

SEDAPAL - Servicio de Agua Potable y Acantillado de Lima

Potable Water and Sewage System Service of Lima

SDF - Sustainable Development Forum

During Fieldwork at the Taboada treatment plant visit. Photo-graph by N.N.

After the final presentation of the field work. Photograph by N.N.

11Transformative planning for environmental justice in metropolitan Lima

3. Executive Summary

This project explores the practices and discourses shaping Metropolitan Lima’s coastal development, with a particular focus on the injustices that it creates, rein-forces or maintains. Despite its seaside location, Lima’s historic background reveals a unique relationship with the sea, where disciplinary buildings and urban develop-ment used to block coastal access rather than opening the city to it. This illustrates that discourses and prac-tices regard the sea solely as a commodity. This trend is being partly reversed, with the city and its residents “turning to the sea” along the Costa Verde coast, while Callao’s coast remains disregarded. By focusing on the districts of San Miguel, La Perla and the areas around the PTAR Taboada in Callao, it is possible to identify trends and injustices arising following the implemen-tation of megaprojects (Costa Verde Project, Avenida Costanera, Airport expansion, etc.).

It is argued that an inherent environmental percep-tion, merged with ambitions for a world-class city, gives ground to the neoliberal ideology to operate as a driving force formulating Lima’s coast. By positioning neoliberal-ism as an environmental project, which asserts particular values on nature that are consistent with its economic objectives, we analyse how its influence is effectuated in Metropolitan Lima’s coastal development.

Moreover, this report attempts to provide a holistic under-standing of the socio-ecological changes at play, through

the lenses of political ecology and theoretical interpreta-tions of neoliberalism. In doing so, we examine several important themes: How do the changes in the built envi-ronment affect the inhabitants of the coastal zone through processes of gentrification and the loss of public space; the relationship that citizens have with water and the wa-ter metabolism in Lima; and the role of the fragmented governance system in how issues are addressed, rein-forcing the current social and spatial fragmentation.

Furthermore, considering the disregard of long-term im-pacts, this report stresses that Lima’s development is un-sustainable and non-resilient. Simultaneously, limited and localised alternatives and opportunities for change that already exist in Lima are identified; internationally funded projects concerned with the reuse of wastewater, civil so-ciety organisations involved in resisting development pro-jects and contesting the appropriation of public spaces, the creation of the MINAM in 2008.

The report also proposes several strategies to challenge the current trend of development and to overcome the injustices produced by its course. These strategies aim at raising environmental awareness through providing a political ecology analysis concerning the way coastal de-velopment is advancing. Additionally, an online platform that encourages participation and debate around envi-ronmental issues has been created. Finally, a significant shift can be achieved by enhancing a culture of urban citizenship, which entails strengthening environmental ac-tivism and engagement through different means.

Via Costanera & extension to Callao sign. Photograph by N.N.Ocupacion Civica Barranco. Photograph bY n.n.


4. Background

Peru’s geostrategic position, with access to emerging mar-kets in Asia and connections to global markets through the Pan-American economic corridor, places Lima at the nation-al economic and political centre of the country. Lima’s growth parallels the too often accepted path of economic develop-ment, relying on neoliberalism (see App. 4.2.) as the acceler-ating force for its vision to become a world-city. This process commenced in the early 1990s with Fujimori’s presidency.

Peru’s export-driven economy facilitates the flow of mil-lions of dollars into Lima, especially through the financing of megaprojects focusing on infrastructure, waste manage-ment improvement and coastline redevelopment. While few localised plans for development exist, Lima’s authorities lack a holistic vision of the city which is illustrated by the absence of an integrated urban development plan. The complex net-work of public agencies and the different levels on which public authorities run the City are other factors of complexity, particularly due to the poor public dialogue and communica-tion which appear to exist between these authorities.

Case study

In order to understand how the processes and discours-es at play are manifested and impact Lima’s coastal de-velopment, our project is focusing on the latest extension

of the Costa Verde project (see App. 2.2.), namely San Miguel and La Perla disctricts, and on the latest support-ive infrastructure built on Callao’s coast (see App. 2.3.), namely the neighbouring areas of the PTAR.

The development of Lima illustrates a unique understand-ing of the environment, where the vision of a competi-tive city, reinforced by neoliberal influence, is coupled to a complex relation to the ocean and to the water in general.

This pattern results in the creation, reinforcement and dis-placement of injustices, with environmental, socio-eco-nomic and political consequences, expressed unevenly in space and time, often at the disadvantage of the poorest.

Case Study Background

In the district of San Miguel, the ‘Collector Costanero’ (which was operating for many decades) pumped waste-water directly into the Pacific Ocean, causing severe en-vironmental pollution. Inefficient maintenance due to lack of political will and funding led to its deterioration. This in-crease of environmental pollution triggered civic reaction; local demonstrations called for the closure of the collec-tor. However, only its collapse in 2008 propelled a state of emergency, caused by the detrimental environmental impacts of the flow of wastewater into the Pacific Ocean.

Significantly, the closure of the collector brought forward the opportunity to expand the Costa Verde project to San Miguel district. The La Perla collector, although it had been built years before, was optioned as the next location for pumping waste into the Pacific. While residents and the Mayor of La Perla strongly contested the project, the main reason for not using the collector was to reserve the land for real estate devel¬opment. Thus, the perspective of economic gain from the extension of the Costa Verde project to La Perla, along with a strong NIMBY attitude of the people, led to the final resolution of the wastewater crisis: divert the waste to the north.

This propelled the decision to move forward with the con-struction of the Taboada Treatment Plant, with a comple-mentary treatment plant in the south, in la Chira. Another explanation, given by SEDAPAL, promotes the geograph-ical advantage of placing the treatment plant in La Ta-boada - this area is at the lowest elevation along Callao’s coast - showing how technical expertise can conveniently justify political decisions.

The placement of the treatment plant in Taboada con-firms Callao’s position as the location for Lima’s support-ive infrastructure. Along with the airport, port, and indus-trial factories, it leaves Callao with a double burden; first, having to sustain this new infrastructure, and second, the prevention of any positive development along this coast. The construction of the treatment plant, which only offers pre-treatment, began in 2008.Map 1_Study Area

Callao districtLa Perla districtSan Miguel district


While this provided an immediate solution to the threat along Lima’s southern coast, the placement of the treat-ment plant in the North means that the surrounding areas would now be negatively affected by the flow of waste-water into the ocean. Resistance from the fishing compa-nies in Callao to the construction of the treatment plant prompted the Housing Ministry to compensate the fishing companies’ owners by offering them land for potential in-vestment in the coastal are of San Miguel.

5. Methodology, Objectives and limitations

5.1 Methodology and Objectives

During the three phases of research (pre-fieldwork, field-work and post-field-work) our group aimed at identifying the ways in which Lima’s current path of development is producing injustices

Pre-Fieldwork Phase

The first phase was concerned with identifying how cer-tain injustices were associated with the proposals for wastewater solutions (specifically the PTAR Taboada), and became sensitive to a complex process of environ-mental management in Lima. The fragmented city plan-ning prompted us to focus on the different motivations amongst the districts in Lima and Callao. Our original re-search objective was then aimed at ‘localising’ the injus-tices associated with wastewater management.

Fieldwork Phase

During the fieldtrip phase, we designed questionnaires (see App. 3.1.) to test the validity of our assumptions and hy-potheses. The number of responses we got were equal within our three areas and balanced between men and women, workers and residents, and they were geared at identifying the injustices we associated with the PTAR con-struction. This method allowed us to understand that the issues of water access and of wastewater were partial to a larger process of coastal transformation (see App. 3.2.).

Subsequently we aimed to uncover the ways in which Lima’s coastal development as a whole, including the PTAR, translates into socio-ecological injustices. This forced us to reflect on the impact of the Costa Verde Project, along with other megaprojects positioned along Lima and Callao’s coasts.

By interviewing representatives from public authorities (at national, regional and municipal level), civil society and the private sector (see transcription of key interviews in App. 3.3.), our analysis was redirected towards understanding the forces at play, the prevalent discourses and the practices involved in coastal transformation. The material produced, such as our analytical video and website, was presented to

a wide range of partners and was positively received.

Post-fieldwork Phase

On completion of the fieldwork, we developed a theo-retical interpretation of neoliberalism’s influence in the transformation of Lima’s coasts, and drew connections between economic motivations and the manifested in-justices that we had identified. Therefore, through our analytical framework, we identify how economic impulse, coupled with a complex environmental discourse, results in the displacement of socio-environmental injustices.

On the entrance to the PTAR. Photograph by N.N

Table 1_Limitations

Limitations

• Lack of prior research on Lima’s coastal develop-ment, inducing a lack of secondary sources.• Spatial constraint: Our three study areas are found along the long coast of Lima and Callao; the northern districts of Callao are not easily accessible from San Miguel and La Perla.• City fragmentation and time constraints: San Miguel, La Perla and the neighbouring areas of the PTAR Taboada in Callao are experiencing dissimilar socio-economic conditions, contexts and dynamics. Within the time frame of our research, we only man-aged to reach the first layer of public authorities and civil society representatives.• Security restriction: Northern districts of Callao and La Perla’s west border were particularly unsafe, which prevented an extensive transect walk and more intensive engagement in interviews or focus groups with residents.• Inherent biases created from our desk research, especially concerning education, environmental per-ception, etc.


6. Conceptual Framework and Hypotheses

6.1 Hypothesis and Research Questions

According to the current process of Lima’s development, we hypothesise that the power relations that influence the decision-making process support several layers of economic motivations that outweigh environmental con-cerns. Therefore, environmental management is shaped around economic interests, which leads to the displace-ment of environmental injustices to areas of least eco-nomic benefit. This translates to unsustainable and unjust institutional and everyday practices.

The prevailing hegemonic discourses impose megaprojects as the main path for the city’s development. Over-represent-ed in the political space, they foreclose envisioning alterna-tives to conceive the city differently. The power relations in place instead reduce alternatives for positive and integrated transformation at a very localised and disconnected scale, greatly reducing their chances to address the socio-environ-mental injustices that are currently only displaced.

6.2 Conceptual Framework

The network of socio-ecological relations in Lima is pow-erful and uneven urban geographies are continuously reformed, demonstrating cross-scale power relations between several urban agents (Swyngedouw & Heynen, 2003). Consequently, these compounded relations are creating benefits for some that tend to generate burdens for others, as represented in Figure 1.

Neoliberalism as an environmental project

Neoliberal ideology restructures social relations to nature by confining the value of natural space within the realm of

privatization, asserting its objective purpose of economic gain. In doing so, it constructs a new matrix for social actors to interpret and use nature, in ways that are in-herently tied to the neoliberal ideologies that determine nature’s value. Therefore, neoliberalism is necessarily an environmental project (McCarthy, 2003), as, through its valuing of and use of nature, it constructs a particular un-derstanding of the natural environment.

Therefore, we aim to identify to what extent neoliberal ide-ology is shaping Lima’s coastal development - through its imposition on environmental management and city planning - and how this translates into social and en-vironmental injustices. Furthermore, we will reveal the discourses surrounding these developments, that serve to encourage, or support, this neoliberal path of develop-ment in Lima. In doing so, we are better able to analyse the processes of social transformation that parallel this coastal development, and to draw links between neolib-eralism, socio-ecological change, and the injustices that are produced.

Environmental discourse

The natural environment is viewed through a neoliberal lense, which not only highlights its economic value, but also, serves to direct attention away from environmental realities; namely, the concept of limits, the fragility of water systems, and the issues of risk.

The presumption of a limitless environment and the belief that nature will take care of itself play a detrimental role in directing the course of development. Additionally, Lima’s paradoxical relationship with water reflects a fragmented water metabolism (see App. 4.2.) and reveals the par-ticular discourses around water that shape environmental management.

Why are opportunities for positive trans-formation and environmental/water justice consciously and unconsciously disregarded?

How are environmental injustices manifested in the coastal develop-ment of Lima?

What causes and reproduces these injustices?

What opportunities of change can we identify?

Figure 1_Analytical Framework


Hannigan (1995) argues that while environmental prob-lems are real, they are only noticed, and, therefore, only addressed, when they affect particular social interests; labelled ‘soft constructionism’. Accordingly, Lima is tak-ing a soft constructionist approach instead of integrat-ing the environmental problems in their institutional and everyday practices. This is evident through the juggling of wastewater solutions between the different districts (NIMBY) (see App. 4.3). These patterns lead to the crea-tion of socio-environmental injustices and, consequently, their displacement instead of addressing and tackling them. The development of Lima’s coast displays this pro-cess through the positioning of several megaprojects and waste flows to the extremities of the city, as represented on the map 2.

“This [the taboada treatment process] is a clever treatment because it takes out the solids while na-ture is capable of efficiently recycling the rest of the waste.” (Aguirre, 2013, App. 3.3.1)

The Case of San Miguel In San Miguel, the Costanero collector had been pollut-ing the ocean with untreated waste for 40 years. Fur-thermore, the presence of material waste on the beach suggests that there was a general maltreatment of the coast. The continuous pollution of both the ocean and the beach resulted in the spatial separation of residents from the ocean, manifested through a symbolic barrier of large buildings that, in effect, blocked residential life from the natural environment. This separation from the ocean follows the trend of placing environmental problems ‘out of sight’ - or, not in my backyard - that is prevalent throughout Lima. This disconnect further amplified the lack of environmental awareness amongst the residents. Only in 2008, when the collector collapsed, the residents of San Miguel became concerned about the pollution that the collector was releasing into the ocean. Now fac-

ing direct impact from the pollution, they demanded the complete closure of the collector. Conveniently, the Costa Verde Project (see App. 2.2.) ould position San Miguel as a site for coastal development, upgrading the area that was once polluted, and increasing its value. Therefore, environmental concerns are not among the highest prior-ity and tend to generate reaction only when public au-thorities and residents are directly affected, which reveals the socially constructed perception that they hold for the environment. Furthermore, this emphasises the way in which environmental management is organized around economic interests.

Planning through Megaprojects

The Costa Verde project is positioned as a necessary and qualified solution to Lima’s traffic problems. Arguments for its physical location along the coast are situated in reasoned responses concerning its inevitability (see App. 3.3.17.). However, it is apparent that there is some awareness over the issue of risk along Lima’s coastline - specifically concerning the probability of earthquakes and tsunamis. Given that those involved in its develop-ment are, at least, topically aware of this issue, the vali-dation for the Costa Verde project reaffirms our assump-tion that environmental issues are usually conveniently ignored for economic gains, a trend that is reinforced by technocratic arguments (see Rodriguez, 2013, App. 3.3.); Risk areas along the coast, when mapped ac-cording to interest, negate the occurrence of highly risky parts of the city which are of interest for development, as was observed for the coastal areas (see App. 1.1). This highlights the way in which environmental issues come to be framed in Lima.

The PTAR construction (see Αpp. 2.3.) was defended in a similar manner, with explanatory descriptions concerning the flow of natural currents in the Pacific Ocean, and its location in an isolated – or rather, neglected – area of Cal-lao. The PTAR is defended on the basis of its technologi-cal assurance and its symbiosis with ‘the natural’.

“With the strength of the current [Humboldt] it travelsdirectly to the centre of the pacific where it is intro-duced in the biological cycle.” (Aguirre, 2013, App. 3.3.1)

“The decision to put the treatment plant in La Taboa-da was because it is at one of the lowest elevations along the coast, thus all the wastewater can naturally flow in this direction.” (Rodriguez, 2013, App. 3.3.5)

Costa Verde Plan. Source: Autoridad del Proyecto costa verde 2007


Ocupacion Civica Picnic. Photograph by N.N

ACS engineer explaining the Taboada treatment plant. Photograph by N.N

Questionnaire in Santa Beatriz. Photograph by N.N


7. Research Findings

7.1 Geographies of Hope and Despair

The unequal distribution of megaprojects and of waste flows reflects a spatio-temporal maldistribution of benefits and burdens. This is exemplified through the develop-ment of a coastal highway, with green spaces, shopping malls and restaurants, that would connect South Lima to North Lima; the upgrade of waste management with the construction of a new wastewater treatment plant; and the expansion of the airport and the port. All of these projects tend to push the injustices towards the northern part of Metropolitan Lima, reinforcing the contamination of Callao’s coast and threatening citizens’ livelihoods and environment.

The lack of opportunities for participation in the decision-making process results from and reinforces the synergy be-tween neoliberalism, public policies and citizens’ perception of both the build and natural environment. This allows for the certain objectives towards city development to prevail, suggesting that power relations in Lima are influencing the political and economic rationality behind its development.

Relating this to Bryant’s (2008) argument, when unequal power relations influence the politics of environmental management, they establish - as a solution - geographies of hope and despair. This displaces injustices spatially to the peripheries of the city, which, in the case of Lima, are areas of least economic benefit and least socio-economic

power. This is fuelling the creation of landscapes of hope and despair: Hope through the enhancement of Lima’s southern coast, and despair through the consolidation of wastewater in Callao. “This very specific prioritisation of problems, then, becomes the ‘natural’ agenda of con-temporary spatial planning through the seemingly neces-sary production of market-friendly places (detached from the city’s social problems)” (Baeten, 2012).

By examining how these processes and discourses translate into flows of public and private investment and of waste, it becomes apparent that Lima is positioning its southern coast for positive development, while its north-ern coast remains a dumping ground for waste infrastruc-ture, trade points, factories, the airport and the port, all of which tie into Lima’s geopolitical strategy to position itself as an important actor within the global economy.

Figure 2_Actors of water governance in lima and Callao. Source: Liwa Milestone Report August 2010 (adapted for our project).

Garbage along the coast. Photograph by N.N.


7.2 Spatialisation

The mapping of flows allows us to identify a wide range of injustices that are displayed along the two coasts. While we mapped the spatial dimension of injustices, our pur-pose is also to highlight their often intangible aspects. The injustices have socio-economic, socio-political, and en-vironmental layers. By making them visible, we intend to propose strategies that can address them. These flows are symbolic of the different influences acting on, and the consequences of, the coastal transformation. The map displays the different flows that we have identified, their direction, which reveals the particular motivations of deci-sion makers, and their spatial consequences.

Investment flows

The flows of foreign investments illustrate how the city development is shaped by megaprojects, while the flows of public investment emphasise the neoliberal vision that the public authorities hold for the city. As the Costa Verde extends, we can notice trends of public investment that finance its construction, while trends of predominantly international investment flow into real estate develop-ment along the coast. This is evidenced by the augment-ing number of real estate companies, especially in San Miguel, like Imagina and Terrazas de la Costanera, build-ing apartment complexes along the coast intended to be sold to investors.

On the other hand, the positioning of the supportive in-dustrial infrastructure in Callao, along with the flows of waste towards the North, demonstrates the strong con-trast between Lima’s southern and northern coastal de-

velopment, rendering Callao as a place where opportunity for positive development is hindered. Put another way, if we look at Metropolitan Lima as a metabolism, where all elements are interdependent and interconnected, Callao would represent the sink area of the city, where all the flows of solid and liquid waste are sent to and dealt with.

Gentrification

However, other processes at play suggest there may be potential negative outcomes of the Costa Verde develop-ment, despite its support by the six municipalities. As the districts along the coast are transitioning towards more commercial and high income development, trends of gentrification (see App. 4.2.) can be identified, as defined by Smith and Williams (1986) and Davidson and Lees (2005). Therefore, this shift in socio-economic conditions could lead to homogenisation and a change in character of the coastal districts.

While the developers of Costa Verde promote an overall improvement of living conditions, the low to middle in-come residents may be unable to access these benefits or might even face the possibility of residential rehabili-tation (Quote Cecilia Estevez). It was made clear that the decision making procedures were non-transparent, further emphasizing the concern that the project would serve to benefit some, but neglect many.

The widespread set of neoliberal values and policies in Lima, like private property rights, free markets, privatisa-tion, etc., favours the creation of urban environments that would serve the needs of capitalism at the expense of the least advantaged (Slater, 2010). The ‘regeneration’ that


Big Infrastructure (Airport, Port)Planned expansionCosta VerdeAvenida Costanera Discovered injusticesForeign InvestmentPublic InvestmentFuture/Needed Investment

Big Infrastructure (Airport, Port)Planned expansionCosta VerdeAvenida CostaneraDiscovered injusticesDisplacementsGentrificationExpected Gentrification

Map 4_Map of trends of gentrification and displacement (see App.1.3.)

Map 3_Map of trends of Investments (see App.1.3.)


Lima is currently facing, driven by the capitalist urban land business and policies and creating injustices, can be en-capsulated in the term gentrification.

Gentrification is inextricably connected to the econom-ic, spatial and social redevelopment of an urban centre (Smith and Williams, 1986 cited in Slater, 2010). A very good representation of this process is the profitable re-development that is currently taking place in Lima: The creation of spaces for recreational and other activities, the rise of hotels, convention centers, restaurants and casi-nos, the building of high apartment blocks for investment. Arguably, in order for all these developments to materi-alise, residential rehabilitation is necessary. Therefore, gentrification cannot be understood as separate from the processes of neoliberal development that encourage it.

The process of gentrification along the Costa Verde is a product of the spatial restructuring of Lima’s coast that follows the neoliberal ideology, suggesting the link be-tween neoliberal ‘planning’ and processes of social ex-clusion. Analysing this trend, we see that “gentrification is a visible spatial component of this social transforma-tion” (Smith and Williams, 1986: 3 cited in Slater, 2010). Referring back to the example of San Miguel, real estate developers construct high rise commercial buildings in low income, residential areas, benefiting higher income residents, and disadvantaging the economically vulner-able along the coast. Increases in land prices will most likely force current residents to leave.

level and from the APCV, national and foreign investments flow into the development of the Costa Verde, visible through the opening of commercial outlets (APCV, 2013). This restricts access to certain places on the coast to people who cannot afford it and contradicts the vision of ‘Costa Verde Para Todos’ (picture). In the case of Callao the airport and port extension as well as the Avenida Cos-tanera and Gambetta Project have serious implications on the livelihood of residents. These developments limit the possibility of using land for public use, emphasising private-led development rather than reflecting the wider social interest of the community. Therefore, the ‘right to the city’ (Harvey, 2008. See App. 4.2.) is deprived.

“Wherever the city invests in infrastructure poor peo-ple can’t afford to live in these areas anymore and are pushed further and further to peripheral areas. As the project Costa Verde develops currently see and will continue to see that the poorer residents of San Miguel and La Perla will be forced to move to periph-eral areas.” (Estevez, 2013, App. 3.3.16)

Loss of public space

As argued above, neoliberalism is necessarily an environ-mental project (McCarthy, 2003), as it molds the constitu-tion of the built environment and the interpretation of na-ture (environmental perception). Therefore, megaprojects are a determinant of the socio-ecological transformation along Lima’s coast, constructing new ‘spaces’ that be-come reflective of neoliberal ideology - for instance, re-serving land for private investment, rather than for public use (Urry, 1995).

Along the coast and especially in the areas where megaprojects (see App. 2.1) are implemented, open spaces are under constant threat from being lost to pri-vate sector development. Along the southern coast of Lima concessions are given to the private sector to oc-cupy and develop spaces. Despite regulations at the city

“We are loosing it [public space] all the time throughinvasion [by commercial interests]. We [activists]invade for one day, as they do it all the time." (Barsal-lo, 2013)

Lack of public space. Photograph by Cecile Faraud

“Costa Verde para Todos” Advertisement. Photograph by Cecile Faraud


7. 3 Long-Term Impacts

The displacement of injustices perpetuates negative long-term impacts, which in turn accentuate injustices produced in Lima. This vicious cycle also reinforces the social and spatial fragmentation of the city, feeding the disintegration process already at stake. The fragmented water metabolism leads to unsustainable development of the city. The Costa Verde project, along with other megaprojects promoting green public space, Via Parque Rimac for instance, requires increasing amounts of wa-ter. With the rise of water prices, municipalities have to find new resources, which might lead them to seek even further for private investments and neoliberalism solu-tions. Furthermore, the densification along the Costa Verde will lead to great increases in amount of waste produced in those areas, adding further pressures on Callao’s infrastructure to support Lima.

While economic arguments prevail, the city appears blind to environmental risks. Prone to earthquakes and tsunamis, Lima also faces significant climate change is-sues of rising sea levels, aggravated by its sinking trend. By putting these considerations aside, Lima appears particularly vulnerable and non-resilient. Moreover, the lowest income districts are the ones facing the highest level of risk; for instance, La Perla’s geographical loca-tion places it in the direct path of projected tsunamis, inducing another layer of injustice on the area.

The lack of awareness about these long-term impacts prevents positive change. Regarding wastewater man-agement, the worse-case scenario could lead to anoth-er environmental crisis, such as the one that happened with the Collector Costanero in San Miguel. Another ex-ample concerns the only pre-treated waste water which is pumped from the Taboada Treatment plant into the Humboldt current. The discharge of the wastewater might currently create an invisible environmental pollu-

tion, which could even worsen in the future due to con-stant accumulation.

7.4 Opportunities for Change

The continuous displacement of socio-environmental problems requires a need for a transition that would con-sider alternatives, since, without environmental integra-tion in institutional and everyday practices, the current socio-political construction of the environment will be a hindrance to transformative change. Isolated instances of resistance are challenging the dominant neoliberal and hegemonic environmental discourses.

Civil Society

Civil society resistance was found to be strongest in Barranco. Public space appropriation and the (illegal) construction of private properties are, for instance, chal-lenged by neighborhood associations.

In La Perla and San Miguel, social organizations exist, but they are much less organised. Due to the campaign-ing about the benefits of the Costa Verde project and, also, a lack of communication between public authori-ties and citizens, residents lack a broader and long-term perspective of the potential negative consequences of the Costa Verde. (pictures of advertisement). However, some civic organisation has proved effective, such as CREDEMAV’s (see App. 3.3.19) role in preventing the opening of the collector in La Perla.

Environmental organisations working in Peru and Lima mainly focus on wildlife protection and nature conser-vation, which is said to be a question of available re-sources (Hofmeijer, 2013, App. 3.3.9). Few environmen-tal NGOs operate in Lima, as confirmed by LOOP, a local NGO working in recycling programs and beach cleaning activities. Furthermore, according to the president of

Ocupacion civica picninc being interrupted by the policePhotograph by N.N.

Real estate development advertisement. Photograph by N.N.


The Decreto Supremo, number 042-2008 PCMsets standards on the quality of treated wastewater, prior to each release into nature. (MINAM, 2008)

CREDEMAV, very few organisations exist in Callao. (see App. 3.3.19)

Reuse of Wastewater – Changing the Discourse

Complementary to these civil society movements, alter-native visions within the environmental sphere exist to challenge the current development of the city. Interna-tional projects, such as LIWA and SWITCH, have initiat-ed the process of change by increasing the prominence to reuse wastewater. SEDAPAL is building two waste-water treatment plants with a view to reuse wastewater in La Atarjea and Santa Clara (see App. 3.3.5/6). SEDA-PAL also promoted the reuse of effluent for agricultural applications in the new wastewater treatment plant that was built in the Manchay district in 2009. These initia-tives are stepping-stones towards a change in environ-mental discourses and perceptions.

Another indicator for change is the creation of the Minis-try of Environment in 2008 and the laws and regulations protecting the environment that it passed (law in box). It is important to note that the Ministry is still developing new standards and regulations for environmental protec-tion, which reflects the ongoing nature of this endeavor. The major drawback identified is the incapability of the Ministry to enforce these regulations, such as the fining of mining companies contaminating the river Rimac.

8. Strategies

8.1. Improve Environmental Awareness and Education

8.1.1. Provide a political ecology analysis of Lima’s coastal development

As our analysis highlights, there is significant spatial and social fragmentation in Lima which has not been ad-dressed in an integrated way, neither academically nor in practice. To break the trend of seeing the emergence of megaproject development, waste and water manage-ment and coastal development as separate entities, it is necessary as a first step to provide an analysis which, through the lens of environmental justice, will provide an understanding of the connectivity of the different pro-cesses at stake in the urban development of Lima.

Through our research we were not only able to identify trends but also the points where those trends can be challenged in a way which makes change possible (Our

map with flows and pockets of resistance or other visu-alization). Our report’s analysis as well as further findings from our research is also accessible through our website ‘Turning To The Sea’ (see Strategy 8.1.2). Section 8 de-tails a number of strategies for reversing certain trends we have and offer an alternative development path for the city with the implementation of policies and activities by the numerous actors engaged in our study area.

Real estate development on the coast. Photograph by Cecile Faraud

Water filtering in the Taboada Treatment Plant. Photo-graph by N.N.


STRATEGY RECOMMENDEDACTIVITIES/POLICIES

INDICATORS MAIN OUTPUTS ANDOUTCOMES

RESPONSIBLEACTORS

TIMEFRAME

1. ImproveEnvironmentalAwareness and Education

Political Ecology Analysisof the case study - SanMiguel, La Perla andcertain areas within theregion of Callao

-Publication of Final Report and distribution to local partners in Lima-Comments and observationson the Final Report are received from the local partners

-Costa Verde-Taboada Final Report-Research project videos (preand post fieldwork)

- Costa Verde-TaboadaProject Team(UCL-DPU)- Foro CiudadesPara la Vida

Short andMediumTerm

Develop an OnlinePlatform for the disseminationof EnvironmentalResearch and Informationfor Local Stakeholders

- The website and blog is live and the research findings are uploaded onto the new website- Publicise the new online Platform with local partners and stakeholders

- Development of the online platform ‘Turning to the Sea’:www. turningtothesea.weebly.com- Locally engaged partners provide comments on research

• Costa Verde-TaboadaProject Team(UCL-DPU)• Foro CiudadesPara la Vida• Researchpartners in Lima

Short term

Policy: Disseminationof EnvironmentalInformation by Nationaland Local Authorities toresidents by strengtheningEnvironmental Dialogueand Best Practice at thenational and local levels

- Environmental awareness raising programmes are established by the national government and municipal authorities (e.g. water, waste)- Local resilience building programmes for residents are established by municipal authoritieson environmental risks/hazards- Environmental reporting guidelines and requirements for publicand private developers arestrengthened.

-National and local environmental awareness programmes- Improved environmental awareness of local residents- Campaigns for good practices in waste disposaland water consumption are implemented (e.g. reuse of wastewater)- Stronger accountability and transparency framework for development projects (e.g.Costa Verde project) in Lima and publication of reports with use of international evaluation tools (e.g. SEA, EIA).

NationalGovernment(MINAM)• Municipalitiesof San Miguel, LaPerla, Ventanilla• RegionalGovernment ofCallao• MetropolitanGovernment ofLima• SEDAPAL• PrivateCompanies

Medium-longterm

Table 3_ strategy to improve environmental awarness and education


8.1.2. Develop an online platform for the dissemination of environmental research and information for local stakeholders

As our analysis has highlighted, Lima’s existing develop-ment pattern gives little opportunity for alternative dis-courses and the potential impacts of such developments to be advanced by residents, activists and environmental campaigners.

In order to support alternative visions for Lima, a key priority is to raise greater awareness about the key is-sues emerging from our analysis, namely the spatial and social fragmentation of the city, the socio-environmental consequences of the development path being followed and the lack of risk management that threatens the wel-fare of the residents who live along the coast. One of the means through which this can be achieved is the creation of an online participatory platform for change, Turning to the Sea: www.turningtothesea.weebly.com. (put picture of website) This platform is a tool to build awareness of social, political and environmental issues associated with Lima’s rapid development, and to illuminate the potential negative impacts. First, it seeks to engage different actors through information dissemination and provide a space for dialogue and debate; and, second, it aims to connect actors who are already advocating for change, building upon existing pockets of resistance.

8.1.3. Policy Recommendation: Greater Dis-semination of Environmental Information by National and Local Authorities to residents

Without structural changes to the existing development system (ie bereft of a regime of checks and balances) and should existing practices continue unchanged, environ-mental risks may be further displaced not only spatially within Lima’s districts but also temporally in the medium to long term, affecting the welfare of future generations. In order to avert environmental crises in the future, therefore,

the following policy actions are proposed that aim to im-prove the environmental management of the city, increase support for environmental issues and chart a better, more sustainable course for the city.

Strengthen Environmental Dialogue and Best Practice at the national and local levels

While our primary research with national government and local residents in the study area showed that some en-vironmental education currently exists in Lima with the inclusion of environmental classes in secondary school curricula (MINAM, 2013), it is evident that there is little awareness of environmental issues at the local level in the districts of San Miguel, La Perla and in the residential areas of Callao where primary research was conducted. This was confirmed during interviews conducted with lo-cal officials in the municipalities of La Perla and Ventanilla.

The following strategies are therefore proposed:

- Our primary field research determined that public aware-ness of risks is low, as local authorities provide little or no information to residents on the issue of earthquakes and tsunamis. It is therefore strongly recommended that the Municipal Authorities deliver information workshops and public awareness campaigns in collaboration with the MINAM to build better awareness of the risks and how they can be managed and advise residents and businesses of practical steps and opportunities to factor in resilience in their habitual practices and assets to mitigate future practices.

- Furthermore, local municipalities, supported by the MINAM, should be required to include environmental awareness as a component in their respective Pro-grammes of Work. In practice this would mean hold-ing periodic public consultations with residents on local and national environmental issues. This would include preparing and distributing written information


to residents on planned and ongoing development projects in the respective District and offering con-sultation sessions for residents who wish to avail of further information.

- While environmental reporting standards and require-ments already exist for the private sector, they are largely conducted in a non-transparent, ad hoc manner. The national Ministry of Environment and local municipal authorities require additional resources to enforce these standards from private companies so that envi-ronmental evaluation, such as SEA or EIA are under-taken both prior to and during a development project. This is fundamental to the long term environmental management of Lima.

- Lima’s projected growth implies that demand for natural resources such as water and sanitation, as well as pub-lic services including transport will increase steadily in the coming years. These trends, however, stand in stark con-trast to the popular perception of the environment in Lima which often does not recognise the concept of environ-mental limits (see e.g. Aguirre, 2013, App. 3.3.1). Consider-ing the current water supply which according to SEDAPAL only has roughly 15 years of its remaining lifetime (Vargas, 2013), it is essential that more conservative environmental practices are promoted. It is recommended that authorities undertake public campaigns to promote good prac-tices in water conservation by households and busi-nesses alike, building upon the research work of LiWa and SWITCH. These could include public messages encouraging businesses and residents - particularly in more affluent areas - to use water more sustainably. Additionally, it is recommended that similar campaigns are carried out promoting good practices in waste dis-posal and recycling for a cleaner urban environment. Public authorities could also lead the way in paying more attention to the amount of water used to water green public spaces.

People playing the drums to reapropriate public space at the ocupacion civica picnic. Photograph by N.N

Recycler. Photograph by N.N

Communities not profiting from the Coastal development.Photograph by Martin Lichtenegger


STRATEGY RECOMMENDEDACTIVITIES/POLICIES

INDICATORS MAIN OUTPUTS ANDOUTCOMES

RESPONSIBLEACTORS

TIMEFRAME

2. Develop a Culture of Urban Citizenship

Document the loss of Public Space

- Highlight areas of re-appropriation of public land through the talking map- Invite local people/civil society organisations to contribute to the map highlighting on going developments

- The Talking Google Map is uploaded onto the online platform- Contributions of local stakeholders on public space appropriation

- Costa Verde-Taboada Project Team (UCL-DPU)- Local residents based in the study area

Short and Medium Term

Provide Knowledge Tools and Resources for Environmental Activism (waste management, pollution, water)

- Mobilisation of civil society groups within the study areas- Provision of knowledge tools: Leaflets, environmental/progress reports, website construction, public meetings and seminars

- Support provided by national/local authorities for environmental activism- Mobilisation of civil society groups within the study areas on local environmental issues

• Costa Verde-Taboada Project Team (UCL-DPU)• Foro Ciudades Para la Vida • National Government (MINAM)• Municipalities of San Miguel, La Perla, Ventanilla• Regional Government of Callao• SEDAPAL• Private Companies

Short and Medium Term

Development of a Partnership Mechanism

- Invite all public and private sector project partners to contribute their feedback on the research project’s key findings-Communication and dialogue is established through a range of communication channels between residents and public authorities/private developers on national and local environmental issue (e.g. water quality)

-Stakeholders (residents, SMEs, corporations, national, regional, local) are engaged in dialogue on issues of mutual interest at all levels-Public debates on environmental issues - Establishment of a new Sustainable Development Forum (SDF) for Lima hosted by the Talking to the Sea online platform

• National Government(MINAM)• Municipalities of San Miguel, La Perla, Ventanilla• Regional Government of Callao• Metropolitan Government of Lima• SEDAPAL• Private Companies

Medium-long term

Table 4_ strate gy to develop a culture of urban citizenship


8.2 Develop a Culture of Urban Citizenship

8.2.1. Interlinking Alternative Visions and Pockets of Resistance

Looking at the social impacts of the development in Met-ropolitan Lima and the Region of Callao, our analysis shows that while there is evidence of civic activism (see App. 3.3.8/9/19) and movements challenging the current trend of development, they remain very localised (see App. 3.3.9) despite similar issues of public concern in the different areas of Lima, such as the loss of public space and exposure to environmental hazards.

Through our website (see Strategy 8.1.1) different stake-holders from civil society (along with academics and students) are invited to engage more closely on issues of mutual interest and concern. With the creation of a space for dialogue, it intends to foster an enhanced un-derstanding of Lima’s development across a broader spectrum of society and consequently help build a more informed and integrated citizenry, particularly among residents within the districts who are experiencing rapid development and change. By sharing information and debating on pressing issues related to their specific in-terest or geographic area, citizens will be able to com-pare their alternative visions for coastal development and share means of how to resist the current trend of losing political and physical space.

8.2.2. Documenting the Loss of Public Space

To raise awareness and make the loss of public space visible, a ‘talking map’ (link and picture of map) has been created, which allows local stakeholders to document in a participatory way different types of development and losses of public (green) open spaces, resistances against this development and means of re-appropriation of pub-lic spaces occurring. This opens the opportunity for resi-dents in different districts along the coast to not only gain an understanding of the appropriation of public space in

their direct environment and neighborhoods, but to ob-serve those trends along the whole coast and exchange about possible means of re-appropriation and resisting private sector development of public space.

8.2.3. Providing Tools and Resources for En-vironmental Activism

The issue of environmental justice does not appear to be a primary focus for environmental activism, despite prevailing injustices occurring at different levels (Loss of public space, environmental pollution, waste manage-ment). To encourage more civic engagement, tools and resources should be made available from the national and municipal governments to facilitate and enable citizen ac-tion. This could include knowledge dissemination such as information resources (leaflets, website) about pressing environmental concerns in metropolitan Lima as well as information how to found an environmental NGO/CSO.

8.2.4. Develop Partnerships with Different Stakeholders to Enhance Communication and Deepen Engagement

Another key finding from the field research was that there is insufficient communication between munici-palities and residents on local issues of concern, espe-cially with respect to the environment. Building on strat-egy 8.2.1, it is therefore essential to establish a closer and deeper engagement between diverse stakehold-ers. This would allow the emergence of stronger links between public authorities and residents and open a space for discussing common issues faced in the area and ways forward. The additional participation of small and large private businesses would add an important dimension and enhance this partnership mechanism. Considering the nascent stage of social and environ-mental dialogue within our case study areas, this part-nership-based approach would help strengthen civic discourse, building on existing groups of stakeholders already engaged in dialogue.

Talking map which allows to map the loss of public space open access on http://goo.gl/maps /e1eqx


Additionally, in bringing together national, municipal, pub-lic and private stakeholders who have not collaborated previously, the development of partnerships would help establish a more coherent and unified image of the city which has been found to be considerably fragmented in terms of how different municipal authorities and regions approach development planning. In this respect, it is pro-posed as part of the partnership development strategy to establish a new citywide Sustainable Development Forum of Lima. The SDF would be run by representatives from national and municipal authorities, be open to interested and engaged residents and local businesses and hold regular town hall meetings in order to discuss issues re-lating to the development of the city.

Police officer assisting a partecipant of the ocupacio n civica to fly a kite. Photograph by N.N.

9. Conclusion

By using a conceptual framework centred around political ecology, neoliberal and gentrification theory we intended to understand which forces shape the development of Lima’s and Callao’s coast and how those in turn, affect the peo-ple living in these areas. Following our hypothesis we have demonstrated how fragmented city planning coupled with a development through megaprojects facilitate the domi-nance of neoliberal processes shaping coastal develop-ment. The creation of uneven urban geographies is espe-cially visible throughout the spatio-temporal development of the Costa Verde project, reinforcing trends of gentrifica-tion, private appropriation of public space and displace-ment of supportive infrastructure towards the north.

However, voices supportive of the Costa Verde project have highlighted that the current construction of the Costa Verde provides a solution to connect Lima and Callao, as well as beautifying the coast and enhancing public space. Lima’s transition of ‘turning to the sea’ can therefore be considered as a worthy socio-environmental goal. Para-doxically, the fact that this is done through foreign and pri-vate investment is problematic precisely because it trumps social and environmental interests.

To break out of this status quo situation the paper sug-gests a number of strategies which can be seen as the first step towards transformative and sustainable change. Alternative visions, particularly those challenging neoliberal development, require Lima’s citizens to follow alternative scenarios embracing civic activism supported by a more encompassing environmental culture.

The Costa Verde. Photograph by N.N.


Further Research

This report should be regarded as a first insight to the trends and challenges occurring on Lima’s coast. For a better understanding of past, current and future processes and their effects on Lima’s and Callao’s citizens further in-vestigation is crucially needed.

Exploring Trends

- The paradoxical way of changing Lima’s relationship to the sea should be questioned and further explored. Es-pecially, how this current development induces trends of gentrification which alter the socio-economic landscape of coastal districts. For instance, an emphasis could be put on areas where people are more vulnerable to these trends, such as residents and community organizations in San Miguel who lack formal land titles.

- An investigation into alternative visions and civil soci-ety resistances which work against current development trends within Metropolitan Lima could provide essential insights. Specifically, into assessing the potential of these resistances to challenge the dominant environmental dis-course and the mode of coastal development.

Understanding Local Problems

- Pachacutec, in northern Ventanilla, is reported to have severe problems with accessing water and wastewater in-frastructure. An investigation could focus on the specific problems faced by the residents and their everyday prac-tices of gaining access to water.

- Conducting research in the area around the supportive infrastructure in Callao (port, airport, PTAR Taboada) was foreclosed due to security concerns. However, with local facilitation it is believed to be a extremely interesting area where further research would allow for deeper insights on the effects of supportive infrastructure development on lo-cal livelihoods. Specific considerations for research are:

- Impacts of the PTAR Taboada on the neighbouring districts;

- Loss of public/agricultural space due to port and airport expansion; and

-How “turning to the sea” on the Costa Verde and the ex-pansion of supportive infrastructure foreclose the opportu-nity of “turning to the sea” in Callao.

- To investigate the changes happening in San Miguel as it is the most recent district included in the Costa Verde Project. It would be especially useful to conduct further re-search investigating the impact on residents of increased real estate development and rising house prices.

Reference list

Aguirre, A., 2013. Interview with ACS engineer during Ta-boada visit.

Autoridad Proyecto Costa Verde, 2007. Presentación de la actualización del Plan Maestro de la Costa Verde | Ar-quitectura Peruana - Amarengo, [http://amarengo.org/node/741], (accessed 6.3.13).

Baeten, G., 2012. Neoliberal Planning: Does It Really Ex-ist?, in: Tasan-Kok, T., Baeten, G. (Eds.), Contradictions of Neoliberal Planning, GeoJournal Library. Springer Nether-lands, pp. 205–211.

Barsallo, I., 2013. local activist during the Ocupacion Civ-ica Picnic.

Bryant, R.L., 2008. The political ecology of environmental management in the Developing World. Arbor 5.

Dear, M., 1992. Understanding and Overcoming the NIM-BY Syndrome. J. Am. Plann. Assoc. 58, 288–300.

Estevez, C., 2013. Interview with professor in real estate and development.

Hannigan, J.A., 1995. Environmental sociology: A social constructionist perspective. Burns & Oates.

IMP/MML, 2010. Reference map: Elaborated by UvA based on data of INGEMENT, IMP/ MML, SENAMHI&SEDAPAL.

Leung, Y., 2012. Area Profiles: Callao, Taboada and San Miguel.

Liwa, 2010. Governance, [http://www.limawater.de/en/pp5.html], (accessed 6.2.13).

McCarthy, J., Prudham, S., 2004. Neoliberal nature and the nature of neoliberalism. Geoforum 35, 275–284.

MINAM, 2008. Decreto Supremo, number 042-2008 PCM, [http://spij.minjus.gob.pe/CLP/contenidos.dll/CLPlegcargen/coleccion00000.htm/tomo00400.htm/a%C3%B1o271019.htm/mes280315.htm/dia281815.htm/sector281830/sumilla281831.htm?f=templates$fn=documentframe.htm$3.0#JD_DS042-2008-PCM-A4], (ac-cessed 6.3.13).

NASA/GFSC, 2012. sensor thematic mapper landsat 7.

Rodriguez, J., 2013. Interview with local activist candidate for mayor of Barranco during the Ocupacion Civica Picnic.


Appendices

1. Maps

1.1 Risk Maps

Both maps display areas considered as prone to risk in red. Interestingly, only map 3 acknowledges risks for the coastal areas of Lima and Callao, taking into account potential fu-ture earthquakes, tsunamis and the geological structure of the cliffs along the Costa Verde. Identifying areas of high risk deters interest and opportunity for development. Since Lima’s coast is considered a highly profitable and attractive development site for the city, understanding the coastal zone as an area of low risk, allows for the continued devel-opment along Costa Verde.

The map 4 is taken from a presentation given by the En-vironmental Department of the Regional Government of Lima in May 2013.

Map 5 shows the itinerary of decided to walk for our tran-sect walk. The map 6 displays a categorisation of house prises and their evolution. We can see that the house pric-es are rising along the coast towards the south which con-firms the assumption that a real estate boom is happening.

Map 3_risk map of lima : This restored map acknowledges high risk also for the coastal areas. The bad quality is due to a loss of the primary data.

Map 4_risk map presented by the ministry of environmentPhotograph by N.N.

2001-3000 Soles/m2

3001-4000 Soles/m2

4001-500 Soles /m2

>5000 Soles/m2

Map 5_Google map layer of our transec walk

Map 6_Google map layer of house prices range


1.3. Dissected Map of Flow

Supportive infrastructure and ex-pected expansions

Costa Verde and Costa nero devel-opments

Injustices

Waste Flows

Investment and Gentrification flows

Risk flows

Map 7_Maps showing the differnt identified layers of injustices, their causes and consequences

Big Infrastructure (Airport, Port)

Planned expansion

Costa Verde

Avenida Costanera

Injustices

Tsunami and earthquake risk

Foreign investment

Displacement

Waste Water

Gentrification

Expected Gentrification

Public Investment

Future/needed public investment

Solid Waste


1.4. Map of Discharges in the Sea

This map shows where the waste water was being discharged before (big map) and after (small map on top right corner) the construction of the North Interceptpor.

1.5. Satellite Image of Pollution

On this satellite image we can see clearly that the coast of Callao is more contaminated (white) than the Costa Verde.

Map 8_map of discharges into the seaSource: SEDAPAL 2005

Map 9_sensor thematic mapper landsat 7© NASA/GFSC


2. Megaprojects2.1. Overview

2.2. Costa Verde

Purpose:The Costa Verde project has multiple dimensions, its pri-mary function is the construction of a highway easing traf-fic conditions and linking the South of Lima to Callao and major infrastructure projects, such as the airport and port. Its position is along the coast due to the lack of space within the city itself. The secondary purpose of the Costa Verde is to change Lima’s relationship with the coast and sea, from a historical shunning and barrier with the sea to seeing the sea as having environmental and recreational value for the city.

Historical Evolution:For the first half of the 20th century, the Costa Verde area was the dumping site for the construction waste of Lima –especially waste from the creation of the Via Expresa. Con-struction of the Costa Verde (highway) project began in the mid 60’s in Chorrillos. The project has been plagued by

Table 3_overview of the infrastructure megaproject

LIMA INFRASTRUCTURE MEGAPROJECTS

BUILT BY PRICE (US$) PLACE

Airport Expansion (terminal and

runway)

Various Private firms 830’000’000 Callao

Port Expansion (terminals) Dubai Ports 300’000’000 Callao

Port Expansion (terminal

expanision)

Royal Haskoning DHV

(Dutch Company)

750’000’000 Callao

Taboada Treatment Plant ACS 321’000’000 (25 years) La Taboada

Via Gambetta 193’939’394 Callao

La Chira Treatment Plant ACCIONA: Brazilian and

Peruvian Company

365,000,000 (25 years) La Chira

Via Parque Rimac Brazilian Company: OAS 983’000’000 Lima

Costa Verde Expansion Public 295’000’000 Costa Verde

Avenida Costanera Public 21969696.97 La Perl (Callao)

Metropolitana Public Private 538’000’000 Lima

Metro Various French Companies 300’000’000 Lima

delays and years of stagnation, but has progressed slowly towards the North along the coast. Currently it includes the districts of Chorrillos, Barranco, Miraflores, San Isidro, Magdalena, San Miguel. Construction is undergoing and has been completed about halfway along the coast in San Miguel. This current phase of construction is planned to be completed in La Perla in 2014-2015.Over time, the design and purpose of the Costa Verde have also changed. For instance, in the 1960’s the project was seen predominantly as an infrastructure project with minimal consideration for public space. Contrary to this, the current proposals do include large amounts of public space in the form of parks, and attempt to improve citizen access to the sea. This modified version of the plan dates from 1995.

Concerns:There are a number of important concerns that need to be considered regarding the development of the Costa Verde project. With regards to finance, currently the Government


has only provided funds for the construction of part of the extension to San Miguel and it claims that it does not have the funds to finish the rest. Thus, for the successful com-pletion of the project, financing needs to be found else-where.

Significantly, there appear to be a number of discrepan-cies about what the masterplan dictates and what is actu-ally built. Apparently, this is because of the fragmentation and sectoralisation of city planning. Specifically, the Costa Verde passes through six district municipalities which each have their own mayor and preferences concerning the de-velopment of their coastal areas. The individual plans of these municipalities often conflict with the masterplan lead-ing to problematic planning and finishing of the project.

Currently, the Costa Verde plan dictates that the coastal zone is reserved for public space. Initially, there had been plans for the privatisation of the coast in Miraflores and oth-er districts, specifically focusing on the construction of pri-vate apartments on the cliff. However, after a public outcry these plans have been abandoned. The current plan how-ever, dictates that the public spaces of the Costa Verde will be maintained privately. Specifically, hotels, casinos and restaurants will be allowed to be built within certain areas as long as they agree to maintain the public space around it. The danger here is that these private enterprises can appropriate the public space as has happened historically along the coast of the district of Barranco.

For more information: http://www.mtc.gob.pe/portal/con-sultas/cid/Boletines_CID/27_octubre/ARCHIVO/trans/costa%20verde1.pdf

2.3. Taboada Treatment Plant

Purpose:The Purpose of the treatment plant is to handle approxi-mately 60% of Lima’s sewage waste, and replace the vari-ous collectors along Lima’s coastline that historically have dumped wastewater directly into the sea. Taboada is lo-cated in central Callao, north of the port and west of the airport.

Background:The Taboada treatment plant was conceived in the early 80’s. For political reasons and the financial crisis Peru was experiencing the plant was delayed and shelved. In 2007 amid the worsening of the Collector Costanero in San Miguel the municipal government decided to reopen plans to construct the Taboada Treatment plant. Construction of the project was to be done through a 25 year conces-sion since SEDAPAL lacked the immediate funds for the project. Multiple companies made proposals; among the most prominent were ACS (a Spanish construction com-pany) and various Brazilian companies. ACS provided the cheapest bid and won the concession, despite the Bra-

zilian companies offering more advanced treatment pro-cesses.

Construction on the project began in July 2010. As of May 2013 the treatment plant is treating 5 meters per second cubed, with a full capacity of 20 meters per second cubed. The plant is expected to be fully operational in August 2013.

Concerns:There are a number of significant concerns associated with the project. The treatment process offered by the plant is only a pretreatment process filtering out solids of a greater size than 1mm, which is then brought to a landfill. The rest of the untreated wastewater is released 4 km into the sea where, according to SEDAPAL, it will be taken away by the Humboldt current deeply into the Pacific. SEDAPAL’s justification of this treatment process is that they believe that is a capable and efficient sink for this waste. However, considering that this waste contains many chemicals and industrial waste this claim is highly dubious and is not con-form with the Decreto Supremo, number 042-2008 PCM (MINAM, 2008).

Moreover, the decision making process whereby ACS was awarded the treatment plant is claimed to have been non-transparent. This has raised concerns about corruption and mismanagement of Lima’s waste.


3. Evidence

3.1. Questionnaires

On the first day of fieldwork 54 people were asked to fill out a questionnaire. 12 of them in Santa Beatriz and 6 in 200 Millas which are iminently next to the Treatment plant. An other 20 were filled out in la Perla and 14 in San Miguel.

This questionnaires were not made to be quntitatively rapresentative but to give us a general undertanding of the three areas we were working in, in the light of environ-ment and water.


On the first day of fieldwork 52 people were asked to fill out a questionnaire. 12 of them in Santa Beatriz and 6 in 200 Millas which are iminently next to the Treatment plant. Another 20 were filled out in la Perla and 14 in San Miguel. This questionnaires were not made to be quntitatively rapresentative but to give us a general undertanding of the three areas we were working in, in the light of environment and water.

Figure 3_Graphic rapresentation of the outcomes of the questionnaires


3.2. Fieldworkplan

When? What? Who? Why?

21st April 2013 City tour guided by facilitators exploring the fieldwork areas

22nd April 2013 Operationalizing the

Fieldwork

assisted by Liza Griffin preparation for the first

fieldwork day. Mapping the

transect walk, questionnaires

and interview questions.

23rd April 2013 visit of the Taboada

plant with interview of

ACS engineer

Alberto Aguirre understand how the plant is

working. Find evidence for

the prevalent environmental

discourse

23rd April 2013 Transect Walk around

Taboada, in la Perla and

San Miguel

facilitated by Isabel

Fernandez

gain first insights into

research areas, spatialise first

impressions

23rd April 2013 Questionnaires around

Taboada, la Perla and

San Miguel

facilitated by Isabel

Fernandez

get a basic understanding of

everyday practices

24th April 2013 presentation and Q&A Alberto Ibanez, Augusto

Ortiz de Zevallos, Linda

Zilvert, Carlos Franco

Pacheco

deepening the general under-

standig of the city’s problem

25th April 2013 student presentations groups recieve feedback from

facilitators

26th April 2013 presentation and Q&A Sofia Hidalgo (metropolitan

ministry of environment),

Gustavo Riofrio(metropolitan

ministry of housing and

sanitation)

understand governmental

discourses


27th April 2013 Questionnaires around

la Perla and San Miguel

and interviews with

residents

facilitated by Teresa and

Isabel Fernandez

Deepening the understanding of

the different neighborhood and

their perception about costa

verde and taboada

27th April 2013 participating in the

occupacion civica and

Interviews with other

participants

Issy Marina Barsallo(local

activist), Bart Klaar(traveling

artist and activist), Jose

Rodriguez(candidate for

mayor in Barranco)

Deepening the understanding of

the functionning and activities of

civil society activism

29th April 2013 presentation and Q&A SEDAPAL gain understanding of work and

environmental perception

30th April 2013 presentation and Q&A Jose Ichazu (municipality of

Callao) and Angela Icumina

(mumnicipality of la Perla)

deepen understanding of local

government discourses

30th April 2013 presentation and Q&A Juan Espinola(IMP) deepen understanding of the

discourse of metropolitan

planning institution

1rst May 2013 interview Irene Hofmeijer (LOOP) gain understanding of alternative

environmental discourses

2nd May 2013 interview Oscar Quincho (envi-

ronmental manager of

Ventanilla district), Jimmy

Sanchez (environmental

manager of San Miguel),

Oscar Lineares (solid waste

manager of San Miguel

deepen understanding of local

government discourses about

environment


2nd May 2013 presentation and Q&A Milagros Verastegui

(National Ministry of

Environment), Marco

Vargas(SEDAPAL)

deepening the understanding

of SEDAPALs environmental

discourse

3rd May 2013 interview Cecilia Estevez(Real estate

Professor)

Deepening the undertanding

of land value evolution and the

impacts on residents

3rd May 2013 interview Ruth Fernandez (technical

manager of Costa Verde

office), Jose Rodriguez(ex-

chief of the Costa Verde

project)

deepening the understanding

of the plans and the history of

costa verde

3rd May 2013 interview Liliana Miranda (executive

director of Ciudades Foros

para la vida)

deepening understanding on

the interconnectivness of the

actors

6th May 2013 interview Luis Gallego(president

of CREDEMAR), Lenin

Valencia (association del

medio ambiente)

Deepening the understanding

of the functionning and

activities of the pockets of

resistance

Table 4_Fieldworkplan


4. Background

4.1. Political Timeline

Table 5_Schematic political timeline

4.2. Relevant Definitons

4.2.1. Neoliberalism: is a market driven way of organizing a society that sees the individual as a rational economic actor. There are a number of important processes associ-ated with neoliberalism such as; privatization, deregula-tion and liberalization.

4.2.2. Gentrification: captures the class inequalities and injustices created by capitalist urban land markets and policies.(Glass 1964 cited in Slater 2011)

4.2.3. Water Metabolism: Follows a circular understanding of the water system. Focusing not only on access to water, but taking into account its source, use, disposal processes and means of re-using wastewater. In that sense it oppos-es a linear understanding of the water system.

WHEN? WHO? WHAT? CONSEQUENCES

1980-1985 Alan Garcia (President) Economic mismanagement Hyperinflation, terrorism

1990-2000 Fujimori (President) Dissolved congres, New consti-

tution, new currency

Introduction of

neoliberal system, end

of Hyperinflation

2001-2006 Toledo (President) Reinstored democracy, personal

scandals and compromises

2003-2010 Castañeda (Mayor of

Lima)

Reinforcement of

neoliberal path

2006-2011 Garcia (President)

2010- Villaran (Mayor of Lima)

2011- Humala (President)

4.2.4. Not in My Backyard (NIMBY): “refers to the protec-tionist attitudes of and oppositional tactics adopted by community groups facing an unwelcome development in their neighborhood. Residents usually concede that these “noxious” developments are necessary, but not near their homes.” (Dear, 1992).

4.2.5 The right to the city is far more than the individual liberty to access urban resources: it is a right to change ourselves by changing the city” (Harvey, 2008, p.1). According to Harvey, the right to the city induces the fundamental right to produce it, therefore building on the necessity to integrate inhabitants to the planning of their city.

While currently functioning below full capacity, SEDAPAL states that the plant is to be fully operational in June 2013.


5. Strategies for Transformative Change

5.1. Online Platform

The website “Turning To The Sea” follows to main objec-tives:

Firstly, through sharing our findings and materials (reports, maps and videos), it seeks to make visible the findings of our research and to invite a broad range of stakeholders –including academics, students, residents’ associations and other civil society groups- to engage more closely on issues of mutual interest and concern by sharing infor-mation and debating on pressing issues related to their specific interest or geographic area. Additionally, public authorities would also be invited to participate and en-gage, as it would be an innovative way to engender better engagement with civil society through enhanced informa-tion dissemination, identification of areas of agreement and raising issues of concern directly. The online platform is, thus, intended as a knowledge based tool that would be available and open to all stakeholders to disseminate information, debate pressing issues of concern and open a dialogue on a broad range of issues.

Secondly, the online platform builds on the existing pock-ets of resistance, which have been found to be highly lo-

calised and disconnected, with the intention of enhancing their visibility. With the creation of a space for dialogue, the blog seeks to foster an enhanced understanding of Lima’s development across a broader spectrum of so-ciety and consequently help build a more informed and integrated citizenry, particularly among residents within the districts who are experiencing rapid development and change and who have not had the means through which to air their views and communicate with other stakehold-ers. The first step towards achieving this is to connect the actors who are already advocating for change together with those who have not yet been active but wish to con-tribute by way of their views or promoting their activities. While the blog is not a panacea that will reverse all nega-tive trends immediately, this tool is a critical first step in helping build in the long term a higher quality of aware-ness of key social, political and environmental issues among local citizens so that they are more conscious of the potential implications of developments affecting them. In doing so, it is intended that the platform cre-ates a multi-stakeholder forum whereby stakeholders of all backgrounds and levels (national/municipal; public of-ficial/resident) can engage in open debate and dialogue to share information and discuss issues of mutual inter-est and concern, without any institutional or bureaucratic barriers which frequently inhibit communication among these actors.

2. Cantagallo. Uncertainty in the City: respect for rights and identity

James BoyleMaria DumitrescuBo Mee HaRodrigo Morales MuñozFish Xin Yu

A wall-painting in Cantagallo

Table of Contents

1 Acknowledgements

2 Abbreviations

3 Executive Summary

4 Background

5 Theoretical & Analytical Framework 5.1 Conceptual Framework5.2 Hypothesis5.3 Research Questions

6 Methodology & Limitations

7 Findings 7.1 Water Supply & Sanitation Situation7.2 Shipibo Story: Present & Future7.3 Divisions & A Lack of Information7.4 Failure of City Planning & Power Imbalances

8 Scenarios

9 Strategies 9.1 Expanded Dialogue9.2 Public Defence Mechanism9.3 Long-term City Planning with Recognition

10 Conclusions

Bibliography

AppendixI. Detailed information about the main stakeholdersII. Information to underpin findingsIII. Fieldtrip Schedule


1. Acknowledgements

We would like to thank the following people for their val-uable contributions that made this report possible:

DPU Facilitators: Adriana Allen, Liza Griffin, Rita Lam-bert, Etienne von Bertrab, Matthew Wood- Hill; Liliana Miranda (Executive Director of Foro Ciudades Para la Vida); Willy Zabarburu (advisor to the president of urban development committee; also in charge of the Parquet Rimac Project); Carlos Esteban Escalante (Architect and Urban Planner for The Institute of Urban Development CENCA - Instituto de Desarrollo Urbano Cenca); Silvia de Los Rios Bernardini (Architect, currently the Designer and Researcher of CIDAP- Centre for Research, Docu-mentation and Population Advice); Josue Cespedes Alarcon (Geographical Engineer working for SEDAPAL); Dr. Alberto Ibanez de Sus (Architect and Planner; current advisor to the Metropolitan Municipality of Lima on the Metropolitan Plan for Lima/Callao); Carlos Franco Pa-checo (advocate for water as a human right; allied with “Drinking Water and Sewage Workers” Federation of Peru); Gustavo Riofrio (advisor in housing; designed the housing policy of the Municipality of Lima and Barriomio programme); Fredi Campas (Social Coordinator in Lima Metropolitana); Claudia Sanchez (Social Development Manager in Lima Metropolitana); Manuel Cornejo Chap-arro (Publishing Coordinator of CAAAP); Isabel Fernan-dez (spanish professional working with Foro Ciudades Para la Vida); Cameron Sinclar (CEO of Architecture for Humanity); Luis O. Tagle Pizarro (Director of Urbanism department in Ministerio de Vivienda, Construccion y Saneamiento); Delmer Ramirez (leader of shipibo com-munity in zone 3, in Cantagallo; president of ACUSHI-KOLM); Ricardo Franco (leader of shipibo community in zone 2, in Cantagallo, president of AVSHIL); Luz Franco (leader of shipibo group “Madres”); Gilberto Soto (Prin-cipal of the school in Cantagallo); Hector Gala (Leader of the association “Las Malvinas”, in zone 1, in Cantagallo)

We would also like to thank all the leaders of all the as-sociations in Cantagallo and to all the residents for of-fering us valuable support and information during our fieldwork.

2. Abbreviations

ACC - Asociación Civil Cantagallo

ACUSHICOLM - Asociación Comunidad Urbano Shipi-bo Conibo de Lima Metropolitana

AIDAP - Asociación de Indígenas para el Desarrollo de la Artesanía Peruana

ASHIREL - Asociación de Artesanos Shipibos Resi-dentes en Lima

AVSHIL - Asociación de Vivienda de Shipibos en Lima

CAAAP - Centro Amazónico de Antropología y Apli-cación Práctica

ENACE - Empresa Nacional de Edificaciones

DPU - Development Planning Unit, University College London

ILO - International Labor Organization

INDEPA - Instituto Nacional de Desarrollo de Pueblos Amazónicos, Andinos y Afroperuanos.

LAMSAC - Línea Amarilla, S. A. C.

SEDAPAL - Servicio de Agua Potable y Alcantarillado de Lima

UNESCO - United Nations Educational, Scientific and Cultural Organization

VPR - Vía Parque Rimac Project


3. Executive Summary

Due to the Lima’s unique position within the country as home to a third of the national population and being a center for almost all trade and commerce, the national government has always had a vested interest in the city’s management and development. This has led to power imbalances between the Municipal government, their responsibility to “Limeños” (people of Lima), and the Na-tional government and its responsibility to the develop-ment of Peru as a whole. Evidence of this conflict can be pointed to across the development of Lima, where the national government has taken a decision that may increase the position of Peru on an International scale, but does not serve the people of Lima.

The Via Parque Rimac Project (VPR) and its impact on the community of Cantagallo are just another in a long line of examples through which the city level problems are shown. The Via Parque Rimac, project is designed to answer the problem of gridlock traffic through the centre of Lima, which will affect the lives of thousands of people, who belong to different ethnic groups and live on a public land.

Our research showed that the main problems the com-munity faces today (relocation, spatial division, water in-justices, environmental threats, lack of unity and political representation) represent a result of different factors that have been perpetuated during the history of the com-munity (different political stages of settlement, different

ethnic groups that have settled in different zones of the area, etc.). All these factors have contributed to a lack of recognition and participation, which have led to multiple environmental injustices that people in Cantagallo face nowadays.

The aim of this report is to present our main findings from both the secondary research and the field trip, and to propose different strategies (based on the research we carried out and different possible future scenarios) that can be carried out by different stakeholders, in or-der to improve the living conditions and the level of rec-ognition of the people living in Cantagallo.

Photo 1: In front of Cantagallo ©Fish YU

A diagram of the VPR project © Desarrollo Urbano


4. Background

Cantagallo is a neighbourhood partly built on top of a landfill site and along the Rimac River in central Lima. It is now home to more than 5,000 people including over 200 families of Shipibos. It is attracting the city’s attention as a centre of indigenous culture, but yet it is also a land of uncertainty, conflicts, and poor living standard. Cantagallo history is complex. It began be-ing a settlement of evicted informal traders from Lima´s central market who formed the first organization: “Aso-

Map 1: Location of Cantagallo and its zones, based on Google. Most of Shipibos are living in Zone 3

Historical Stages of Cantagallo’s Settlement Change

ciación Civil Cantagallo”, which is still representing land issues of the first settlers. Cantagallo has gone through different occupations and evictions for the last six dec-ades, in which legal battles, internal divisions and lack of government management have been common story for the communities that have lived there. Therefore, we aim to cover in this report, not only water issues, that are of a great importance (at least for one part of the community - the Shipibo zone), but also the struc-tural divisions and power imbalances within Cantagallo and wider Lima.


5. Theoretical & Analytical Framework

5.1 Conceptual Framework In order to end the struggles of residents in Cantagallo and to realize justice under the banners of city planning, ethnicity, economic vulnerability and so on, neither the physical disadvantages (temporary residency, economic disadvantages, and maldistribution of basic infrastruc-ture), or the misrecognition of rights, identities and needs can be neglected. Affirmative and transformative paradigms are introduced as the remedies for the two aspects of injustice. Affirma-tive paradigm defines injustice as socio-economic mald-istribution while the other finds injustice in rooted social patterns, interpretation and communication (Fraser & Honneth, 2003).

cannot be self-managed in the context of, for instance, poor city planning.

We claim however, focusing on either one approach is not enough to realise social and environmental justice within Cantagallo. Harvey’s Rights to the City can also be used to conceptualise the misrecognition and maldistribution of rights, and can be used as a pre-curser understanding how to address these through Frazer’s Affirmative/Trans-formative lens. The Right to the city is “the right to change ourselves by changing our city” (Harvey, 2008 p23), it is not just individual liberty and access to resources. In this sense it relates to having the democratic recognition in how the urban space around us exists and is formed.

Achievement of parity of participation can act as the ul-timate methodology for the realisation of justice, but this must be supported by proper distribution: "distribution of material resources must be such as to ensure partici-pants’ independence, “voice.” and recognition: "institu-tional patterns of cultural value with equal respect for all participants and ensure equal opportunity for achieving social parity" (Fraser & Honneth, 2003 p36).

Although both paradigms aim to redress the mal recog-nition and maldistribution, their different approaches to injustice hold a paradox of “interferences” between the remedies. A good example can be found in the side ef-fect of the affirmation of Indigenous identity and needs of Shipibo group in Cantagallo. Lima Municipality re-sponded to the ILO convention 169 (see appendix 4) by opening up compensation negotiations over the eviction process with the Shipibos because of their identity, while the rest of the community residents face being misrecog-nised by the municipality and receiving nothing. There-fore, the special treatments towards the Shipibos might solve the maldistribution of a specific context and of a group of people but it potentially perpetuates the idea of the “special group” that is treated and interpreted differ-ently within the society.

Transformative paradigm, in contrast, tries to decon-struct the idea of “different groups” and dismantles all institutional and social obstacles that prevent people from being equally recognised; therefore potentially giv-ing no special welfare support to the indigenous group, but treating all members of the city equally regardless of their backgrounds. However, sole application of the transformative approach can misrecognize the immedi-ate needs of those vulnerable in that group that often

5.2 Hypothesis

Residents of Cantagallo have been affected by the mis-recognition of their rights and needs and maldistribution of resources and infrastructure services. This is enforced internally and externally along with the aggravation of set-tlement uncertainty through failure of city planning, and is replicated in the implementation of the VPR project. Dis-respect for people's rights to the city embedded in the market-led development of Lima has led to social and environmental injustice together with the maldistribution and the misrecognition experienced in Cantagallo.

5.3 Research Questions

- What are the conditions that generate existing mis-recognition of the community in Cantagallo compared to the rest of the population in Lima?


- Is the current VPR infrastructure project recognizing the rights and needs of the population of Cantagallo?

- Is the fight for basic services only about securing the right of the specific resource or equitable rights to life, culture and identity and the City?

- Does affirming the physical need of people in Canta-gallo promote the participation of residents in the decision making processes that redress multi-dimensional injus-tices they face?

portant actors engaged in the VPR Project and relocation process was compiled before the field trip and added to after. (See Appendix 1)

Field trip: in Cantagallo - Lima

Our field research was based on what we had previously discovered through our secondary research, but the details of our research questions were refined after our first visit in Cantagallo - the transact walk. The research was concen-trated on the three main zones in Cantagallo (See Map 1). Important data was collected through participatory map-ping, semi- structured interview with leaders and key indi-vidual in the community and by organising focus groups.

To understand all the aspects of the multiple dynamics present today in Cantagallo, we conducted meetings with the Metropolitan Municipality of Lima, SEDAPAL and NGOs (such as CAAAP & Terra Nova). Moreover, the lec-tures we attended during field trip helped us have a better understanding of what is happening, not only in Canta-gallo, but also in the whole city of Lima.

6.2 Limitations

The field trip was limited to a period of 5 days in Canta-gallo from the total 19 days spent in Lima. This restricted the amount of time we had to obtain our primary data and information. Moreover, even though the site was a small area, we had to deal with different ethnic groups and many associations who had different interests and needs, whose some of its leaders did not reside there.

Photo 3: Houses upon landfill, Cantagallo © Fish YU

6. Methodology

6.1 Methodology

Our analysis and collection of data was conducted in three stages during one year:

Pre-field trip: in London

Being the first group from DPU to study water justice is-sues in Cantagallo, we conducted a detailed analysis of secondary data and information from various literature sources, such as: books, journals and reports of social and environmental justice in Lima and Cantagallo from different governmental and non-governmental organiza-tions and academic sources. Moreover, a list of all im-


Furthermore, we believe that, sometimes, the language barrier was a difficult challenge, as we had a small team of people and not everybody was able to communicate in Spanish, therefore, as much as we kept trying to be on the same page, sometimes information got lost in the conversation.

Additionally, being the first group to go study water justice issues in Cantagallo, we had no previous student reports and we faced some difficulties in finding literature about Cantagallo. Most of the writings were only looking at Ship-ibos and this was the reason we only found out about the existence of other groups when we arrived there.

7. Findings Through our research we discovered that water and sani-tation was an issue that needs to be tackled, particularly for the families in zone 3. However the cause of any lack of access or higher pricing was due to much deeper structural and the recognition issues of the community within the city. Our findings therefore concentrate more on the structural divisions and power imbalances within Cantagallo and wider Lima, however for more detail at the basis of these findings, please refer to Appendix 2.

7.1 Water Supply & Sanitation Situation

Map 2: Location of four public toilets in Cantagallo

Zone 1 & Zone 2

ENACE installed 4 public toilets and washing facilities in zones 1 and 2 in 1997(see ENACE in Appendix). SE-DAPAL provides potable water to a tank outside of the community. The association in zones 1 and 2 rotate the responsibility of providing intermediaries who manage the public facilities in Cantagallo, collect a small fee, and de-liver this to SEDEPAL. Water is available for zones 1 and 2 24 hours a day, and the public toilets are open during daylight hours. A septic tank, installed by ENACE, is used beyond capacity as the current population has grown be-yond the original amount planned for. It is old and the pump, which discharges waste water directly to the river, often breaks down. In this case the Santa Rosa commu-nity based in that area will collect funds to pay for a pump truck to empty it.

Zone 3

The water pipe network in zone 3 is an extension of the network in zones 1 and 2. It was installed by SEDAPAL after the Shipibos offered to pay for it. The Shipibo com-munity pays monthly tariffs to the association in charge of the service provision that month in zones 1 and 2. With-out a meter these prices can vary and often the Shipibos can feel they have been overcharged, causing conflict. Even with a further extension and pump installed recently

Photo 4 (right): During transact walk; Photo 5 (down): Meeting at municipality of Lima© Fish YU


at expense, the pipes have been found to be too small and the pressure too weak to get the water up the steep hill of the landfill.

Due to higher water usage in the day from zones 1 and 2, Shipibo women are forced to wake at very early hours to collect water from public standpipes. As they are the primary income earners, this can be very detrimental to them. There are also often cases where the water supply stops completely for a number of days and they are forced to buy from the public facilities in zone 2. This can prove to be expensive, particularly for the most vulnerable, and people are forced to borrow money from neighbours and savings groups. Sanitation is another problem for those living in zone 3. There are no toilets in zone 3 and they have to find their own alternative ways or pay each time they use the public toilets installed in zone 2. The imple-mentation of VPR project and the relocation plan prom-ised for the residents in Zone3 however, is working as a hindrance for them to make any proper investments to combat with such insecurity

7.2 Shipibo Story: Present and Future

Through the history of the Shipibo within Lima, the tra-ditional homogenous image of their community has been used by political leaders, eager to show their af-filiation with their roots or compassion for people rec-ognised as “the other”, this has often been beneficial to them. However the Shipibo community and its leader-ship have also benefited greatly from the projection of this image.

By using the ILO Convention 169, traditionally used for indigenous communities in rural areas who are protect-ing their land from oil and mining companies, they have been brought to the negotiating table and been offered a space to relocate on the other bank of the river. Accord-ing to the Municipality this will consist of enough houses for each Shipibo family in Cantagallo, and will essentially be a Shipibo neighbourhood. The leadership will have control over who stays and who goes in these proper-ties, evicting those who misbehave and allowing others in. However the negotiation with the municipality, to avoid the speculation and leasing of these desirable properties, is that they can only be inhabited by Shipibos. In this way the Shipibos have further enhanced their Rights to the City (Harvey, 2008) by using their indigenous status as a way to participate in their own development of the city, even if this is at the advantage of the Municipality who align themselves to this political cause.

This use of the community by the Shipibo leadership as a homogenous entity is in direct contrast to the way the rest of the community in Cantagallo has organised. Due to the staggered nature of the arrival of people (see Appendix 1.5) divisions have been created which are reinforced in the management of Cantagallo.

Photo 6: A septic tank in zone1 © Bonnie HA

Photo 7: A Shipibo wom-an and water tap in zone 3 © Fish YU

Photo 8: Shipibo leaders in zone3 © Fish YU


7.3 Divisions & A Lack of Information

Cantagallo is a community that has been fragmented by different divisions.

- After all space in zones 1 and 2 had been developed, in 2005 the Shipibos took the decision to move onto the adjacent landfill site. This gave them more space and the opportunity to live as a community.

- Zone 3 is public land owned by the municipality. Zones 1 and 2 are owned by ENACE (See Appendix 1.2).

- These associations range from formal to informal, some are to do with housing, others with business and market trading. Our research continues to find others for students and service management issues such as water provision. Some merge while others fragment.

- One of the main reasons for fragmentation within zones 1 and 2 associations were the issue of whether to buy the land from ENACE.

- Many of these have limited communication with each other, and almost none with external actors. No political representation was found at a district or municipal level.

- The lack of communication both internally between associations and with external actors is one of the root causes of people’s mal recognition on the city scale.

- Cantagallo has become a sink for those relocated/ evicted from area regeneration/ gentrification, infrastruc-ture projects or international mandates such as the UN-ESCO classification of the city centre.

- Some of the waves of people that have settled in Canta-gallo have been requested to do so by whichever organi-

sation has removed them in the first place, others have been attracted there by the cheap rental of residential, industrial and market space.

- This has meant that Cantagallo is a mosaic of cultures and ethnicity (Kallen, 2003) mirroring Peru and its state sanctioned multi-culturalism. Whereas these differences can separate them on a national basis, be it through his-tory, stigma and discrimination or through national policy, in Cantagallo they share common problems, primarily be-ing the eviction process.

The fragmentation of the community has been used by the municipality as a way to ‘Divide and Conquer’, al-lowing them to offer some form of compensation to one group and nothing to another. According to those spoken to at a high level, there is no clear intention to offer com-pensation to the majority of the population. (See Appen-dix 2.3 & 2.4) However information is not filtering down to the population who is only aware of the intention to evict them through rumours and the presence of the building work. There is a void in information, not only from the municipal-ity and OAS to the community, but also from the leader-ship of the associations to their members. Our research shows that many members were only aware of the evic-tion by means of the presence of the engineering com-pany working next to them. This fuels the uncertainty imposed upon the population who only hear of develop-ments through rumors. This passive approach from the community is only contributing to their lack of participa-tion and mal recognition and should be addressed.

7.4 Failure of City Planning & Power Im-balances

The city of Lima has lacked a centralised strategy or plan-ning for urban growth since at least the creation of the Institute of Municipal Planning in 1991. Since this time the city’s population has grown by approximately 2 million.

Much of this growth has been from the rural poor, either fleeing violence in rural areas during the 80s when the government was fighting the communist movement Sen-dero Luminoso, or more recently in search of economic opportunities in a city that is itself reaping the rewards of national economic growth, on the back of heightened global demand of its natural resources.

Lima is itself a city of elites in Peru. It is the home to the business and political leadership and so draws in resourc-es, people and wealth to feed an insatiable appetite. Its population is eight times that of the second biggest city and its important position is highlighted by the impractical location of the only major port in the country on its door-step in Callao. For this reason, the national government of


Peru has always taken great interest in the management and development of the city (see Appendix 1.8 & 2.2). With great wealth however also comes increased poverty, and Lima has the highest levels of social deprivation in compar-ison to the population, in the country, and as ever it is these communities, such as Cantagallo, who are malleable, in-visible or simply expendable in city plans (Watson, 2009).

Lima’s market-driven urbanisation process since Fujimori has caused infrastructure projects that are not aligned with the needs of underprivileged segments of the population, but instead those who can afford to pay for it (see Appendix 1.8). What Harvey (2009) dubs the Accumulation of Dispo-sition, the inevitable eviction or pricing out of low income population from areas with greater services, land value and economic potential, is very much present in Lima, as it is in Mumbai, London or Paris. However as Engels pointed out in 1872, by moving the poorest away from sight, you are not dealing with the problem; and as seen through the history of infrastructure projects and urban development in Lima, they will most likely be evicted and moved on again and again.

“No matter how different the reasons may be, the result is always the same; the scandalous alleys and lanes disap-pear to the accompaniment of lavish self-praise from the bourgeoisie...but they appear again immediately some-where else...the same economic necessity which pro-duced them in the first place, produces them in the next” (Engels, cited in Harvey 2008 p23)

Although the presence of a longer-term city plan would not be able to tackle the structural economic problems that affect Lima, it would be able to deal with land tenure

issues, particularly when people are being relocated, so that they do not have to be relocated again in the near future. As is the case with the ACC (see Appendix 1.5), who were relocated to Cantagallo in an eviction from the central market, and are now having their rights to the city tested and being forced to move again after a generation. This lack of planning and foresight is being replicated in the highly acclaimed rehousing program of the Shipibo community in Cantagallo. A site has been chosen next to the Rio Rimac on the bank opposite their current loca-tion. However this is on lower ground than the landfill site they reside on now, and they have already experienced flooding when the Rimac bursts its banks in the high rainy season. The river is also predicted to flood more as the Andean glacial ice caps that feed it melt rapidly due to climate change, thus increasing the risk to the new settle-ment, and potentially forcing them to be relocated again.

Photo 9: Planned relocation site cross Rio Rimac for Shipibos in Cantagallo © Fish Yu

Source: Estudio Agusto Ortiz de Zevallos & Observatorio Urbano


8. Scenarios

By exploring different scenarios (best case, most likely case and worst case scenario), we tried to better un-derstand the current situation in Cantagallo, as well as the potential for future improvements. Moreover, when it comes to relocation, the diversity, division and different problems in Cantagallo will have different effects on each one of the three areas (See Map 1). Due to the limited length of the report, we only included the scenario which is most likely to occur. For other scenarios, please see Appendix 2.4.

Our fieldwork revealed that it is very likely that the Shipi-bos get their promised new place on the other side of the Rimac river, while the future of residence of zones 1 and 2 is unclear.

Shipibos (in zone 3 and part of zone 2)

- 205 families will be relocated to the new site, right across the Rimac River;- They will possibly be involved in the process of design-ing the new space at a public and superficial level;- The two different Shipibo associations (ACUSHIKOLM and AVSHIL) might merge, which will further amplify the unity of Shipibo community.

The rest of residents in zones 1 and 2

There has been limited negotiation regarding the VPR project and future of the residents of zones 1 and 2. This shows once again, the “divide and conquer” strategy that the municipality and OAS adopted in this relocation pro-cess. What is more, this part of the community claims they have a right to buy and own the land they live on, because of the legal instruments in place, including; Fu-jimori’s presidential resolution and the right to buy public land after being sitting tenants for 10 years.

Photo 10: ‘like your new home?’ © Fish YU

Moreover, they argue that the municipality only owns the land in zone 3, therefore, it is not within its rights to de-cide what happens with the land in zones 1 and 2, let alone the people’s lives. Unfortunately, even though they were moved in Cantagallo by Fujimori’s presidential reso-lution, neither this “advantage”, nor the ambiguity of the land tenure will be enough to halt the VPR project. Con-sequently, the people living in zones 1 and 2 will still be evicted.

Unfortunately, even though some of the residents of Can-tagallo would be properly relocated, others could just be evicted without any form of compensation. However, in both cases, people would still not benefit from proper recognition and social equity and therefore, social justice will still not be achieved.

9. Strategies

Introduction

The background research carried out before our field trip, which built up our foundation analysis of the metro-politan Lima context, the actual field trip - which deep-ened into the overlapping historic context and realities of Cantagallo - and posterior analysis are grounded in a set of strategies the group suggests. We begin with “Ex-panded Dialogue” that seeks to tackle the fragmentation created throughout the last six decades in Cantagallo, this provides the foundation to expand this dialogue ex-ternally, which will contribute for proper recognition with-in the social arrangements that allow members of the community to interact with each other and with those outside Cantagallo, and actively participate in the deci-sion making processes.

Furthermore, we suggest the analysis and implementa-tion of public defense mechanisms that will formalize the position of the community in the VPR project. We finalize with suggestions to take advantage of current opportunities the Lima municipality can use for recogni-tion through planning. In order for justice to be achiev-able, this requires proper distribution, allow sufficient equality of power and wealth to ensure that the poor have a voice and the wealthy do not monopolise the means of communication.

Participation parity in which government and community work on is the successful remedy to enhance the two as-pects of justice (recognition and distribution), and at the same time it can be strengthened through the realization of two aspects, which Fraser (2003) identified firstly that the distribution of material resources must ensure participants’ independence and voice and that also institutional patterns of cultural value express equal respect for all participants and ensure equal opportunity for achieving social parity; taking this into consideration while carrying out the recom-mendation will support their ultimate objectives.


9.1 Expanded Dialogue

vEnsuring equal opportunity for all the members of soci-ety is crucial in the achievement of social parity. The inter-group and intragroup divisions faced by the community members of Cantagallo are manifested through the frag-mentation between associations and lack of communica-tion within and across different groups.

As shown in the table, the internal dialogue strategy of creating an umbrella organization will tackle divisions over land through time and even the more recent ones since the Shipibo community is being offered a relocation plan, turning problematic divisions into opportunities, for in-stance the Shipibos can introduce Cantagallo´s leader to the organizations that provide aid, such as the municipal-ity and non-profit organizations. As the process of relocation is both ongoing and im-minent, the weekly meetings taking place in alternating venues will not only discuss the relocation process and funding for public defense, but also the distribution of available resources to deal with other issues such as wa-ter and sanitation infrastructure, as well as updating the community. This will help in identifying areas of conflict and interest, particularly around the relocation process, and to combat the municipality´s perceived strategy of ‘divide and conquer’ over the area. It is recognised that the members of the different associations have different wants and needs, and that these will need to be negotiat-ed for separately, however the municipality will no longer negotiate separately with the 14 associations represent-ing of 300/400 people, who are currently easily ignorable, but instead a united group of over 5,000.

The expansion of dialogue within the associations must also flow bottom up as well as top down. At present there is a lot of trust put into the leadership to deal with the relocation process. It is the role of the leadership to disseminate the pro-gress and information they have to the people they represent.

Social Media can be a key tool in doing this. Not only can the leadership make timely update, but the commu-nity can also post questions and their own suggestions providing a platform for this two-way communication. Social media has been used before as a tool for uniting a community and promoting a cause through viral advo-cacy videos, public petitions, fundraising, online demon-strations and monitoring the construction and relocation/ eviction process.

In summary, this expanded dialogue between associa-tions, and across their membership will help to form a united front to be negotiated with as a whole, increasing their recognition and hopefully their participation when working with external organisations.

9.2 Public Defence Mechanism

Proper distribution of material resources holds a critical role in enhancing society members´ independence and voice. In the case of Cantagallo such objective conditions can be practiced by securing the “resources” and “pow-er” through utilizing existing legal instruments such as the ones mentioned in the chart.

It is suggested to divide this strategy for efficiency pur-poses since a division might arise for those who pursue relocation and those who pursue land ownership; this polarization should not be a barrier in terms of defence, and the groups are encouraged to support each other in their own defence mechanisms as they do share some of them.Working at a higher legal level will force the cause to be brought to the attention of the governance structures and aid in achieving the recognition they need. We under-stand that financial resources might not be enough for hiring a lawyer, therefore we suggest the community to approach law faculties of universities in Lima, even at a para-legal level.

Rather than leaving it to the government to conduct a census for the area, it would be beneficial to conduct a population and economic census program for the Shipi-


bo and the rest of the community respectively. This would show the authorities, campaigners, media bodies and the community itself, exactly how many lives are to be disrupted by the implementation of the VPR project, as well as the economic activity and taxation estimations, a powerful tool for the commercial residents in their aim of purchasing land and integrating themselves to the formal economy.

It is also important to engage with the external non-profit organisations mentioned in the table for support on legal issues, advocacy and capacity building for sudden evic-tions or even human rights violations. A series of public and peaceful demonstrations would also be helpful in order to increase wider public support. This would also empower and unite the community be-hind a common visual cause, and potentially give them more negotiating power.

9.3 Long-term City Planning with Recognition

Cantagallo, along with other informal settlements in Lima are part of a lack of governmental strategies that have been reinforced through time due to a lack of coordi-nation between different levels of government, reduced public investment and rapid rural migration. Therefore, a long-term metropolitan plan that incorporates participa-tory planning is necessary if not vital, especially in those territories where new informal settlers are arriving. This would aid in developing the transformational changes that Cantagallo and its future generations should be en-acting in order to modify from the root causes of mal recognition that has affected them through time.

Facebook Page: ‘Nuestro Cantagallo’ has been created lately.

The VPR and other similar infrastructure project are great examples of a learning process the municipality can take advantage of. Not only do the municipality face barriers to deliver successful and fair infrastructure projects such as: its short administration period and dependence on private funding for mega projects, but they are also hav-ing to deal with complex factors such as land tenure, ethnic background, economic importance and historic background in order to recognize the communities that are affected by these projects.

The eviction process that Cantagallo is facing is not unique. As the city continues to grow and develop eco-nomically it will need to deal with communities in similar situations. Experimenting here with a participatory at-titude to planning will benefit them in the future.

The learning process in which the municipality as a whole can undergo is a great opportunity, which is why we suggest citizen recognition through an Urban Plan-ning Council (UPC), which involves participatory plan-ning as a main strategy. This would begin with a com-munity enumeration or census run by the community


members themselves. In the case of Cantagallo this would advance the recognition of the members in zone 1&2 and directly increase their participation within UPC. It is also suggested that the municipality offer training in how to conduct one of these so that it is officially rec-ognised.

This would then lead the way for a transformative ap-proach in which both communities and the government can contribute and manage the resources in that direc-tion, which is indirectly an opportunity to apply Harvey´s right to the city (2008).

Photo 11: Associations guided by DPU to analyse sce-narios of community’s future © Fish YU

Photo 12: Community meeting with Associations of all zones © Fish YU

10. Conclusions Within the limitations of time in the field, language barrier and access to information that is credible enough to be used as the basis of our analytic research, the following findings were discovered:

We have identified above findings as an outcome of the urbanization process that has been taking place under the banner of market-driven strategy mainly since Fuji-mori. Furthermore, our understanding is that the findings are a manifestation of the unsuccessful institutional and social structures of Lima which does not allow partici-pation parity of all the people that are concerned and affected by the urbanization.

This can be seen as a hindrance to the successful re-dress of misrecognition of the rights and needs, and also maldistribution of resources and infrastructure services experienced in Cantagallo.

We believe however, the injustice we found in Canta-gallo, which is now evolving even more around the im-plementation of the VPR project, is just another example that represents the injustice that is embedded in mar-ket-led urbanization of the entire city of Lima or even beyond. In order for the city to cope better with the new urban scenario and to be able to guarantee the social and environmental injustice, proper strategies such as the ones we carefully suggest, must be prepared:


The strategies were made based on the problems and coping capabilities of the community members that were identified through the evaluation of current sce-nario as well as the most potential future scenarios. The scenarios were developed with the information and data gathered through interviews and scenario building ac-tivities with members of different groups including com-munity members of all the associations from the three zones and persons from the municipality of Lima, NGOs and academic organizations.

As long as we know that there are countless people in this world that are exposed to social and environmental injustice created by uneven urbanization process, it is important for us to study on many cases such as what we can see from Cantagallo, and seek for lessons and coping strategies.

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Appendix

1. Detailed information about the main stakeholders

1.1 Metropolitan Lima Municipality: The regional govern-ment body is led by mayor Susana Villarán, Lima’s first female mayor. Her party, the Social Force Decentralisa-tion Party (Partido Descentralista Fuerza Social, FS) is left leaning. In March 2013 she survived an impeachment against her leadership, with the centre-right opposition, who is in the national seat of power, calling for her to step down from her position before her term is finished in 2014. Like with many political leaders who promise change and prosperity for their poorer voter base, Susana is accused of not keeping the promises which brought her into office. Many in the city question her image as ‘for the people’, which is why the very public displays of support for the Shipibo community at Cantagallo are important to her. The Shipibo community at Cantagallo were also vocally very support of the mayor, whereas the rest of Cantagallo were more passive.

The municipality also wants Lima to be seen as a multi-cultural city that fully reflects the multi-cultural status of Peru, and welcomes all people from the different regions. No matter which political party is in power there has always been a struggle between the national government and that running the municipality of Lima. Lima is the political and financial centre of Peru, as it was the centre of the Viceroyalty of Peru during the Spanish colonisation of South America, covering an area which stretched from Colombia to South Argen-tina. It draws in much of the wealth of the country and so its management and development is of great inter-est to the national government. This leads to conflict between these two seats of power, and can often be detrimental to the city.

The national government awarded OAS a Brazilian engi-neering company the contract to construct the VPR pro-ject. This was done for reasons of national importance rather than municipal ones, such as better access to the only national port, and traffic alleviation. The municipality now has the responsibility to work with the affected Can-tagallo community and anyone else affected, and in doing so will receive the majority of any backlash because of it, although they did not implement it in the first place. The mayor has been able to renegotiate the contract terms with OAS, in which higher compensation and a housing program for the Shipibo community was achieved.

1.2 ENACE (Empresa Nacional de Edificaciones): is a publically owned construction company in charge of the construction and maintenance of public and government buildings and infrastructure. For many decades they have used the land at Cantagallo as storage site. When Fujimori ordered the eviction of the market traders of the central market, to make way for the classification of the UNESCO heritage site, he also delivered a presidential mandate, al-lowing these people and their businesses to be relocated to the site at Cantagallo. The intention was to make Can-tagallo a secondary market for the city. ENACE was given responsibility to install basic infrastructure to make the land inhabitable. They complied with this by providing the public toilets and water points as well as a mains electricity point from where the community could connect to provide elec-tricity for their homes and businesses.

A competition was held to decide who was to live in this new space. It could be said that this was a step towards a social housing program. The newly appointed legal resi-dents of Cantagallo were then given autonomy in the gov-ernance and management of their new site. This was due to the land tenure status of the land they occupied. They did not reside within the governance of municipal author-ity, and so were not granted the same representation and rights as “Limeños” at the municipal level.

Instead 5,000 people lived on an island, flanked on one side by the Rimac river and the other by a major highway, with only a side road and a walkway connecting them; and all in between being privately owned, all be it by a public company (showing off a map). To meet their needs, the residents formed associations with leadership struc-tures that would manage the relationship with service providers, such as SEDAPAL, and deal with land man-agement issues, with ENACE.

Over the last two decades these associations have frag-mented further due to differences of opinion, primarily on whether to try to buy the land from ENACE or not. By living and trading on private land, traders were not required to pay taxes as this would be the responsibility of the land owner, who would effectively be leasing this land to them. ENACE, under orders by a presidential mandate, did not charge the traders for use of the land, but instead made it available as part of the relocation compensation. If they were to officially buy the land from ENACE, thus increasing their land security, they would also become a recognised area within the city and be susceptible to municipal taxes.


1.3 CAAAP (Centro Amazónico de Antropología y Apli-cación Práctica): the Amazon Anthropology and practice application centre pursues to enhance human develop-ment and capacity building, especially of those areas from the Peruvian Amazon.

MAIN ASSOCIATIONS IN CANTAGALLO

Name Zone Main activities information

ACUSHIKOLM 3 (Shipibos) Housing;

Commercial;

Main issues the community is facing (e.g. water prob-lems; relocation)

Created in 2012, the predecessor was ASHIREL created in 2000 when the Shipibos arrived at Cantagallo. This association kept the name when the majority of Shipibos began to move up to zone 3

AVSHIL 2 (Shipibos) Housing;

Commercials;

Main issues the community is facing

2005, Split with ASHIREL when the majority of the Shipibos moved in zone 3

APIACAR 2 Commercial/ industrial

(Making backpacks)

Created to administer and represent those working in the backpack industry. They have a relationship with communities in the Andes. People from these communities come to work in this industry for nominal pay, but giving them access to the city. They have also bought some land on the outskirts of Lima in anticipation of the eviction and have begun to move the operation there slowly

EMPRERIAL 2 Commercial/ Industrial

(Making backpacks)

Split with APIACAR over a financial dispute with the leadership. They intend to fight the eviction process and stay on the land.

Asociacion de Vivienda El Olivar

1 Housing Missing information

Asociacion Civil Comerciantes (ACC)

1 Commercial/ Industrial 1997 the first association in Cantagallo This is the association who were ordered to move to the area under a presidential mandate. They claim that this mandate gives them a right to stay on the land or be properly compensatedAlthough they hoped to buy the land from ENACE, it is most likely they will be relocated

Asociacion Central Las Malvinas

1 Commercial 2003 evicted from Avenue Argentina and moved to Cantagallo without any executive order, due to available market space. This caused conflict with ACC as they began to take over there space. They are also keen to keep the land as informal, in contrast to those who want to buy it.

Asociacion Civil Santa Rosa

1 Housing Arriving in the early 2000, this association took over available land on the periphery of Zone 1. Mainly representing housing needs, they are adversely affected when the septic tank for all of zone 1 collapses.

Asociacion Microempresarios

1 Commercial This association was initially part of the Las Malvinas, however they have split due to wanting to

Asociacion Horizonte 2000

1 Missing Information Missing information

Asociacion Frente Unico

1 Missing Information Missing information

1.4 Terra Nuova: Italian non-profit organization that pro-motes sustainable social and economic development. The Peru branch of this organization has a project that aims to build capabilities and participation processes with CAAAP and the Lima Metropolitan municipality.

1.5 Table of associations:


1.6 LAMSAC: Peruvian branch of the Brazilian company OAS, which has the concession of the Vía Parque Rimac project, which will modernize traffic management, con-necting 11 districts of metropolitan Lima, reducing travel times. The Project is developed in partnership between the Metropolitan Municipality of Lima 1.7 OAS: Engineering private company that activates in public investments, mainly in jobs related with oil and gas and energy supply; nowadays intends to expand abroad Brazil. 1.8 VIA PARQUE RIMAC PROJECT:

A development project that plans to modernize traf-fic management, combining 11 districts of Metropolitan Lima and reducing travel times; It will affect and change more than 6 km of the river Ri-mac, since it includes a park and other green areas along the river;the park will be located in the area where Cantagallo resi-dents are living todayThe project includes the construction of new roads, main-tenance of existing roads and traffic management as fol-lows:a tunnel about two miles below the river Rimac;Construction of 11 viaducts;9 km of new roads;

The national government signed off this project to answer to the problem of gridlock traffic through the centre of Lima. City wide domestic traffic combines with that of the Inter-Americana Highway, which runs through the centre of the city, as well as cargo being transported to and from the countries only main port in Callao. Easing access to this port for a country that is exploiting its mineral wealth to grow economically is a priority for the government. This is one of the main reasons given for the implementation of the VPR project.

The municipality’s role is to inform those affected by such mega projects and ensure their compliance, even if this detrimentally affects the same people who voted for this municipal government to represent them. This lack of de-cision making power for the municipal government on is-sues that affect the people they represent is reflected in the mal recognition and lack of participation in the deci-sion making process by the people of Cantagallo.

What is more, the city of Lima has been without a central-ized strategy or plan for urban growth since 1991. As we previously mentioned in the report, this has lead to the many infrastructure projects that, usually, do not go to the people affected by their implementation, but instead to the project itself and to the people who are funding it.

2. Information to underpin findings

2.1 The position of the Amazonian peoples within Peru’s Multi-Cultural society

The Peruvian imagination is set into 3 geographic areas. The different sections of the multi-cultural society reside within them, hence dividing them, encouraging differ-ences and discrimination between them. These distinct groups are also known as ‘Pueblos Jóvenes’.

The urban coast, dominated by the whites (Spanish de-scendants), Mestizos (Indians and white mixed), and Af-ro-Peruvian (slave descendants). This is where Lima sits, where the majority of the population reside and where the money and power is.

The Andean Mountains, with predominantly Andean peo-ple who are seen as direct descendants of the Incas, and so rightful indigenous peoples of Peru.The Amazonian forest, which is populated by noble sav-ages who live in environmental harmony as guardians of the forest (Green 2007), and global talismans of the envi-ronmental movement After helping President Toledo come to power, when they marched with other indigenous groups to protest against Fujimori, the Shipibo of Cantagallo decided to stay. Presi-dent Toledo, being of Andean decent, proclaimed Peru as a Multi-Cultural state and set up a commission (later INDEPA) to represent the interest of Indigenous peoples at a ministerial level. This has 4 Andeans, 3 Amazonian and 2 Afro Peruvian members, alongside other state ap-pointees. State sanctioned multiculturalism is meant to encourage bilingual education and indigenous education. It is obvious from the start though that some ‘indigenous’ groups are more indigenous than others.

“Any serious analysis of contemporary Peruvian multicul-turalism must be premised on revealing the complex and systematic reproduction of already existing hierarchies, based on historical ideologies of ranked, regionalised, and radicalised cultural differences” (Green, 2007 p446)

The Spanish conquistadors saw the Inca Civilisation as a ‘true civilisation’ in the European sense. This has been romanticised and used by those in power to character-ise the nation as a whole. A noble and majestic civilisa-tion, that will return one day. The Inca Empire’s relation-ship with the Amazonian people was one of conflict. They were never able to conquer them completely and so re-garded them as savages and barbaric.

The Spanish soon came to realise this and regarded the Amazonians in the same way, generally leaving them alone. Peru developed along its coast, tapping the re-sources from the mountains and had little to do with the amazon. Over the past few decades however, there has


been considerably more interest in the wealth of resourc-es that lie within Peru’s Amazon forest. This has brought the elites of Lima in direct contact with the lives and liveli-hoods of those their Amazon compatriots.

This characterising by the Andeans and Spanish is seen in a derogatory term still used today for people of the forest Chuncho, in Quechua Salvaje, in Spanish

The image of the impenetrable, uninhabited forest of Peru, held by the regions masters, whether Andean or Spanish, helps to explain why the Amazonians have been left out of any political decisions from the start. Their isola-tion (whether self-inflicted or unintentional) has rendered them anti-political and so essentially against the state.

“Because they come to represent a pre-social contract symbol moment in the global historical imagination, they have neither a state, nor an estate – neither a real politik, nor a right to property, to call their own” (Clastres, 1987 cited in Green 2007).

Their way of living in the forest leaves them without real land title, and so unable to negotiate on an equal level with state actors.

Even as the global environmental movement holds them up as indigenous people with rights to their forest home-land they are still conceived as savages, although noble and in harmony with nature.

Political representatives claim to be used by different po-litical parties who require them to dress up in traditional clothes and stand with them. We can see this in the way Susana Villaran, the current mayor of Lima, engages with the Shipibo community at Cantagallo. This relationship is able to promote her as a political image as leader of the centre left Social Force Decentralisation Party, as it shows her willingness to for fight for those publicly perceived as vulnerable.

Referring to the Amazonians as indigenous has only hap-pened recently with the development of INDEPA. Before, this was just for the Andean people. The Peruvian state, in its imagination of Peruvians privileges one indigenous culture over another. The multi-culturalism is more a re-gionalised culture between the 3 geographic areas.

Young Shipibo people feel the need to enter Peru’s in-creasingly affluent society. With poor education and Spanish as a second language, their options for work are limited to the resource extraction industry or being a mo-torbike taxi driver in the urban areas in the Amazon.

Those who make it to Lima will be discriminated against for the reasons explained above, and so make attempts

to conform and mould into the urban community. Their dark skin means that they can be taken as Mestizos, however their accents can be noticeable.

There is a lack of recognition that is inflicted upon them through this racially driven class system, which is mani-fested in their own political representation, and through a feeling that they are second class citizens or savages, unable to understand the ways of urban modern life. 2.2 History of Cantagallo

Cantagallo’s history goes back to 1960s when the first of three settlement stages took place. In 1971 the first attempt to build a park in Cantagallo led to the eviction of the informal population, yet this was done without any detailed plans to develop it. The area was then put aside for use as a common land. The second stage of settlement took place in 1997. Due to the classification of the centre of Lima as a UNESCO heritage site, market vendors around the central market were encouraged to move to this empty space nearby.

After protests by those forced to move, a Presidential Mandate from Fujimori provided the area with basic ser-vices. A competition was held to decide who should be provided with market units in zone 1 and a plot for hous-ing in zone 2. Over 100,000 people applied, with only 5,010 of the most vulnerable being successful.

These people were then encouraged to move to the area to create a secondary central market. Issues of transpor-tation and accessibility remain however and the econom-ic potential of the area was held back.

The third stage of settlement in Cantagallo was the begin-ning of Shipibo’s history in the area. In 2000, a group of 15 Shipibo-Conibo families arrived in Lima from Pucallpa to participate in a crafts fair, while at the same time look-ing for social services and market opportunities that they believed would only be found in a major city. On moving to Cantagallo these families were soon joined by others already living in Barrios Altos, in their desire to create a whole Shipibo community living in a way familiar to them and their traditional beliefs.

Their first settlement took place in a corner of zone 2. This area however got increasingly crowded as more Shipibos came to Cantagallo. They organised themselves under the name AIDAP which later became ASHIREL. In 2005 a few Shipibo families moved onto the land next to this area which was a landfill site. Since then, this area has grown and attracted more Shipibos from across the city and the jungle, to consolidate their community.

While the Shipibos began to populate their new space in the city, the rest of the community in Cantagallo was


also expanding. Due to infrastructure development and fragmented urban planning policies across Lima, many people experienced eviction and relocation either of their businesses or their homes. They have been encouraged or attracted to move to the area because of more afford-able rents for commercial, industrial or housing units, or; instructed to by whichever organisations have been im-plicit in their relocation.

This has led to many different associations representing the different interests of the community and their claims to the area and land tenure. The first commercial group relocated to Zone 1 in 1997 formed Associacion Civil Cantagallo. This was followed by others in 2003 and beyond namely, Association Central Los Malvinas, As-sociation Santa Rosa, and MicroEmpresarios. Zone 2 residents and businesses are represented by Apiacar and Empresarial. The Shipibo community in Zone 2 have kept their association AVSHIL, while those who have moved to Zone 3 are now represented by ACUSHICOLM.

2.3 The Shipibos within Lima and Cantegallo

The Shipibo-Conibo is an indigenous group coming from the eastern amazon in Peru. Their villages mostly lie along the rivers and tributaries of the Ucayali region and tra-ditionally they have a strong relationship with the river. Pucallpa is the major urban area in this region and an increasing number of Shipibos are drawn to it in search of employment. Whereas traditionally their major economic activities are fishing, agriculture, crafts and hunting, in the urban areas opportunities are limited to more modern pursuits such as logging, driving a moto-taxi or working for the oil or extraction industries. Those remaining to live in the rural areas are exposed to threats, such as drug trafficking and natural resource exploitation destroying their traditional land. Education is poor in this area and it is estimated that over two thirds of Shipibos have no or only primary level education.

In 2000, a group of 15 Shipibo-Conibo families were in-vited to Lima, from Pucallpa, to bring their unique handy craft work to a crafts fair promoting Peru’s tradition of handy craft among its indigenous groups. This was also taken as an opportunity by Alejandro Toledo to gather these indigenous groups in support of his presidential campaign and march against Furjimori. Toledo was later elected in 2001, proclaiming to be the defender of indig-enous rights as he himself was half Andean.

These families decided to stay in the city, moving to the space at Cantagallo with its central location and low cost rent. They felt they were able to take advantage of the so-cial services and market opportunities available in the city.

Other Shipibo families were already living in Barrios Altos and in other pockets across Lima. Some moved to join the group in Cantagallo in the hope to live as a commu-

nity, in a way familiar to them and with their traditional be-liefs. These traditional beliefs continue within the commu-nity today in the practice of traditional medicines, such as Ayahuaska ceremonies, and community justice systems.

Our research discovered that on arriving in Lima, many Shipibos are unaware of the mechanics of the city and particularly how to make money to survive. This is high-lighted by the lack of Shipibo run businesses within Can-tagallo. All but one of the shops is run by Mestizo or An-dean entrepreneurs. It has fallen to the responsibility of the women to be the economic drivers of the community, making and selling their unique handicrafts on the streets of Lima to “Limeños” and tourists. They also gain em-ployment as domestic workers for the wealthy of Lima. Within the heavily paternalist community, this work is done alongside the domestic management such as wa-ter collection.

Although unemployment is high, some of the men of Cantagallo have been able to gain employment with OAS engineering company who are building the VPR project. This could be seen as an attempt to engage a local work force in the manipulation of their own community in a ‘hearts and minds’ program, or simply using people who are readily available. Others have been offered jobs within the municipality as street cleaners and waste collectors. It is said this is due to the communities’ support of the Mayor during her recent indictment.

The heavily paternalistic nature of the community is also presented in the structure of its leadership. There are very few female leaders, and those that are the head of a mothers group and often the wife of a male leader.

From interviews with the youth of the Shipibo community in Cantagallo, they consider that they have the choice of continuing the traditions as a homogenous community living within the city and being recognised, as Fraser puts it, in an affirmative way, or instead move to further to as-similate with the city, as “Limeñós”, as well as Shipibos.

2.4 Scenarios

The best-case scenario would assure Shipibos not only the relocation they’ve been promised, but also their rights as indigenous and, in the same time, as citizens of Lima. This includes the participation in decision-making pro-cesses that affect not only their lives, but also the devel-opment of the city. Only then will the Shipibos be properly recognised by the authorities of Lima, by the other citi-zens and by themselves.

For the communities in zones 1 and 2, the best case scenario would bring a fair and transparent negotiation, regarding their wish to buy the land and the municipal-ity’s need to relocate them to another place. This would be the best possible way to start the path to social and


environmental justice. As Fraser argues, justice today, re-quires not only redistribution, but also recognition. The worst-case scenario would offer people in Cantagallo a harsh, but still, possible future. Even though Shipibos already negotiated the terms of their relocation with the mayor, her mandate will end next year. This may mark the beginning of another plan for the Cantagallo communi-ties, including the Shipibos, who might lose the promise of a new home in a very desirably located part of the city.

3. Fieldtrip Schedule

FIELD TRIP SCHEDULE

Monday (22/04/2013) Tour of all the areas: Cantagallo, Jose Carlos Mariategui, Huaycan, Barrios Altos, TaboadaTuesday (23/04/2013) Transect walk in Cantagallo; talk to the leader of Shipibos in Zone 3; attending an event

where the mayor was speaking; start mappingWednesday (24/04/2013)

Lectures: Carlos Franco Pacheco; Albert; Alberto Ibanez de Sus

Thursday (25/04/2013) Interim presentationsFriday (26/04/2013) Meetings with representatives from Lima Metropolitana Municipality;

Visit to the field (interview with Shipibo leaders)Saturday (27/04/2013) (Day off)Sunday (28/04/2013) Field visit: showing them our first video, talk to several individuals of CantagalloMonday (29/04/2013) SEDAPAL meeting;

Lecture by Linda ZilbertTuesday (30/04/2013) CAAAP meeting;

Lecture by the General Director of Lima Metropolitana Municipality;Group meeting

Wednesday (01/05/2013)

Field work (splitting in 2 teams):-team1 covering zone 3: interviewing Delmer Ramirez and mapping;-team2 covering zone 1: interviewing leaders of different associations;

Thursday (02/05/2013) Meeting with a representative of the Ministry of Housing, Construction and Sanitation;Meeting with a representative of the Ministry of Environment

Friday (03/05/2013) Field work: interviewing individuals from each zone; Women focus group;Interviewing leaders of associations

Saturday (04/05/2013) Talk to staff panel; Group meeting

Sunday (05/05/2013) Workshop in zone 1 (with leaders of all the associations in Cantagallo)Monday (06/05/2013) Group meeting: preparing final presentationTuesday (07/05/2013) Final presentation and discussions

The future for non Shipibos wouldn’t be much better: the possibility to be evicted without any form of compensa-tion is still a reality for them.

In this case, communities in Cantagallo would have to further endure the lack of proper recognition. Further-more, their rights to the city would be completely under-mined, as neither the Shipibos, nor other members of the community will have the rights to participate in changing themselves by “changing the city” (Harvey, 2008 p1).


4. ILO CONVENTION 169

Convention No.169 is a legally binding international in-strument open to ratification, which deals specifically with the rights of indigenous and tribal peoples. Today, it has been ratified by 20 countries. Once it ratifies the Convention, a country has one year to align legislation, policies and programmes to the Convention before it becomes legally binding. Countries that have ratified the Convention are subject to supervision with regards to its implementation. The Convention does not define who are indigenous and tribal peoples. It takes a practi-cal approach and only provides criteria for describing the peoples it aims to protect. Self-identification is con-sidered as a fundamental criterion for the identification of indigenous and tribal peoples. In recognition of the fact that indigenous and tribal peoples are likely to be discriminated against in many areas, the first general, fundamental principle of Convention No. 169 is non-discrimination. Article 3 of the Convention states that indigenous peoples have the right to enjoy the full meas-ure of human rights and fundamental freedoms without hindrance or discrimination. In Article 4, the Convention also guarantees enjoyment of the general rights of citi-zenship without discrimination. Another principle in the Convention concerns the application of all its provisions

to male and female indigenous persons without discrim-ination (Article 3). Article 20 provides for prevention of discrimination against indigenous workers.

The Convention recognizes the differences of indigenous ways of life, customs and traditions, institutions, custom-ary laws, forms of land use and forms of social organi-zation, and aims to ensure that they are protected and taken into account when any measures are being under-taken that are likely to have an impact on these peoples. The Convention requires that indigenous and tribal peo-ples are consulted on issues that affect them. It also re-quires that these peoples are able to engage in free, prior and informed participation in policy and development processes that affect them. The principles of consulta-tion and participation in Convention No. 169 relate not only to specific development projects, but also to broader questions of governance, and the participation of indig-enous and tribal peoples in public life. Since its adoption, Convention No. 169 has gained recognition well beyond the number of actual ratifications. Its provisions have in-fluenced numerous policy documents, debates and legal decisions at the regional and international levels, as well as national legislation and policies. International Labour Organization, 2013)

3. Barrios Altos. Urban Renovation with Life and Memory

Nora NebelungCarolina Reyes AldasoroCheng ChangErin Mitchell Itsuki KurodaJung Hwa YangMonica Bernal LlanosSuna Akyuz

Table of Contents

Acknowledgements

Abbreviations

Glossary of terms

Executive summary

1. Introduction1.1 Background1.2 Research Objectives

2. Analytical Framework2.1 Conceptual Framework2.2 Research Framework

3. Methodology And Limitations

4. Diagnosis4.1 Context4.2 Preliminary Findings4.3 Scenarios for Urban Renovation

5. Key findings and recommendations5.1 Land Use Change5.2 Reframing Urban Renovation5.3 Inadequate Infrastructure5.4 Increasing Collective Action5.5 Insecurity of Tenure5.6 Ensuring Economic Housing

6. Conclusions

References

Appendices


Acknowledgements

We would like to express our gratitude to all the individu-als, organizations and participants for their contributions toward our research.

Firstly, we would like to thank the two associations that granted us their time, for helping us understand the past, present and future of Barrios Altos and for opening up their homes to us and showing us around this rich and complex neighborhood. Special thanks to Luis, Enrique, Martha, Carmen, Magda, Rufina and Liliana, members of El Gremio and to Oscar, Martha and Nora, from CPRU

We also want to thank our local facilitator, José Rod-ríguez, and also, Silvia de los Ríos, director of CIDAP, for sharing their knowledge with us.

We would like to thank the following persons, for granting us time for interviews and lectures: Liliana Miranda: Director, Foro Ciudades Para La VidaLuis Tagle: Director of Urbanism, Ministry of HousingJuan de la Serna: Director, AECID PerúJosé Hayakawa: Deputy Manager Urban Renovation, Di-vision of Urban Renovation of MML, Elba Vargas: Director of PROLIMA Mónica Erazo: Former MML CouncilorOlga Morán: Former MML CouncilorJosé Petit and Beatriz Canchara: Inter-American Devel-opment Bank Perú

Gustavo Riofrío: Housing Advisor, MMLCarlos Franco Pacheco: Ministry of Housing, Construc-tion, and SanitationCecilia Esteves: Director, Master program, ESANAlfredo Yanez: Marketing Manager, SEDAPALWilly Zabarburu: Advisor, Urban Development Committee

We would also like to express our gratitude to the Develop-ment Planning Unit and our facilitators: Adriana Allen, Rita Lambert, Etienne von Bertrab, Liza Griffin, and Matthew Wood-Hill, for their guidance and support. As well as our colleagues ina the Environment and Sustainable Develop-ment program for their contributions to this project.

Abbreviations

AECID - Agencia Española de Cooperación Internac-ional para el Desarrollo/Spanish Agency for International Development CooperationCEPROMUR - Centro de Renovación Urbana y Pro-moción SocialCIDAP - Centro de Investigación, documentación y ase-soría poblacional/Center of Research, Documentation and Population AdviceCPRU - Comité Promotor para la Renovación Urbana/Committee for the promotion of Urban Renovation

DNI - Documento Nacional de Identidad / National Iden-tity DocumentEMILIMA - Empresa Municipal Inmobiliaria de Lima/Real State Company of MMLFOMUR - Fondo Municipal de Renovación Urbana/Mu-nicipal Fund for Urban Renovation FONAVI - Fondo Nacional de Vivienda / National Hous-ing FundIDB - Inter-American Development BankIMP - Instituto Metropolitano de Planeación / Metropoli-tan Planning InstituteINDECI - Instituto Nacional de la Defensa Civil/National Institute of Civil DefenseINEI - Instituto Nacional de Estadística e Informática/The National Institute for Statistics and InformaticsINC - Instituto Nacional de Cultura / National Institute of CultureINVERMET - Fondo Metropolitano de Inversiones/Met-ropolitan Fund for InvestmentMIMP - Ministerio de la Mujer y Poblaciones Vulnerables/Ministry of Women and Vulnerable PopulationMINSA - Ministerio de Salud/Ministry of HealthMML - Municipalidad Metropolitana de Lima/Metropoli-tan Municipality of LimaPROLIMA - Programa Municipal para la Recuperación del Centro Histórico/Municipal Program for the Recovery of the Historic Center of LimaPRORRUA - Project for the urban renovation of Lima Cercado developed by the IMP with international coop-eration SEDAPAL - Servicio de Agua Potable y Alcantarillado de Lima/Water and Sewage Utility of LimaUNESCO - United Nations Educational, Scientific and Cultural OrganizationWMF - World Monuments Fund

Glossary of terms

Barrioaltinos: Residents of Barrios AltosBeneficencia: Charity body of the Metropolitan Munici-pality of LimaEl Cercado: Lima districtEl Gremio: Gremio de asociados de viviendas con fines de renovación urbana plegados a la ley 29415/Housing association for urban renovation following Law 29415Quinta: Building accommodating various families in in-dividual units around or along a central common spaceLaw 29415: Aimed to improve the physical structure and legal status of tugurios located in the center of LimaMejorando Mi Quinta: National program aimed to im-prove infrastructure and basic servicesRiver Rímac: A 160 km long river that runs across Lima; is the main water source of the cityTugurio(s): Decaying and overcrowded housingVía Parque Rímac: Development project along the River Rimac aimed to improve the mobility across 11 districts of Lima


Executive summary

This research was carried out in Barrios Altos, Lima, and looks at environmental justice and water as a means for transformative change. Barrios Altos is located in the historic center of Lima in an area which is strategic for the development of the city; in conjunction with the ad-ministrative core of Lima, it was declared by UNESCO as World Heritage. Currently however, most of the buildings with historic value in Barrios Altos are deteriorated and at high risk of collapse. Along with overcrowded conditions, this has created and perpetuated social and environmen-tal injustices for its low income residents. The strategic location of Barrios Altos has targeted it for a market-led development which seeks to get rid of the residents and change the use of the land, frequently to illegal storage. Thus many Barrioaltinos face the threat of eviction on a daily basis and water injustice, although very much pre-sent, has been rendered invisible due to the burden of these housing issues.

However, opportunities exist to mobilize efforts to include Barrioaltinos in urban renovation. Mainly, three recom-mendations were developed to achieve this: reframing the concept of urban renovation itself, through an integra-tive and encompassing planning process; building on and strengthening the potential for community organization already present in Barrios Altos; and ensuring access to economic housing. The end goal of the associated strate-gies is “urban renovation with life and memory” which can help address the current social injustices and use water justice as a platform for transformative change and re-claiming the right to the city

Photo: Erin MitchellFigure 1: Consolidation of the historic center of LimaSource: PROLIMA, 2013


1. Introduction

1.1 Background

The historic center of Lima, in which Barrios Altos BA is situated (Map 1), has transitioned over time from an in-digenous city, to a Spanish colonial capital, to a UNESCO World Heritage site (Map 2) (UNESCO, n.d.).

However, as in many Latin American countries, migra-tion to cities in the mid twentieth century increased both the population and the number of slums, leading to de-pressed land values and the abandonment of the historic center by business and the middle class (Fox, Brakarz, and Cruz, 2005). This shift of power and urban develop-ment away from the center also meant a shift in govern-ment attention.

The impact of this neglect is best evidenced by the con-centration of "tugurios" within Barrios Altos, the largest in metropolitan Lima (Map 3) (MML and PRORRUA, 1998).

Embedded in these housing issues is water injustice, characterized by an inequitable distribution of water and adequate sanitation as a result of rationing, overcrowding and pollution due largely to infrastructural neglect. Such injustices have been perpetuated by the hazardous con-ditions of the housing. Additionally and perhaps more importantly, water issues have been rendered invisible by these conditions. The injustices associated with the shar-ing of a single tap, bathroom, or shower by more than twenty people for example, are not necessarily a primary concern of Barrioaltinos or even perceived as an injustice in instances where the collapse of housing infrastructure is considered a relatively more serious threat.

Map 1: Location of Barrios Altos. Source: Google Map and MML, 2007. Barrios Altos defined within El Cercado

Map 2: Boundaries of UNESCO World Heritage site and historic center of Lima. Source : Created by authors, based on PROLIMA, 2013

Map 3: Location of tugurios and barriadasSource : INEI 2002, created by author)


1.2 Research Objectives

The ultimate purpose of our research and this report, is to outline how water can be used as a means to plan for transformative urban environmental change in Barrios Altos. Supporting this primary aim are several secondary research objectives. The first is to characterize Barrios Altos and associated water injustices within the broader urban development context of Lima. The second is to develop a grounded diagnosis of existing water issues based on work in the field. Finally, based on the pre-ceding steps, develop transformative planning strategies that promote water justice. As such this report not only uncovers and contextualizes the water injustices that ex-ist, but it identifies the drivers influencing such injustices, while also pointing to opportunities for change.

LILIANA (Quinta Aldabas)“For example we share the water meter with some people downstairs and the remaining three or four families have another meter…….and this is how we organize to pay and to clean the (shared) toilets and showers. The families here rotate the respon-sibility for cleaning once a week”.

2. Analytical Framework

2.1 Conceptual Framework

The right to the city is a concept, developed by Henri Lefe-bvre, and popularized in academia as a model toward en-franchisement, and can be understood as a common right which “depends upon the exercise of a collective power to reshape the processes of urbanization” (Harvey, 2008) (Lefe-bvre, 1967). However, it can be argued that the right is fluid, claimed by those who wield it, often the State, private sec-tor, wealthy, or elites – who are shaping the city in their own design, reflecting and enhancing their own needs and inter-ests in the process (Harvey, 2008). However, the concept calls for social movements, led by the inhabitants of the city, to challenge and restructure the current social, political, and economic elements that create the dynamics of urban life, and thereby reclaim their right to the city (Lefebvre, 1967).

In the case of Barrios Altos, the redesigning of urban space is attempted through urban renovation. Without an integrated plan or strong leadership the current process is market driven. There is a small but widespread move-ment by Barrioaltinos, to challenge the neglectful attitude of authorities, as well as the nefarious attempts of proper-

Photo: Erin Mitchell

Photo: Suna Akyuz




ty owners to eradicate them. Meanwhile recognition and participation demands are overwhelmed by the degrada-tion and inappropriate conversion of residential buildings.

At the same time, residents are confronted with retaining their liberty to access resources and services, an inherent and fundamental step in the right to the city (Harvey, 2008). Currently, there is a great challenge in addressing present water injustices, which have evolved beyond common forms of mal-distribution and access to include the use of water as a destructive device. Finally, it will be difficult for residents to claim their right if their present efforts, which are limited and not unified, don’t push beyond resistance and attempt to restructure the current framework, and re-produce all aspects of urban life. As Lefebvre states, “…it is not the right to the existing city that is demanded, but the right to a future city…” (Marcuse, 2009).

2.2 Research Framework Based on our understanding of water justice within the context of Barrios Altos, we developed the following defi-nition which was used to guide the research.

Water justice in Barrios Altos will exist when resi-dents' right to an equitable distribution of water (including reliable access) and adequate sanitation to maintain a healthy life and livelihood is given ex-plicit priority. This may be achieved through the recognition of residents (regardless of their identity), be they rent-ers or owners, as equal stakeholders and their par-ticipation in the decision making process with re-spect to the redevelopment of their neighborhood or through more direct channels if possible.

Figure 2: Research questions

The hypothesis, the research team developed and test-ed in Lima, is as follows: In Barrios Altos, water injus-tice is embedded within housing issues. This injustice is being perpetuated by the disjuncture between the discourse claiming homes are at risk of collapse and policies complicated by the historic character and vari-ous boundaries.

The resulting interventions do not address residents’ right to water and legal tenancy; rather their focus is urban regeneration, without participation. Water jus-tice is ultimately being ignored in favor of ‘legal’ evic-tions in a bid to advance redevelopment plans unchal-lenged.

The hypothesis was analyzed through the following re-search questions:



3. Methodology and limitations As outlined in Table 1 below, research on Barrios Altos began in January 2013 and included three stages of re-search with various methods employed. During fieldwork, especially, 2 transect walks, various stakeholders’ inter-views, and community exercise had been conducted. Of course it is important to note that these methods and research in general do come with certain weaknesses or limitations which may have impacted our findings and thus this report.

A primary weakness is that our sample area and sample size was limited and thus the report may not reflect the entire reality of Barrios Altos. This is a result of a number of issues including personal safety. We did not have ac-cess to some of the more vulnerable areas due to safety concerns expressed by locals and were also not able to access the inside of many quintas to gather more detailed information. This diminished freedom of movement, and limited our work to certain areas and certain quintas iden-

tified by leaders of El Gremio, one of the umbrella housing associations.

Additionally, using a narrow sample of mainly organized quintas, many of which belong to El Gremio, may not be truly representative of Barrios Altos as a whole and could thus have skewed our findings.

Furthermore, the inherent political nature and potential bias from institutions and government must also be considered. Though attempts were made to confirm or triangulate infor-mation and data from residents and institutions, we recog-nize that some information is based on opinion. Not to men-tion the impact of our own bias and preconceived notions.

Lastly, limited time in the field in Lima was another draw-back. If time was not a factor some of these weaknesses could certainly have been dealt with more thoroughly, though some are unavoidable. The intention is that ex-plicitly identifying them here will improve the research methods in coming years.

Table 1: Methodology [For more details on fieldwork, see appendix P & Q]

Stage Activities Aim and Content

Stage 1:

Pre-Fieldwork research

[January to April]

•Comprehensive secondary desk research from London included background information, identifying and con-textualizing water issues, identifying information gaps and developing a fieldwork plan

•Skype interviews with facilitators

•This research informed the development of the framework, hypothesis and research questions that directed our fieldwork

Stage 2: Fieldwork

[19th April to 9th May, 20 days]

•2 transect walks

•Semi-structured interviews (20 leaders of quintas in Barrios Altos)

•9 interviews with NGOs, IGOs, local governments, and other stakeholders.

•Community mapping exercise with community leaders

•Community visioning and strategy development work-shop

•Transect walks had been done for investigating housing conditions, land use change and water connection etc.

•By means of interviews, we can collect and com-pare various stakeholders’ opinions on rehabilita-tion and key issues in Barrios Altos.

•Community workshops helped us to understand community ‘s opportunities and challenges, and to come up with future strategies.

Stage 3:

Post-Fieldwork research

[15th May to 3rd June]

•Documenting, analyzing our research finding during fieldwork and refining our strategies for Barrios Altos.

•We continued our analysis on findings during fieldtrip and produced final report and Spanish/English video.


MAGDA (Quinta Sagrado Corazón de Jesús) “We have been to the water utility to ask them to allow us to change the path of the sewage pipeline but they demand that we have a certificate of possession which is issued by the Municipality but then the Municipality won’t give us anything…

Photo: Itsuki Kuroda Photo: Itsuki Kuroda

Map 4: Neighborhoods of Barrios Altos Source: Created by authors, based on MML 2007

4.1 Context The injustices surrounding water are related to a num-ber of other injustices concerning tenancy, eviction and safety. Combined, the reality of "overcrowded conditions, lack of basic services and poor environment exacerbate other social issues like violence and aggression within and between families" (De Los Ríos, 1997). Together these issues have contributed to the social segregation and stigmatization facing the neighborhood, essentially turning it into an island. Segregation within the metro-politan area was consolidated through the modernization process (Harms, 1997), and further solidified spatially by the widening of Abancay Avenue (Map 4).

Despite this there is interest in addressing the issues of basic services and reintegration which speaks to the area’s strategic location for income generation and in-vestments (Figure 3, pg16). Though opinions on how to approach these issues differ due in part to the historic character of the area, what is common is the notion of urban renovation. However the key actors - the public sector, private sector and Barrioaltinos, also identify with this process differently. Their understanding is largely dependent on two factors; the group's future vision for Barrios Altos and their definition of and value given to cul-tural heritage. Because these ideas do not always align, a more challenging environment for collaboration, efficiency and sustainable interventions exists.

Within this current environment, the development trend is market-led with little government intervention and weak implementation of plans. Promoting greater private sec-tor investment in the center via upgrading public spaces, improving roads, and regulating informal workers has

caused land values to increase, often making rent unaf-fordable (De Los Ríos, 1997). Beyond affecting land val-ues the consequences of this kind of development have also impacted the state of basic services like water, as well as land use. Ultimately creating the conditions for gentrification, this approach of imparting responsibility to the private sector does not include a coherent social de-velopment component to address such issues. On top of this, infrastructural neglect persists, contributing to condi-tions that make the process of eviction less controversial.


Figure 3: Various investment projects near Barrios AltosSource: created by authors, based on MML 2013, google map

4.2 Preliminary Findings our hypothesis was confirmed insofar as the severity of water injustice is being masked by the issue of housing, reinforcing its invisibility. This suppression of water is-sues or dominance of housing, however inadvertent, has meant neither residents, the MML, nor the water provider SEDAPAL are as aware or sensitive to issues concerning water, so the issues are not readily addressed. This has increased the residents' vulnerability to risk concerning their health (if there is inadequate quality or supply), their personal security (by way of the conditions manifested in overcrowded environments), as well as safety hazards (in the form of building collapse due to leakage).

That is not to say that housing is not a significant issue, a high portion of buildings in Barrios Altos are at risk of collapse, most of which are made from adobe (Map 5a and 5b). However the minimal number of policies, plans and programs meant to ameliorate these issues have thus far been superficial and poorly executed as exemplified by the "contradictory town planning and ur-ban renewal policies" (De Los Ríos, 1997, p. 85). As our hypothesis alluded to, this is in part due to the bur-den to comply with the regulations associated with the historic character of the area imposed by the Ministry of Culture. (Appendix M)

Finally, we found that water justice is indeed being ig-nored, at least by owners, not necessarily to advance re-development plans, but rather in ways that are leading to other social injustices. In fact our fieldwork (Appendix AA) revealed that water is being used as a weapon to facilitate evictions in a number of ways.

Two common examples are deliberately not connecting the house and cutting access or disabling infrastructure in an effort to contribute to the disrepair required to be declared uninhabitable by The National Instituteof Civil Defence INDECI).

Hypothesis

In Barrios Altos water injustice is embedded within housing issues. This injustice is being perpetuated by the disjuncture between the discourse claiming homes are at risk of collapse and policies complicated by the historic character and various boundaries.

The resulting interventions do not address residents’ right to water and legal tenancy; rather their focus is urban regeneration, without participation. Water justice is ultimately being ignored in favor of ‘legal’ evictions in a bid to advance redevelopment plans unchallenged.


Comparison of the materials of buildings and physical-structural vulnerability of the historic center

Map 5a: Building materials Source : Created by au-thors, based on PROLIMA 2013

Map 5b: Structural vulner-ability. Source : Created by authors, based on INDECI 2013


4.3 Scenarios for Urban Renovation This process of slow market-led eviction and denial of residents' right to the city relates back to the different visions of urban renovation and who should be driving or even included in the process. Though these visions remain theoretical, three scenarios for urban renovation and the integration of cultural heritage can be derived from them.

The first gives prominence to the history of place as defined by its location. If urban renovation embarks on this path, then Barrios Altos would essentially become a town where the memory of its history is preserved, without retaining the historic buildings or the people.

The second scenario gives priority to historic structures, focusing on the maintenance of the historic character. This seems to be the current paradigm as the Ministry of Culture imposes strict standards for the rehabilita-tion of historic buildings. However, this version of urban renovation excludes the residents from the notion of cultural heritage.

In order to resist eviction, combat water injustice and facilitate transformative change, a third option that in-cludes “renovation with life and memory” should be considered. As a more holistic option this scenario could be a real alternative. More specifically this option could recognize Barrioaltinos’ key role in cultural herit-age and urban renovation. This scenario could reinte-grate Barrios Altos within the rest of the city; develop it as multi-functional area (residential with public/green spaces and commercial activity including tourism); in-clude social rehabilitation alongside the physical; be inclusive via participation; and explicitly address water issues; altogether achieving environmental justice and affirming Barrioaltinos right to the city.

5. Key findings and recommendations This section outlines our key findings and three umbrel-la recommendations. Along with several corresponding strategies intended to address the issues identified and also to facilitate the third scenario of urban renovation.(Table 2)


5.1 Land Use Change

Uncontrolled and illegal development To date, uncontrolled urban development has designed most of Lima, consuming large areas toward the city pe-riphery, and neglecting central neighborhoods like Bar-rios Altos. As a result “the city center and existing rental housing has received little attention in this intra-urban mi-gration model” (Harms, 1997). A consequence of both this uncontrolled growth, and minimal role of the munici-pal and State governments, has meant that market-led development and commercial interests are driving the changes in Barrios Altos, including a shift in land use.

The residential area of Barrios Altos, estimated at 77% by INDECI, is shifting to commercial use mainly in the form of warehouses, hardware stores, workshops and restau-rants (INDECI, 2011) (Maps 6a, 6b and 6c). Our transect walks revealed this commercial growth often materializes as storage facilities.

Storage is not only illegal, but is radically changing the physical and socio-economic landscape of the area.

According to a former PROLIMA official, nearly 40% of buildings have been identified as storage. Already receiv-ing little attention from authorities concerning water, ac-countability of authorities to maintain basic services in Bar-rios Altos is diminished further by storage facilities as they do not require any services, exacerbating the invisibility of


Map 6a: Land use, 2006Source: Created by authors, based on PROLIMA

Map 6b: Land use, 2012Source: Created by authors, based on PROLIMA

Map 6c: Newly expended com-merical and mix use area from 2006 to 2012Source: Created by authors, based on PROLIMA


water issues. Thus the effect of this change has been two-fold perpetuating both water injustice and evictions.

These storage facilities are somewhat invisible themselves, slowly becoming warehouses inside, while retaining the ex-terior residential facades. Residents often find themselves in the middle of a slow eviction, possibly through hired mer-cenaries who can be violent, or the cutting of services, such as water pipelines (Appendix AA). The removal of the build-ing number, common in these cases, contributes to the dif-ficulty to resist these evictions. As well, many Barrioaltinos are distrustful of local authorities, who have been ineffective and as such don't feel their concerns will be addressed. Dispossession of this kind reflects the “creative destruc-tion” process to which Harvey refers, where “the poor…

“Storage is prohibited in this area”. Photo: Erin Mitchell

Figure 4: Via Parque Rimac. Source: MML, 2012

and those marginalized from political power suffer first and foremost” (Harvey, 2008).

Interestingly, our fieldwork hinted at a spectrum of resist-ance and vulnerability to evictions depending on the type of owner. The main owners are the Beneficencia (under the MML), the Church, the University San Marcos, and private owners (Harms, 1997). The majority of storage facilities are housed in privately owned buildings which suggests that those living under private ownership face greater threat of eviction (Map 7a and 7b) (Appendix A and B). The decision of owners to sell their property and change its use is influenced by the fact that low-income tenants do not often pay market-value rent, making com-mercial use more profitable, discouraging owners from repairing their properties and leading to overcrowding and degradation (Appendix C and D).

Another factor driving this trend is the demand for land in a city where supply is limited (Riofrio, 2003). Barrios Altos is especially desirable because of its strategic loca-tion in the center and proximity to projects such as the Via Parque Rimac (Figure 4). However, this investment and the consequential land use change is not necessarily in line with the city’s vision or the desire of the residents. More appropriate private investment in Barrios Altos is limited however, as the area is rife with properties in dis-repair, safety and security problems exist and there are poor water and sanitation services.


Map 7b: Parking lots and storage in Barrios AltosSource : Created by authors, based on MML 2011

Map 7a: Type of owners in historic center of LimaSource: Created by authors, based on MML 2011


5.2 Reframing Urban Renovation

A holistic and integrated approach

To resist this current trend, urban renovation and the role of cultural heritage must be grounded in reality. Urban renovation needs to be reframed as more than structural rehabilitation alone and should contribute to a shared un-derstanding of the process by all stakeholders involved. To overcome political and social hurdles (Appendix E and F), urban renovation cannot consist of isolated activities. "Interventions must be comprehensive—encompassing urban infrastructure, housing, public spaces, and social services to be successful" (Fox et. al, 2005). This type of action requires some sort of integrated plan however flex-ible, yet current plans consist largely of passive measures like laws, decrees and regulations.

At present, there is disagreement among stakeholders and even within stakheholder groups as to who should be invovled and especially who should lead the renova-tion process, resulting in further fragementation of efforts. The development of a common understanding could pro-voke stakeholders, namely the public sector including the municipality and national government, the private sector, and the community (residents and organizations) to co-ordinate efforts and resources, and ensure accountability through a tripartite partnership.

Participatory development is one model through which a strategic plan can be developed by this group of actors and executed through projects designed in partnership.

Such a plan would ultimately be carried out by the local government which can serve as a catalyst (Fox et. al., 2005), with support from the other actors. In theory this re-duces the power of any one stakeholder thereby avoiding politically motivated projects for instance. This model can also maximize efforts, while at the same time providing di-rection for investment, and giving residents a participative role in designing the urban rehabilitation of Barrios Altos.

A potential forum to facilitate the dialogue and coordina-tion required to reframe urban renovation and develop a comprehensive plan is the Development Council of Lima Cercado or CODEL. Though its launch has been delayed, CODEL is envisioned as a forum to, among other activities, propose priorities for investments in in-

Figure 5: Stakeholders. Source: Created by authors

Map 8: CODEL areas of neighborhood representatives in El Cercado. Source: Created by authors, based on MML n.d.


frastructure and services to increase quality of life, and develop a participatory budget (MML, 2011). Since the council is meant to be comprised of both city councilors and neighborhood representatives beyond Barrios Altos (Map 8), from the rest of the district, it could be an op-portunity to reintegrate Barrios Altos into the city. Ex-panding membership to representatives from the private sector and PROLIMA would help enhance its function.

This would be similar to the participatory development model of the Executive Planning Committee in the Comas District of Lima, which albeit with limitations, was successful in developing and coordinating strategic plans and acting as a forum to reconcile differences between actors (Fox et. al., 2005). As a civil institution CODEL could promote pres-ervation and renovation interventions through the political agenda and provide continuity through changes in govern-ment. To succeed, this strategy requires not only for the council to be formed and a fair action plan be developed and executed, but also for projects to be evaluated based on a comprehensive set of indicators including those re-lated to quality of life and actions modified accordingly.

Finally, within reframing of urban renovation more explicit priority needs to be given to water. Currently there is no clear mention of upgrading water infrastructure inside the household in the detugurization Law 29415, or in interven-tions and plans (Appendix L and M). The CODEL frame-work, provides a direct channel for the community to voice their concerns to the municipality and argue that adequate water facilities are a necessary step and potential catalyst for urban renovation. The provision of basic services should be considered a first step in the process of renovation, and reclaiming residents’ right to the city (Harvey,2008).

Map 9: Potable water network in historic center of Lima. Source :Created by authors, based on PROLIMA 2013

5.3 Inadequate Infrastructure

Lack of transparency and information Our fieldwork revealed that some homes in Barrios Altos do not have direct connection or reliable access to water supply and sewage, leaving them vulnerable to injustices described earlier. Likely based on information from SEDA-PAL, Map 9 created by INDECI illustrates that Barrios Al-tos has near full coverage of both primary and secondary pipelines. This is misleading however, as the map does not show the limited number of water connections within the households and thus does not explain unequal access. For instance we found quintas in which residents must buy their water from a truck with 10L containers. Similarly, INDECI’s (2011) statistic that 74% of the population have connections to the water network inside the household does not take into account the issue of distribution which we found to be a contributing factor to water injustice. Environmental justice and right to the city claims are fur-ther obstructed by these false representations of water in official statistics, which are perpetuating the invisibility of mal-distribution, limited access, poor infrastructure, and inappropriate pricing (Appendix G and H). It could be ar-gued that a repercussion of such misinformation has been reduced efforts by local and national authorities to address water problems, and reproduction of misrecognition and distribution issues. However there is an opportunity for Barrioaltinos to demand greater recognition through self-enumeration. This process would give residents the the power to reshape urban space by identifying and making visible water issues, providing supplementary information to the MML, and encouraging them to develop effective strategies to overcome water injustices.


5.4 Increasing Collective Action

Organization at a larger scale Our fieldwork also revealed that community action does exist, but is often restricted to the plot level. Thus an-other strategy key to renovation with life and memory is collective action and community organization at a larger scale. Even though we found many housing associa-tions have been formed, as demanded by Law 29415 (Appendix L), residents claim many are not registered due to a 1200 soles fee, limiting their access to reha-bilitation programs. However, there have been limited but growing efforts by residents to challenge the current system by uniting to form larger umbrella associations such as El Gremio and CPRU . These two groups dis-seminate key information, promote norms and regula-tions, as well as champion the supply and guarantee of basic services, especially water, as it is a basic need and can mobilize the community. These associations would be the obvious groups to join to organize and initiate the self-enumeration strategy mentioned above.

Though El Gremio and CPRU currently work in similar areas (Map 10), the two groups do not have a working relationship. Realizing that poor communication even among the community can threaten rehabilitation efforts

(Fox et. al., 2005), we organized a community vision-ing and strategy devleopment workshop to unite both groups. Though there is still hesitation, the participation of the two groups in this workshop proves the potential exists for collaboration, to at minimum increase the visi-bility of their common issues. Separately effectiveness is limited, however together with access to over 500 com-munity leaders, concerted action can yield transforma-tive change, and shape a future neighborhood that will meet their needs and vision (Purcell, 2002) . Platforms such as Facebook are a useful and neutral space to share information and begin dialogue. Creating a forum to meet on a regular basis, could also lead to a more unified voice. CIDAP is one organization that already has a presence in BA and thus could take an active role in facilitating these proposed activities. Lastly, we will also be granting access to a 'talking map' we created with Google maps (Figure 6) to both hous-ing associations in an effort to encourage meaningful cooperation between the groups. That is not to say this platform is the best to use, as it does have certain limita-tions, such as the risk of accidental deletion of informa-tion and privacy concerns. However a platform similar to this has any number of uses including the mapping of community activity, land use change and evictions; cataloguing the state of infrastructure and necessary improvement; and storing and spatializing such infor-mation, the leaders and community will determine how best to use this tool. The expectation is that upload-ing information like the data from self-enumeration will increase residents’ recognition on an official platform, and can be one method for resisting eviction by prov-ing residency. Additionally, spatialized data about water conditions will help other stakeholders recognize it as an issue that requires address. This information could be passed on to authorities, but could also be used as of-ficial documentation to prove to SEDAPAL that investing in maintenance and connections is mutually beneficial, as it would increase their customer base.

For urban renovation with life and memory to be suc-cessful, local efforts must be aided by the municipality and private sector, meaning “the local community must mobilize resources accompanied by plans of action and concrete investments,” (Fox et al., 2005). Through the aforementioned tripartite partnership, all stakeholders will have a claim to their right to the city, and thus shape the future of Barrios Altos.

Map 10: Housing associations’ areas of actionSource: Leaders of El Gremio, personal communication, April 28, 2013 and O.Yarleke, personal communication, April 30, 2013


Figure 6: Google map Source: Created by authors

* Blue, green and orange colored lines are the paths of the transect walks. * Green colored houses are quintas visited and interviewed.* Yellow colored houses are quintas we have addresses for and some information


5.5 Insecurity of Tenure

Illegal evictions and water injustices One of the main issues in Barrios Altos is security of ten-ure. Although Peru is considered a country of owners, (approximately 10% renters) (INEI, 2011), 79% of those living in Barrios Altos live in rented homes or occupy without payment which has left them more vulnerable to eviction and risk (MML, 1998). This is aggravated by the fact that the government focuses on providing cheap land to deal with the housing deficit, as opposed to the provision of services and equipment, such as actual housing, which is legally the responsibility of the munici-pality (Riofrio, 2013).

In some cases of private ownership, the owner is difficult to identify for a variety of reasons including, death with no heir, and subletting a space multiple times. In these cases, residents are more vulnerable to multiple ver-sions of slow eviction, such as closing off one room at a time, piece by piece demolition, or an individual claiming ownership with potentially false documentation and not honouring existing tenancy agreements. Worse still is that in some cases water is used as a weapon to cre-ate conditions that lead to eviction. This has been done through cutting access to water points, and creating un-favourable conditions that encourage residents to leave. Further, owners can disable water infrastructure, which can lead to leakages causing the water meter to run, the bill to go up and, ultimately water to become unafford-able. Although all major landholders own high risk build-ings, the majority of these buildings are privately owned reinforcing the claim that residents of these buildings are the most vulnerable (Map 11a and 11b).

Photo: Suna Akyuz


Photo: Ituski Kuroda


Map 11a: Type of owners in historic center of LimaSource: Created by authors, based on MML 2011

Map 11b: Struc-tural vulnerability of buildingsSource: Created by authors, based on INDECI 2013


5.6 Ensuring Economic Housing

Financing mechanisms at different levels Unless economic housing for Barrioaltinos can be en-sured “renovation with life and memory” is not possible. Our fieldwork revealed that certain owners have greater access to programs that could benefit residents. For example, “Mejorando Mi Quinta” (Appendix M) was a national program that aimed to eradicate the first level of vulnerability by providing basic services to properties owned by the Beneficencia. Building upon the positive elements of this program could be a potential strategy to ensure dignified housing, secure water and move to-ward water justice. For example, the program declared courtyards public space thereby giving access to provide water connections inside the quinta, where before access to these usually private spaces required permission.

Additional state interventions that could assist in provid-ing secure tenure and affordable housing include buying land when ownership is not verifiable, credit to tenants to purchase property, rental subsidies and financing to owners for repairs. As mentioned before, owners in Bar-rios Altos often fail to repair their properties. This is illegal as they are required by law to maintain rental housing in habitable condition (Harms, 1997) and thus the govern-ment should allocate more resources to ensure that such laws are enforced and tenants rights fulfilled.

A successful example of a private sector intervention is from Mexico City where private investors acquired prop-erties for restoration and resale to the public and the developer made arrangements with the banks to give low-interest credit to residents (Fox, et al., 2005). Ad-ditionally the municipality can promote mixed-income

buildings which allocate a certain percentage of units to economic housing by incentivizing the private sector, through various means such as granting construction rights, tax incentives with a time horizon, and agreeing to install water and sewage infrastructure (Fox et. al. 2005). This strategy could help to not only promote the densification of the center (Map 12, pg 30), but also it could encourage the integration of social classes, help reintegrate the area into the city and ultimately de-stig-matize Barrios Altos.

As De Los Ríos (1997) argues, Lima’s social segregation has been enhanced, with low-income households being pushed either towards the informal settlements surround-ing the city or to already overcrowded accommodation elsewhere in the central area. The resulting stigmatization has been a barrier to residents ability to improve their liv-ing standards on their own, as access to credit is limited by the perception that residents are unable to save. How-ever, the fieldwork revealed that savings groups exist and though in limited numbers, they constitute one strategy to gain financing (Appendix I). Remarkable potential ex-ists if the number of savings groups are able to reach a threshold and combine their efforts at the neighborhood level. Scaling up to this level could mean enough funds to purchase properties as a community, thus ensuring their role in the urban renovation process cannot be denied.

Each of these strategies is dependent on the other and thus the support and operationalization of these strategies is vital to realize urban renovation with life and memory. If executed well, together these strategies can help achieve water justice in Barrios Altos which will exist when resi-dents' right to an equitable distribution of reliable access to enough water and adequate sanitation to maintain a healthy life and livelihood is given explicit priority.



Recommendations Recognition Participation Distribution

Reframing Urban Renovation

Redefine cultural heritage to include residents identity

Supporting residency and tenancy status

Conceptualize urban renova-tion

Re-integrate BA into Lima

Tri-partite partnerships

Comprehensive interventions

CODEL: designing plans, pro-grams, etc.

MML: provide basic services, housing (temporary and permanent)

Increasing Collec-tive Action

Self-enumeration

Re-assessment of official statistics on water

Join efforts of El Gremio and CPRU, i.e. Facebook, Google maps

Google maps: cataloguing infrastruc-ture

MML & community effort: encourage SEDAPAL to invest in area

Ensuring Econom-ic Housing

Programs and policies that encourage mix-use space

Prioritize residential use in private contracts

Savings groups

Residents have an active role in the development of finan-cial instruments for accessing credit

Mejorando Mi Quinta: extend reach and scope of services

State assistance for tenure and af-fordable housing: purchase unclaimed property, provide financing, uphold laws promoting ‘habitability’

Map 12: Number of floors per building. Source : PROLIMA, 2013

Table 2: Link between Strategies and Environmental Justice. Source: Created by authors


Monitoring: Outreach: Explore:

Areas of further research

Relationship dynamics of stake-holders, and those b/w community leaders and groups

Efforts of El Gremio and CPRU

MML’s policies (housing and basic services), and stance toward urban renovation

SEDAPAL’s new 2013-2017 master plan for Lima

Growth (or decline) of storage, pri-vate investment in Barrios Altos

Growth (or rehabilitation) of tugurios

INDECI, Ministry of Culture, other housing associations, private investors…

SEDAPAL (to gain clearer under-standing of quality and reach of water network, and likely poten-tial plans for BA)

Law 29415’s (supposed/ contin-ued) influence

Depth of social and political structures

Quality of water network, num-ber of connections, and impact, particularly safety, of un-serviced quintas

Table 2: Link between Strategies and Environmental Justice. Source: Created by authors

To strengthen research and strategies for transformative change, further research (Table 3) is essential.

6. Conclusion

"The production of urban space entails much more than just planning the material space of the city; it involves producing and reproducing all aspects of urban life." Purcell (2002, pg 102)

Although improving water issues might not be conceived as an urban renovation action, it can be a platform for trans-formative change, acting as a transition to a better quality of life and a way to initiate Barrioaltinos' right to the city.

Water injustice in Barrios Altos is inextricably linked with housing issues. The conflicting visions and approaches towards urban renovation in the area, have perpetuated social and environmental injustices especially hindering recognition (of residents and issues), participation (of Barri-oaltinos) and distribution (of services). However, a process of slow market-led eviction and deteriorated housing are currently the main concerns of Barrioaltinos. Not only has this rendered water injustice invisible, but it has also meant the right of the residents to remain in the area and acquire dignified housing are more of a priority. Within this linkage between housing and water, there is an opportunity to cou-ple and strategically approach these issues. As housing remains a priority, water improvement intiatives could be equally prioritized in programs, such as those promoting urban renovation. Legal measures jointly promoting hous-ing and water security could also be a method to counter-ing water used as a weapon of exclusion.

What can we learn from Barrios Altos:What is clear from this report as a whole is that similar struggles and water injustice exist throughout Lima. Con-

structing a broader social movement around the right to the city is one way to unify such struggles and take back control (Harvey, 2008). However, “right to the city is not a panacea” (Purcell, 2002, p.99). For renovation on any scale, whether confined to the historic or city boundary, to succeed, social mobilzation must go hand in hand with political support and leadership.

What can not be lost, is that Lima is situated in a desert and there is real concern that the city's water reserves will not be able to meet demand if there are even two con-secutive years of drought conditions (Lubovich, 2007). Even though the middle and upper class remain ignorant of the full scope of the water issues in Lima (Lubovich, 2007), the issue of water is one that will in time impact the entire city and thus engaging in these debates is in the interest of all Limeños and Limeñas.



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Robinson, J. D. (n.d.). Lima, Encyclopedia Britannica Online, Retrieved from http://www.britannica.com/EBchecked/topic/341104/Lima Servicio de Agua Potable y Alcantarillado de Lima, Sedapal (n.d.) Nuestra Empresa, marco legal. Retrieved from http://www.sedapal.com.pe/marco-legal

Sahley and Danziger. (1999). Rising to the Urban Challenge? The Roles, Strategies, and Performance of NGOs in Lima, Peru. INTRAC, Occasional Paper Series, 25, 1-103.

Habitat, U. N. (2003). The challenge of Slums—Global report on human

settlements 2003. London: Earthscan. Retrieved from http://www.unhabitat.org/pmss/getElectronicVersion.aspx?nr=1156&alt=1 UNESCO. (n.d.). Historic Centre of Lima. Retrieved from http://whc.unesco.org/en/list/500/


Appendices

APPENDIX AA:Testimonies from residents about their everyday water experiences

CARMEN (Quinta Paruro 277)“Here we gather water for the week; we use a hose to fill these buckets. We don’t have sewage either, we wash manually in lavatories.Sometimes we have to fill these (buckets) twice a week, it depends if we do the laundry.And for drinking water we have to boil it”. LILIANA (Quinta Aldabas)“For example we share the water meter with some people downstairs and the remaining three or four families have another meter…….and this is how we organize to pay and to clean the (shared) toilets and showers. The families here rotate the responsibility for cleaning once a week”. CONSTANTINO (Quinta Jauja 272)“In terms of water, we save water; we only allow people to take out water from 7 to 10 in the morning. We have water all day, but we do this so we can keep the costs down”. CARLOS (Quinta Baselli)“The problem here is the sewage. Whenever it collapses, the water starts to filter into the houses, and it has al-ready caused the floor to subside. This is a critic problem because the day it completely collapses, the sewage will be useless. The walls are also being affected; they are expanding because of the dampness”. RUTH (Quinta Paruro 324)“…payment is another problem here because the water utility does whatever it wants, They’ve just sent a huge bill; they came to check if there were any leaks, problems with the pipes or the sewage, they checked every house and they couldn’t find anything. But then they sent us a bill for more than 1,000 soles”. MAGDA (Quinta Sagrado Corazón de Jesús)“We have been to the water utility to ask them to allow us to change the path of the sewage pipeline but they demand that we have a certificate of possession which is issued by the Municipality but then the Municipality won’t give us anything…”. MARTHA (Quinta Isaias Clivio)“Whenever they are trying to evict us what they do is

that they break the pipes, causing leakages. We only have one meter in this quinta and they have been cut-ting the pipes. So the last water bill was for 1,500 soles, and we are only two people living here. When we were eleven we paid 200 soles and now suddenly we are paying 1,500”.

APPENDIX A: “For owner who does not live in BA aim is primarily to oust the tenants in order to put their property to more profitable use. In this process, real deterioration is allowed to take its course in the buildings. When a property has reached a critical state, the municipality may condemn it, thereby legalizing the eviction of the tenants under the pretext that the building must be demolished for reasons of safety. However, owners’ failure to repair their proper-ties is illegal as they are required by law to maintain rental housing in habitable condition.” (Harms, 1997)

APPENDIX B:In the district of Lima and within the households that are in risk of collapsing, 61% are occupied by tenants and 31% are occupied via authorization of the owner but with-out payment. Just 1.6% of the households are occupied by the owners. (INDECI, 2001)

APPENDIX C:Specific legislation on tenants has reduced the protection of tenants in favour of property rights without seeking to establish equity between owners and tenants. The state now leaves the regulation of rental accommodation to the free market. (De los Rios, 1997)

APPENDIX D:In Barrios Altos, the inner-city neighborhood formed dur-ing the early urbanization of Lima, overcrowded housing predominated because of the low rents resulting from the long-term policy of rent control. These characteristics meant that for years, the families of Barrios Altos were not interested in collective organizations dealing with housing issues…despite fears of eviction created by the change in rent-control laws…(Panfichi)

APPENDIX E:The policies in Barrios Altos do not encourage the tenants to acquire the residences from the owners nor do they al-low those [buildings] that are included in the cultural herit-age to be upgraded within the possibilities of their resi-dents, or tore down to avoid a disaster (INDECI, 2011).


APPENDIX F:The administration of metropolitan Lima to date (late 90s) has shown no interest in enforcing the ordinances pro-vided by law that govern the maintenance of deteriorated buildings not only a problem of bureaucratic inefficiency but also one of coordinating social, political and eco-nomic interests as components of a state and municipal policy. (Harms, 1997)

APPENDIX G:SEDAPAL, suffers from a number of problems, including inadequate funding, mismanagement, and inappropriate pricing schemes (USAID). SEDAPAL must reform its pricing structures to reflect more accurately the cost of providing water and sanita-tion services in a desert. Should consider subsidies for poor (USAID). Most serious problem is inadequate infrastructure (wheth-er in quantity or quality), which cuts people off either per-manently or sporadically from regular source, leaves mil-lions relying on expensive retail water vendors (USAID)

APPENDIX H:According to SEDAPAL, bringing service to the 2 million people who already lack it in Lima is not possible with the city’s current water reserves (Struck 2006) (USAID)

APPENDIX I:While 75 per cent of the residents in BA are aware that their dwellings require improvement, they show a tre-mendous capacity to make such improvements. Most improvements are indicative that residents are willing to invest considerable economic resources despite the knowledge that the resources will not be recovered. This is an indication that residents do not view themselves merely as tenants – they also identify with their dwellings and with the neighborhood, an attitude that does not ex-ist among the owners. Despite the formation of “slums” and overcrowding, residents do not view their situation as temporary. (Harms)

Appendix J: Demographics of Barrios Altos1. Land use:77% residential, 17% commercial, 1% residential and commercial, 2% others (INDECI, 2011)

2. Largest property owners: Beneficencia, Universidad San Marcos, MML, and Cath-olic Church. Additionally, there are smaller individual or family owners (Harms, 1997)

3. Head of household: 64% are men and 35% are women (INDECI, 2001) 4. Education of the head of household: 50% complete high school education, 19% college ed-

ucation, 12% elementary school education, 10% high school incomplete and 9% technical education (INDECI, 2001)

5. Household income: 46% between 351 to 700 NS (nuevos soles), 34% bet. 100 to 350, and 13% bet. 700 to 1000. The remaining 7% above 1000 NS (INDECI, 2001)

6. 33 per cent of the country's urban poverty is found in Lima (Riofrio, 2003 pp. 195-228)

7. Naming of deteriorated areas: The old and deteriorated parts of the city are referred to with the derogative name of areas tugurizadas (slum zones) and the buildings in a state of overcrowding and decay as tugurios (slum tenements). The official term, ac-cepted by the residents, is solares (tenements), rather than tugurios. (Riofrio, 2003 pp. 195-228)

8. Barrios Altos has the biggest concentration of “tugu-rios” in Metropolitan Lima, around 10,000, of which 50% is in an emergency state.

Appendix K: Housing typology in the his-toric center of Lima district1. Household unit within a single household

This household is part of a group of households arranged alongside a common hallway or a ‘patioʼ and that gener-ally has communal use of WASAN services. This category includes ‘Callejonesʼ, ‘Solaresʼ and ‘Corralonesʼ.

(1) Callejones A group of rooms in a single lot aligned to both sides with a central passage (alley) with one or two communal entrances, one-story and generally share WASAN and electricity services.

(2) Solares One or two-story old buildings formed by single housing units that share a single exit towards the front. Within the building the households are arranged in halls around a central ‘patioʼ

(3) Corralones Disorderly arrangement of rooms around a central ‘patioʼ, built with unstable materials such as cardboard, wood panels, etc. The WASAN and electricity services are com-munal, and are generally inefficient or even inexistent.

(4) QuintasEnsemble of small apartments with a communal passage towards the street; in some cases they have household services.

(5) Conventillos Initially used as single-family houses, they have been sub-


divided internally to accommodate many families, over-loading its capacity.

(6) Vivienda Improvisada Housing unit built with light materials such as bamboo, cardboard, cans, adobe, etc. Generally this type of hous-ing is found in the periurban areas in informal settlements (this description is in the document of the Historic Center of Lima by INDECI -2011)

2. Types of Structural Risks

(1) Dampness Water leakages within walls floors and roofs resulting in bulging or peeling of the original construction materials due to leakages in the piping that lack maintenance.

(2) Cracks in the wallsThey can be half a centimeter wide and are present in walls, beams, roofs, columns that affect the stability of the household.

(3) Structural deflection Light/minimal deformation or displacement of the original structured with regards to the horizontal or vertical axis present in walls, roofs and beams resulting from over-loading of the structure or bad construction practices.

Appendix L: Law 29415 (Original Doc. in Spanish)Please See CD files (file name: Law 29415)

Appendix M: Legal Framework and Pro-grammes related Barrios Altos

URBAN RENOVATION LEGAL FRAMEWORK

Three laws support the urban renovation program: Law 29415 which is the law for legal and physical restruc-turing of overcrowded dwellings for urban renovation; supreme decree 011-2010 (2010) which provides hous-ing guidelines to Law 29415; and ordinance 1590-MML (2012) which declares that the legal and physical re-structuring process of degraded dwellings with urban renovation objectives should be applied to all Metropoli-tan Lima.

• Law 29415 - Law for legal and physical restructuring of overcrowded dwellings for urban renovation (“Ley de Saneamiento físico legal de predios tugurizados con fines de renovación urbana”)

Law 29415 is a national regulation meant to upgrade housing and secure legal tenure for dwellers and resi-dents.

The law makes several definitions for urban renovation, types of interventions, and tugurio, which is explicitly de-

fined as a house that has no basic conditions for habit-ability in terms of area, water, sewage, electricity, natural light and ventilation, lack of habitability certificate, bad structural conditions and not having possibilities of re-modelling or enlarging it (Congreso de la República de Perú, 2009)

•Supreme Decree 011-2010 (2010) - Housing guidelines to the law 29415(Decreto Supremo no. 011-2010-Vivienda “Reglamento de la Ley de Saneamiento Físico Legal de Predios Tuguri-zados con fines de Renovación Urbana”)

The Guidelines regulate the procedure established in the Law 29415, the requirements and conditions that apply to owners, dwellers or tenants (moradores/poseedores). It also establishes an obligation for the public service pro-viders to programme and execute the necessary works to rehabilitate, improve or enlarge the services in the Treat-ment areas.

The decree regulates the requirements for: residents to form a housing association; the declaration of abandon-ment of property; the acquisitive prescription from do-main; temporary relocation of beneficiaries; and project financing. (Ministerio de Vivienda, Construcción y Sanea-miento, 2010)

•Ordinance 1590-MML (2012). Declaration of interest of the Law for legal and physical restructuring of over-crowded dwellings for urban renovation, for all Metropoli-tan Lima. (ORDENANZA Nº 1590 - “Declaración de interés Metro-politano del Proceso del Saneamiento Físico Legal de Predios Tugurizados con fines de Renovación Urbana en la jurisdicción de Lima Metropolitana”)

Declares that the legal and physical restructuring process of degraded dwellings with urban renovation objectives should be applied to all metropolitan Lima, according to the Law 29415 and its guidelines, approved by the Su-preme Decree no. 011.

It establishes the integration of a Technical Commission of treatment zones for Urban Renovation, and the Man-agement Committee for Urban Renovation.

Among the requirements to participate in the programme it includes that residents must be part of a housing as-sociation; requires a census for tenants; and the general procedure for the legal and physical restructuring: pro-ject execution, financing resource, etc. (MUNICIPALIDAD METROPOLITANA DE LIMA, 2012)

Others:Ordinance 201 - Master Plan Lima Center (ORDENANZA Nº 201 “Plan Maestro Centro de Lima”) MUNICIPALIDAD METROPOLITANA DE LIMA


This plan regulates the land use, actions, interventions, management, programmes, projects, public and private investments in the “Cercado, Historic Center of Lima and its influence zone up to 2010).

This plan includes the area declared “World Heritage” and its zone of influence, identifies and defines the 7 areas in Barrios Altos. The plan is part of the Metropolitan Devel-opment Plan, which is part of the Metropolitan System of Planning and Finance. (MUNICIPALIDAD METROPOLI-TANA DE LIMA, 1998)

Ordinance 062 - GUIDELINES FOR THE MANAGEMENT OF THE HISTORIC CENTER OF LIMA (ORDENANZA Nº 062 “REGLAMENTO DE LA ADMINIS-TRACIÓN DEL CENTRO HISTÓRICO DE LIMA”)

This outlines the guidelines that rule every intervention or action regarding use, formal aspects of buildings, and open and private spaces within the Historic Center.

Regarding the uses in BA, it recommends: Areas should be rescued from serious physical degradation which af-fect it, and redefining commercial activities that are caus-ing the overuse of buildings and tugurizacion of housing areas. Residential use must be preserved, by either re-covering or rehabilitating buildings where possible, or by the progressive substitution of the damaged structures, respecting the existing urban morphology. (MUNICIPALI-DAD METROPOLITANA DE LIMA, 1994)

•CONSTANCIA DE POSESIÓN PARA LA FACTIBILIDAD DE SERVICIOS BASICOS / Possession Certificate for ba-sic services factibility

The ordinance no. 1487 established this document to al-low residents living in “informal possession” in Cercado to be able to obtain basic services (electricity, water network and sewage installation).

To obtain this document, the requirements are the ap-plication, the official identification document (DNI), a sim-ple map of location, and a sworn affidavit (declaración jurada).

However, the certificate could be denied for specific rea-sons, among which two of them could affect BA residents particularly: when the building is located in an area de-clared Cultural Heritage, or has been qualified as risk area. (MUNICIPALIDAD METROPOLITANA DE LIMA, n.d.)

CULTURAL HERITAGE LEGAL FRAMEWORK

Ministry of Culture Since October 2010, the National Institute of Culture be-came the Ministry of Culture, according to the Supreme Decree Nº 001-2010-MC

Law no. 28296. General Law of National Cultural Heritage (LEY Nº 28296 “Ley General del Patrimonio Cultural de la Nación”)

Establishes the national policies for defence, protection, promotion, property and legal regime, and destiny of the properties that form part of the cultural heritage of Peru. This includes buildings, infrastructure, urban environment and monumental ensembles, historic centers, which are part of the history and memory of the people.

It establishes that the Ministry of Culture, specifically the Directorate of Historic, Colonial and Republican Heritage is the entity responsible for their conservation, preserva-tion, registry and study, as well as the management plan for historic centers and UNESCO’s world heritage sites.

Guidelines of Cultural Policy 2013-2016(LINEAMIENTOS DE POLÍTICA CULTURAL 2013 – 2016)

According to these new guidelines, the General Law of National Cultural Heritage law will be updated to include incentives for the defence of the heritage, and to sanction the premeditated neglect.

PROGRAMMES

Techo PropioTecho Propio is a programme from the Ministry of Hous-ing, Construction and Sanitation. The main benefit of the programme “Techo propio” is the “Bono Familiar Habita-cional” (Family Housing bonus), which is given as a bonus to families for either acquiring a new house, construct in their own land, or make improvements to their house, and it is meant to complement savings. (Fondo Mi Vivienda, 2013)

The three types and amounts of the bonus are: •New house buy (up to S/.18,500 soles)•Construction in own land (S/.17,390 Soles)•House improvement (S/.8,510 soles)Requirements for the house improvement are: - be part of a family group- have a family income below S/.1665 soles per month- be the owner of the house, and not have any other property in Peru.

Mejorando mi quintaThis was a programme from the Ministry of Housing, which aimed to improve, construct or enlarge the infra-structure networks of water, sewage, electricity, toilets and structural works in case of risk of collapse.

This programme was significant in that it redefined the context of public space inside private areas. Under the programme, private spaces such as courtyards in quin-tas became ‘public’ spaces, as a result, water infrastruc-ture services were able to be extended and connected


to main water lines provided by SEDAPAL. However, the programme’s beneficiaries were limited to only those properties owned by the Beneficencia (under the MML). **can Monica double check this please

It was established in 2007, operated for approximately 4 years, and attempts to extend the programme were not made. Appendix N: Water Governance NATIONAL WATER AUTHORITYAUTORIDAD NACIONAL DEL AGUA

This entity is responsible for the management, conserva-tion and protection of water resources in Peru, and de-pends from the Ministry of Agriculture.

SEDAPAL

Sedapal is a Peruvian state-owned water utility, which provides water and sewerage services to Lima and neigh-boring Callao. Sedapal was founded in 1981, is based in Lima, Peru, and is responsible for nearly 9 million people in the Lima/Callao metropolitan area. (www.sedapal.com.pe)

According to LiWa’s stakeholders analysis, Sedapal de-pends from the Ministry of Housing, which directly de-pends on the Central Government. LiWa states that SEDAPAL has a direct relationship with several other institutions, like the National Water Authority (ANA), the Ministry of Finance, The Ministry of Health, and the Min-istry of Environment, through SENAMHI, among others (LiWa, 2013).


Appendix O: Urban Development History of Lima and Barrios Altos

Natio

nal G

over

nmen

tPo

litica

l Per

spec

tive

(inc.

majo

r pol

icies

)So

cio-E

cono

mic

Pers

pect

iveG

eogr

aphi

cal D

evelo

pmen

t(U

rban

isatio

n)Ba

rrios

Alto

s re

lated

per

spec

tive

Colo

nial

Perio

d(1

535~

1820

)Be

twee

n 16

th a

nd 1

7th c

en-

tury,

fas

t gr

owin

g du

e to

con

trol

of s

ilver

pro

duct

ion,

min

ing,

and

m

onop

oly

or g

ener

al tra

de o

ver

hint

erlan

d.

(158

6) p

opul

atio

n: 6

,000

in L

ima

(2/3

Afri

can

slave

, 1/3

Spa

nish

).Ci

ty b

egan

to s

prea

d in

to B

.A a

nd

expa

nded

.

Arge

ntin

a in

vade

d(18

20)

Peru

vian

Inde

pend

ence

(1

821)

Vene

zuela

and

Col

ombi

a in

to P

eru

to lib

erat

e it

from

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anish

in re

al te

rm(1

823)

.

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ly po

larize

d in

so

cial

stru

ctur

e

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dle

of 1

7th c

entu

ry, b

ecau

se

of e

xhau

stio

n of

silv

er d

epos

its

and

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bon

refo

rm o

f pro

vince

s,

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a lo

st p

olitic

al &

com

mer

cial

stat

us w

ith e

cono

mic

decli

ne.

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ary

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ar(1

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)- C

hile

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upied

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ma(

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las d

e Pi

erol

a(18

95)

- Aug

usto

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uia(

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-30)

(192

4) A

mer

ican

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olut

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ry P

opul

ar A

llianc

e (A

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up

(185

0s-8

0s)

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s w

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vour

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lite.

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city

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ng o

f Aba

ncay

, Avs

. Tac

na

etc.

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chez

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ros(

1933

-39)

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ar B

enav

ides

(194

0-?)

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lian

Gov

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5-48

)- M

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l Odr

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5)

(193

0 on

war

ds) im

perfe

ct

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ipul

ative

inco

rpor

atio

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exc

lude

d so

cial g

roup

s su

ch a

s ur

ban

popu

latio

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to p

olitic

s.St

ate-

led d

evelo

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t ba

sed

on in

frast

ruct

ural

and

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stria

l dev

elopm

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(dur

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onom

ic gr

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.-

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a-M

agda

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0-50

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ctor

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e de

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ter s

ettle

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t w

ere

so p

opul

ar b

y co

mm

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for s

ubse

quen

t ne

gotia

tion

(lega

l ten

ure

and

prov

ision

of p

ublic

ser

vice)

.

(193

0~) O

ld s

pacio

us m

ansio

ns

subd

ivide

d to

acc

omm

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e as

man

y as

50

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se

inne

r city

slu

ms

(call

ed tu

gurio

s,

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lone

s, a

nd c

allejo

nes)

hav

e be

en o

ccup

ied b

y im

mig

rant

s fro

m th

e co

untry

side.

(1

940-

50) M

ost o

f the

poo

r had

to

rent

dec

ayin

g, m

uch

sub-

divid

ed

and

ever

mor

e cr

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d so

lares

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s in

and

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ecte

d G

over

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t- M

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l Pra

do(1

956-

63)

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8)

(196

1) L

aw 1

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, ac

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d sq

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(196

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00, 1

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.(1

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d ec

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llaps

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(197

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ent w

as 8

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00 2

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f Li

ma.

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n ar

eas

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ts d

ue t

o ne

glec

t an

d fa

iled

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rur

al se

ctor

and

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s-tri

al gr

owth

in L

ima

(197

0s) m

any

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enta

l fu

nctio

ns m

oved

or e

xpan

ded

elsew

here

.

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ian ru

le- F

erna

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nde(

1980

-84)

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cía(1

985-

90)

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erto

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i (199

0-20

00)

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o To

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ala(2

011-

curre

nt)

(aro

und

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) reg

iona

l go

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ts e

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d un

der O

rgan

ic La

w

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icipa

lities

.

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cal n

eo-li

bera

l pol

icies

: dr

astic

cut

s to

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lic

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ices,

abo

lition

of

subs

idies

etc

.

Anti-

infla

tiona

ry p

olici

es- R

egio

nal g

ov. w

ere

abol

ished

and

larg

ely

depe

nden

t on

cent

ral

fund

s (M

etro

polita

n Li

ma

was

stro

ngly

oppo

sitio

n to

ce

ntra

l gov

ernm

ent).

- ren

ting

dere

gulat

ed,

stat

e sh

elter

pro

visio

n ab

ando

ned

etc.

- MIV

IVIE

NDA,

pro

gram

me

impl

emen

ted.

(198

6) L

ima

gene

rate

d 69

% o

f na

tiona

l indu

stria

l valu

e, a

nd

colle

cted

87%

or n

atio

nal t

axes

.

(198

8~) in

flatio

n, e

cono

mic

colla

pse

due

to e

xter

nal d

ebt

crisi

s.

(199

3) e

cono

mic

grow

th re

star

ted.

(1

994)

13.

1% g

row

th in

GNI

(199

8~) e

cono

mic

crisi

s af

fect

ed

by ‘A

sian

rece

ssio

n’

(198

1) a

mon

g sq

uatte

rs, 8

0%

wer

e w

ith e

lectri

city,

68%

with

w

ater

con

nect

ions

.

Muc

h or

ser

vices

suc

h as

hou

sing

was

don

e by

com

mun

ity s

elf-h

elp.

(199

3) 3

6% in

Lim

a ha

d no

wat

er

conn

ectio

ns, 4

0% w

ithou

t pip

ed

sew

erag

e.(1

995)

80,

000m

3 of

sew

erag

e w

ere

disc

harg

ed d

aily

with

out

treat

men

t.

(198

0s) in

form

al se

ctor

com

mer

ce

(Am

bulan

tes)

occ

upied

pav

emen

ts

and

othe

r pub

lic s

pace

, risi

ng

inse

curit

y.(1

991)

UNE

SCO

’s W

orld

Her

itage

de

clare

d

(199

6~) r

ecov

ery

and

cons

erva

tion

of h

istor

ic co

re

for t

ouris

m a

nd c

omm

ercia

l &

recr

eatio

nal a

ctivi

ties

perh

aps

cate

ring

to m

iddl

e in

com

e gr

oups

in

Lim

a: re

mov

al of

illeg

al st

reet

ve

ndor

s et

c., d

eplo

ying

mod

est

reso

urce

s, e

xter

nal p

aintin

g,

recr

eatio

nal &

tour

istic

attr

actio

ns

and

resid

entia

l upg

radi

ng in

B.A

à th

ese

wer

e als

o fo

r attr

actin

g hi

gher

inco

me

grou

ps to

disp

lace

low

er in

com

e gr

oups

, who

se

tena

nts

wer

e pr

otec

ted

prio

r to

Fuj

imor

i by

socia

l hou

sing

legisl

atio

n.


Appendix P: Fieldwork Schedule of Barrios Altos Group (21st APR to 7th MAY)

Date

Activ

ityNa

me

Venu

ePo

sitio

n or

Par

ticip

ants

Cont

ent

21AP

RCi

ty T

our

All E

SD s

tude

nts

Key

area

s in

cludi

ng

Barri

os A

ltos

#

Firs

t visi

t to

Barri

os A

ltos,

tran

sect

walk

22AP

RG

roup

Wor

kBa

rrios

Alto

s G

roup

Hote

l Señ

orial

#

Disc

ussin

g fie

ldw

ork

plan

and

pr

epar

atio

n

23AP

R1s

t Fiel

dwor

kBa

rrios

Alto

s G

roup

, Jo

sé R

odrig

uez

Barri

os A

ltos

+ La

M

urall

a +

Rive

r Rí

mac

#

Obs

ervin

g ho

usin

g co

nditio

ns, a

nd

trend

s in

land

use

, esp

. sto

rage

in

Barri

os A

ltos

24AP

RSe

min

arAl

bert

Iban

ezHo

tel S

eñor

ialAr

chite

ct#

Urba

n De

velo

pmen

t Hist

ory

and

Plan

in

Lim

a

Carlo

s Fr

anco

Pa

chec

oAd

visor

to th

e IM

P-

deve

lopm

ent p

lan w

ith

rega

rds

to w

ater

# W

ater

and

Hou

sing

polic

ies in

Lim

a

25AP

R1s

t Pre

sent

atio

nAl

l ESD

stu

dent

s an

d Fa

cilita

tors

Hote

l Señ

orial

#

Shar

ing

our p

relim

inar

y re

sear

ch a

nd

field

wor

k pl

an

26AP

R

26AP

R co

ntd

Sem

inar

Sofía

Hid

algo

MM

LDi

visió

n de

l Man

ejo

Ambi

enta

l saló

n az

ul d

e 4o

. piso

# En

viron

men

t Pol

icy in

Lim

a

Gus

tavo

Rio

frio

Advis

or in

hou

sing,

MM

L#

Urba

n Pl

anni

ng in

Lim

a

Willy

Zab

arbu

ruAd

visor

to p

resid

ent

of u

rban

dev

elopm

ent

com

mitt

ee, i

n ch

arge

of

the

Parq

ue R

ímac

Pro

ject

# Vi

a Pa

rque

Rím

ac P

rojec

t

27AP

RG

roup

Wor

kBa

rrios

Alto

s G

roup

Hote

l Señ

orial

#

Shar

ing

and

analy

sing

info

rmat

ion,

cr

eatin

g m

aps

etc.


APR

Sem

inar

Alfre

do Y

añez

etc

.SE

DAPA

L

# W

ater

pol

icies

in L

ima

Com

mun

ity M

appi

ng

exer

cise

Enriq

ue S

egur

aRu

fina’s

Hou

se,

Barri

os A

ltos

Mem

bers

of C

PRU

and

resid

ents

in B

arrio

s Al

tos

# Id

entif

ying

their

per

cept

ion

of B

arrio

s Al

tos

(futu

re v

ision

s, b

ound

aries

, hou

sing

asso

ciatio

ns, k

ey s

take

hold

ers

and

prog

ram

mes

at p

lay)

Luis

Gon

zález

Lilia

na S

ilva

(Fisc

al -m

anag

er)

Mar

ta V

alver

de

(Pre

siden

t)

Carm

en C

árde

nas

(Sec

reta

ry)

Rufin

a Fe

rnán

dez

Orti

z

Yolan

da

Mar

ia

Rosa

Luzd

ith

Myr

iam

Abig

ail

Jane

la

29AP

RSe

min

arLi

nda

Zilb

ert

Hote

l Señ

orial

Arch

itect

# Ri

sk m

anag

emen

t


30AP

RIn

terv

iewEl

ba V

arga

s Be

cerra

PRO

LIM

ADi

rect

or, P

ROLI

MA

# Th

eir fu

ture

visi

on o

f Bar

rios

Alto

s,

prog

ram

mes

, sta

keho

lder

s, e

tc.

Juan

De

La S

erna

To

rroba

AECI

DDi

rect

or, A

ECID

# Th

eir p

erce

ptio

n of

Bar

rios

Alto

s,

wor

king

expe

rienc

e w

ith M

ML

and

othe

r go

vern

men

tal o

rgan

izatio

ns

Inte

rview

with

lead

ers

of

CPRU

Osc

ar Y

arlek

eCP

RUCP

RU#

Cens

us a

nd m

appi

ng la

nd tr

affic

king

and

their

act

ivitie

s in

Bar

rios

Alto

s et

c.,

inte

rview

abo

ut h

ousin

g an

d ev

eryd

ay

prac

tices

rega

rdin

g w

ater

Nora

Ceb

allos

Mar

ta H

erre

ra

Inte

rview

Silvi

a de

Los

Rio

s Be

rnar

dini

Barri

os A

ltos

Dire

ctor

, CID

AP#

Futu

re v

ision

of B

arrio

s Al

tos,

ob

stac

les, e

tc.

Sem

inar

Juan

Esp

ínol

aHo

tel S

eñor

ialIn

stitu

to M

etro

polita

no d

e Pl

anific

ació

n (IM

P)#

Urba

n Pl

anni

ng in

Lim

a

1MAY

2nd

Tran

sect

Walk

Tran

sect

Walk

_Gro

up

1 w

ith G

rem

ioBa

rrios

Alto

s

# Ev

eryd

ay p

ract

ices

of w

ater

, hou

sing

cond

itions

and

evic

tion

with

in-d

epth

in

terv

iews,

map

ping

of s

tora

ge e

tc.

Tran

sect

Walk

_Gro

up

2 w

ith C

PRU

Barri

os A

ltos

2MAY

Inte

rview

Olg

a M

orán

Barri

os A

ltos

Form

er C

ounc

ilor

# Fu

ture

visi

on o

f Bar

rios

Alto

s,

Gov

erna

nce,

Urb

an re

nova

tion

and

CODE

LM

onica

Era

zoBa

rrios

Alto

sFo

rmer

Cou

ncilo

r

José

Hay

akaw

aDi

visio

n of

Urb

an

Reno

vatio

n, M

ML

Depu

ty M

anag

er, D

ivisio

n of

Urb

an R

enov

atio

n, M

ML

# Fu

ture

visi

on o

f Bar

rios

Alto

s, u

rban

re

nova

tion

plan

s et

c.

Sem

inar

Cecil

ia Es

teve

sHo

tel S

eñor

ialPr

ofes

sor

# La

nd u

se c

hang

e, fu

ture

visi

on o

f Ba

rrios

Alto

s, p

ossib

le so

lutio

ns e

tc.

Inte

rview

José

Rod

rigue

zBa

rrios

Alto

sAr

chite

ct#

Futu

re v

ision

of B

arrio

s Al

tos,

ob

stac

les, e

tc.

Javie

r Liza

rzab

uru

Mira

flore

sFo

rmer

Jou

rnali

st#

Futu

re v

ision

and

ob

stac

les in

BA

etc.

104 MSc ESD Student Report 2012/20133M

AYVi

sit/O

bser

vato

ry R

ole

Polic

e st

atio

n vis

it (E

rnes

tina,

Enr

ique

, M

arta

etc

)

Polic

e st

atio

n in

Ba

rrios

Alto

s

# O

bser

ving

a m

eetin

g w

ith p

olice

co

mm

issio

ner r

egar

ding

evic

tion:

the

case

of E

rnes

tina

Inte

rview

Erne

stin

aBa

rrios

Alto

sEv

icted

Res

iden

t in

Barri

os

Alto

s

4MAY

Gro

up W

ork

Barri

os A

ltos

Gro

upHo

tel S

eñor

ial

# Di

agno

sis, s

trate

gies

and

map

ping

5MAY

Com

mun

ity V

ision

ing

stra

tegy

dev

elopm

ent

wor

ksho

p

Visio

ning

and

com

ing

up w

ith s

trate

gies

Enriq

ue’s

Hous

e,

Barri

os A

ltos

El G

rem

io +

CPRU

leade

rs#

Visio

ning

exe

rcise

and

iden

tifyin

g po

ssib

le so

lutio

ns

6MAY

Gro

up W

ork

Barri

os A

ltos

Gro

upHo

tel S

eñor

ial

# Fi

naliz

ing

diag

nosis

and

pos

sible

stra

tegi

es, p

repa

ratio

n of

fina

l pr

esen

tatio

n7M

AYFi

nal P

rese

ntat

ion

All

ES

D s

tude

nt

and

Faci

litat

ors

Hot

el S

eñor

ial

#

Fina

l pre

sent

atio

n

* For

inte

rview

que

stio

ns a

nd d

etail

ed m

etho

dolo

gy p

lease

see

App

endi

x CD

Ref

eren

ces:

Leon

ard,

B. J

ohn.

(200

0). C

ity P

rofile

: Lim

a, C

ities,

17(

6), 4

33-4

45.

Kus,

S. J

ames

. (n.

d.).

Peru

, Enc

yclo

pedi

a Br

itann

ica, E

ncyc

lope

dia

Brita

nnica

Onl

ine,

Re

triev

ed fr

om h

ttp://

ww

w.br

itann

ica.c

om/E

Bche

cked

/topi

c/45

3247

/Per

u

Robi

nson

, J. D

avid

. (n.

d.).

Lim

a, E

ncyc

lope

dia

Brita

nnica

, Enc

yclo

pedi

a Br

itann

ica O

n-lin

e, R

etrie

ved

from

http

://w

ww.

brita

nnica

.com

/EBc

heck

ed/to

pic/

3411

04/L

ima


Appendix Q: Outline of Methodology

Stag

eTi

me

Met

hodo

logy

Deta

ilsO

utco

me

Lim

itatio

ns

Pre-

field

wor

k14

th J

AN -

18th

AP

R(1

) Pre

limin

ary

Rese

arch

We

rese

arch

ed a

cade

mic

jour

nals

and

inte

rnet

web

sites

of g

over

nmen

t, m

edia,

NG

Os

etc.

for o

ur d

iagno

sis o

n cu

rrent

sit

uatio

n of

Bar

rios

Alto

s, a

nd d

evelo

ped

our w

orkin

g de

finitio

n of

‘wat

er ju

stice

’.

Fina

l pre

sent

atio

n of

pr

e-fie

ldw

ork

(PPT

Sl

ides

)

As m

ost s

ourc

es w

ere

outd

ated

and

lim

ited,

it w

as h

ard

to e

labor

ate

on th

e cu

rrent

situ

atio

n in

Bar

rios

Alto

s.

We

feel

that

thro

ugh

desk

rese

arch

alo

ne

info

rmat

ion

on e

very

day

prac

tices

of w

ater

in

Bar

rios

Alto

s an

d re

siden

ts’ p

erce

ptio

ns

on w

ater

issu

es w

ere

insu

fficien

t and

di

fficul

t to

appr

ehen

d.

Not a

ll offic

ial in

form

atio

n is

avail

able

onlin

e.4.

Gen

erall

y th

ere

is lim

ited

acad

emic

info

rmat

ion

on B

arrio

s Al

tos;

sou

rces

are

m

ore

focu

sed

on L

ima.

(2) S

ettin

g Re

sear

ch

Que

stio

ns,

Met

hodo

logy

and

Fi

eldw

ork

Plan

Cons

ider

ing

our r

esea

rch

on lit

erat

ure

and

web

sites

, we

iden

tified

info

rmat

ion

gaps

bet

wee

n w

hat w

e ne

ed to

kno

w

and

the

info

rmat

ion

we

have

. Bas

ed o

n th

is, re

sear

ch q

uest

ions

wer

e fo

rmed

. Af

ter t

his,

we

disc

usse

d th

e ap

prop

riate

m

etho

dolo

gy fo

r ans

wer

ing

our r

esea

rch

ques

tions

and

des

igne

d ou

r field

wor

k pl

an.

Skyp

e pr

e-Li

ma

Inte

rview

s w

ith

Facil

itato

rs

To e

nhan

ce o

ur fi

eldw

ork

rese

arch

, w

e ha

d pr

evio

us in

terv

iews

with

key

fa

cilita

tors

in L

ima

arra

nged

by

ESD

lectu

rers

. Int

ervie

wee

s: L

iliana

Mira

nda

(an

urba

n pl

anne

r and

arc

hite

ct in

Lim

a);

Carlo

s Es

calan

te (a

n ur

ban

plan

ner a

nd

arch

itect

, cur

rent

ly w

orkin

g w

ith a

loca

l NG

O: I

nstit

uto

de D

esar

rollo

Urb

ano

Cenc

a); a

nd S

ilvia

de L

os R

íos

Bern

ardi

ni

(an

urba

n pl

anne

r and

arc

hite

ct o

f Cid

ap

(Cen

tro d

e In

vest

igac

ión,

Doc

umen

tació

n y

Ases

oría

Pobl

acio

nal).

Web

of

Inst

itutio

nalis

atio

nId

entifi

ed s

take

hold

ers

are

map

ped

base

d on

pow

er re

latio

ns a

nd in

fluen

ces.

By

usin

g ‘w

eb o

f ins

titut

iona

lisat

ion’

, we

iden

tified

ent

ry p

oint

s an

d fo

cus

grou

ps.

106 MSc ESD Student Report 2012/2013St

age

Tim

eM

etho

dolo

gyDe

tails

Out

com

eLi

mita

tions

Fiel

dwor

k19

th A

PR -

7th

MAY

1st T

rans

ect W

alkW

ith lo

cal f

acilit

ator

, Jos

é Ro

drig

uez,

we

did

a tra

nsec

t walk

in

and

aro

und

Barri

os A

ltos.

Thi

s w

as m

ainly

for i

nves

tigat

ing

hous

ing

cond

itions

and

land

use

cha

nge.

Doi

ng s

o, w

e co

nfirm

ed th

e ro

ute

of th

e 2n

d tra

nsec

t walk

. Alo

ngsid

e th

is,

we

had

an in

terv

iew w

ith ‘R

ufina

’, th

e m

anag

er o

f a q

uint

a in

BA.

Also

, we

visite

d ‘L

a M

urall

a’ s

ite, t

he o

nly

succ

essf

ul

hous

ing

proj

ect b

y lo

cal g

over

nmen

t, w

here

we

inte

rview

ed

a re

siden

t.

Inte

rview

not

es

& m

aps

We

foun

d th

at in

Bar

rios

Alto

s so

me

area

s lac

k or

hav

e lim

ited

acce

ss to

wat

er, a

nd

are

dang

erou

s du

e to

crim

e an

d vio

lence

. Du

e to

this

dang

erou

s sit

uatio

n, w

e co

uld

not i

nter

view

resid

ents

livin

g in

som

e ar

eas,

or

eve

n ac

cess

som

e qu

inta

s. It

can

be

said

that

a lim

itatio

n fo

r our

field

wor

k w

as

bein

g un

able

to re

ach

thos

e in

the

mos

t de

terio

rate

d ar

eas

(due

to p

erso

nal s

afet

y),

whe

re m

ore

atte

ntio

n fo

r res

earc

h sh

ould

be

give

n.

[23r

d AP

R]

[1st

MAY

]2n

d Tr

anse

ct W

alkDi

vided

into

two

grou

ps, w

e di

d tra

nsec

t walk

s, v

isitin

g an

d in

terv

iewin

g re

siden

ts o

f sev

eral

‘qui

ntas

’ in

BA. W

e als

o m

appe

d w

ater

con

nect

ions

, lan

d us

e, o

wne

rshi

p ty

pes,

and

vu

lner

abilit

y of

hou

ses.

Inte

rview

not

es

and

map

s

[Dur

ing

field

wor

k]In

terv

iews

Gov

ernm

ent:

Divis

ion

of U

rban

Ren

ovat

ion

(MM

L), P

ROLI

MA

etc.

Inte

rnat

iona

l O

rgan

isatio

n: A

ECID

Form

er C

ounc

ilors

NGO

s: C

IDAP

Com

mun

ities:

Ho

usin

g As

socia

tions

(E

l Gre

mio

and

CP

RU),

resid

ents

Med

ia

We

inte

rview

ed s

take

hold

ers

such

as

cent

ral g

over

nmen

t, lo

cal g

over

nmen

t, w

ater

aut

horit

y (S

EDAP

AL),

com

mun

ity

mem

bers

, for

mer

cou

ncillo

rs, i

nter

natio

nal o

rgan

isatio

ns,

NGO

s et

c. A

s w

e un

ders

tood

, the

ir op

inio

ns o

n re

habi

litatio

n va

ried

acco

rdin

g to

their

inte

rest

s; th

us w

e m

ade

seve

ral

com

mon

que

stio

ns s

uch

as ‘f

utur

e vis

ion

of B

arrio

s Al

tos’

, ‘o

bsta

cles

of B

arrio

s Al

tos’

etc

. in

orde

r to

com

pare

their

op

inio

ns a

nd fi

nd p

ossib

le co

mm

onali

ties.

Inte

rview

not

es

and

map

sG

over

nmen

tal s

ecto

r can

not i

nher

ently

he

lp b

eing

politi

cal,

ther

efor

e, w

e ne

ed

to c

onsid

er th

is an

d su

pplem

ent t

heir

inte

rview

with

our

ow

n ob

serv

atio

n of

their

w

ork

in B

arrio

s Al

tos.

[28t

h AP

R]Co

mm

unity

Map

ping

Ex

ercis

e[w

ith E

l G

rem

io]

Firs

t, w

e ha

d ice

-bre

akin

g st

rate

gy w

ith

com

mun

ity m

embe

rs fr

om E

l Gre

mio

. Sec

ond,

we

had

in-

dept

h in

terv

iews w

ith e

ach

mem

ber a

bout

eve

ryda

y pra

ctice

s of

wat

er a

nd h

ousin

g. A

fter

that

, w

e st

arte

d th

e m

appi

ng

exer

cise.

In

orde

r to

help

the

m u

nder

stan

d th

e m

appi

ng

exer

cise,

we

aske

d th

em to

sta

rt m

arkin

g lan

dmar

ks, s

uch

as

chur

ches

, hos

pita

ls, e

tc a

nd d

raw

the

boun

darie

s of

Bar

rios

Alto

s. W

e di

d m

appi

ng a

bout

inst

itutio

ns, s

afe

and

unsa

fe

zone

s, s

tora

ge, a

nd e

victio

ns.

Inte

rview

not

es

and

map

s5.

Alth

ough

info

rmat

ion

from

loca

l res

iden

ts

is va

luab

le fo

r un

ders

tand

ing

ever

yday

re

alitie

s,

how

ever

, w

e no

ticed

so

me

cont

radi

ctio

ns a

nd in

accu

racie

s w

ith s

ome

info

rmat

ion;

th

ese

wer

e ve

rified

ag

ainst

na

tiona

l sta

tistic

s, d

ata,

map

s, e

tc.,

som

e di

scre

panc

ies

wer

e un

ders

tood

to

be

po

pular

per

cept

ions

from

the

com

mun

ity.

[30t

h AP

R]In

terv

iew w

ith le

ader

s of

CPR

U[W

ith C

PRU]

Che

ckin

g ou

t ev

eryd

ay p

ract

ices

of w

ater

, ho

usin

g an

d ev

ictio

n w

ith in

-dep

th in

terv

iew,

map

ping

the

ar

ea o

f sto

rage

, etc

.

Inte

rview

not

es

and

map

s

[5th

MAY

]Co

mm

unity

Visi

onin

g st

rate

gy d

evelo

pmen

t w

orks

hop

[With

El G

rem

io a

nd C

PRU]

Thi

s co

mm

unity

exe

rcise

was

fo

r vis

ioni

ng p

ast/p

rese

nt/fu

ture

in B

A an

d ge

tting

lead

ers

to c

ome

up w

ith s

trate

gies

. Fi

rst,

rega

rdin

g th

e vis

ioni

ng

part,

res

iden

ts w

ere

split

into

thr

ee g

roup

s: p

ast,

pres

ent,

and

futu

re.

Each

gro

up d

iscus

sed

“wha

t m

akes

Bar

rios

Alto

s a

good

plac

e to

live?

” and

sha

red

the

outc

ome

with

all

parti

cipan

ts. U

sing

diffe

rent

col

our s

ticky

not

es, t

hey

shar

ed

wha

t are

the

oppo

rtuni

ties

and

obst

acles

for B

A. In

doi

ng s

o,

leade

rs id

entifi

ed k

ey is

sues

. Afte

r thi

s ac

tivity

, and

acc

ordi

ng

to th

eir o

wn

cont

ribut

ions

, the

y re

arra

nged

all t

he k

ey is

sues

in

to th

ree

broa

d ca

tego

ries:

urb

an, h

ousin

g, a

nd so

cial fa

bric.

Th

ey c

ontin

ued

the

disc

ussio

n ab

out

poss

ible

stra

tegi

es

rega

rdin

g th

ese

thre

e bi

g ag

enda

s an

d th

eir k

ey is

sues

.

Inte

rview

not

es

and

map

s

Po

st

- Fi

eldw

ork

13nd

MAY

~ 4

th

June

G

roup

Wor

kW

e co

ntin

ued

our

analy

sis o

n fin

ding

s du

ring

field

trip

wor

k an

d re

fined

our

stra

tegi

es fo

r Bar

rios

Alto

s.Fi

nal

Repo

rt an

d Vi

deo

[30t

h AP

R]In

terv

iew w

ith le

ader

s of

CPR

U[W

ith C

PRU]

Che

ckin

g ou

t ev

eryd

ay p

ract

ices

of w

ater

, ho

usin

g an

d ev

ictio

n w

ith in

-dep

th in

terv

iew,

map

ping

the

ar

ea o

f sto

rage

, etc

.

Inte

rview

not

es

and

map

s

[5th

MAY

]Co

mm

unity

Visi

onin

g st

rate

gy d

evelo

pmen

t w

orks

hop

[With

El G

rem

io a

nd C

PRU]

Thi

s co

mm

unity

exe

rcise

was

fo

r vis

ioni

ng p

ast/p

rese

nt/fu

ture

in B

A an

d ge

tting

lead

ers

to c

ome

up w

ith s

trate

gies

. Fi

rst,

rega

rdin

g th

e vis

ioni

ng

part,

res

iden

ts w

ere

split

into

thr

ee g

roup

s: p

ast,

pres

ent,

and

futu

re.

Each

gro

up d

iscus

sed

“wha

t m

akes

Bar

rios

Alto

s a

good

plac

e to

live?

” and

sha

red

the

outc

ome

with

all

parti

cipan

ts. U

sing

diffe

rent

col

our s

ticky

not

es, t

hey

shar

ed

wha

t are

the

oppo

rtuni

ties

and

obst

acles

for B

A. In

doi

ng s

o,

leade

rs id

entifi

ed k

ey is

sues

. Afte

r thi

s ac

tivity

, and

acc

ordi

ng

to th

eir o

wn

cont

ribut

ions

, the

y re

arra

nged

all t

he k

ey is

sues

in

to th

ree

broa

d ca

tego

ries:

urb

an, h

ousin

g, a

nd so

cial fa

bric.

Th

ey c

ontin

ued

the

disc

ussio

n ab

out

poss

ible

stra

tegi

es

rega

rdin

g th

ese

thre

e bi

g ag

enda

s an

d th

eir k

ey is

sues

.

Inte

rview

not

es

and

map

s

Po

st

- Fi

eldw

ork

13nd

MAY

~ 4

th

June

G

roup

Wor

kW

e co

ntin

ued

our

analy

sis o

n fin

ding

s du

ring

field

trip

wor

k an

d re

fined

our

stra

tegi

es fo

r Bar

rios

Alto

s.Fi

nal

Repo

rt an

d Vi

deo


Stag

eTi

me

Met

hodo

logy

Deta

ilsO

utco

me

Lim

itatio

ns

Fiel

dwor

k19

th A

PR -

7th

MAY

1st T

rans

ect W

alkW

ith lo

cal f

acilit

ator

, Jos

é Ro

drig

uez,

we

did

a tra

nsec

t walk

in

and

aro

und

Barri

os A

ltos.

Thi

s w

as m

ainly

for i

nves

tigat

ing

hous

ing

cond

itions

and

land

use

cha

nge.

Doi

ng s

o, w

e co

nfirm

ed th

e ro

ute

of th

e 2n

d tra

nsec

t walk

. Alo

ngsid

e th

is,

we

had

an in

terv

iew w

ith ‘R

ufina

’, th

e m

anag

er o

f a q

uint

a in

BA.

Also

, we

visite

d ‘L

a M

urall

a’ s

ite, t

he o

nly

succ

essf

ul

hous

ing

proj

ect b

y lo

cal g

over

nmen

t, w

here

we

inte

rview

ed

a re

siden

t.

Inte

rview

not

es

& m

aps

We

foun

d th

at in

Bar

rios

Alto

s so

me

area

s lac

k or

hav

e lim

ited

acce

ss to

wat

er, a

nd

are

dang

erou

s du

e to

crim

e an

d vio

lence

. Du

e to

this

dang

erou

s sit

uatio

n, w

e co

uld

not i

nter

view

resid

ents

livin

g in

som

e ar

eas,

or

eve

n ac

cess

som

e qu

inta

s. It

can

be

said

that

a lim

itatio

n fo

r our

field

wor

k w

as

bein

g un

able

to re

ach

thos

e in

the

mos

t de

terio

rate

d ar

eas

(due

to p

erso

nal s

afet

y),

whe

re m

ore

atte

ntio

n fo

r res

earc

h sh

ould

be

give

n.

[23r

d AP

R]

[1st

MAY

]2n

d Tr

anse

ct W

alkDi

vided

into

two

grou

ps, w

e di

d tra

nsec

t walk

s, v

isitin

g an

d in

terv

iewin

g re

siden

ts o

f sev

eral

‘qui

ntas

’ in

BA. W

e als

o m

appe

d w

ater

con

nect

ions

, lan

d us

e, o

wne

rshi

p ty

pes,

and

vu

lner

abilit

y of

hou

ses.

Inte

rview

not

es

and

map

s

[Dur

ing

field

wor

k]In

terv

iews

Gov

ernm

ent:

Divis

ion

of U

rban

Ren

ovat

ion

(MM

L), P

ROLI

MA

etc.

Inte

rnat

iona

l O

rgan

isatio

n: A

ECID

Form

er C

ounc

ilors

NGO

s: C

IDAP

Com

mun

ities:

Ho

usin

g As

socia

tions

(E

l Gre

mio

and

CP

RU),

resid

ents

Med

ia

We

inte

rview

ed s

take

hold

ers

such

as

cent

ral g

over

nmen

t, lo

cal g

over

nmen

t, w

ater

aut

horit

y (S

EDAP

AL),

com

mun

ity

mem

bers

, for

mer

cou

ncillo

rs, i

nter

natio

nal o

rgan

isatio

ns,

NGO

s et

c. A

s w

e un

ders

tood

, the

ir op

inio

ns o

n re

habi

litatio

n va

ried

acco

rdin

g to

their

inte

rest

s; th

us w

e m

ade

seve

ral

com

mon

que

stio

ns s

uch

as ‘f

utur

e vis

ion

of B

arrio

s Al

tos’

, ‘o

bsta

cles

of B

arrio

s Al

tos’

etc

. in

orde

r to

com

pare

their

op

inio

ns a

nd fi

nd p

ossib

le co

mm

onali

ties.

Inte

rview

not

es

and

map

sG

over

nmen

tal s

ecto

r can

not i

nher

ently

he

lp b

eing

politi

cal,

ther

efor

e, w

e ne

ed

to c

onsid

er th

is an

d su

pplem

ent t

heir

inte

rview

with

our

ow

n ob

serv

atio

n of

their

w

ork

in B

arrio

s Al

tos.

[28t

h AP

R]Co

mm

unity

Map

ping

Ex

ercis

e[w

ith E

l G

rem

io]

Firs

t, w

e ha

d ice

-bre

akin

g st

rate

gy w

ith

com

mun

ity m

embe

rs fr

om E

l Gre

mio

. Sec

ond,

we

had

in-

dept

h in

terv

iews w

ith e

ach

mem

ber a

bout

eve

ryda

y pra

ctice

s of

wat

er a

nd h

ousin

g. A

fter

that

, w

e st

arte

d th

e m

appi

ng

exer

cise.

In

orde

r to

help

the

m u

nder

stan

d th

e m

appi

ng

exer

cise,

we

aske

d th

em to

sta

rt m

arkin

g lan

dmar

ks, s

uch

as

chur

ches

, hos

pita

ls, e

tc a

nd d

raw

the

boun

darie

s of

Bar

rios

Alto

s. W

e di

d m

appi

ng a

bout

inst

itutio

ns, s

afe

and

unsa

fe

zone

s, s

tora

ge, a

nd e

victio

ns.

Inte

rview

not

es

and

map

s5.

Alth

ough

info

rmat

ion

from

loca

l res

iden

ts

is va

luab

le fo

r un

ders

tand

ing

ever

yday

re

alitie

s,

how

ever

, w

e no

ticed

so

me

cont

radi

ctio

ns a

nd in

accu

racie

s w

ith s

ome

info

rmat

ion;

th

ese

wer

e ve

rified

ag

ainst

na

tiona

l sta

tistic

s, d

ata,

map

s, e

tc.,

som

e di

scre

panc

ies

wer

e un

ders

tood

to

be

po

pular

per

cept

ions

from

the

com

mun

ity.

[30t

h AP

R]In

terv

iew w

ith le

ader

s of

CPR

U[W

ith C

PRU]

Che

ckin

g ou

t ev

eryd

ay p

ract

ices

of w

ater

, ho

usin

g an

d ev

ictio

n w

ith in

-dep

th in

terv

iew,

map

ping

the

ar

ea o

f sto

rage

, etc

.

Inte

rview

not

es

and

map

s

[5th

MAY

]Co

mm

unity

Visi

onin

g st

rate

gy d

evelo

pmen

t w

orks

hop

[With

El G

rem

io a

nd C

PRU]

Thi

s co

mm

unity

exe

rcise

was

fo

r vis

ioni

ng p

ast/p

rese

nt/fu

ture

in B

A an

d ge

tting

lead

ers

to c

ome

up w

ith s

trate

gies

. Fi

rst,

rega

rdin

g th

e vis

ioni

ng

part,

res

iden

ts w

ere

split

into

thr

ee g

roup

s: p

ast,

pres

ent,

and

futu

re.

Each

gro

up d

iscus

sed

“wha

t m

akes

Bar

rios

Alto

s a

good

plac

e to

live?

” and

sha

red

the

outc

ome

with

all

parti

cipan

ts. U

sing

diffe

rent

col

our s

ticky

not

es, t

hey

shar

ed

wha

t are

the

oppo

rtuni

ties

and

obst

acles

for B

A. In

doi

ng s

o,

leade

rs id

entifi

ed k

ey is

sues

. Afte

r thi

s ac

tivity

, and

acc

ordi

ng

to th

eir o

wn

cont

ribut

ions

, the

y re

arra

nged

all t

he k

ey is

sues

in

to th

ree

broa

d ca

tego

ries:

urb

an, h

ousin

g, a

nd so

cial fa

bric.

Th

ey c

ontin

ued

the

disc

ussio

n ab

out

poss

ible

stra

tegi

es

rega

rdin

g th

ese

thre

e bi

g ag

enda

s an

d th

eir k

ey is

sues

.

Inte

rview

not

es

and

map

s

Po

st

- Fi

eldw

ork

13nd

MAY

~ 4

th

June

G

roup

Wor

kW

e co

ntin

ued

our

analy

sis o

n fin

ding

s du

ring

field

trip

wor

k an

d re

fined

our

stra

tegi

es fo

r Bar

rios

Alto

s.Fi

nal

Repo

rt an

d Vi

deo

[30t

h AP

R]In

terv

iew w

ith le

ader

s of

CPR

U[W

ith C

PRU]

Che

ckin

g ou

t ev

eryd

ay p

ract

ices

of w

ater

, ho

usin

g an

d ev

ictio

n w

ith in

-dep

th in

terv

iew,

map

ping

the

ar

ea o

f sto

rage

, etc

.

Inte

rview

not

es

and

map

s

[5th

MAY

]Co

mm

unity

Visi

onin

g st

rate

gy d

evelo

pmen

t w

orks

hop

[With

El G

rem

io a

nd C

PRU]

Thi

s co

mm

unity

exe

rcise

was

fo

r vis

ioni

ng p

ast/p

rese

nt/fu

ture

in B

A an

d ge

tting

lead

ers

to c

ome

up w

ith s

trate

gies

. Fi

rst,

rega

rdin

g th

e vis

ioni

ng

part,

res

iden

ts w

ere

split

into

thr

ee g

roup

s: p

ast,

pres

ent,

and

futu

re.

Each

gro

up d

iscus

sed

“wha

t m

akes

Bar

rios

Alto

s a

good

plac

e to

live?

” and

sha

red

the

outc

ome

with

all

parti

cipan

ts. U

sing

diffe

rent

col

our s

ticky

not

es, t

hey

shar

ed

wha

t are

the

oppo

rtuni

ties

and

obst

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Appendix R: Key Stakeholders

(a) INDECI : Instituto Nacional de la Defensa Civil (National Institute of Civil Defense)http://www.indeci.gob.pe/eng/index.phpThe National Institute of Civil Defense (INDECI), is the cen-tral entity, rector and conductor of the National System of Civil Defense, responsible of the population organization, planning and control of the activities of Civil Defense, also leading the management of the Risk Disaster in harmony with the State Policy in Risk Prevention.Since its creation, INDECI has encouraged the Prevention Culture in case of Disasters in Peru through a group of regulations, strategic plans, doctrines and guidelines that permanently are standardized internationally with the aim of Reducing the Risk of Disasters.

(b) INEI : Instituto Nacional de Estadística e Informática (The National Institute for Statistics and Informatics)http://www.inei.gob.pe/The National Institute of Statistics and Informatics (INEI) is the governing body of the National Statistical System in Peru. States, plans, directs, coordinates, evaluates and supervises the country's official statistical activities. To fulfill its objectives and functions has technical and man-agement autonomy, established in the creation Law of creation.

(c) MML: Municipalidad Metropolitana de Lima (Metro-politan Municipality of Lima)http://www.munlima.gob.pe/It is the entity responsible for the development planning and land use for Metropolitan Lima. Its main objectives are the enhancement of the social and cultural rights of the population; to promote sustainable economic prac-tices; to improve the safety, citizen coexistance and the people's mobility, all together with an environmental man-agement agenda and good government principles.

(d) INVERMET: Fondo Metropolitano de Inversiones (Met-ropolitan Fund for Investment)http://www.invermet.gob.pe/index.phpIt is a decentralised and autonomous organism of the MML and responsible for the development of the main projects in Lima.

(e) MIMP: Ministerio de la Mujer y Poblaciones Vulnerables (Ministry of Women and Vulnerable Population) http://www.mimdes.gob.pe/index.php?option=com_content&view=featured&Itemid=101It is the entity responsible for the national and regional poli-cies focused on gender issues for women and the vulnera-ble population. It designs, establishes, promotes, executes and monitors the public policies in favor of the women, children (girls and boys), teenagers, the elderly, disable, displaced and migrant populations, in order to guarantee their rights and a livelihood free of violence, discrimination, exposure within the framework of a peaceful culture.

(f) MINSA: Ministerio de Salud (Ministry of Health)http://www.minsa.gob.pe/index.aspIts mission is to protect the personal dignity by promoting health, preventing diseases and guaranteeing the integral attention of all the Peruvian’s health.

(g) MINISTERIO DE CULTURA (Ministry of Culture)http://www.mcultura.gob.pe/It is responsible for the heritage and cultural issues of the country.

(h) POPULATION OF BARRIOS ALTOSThey work to lower the levels of inequality and to promote and strengthen the abilities of the poorest to access em-ployment and services.

(i) CIDAP: Centro de Investigación, documentación y ase-soría poblacional (Center of Research, Documentation and Population Advice)http://www.cidap.org.pe/It’s a NGO that contributes to overcome the poverty is-sues of the Peruvian cities. It strives for sustainable pro-posals and for developing capacities amongst men and women, leaders, authorities and/or citizens for them to be builders of cities for life.

(j) AECID: Agencia Española de Cooperación Internac-ional para el Desarrollo (Spanish Agency for International Development Cooperation) http://www.aecid.es/en/ae-cid/index.html AECID has worked with State and local government in assessing the problematic of the Historic Center of Lima. It is a public entity within the Ministry of Foreign Affairs and Cooperation of Spain, responsible to the Secretary of State for International Cooperation and for Latin America (SECIPI). Under the International Devel-opment Cooperation Act 23/1998, of 7 July 1998, AECID is the governing body for Spanish policy on international development cooperation, and its fundamental aim, ac-cording to the AECID statutes, is to promote, manage and implement public policies for international develop-ment cooperation, with particular emphasis on reducing poverty and achieving sustainable human development in developing countries, as defined in each four-yearly AE-CID Master Plan. Combating poverty is the ultimate goal of Spanish policy for international development coopera-tion, as part of Spain’s overall foreign policy, and AECID’s actions are based on the belief that interdependence and solidarity are essential elements of international society.

(k) WMF (World Monuments Fund)http://www.wmf.org/WMF's mission is to preserve the world's architectural heritage of significant monuments, buildings, and sites. It has provide financial aid for the rehabilitation of some buildings in the Historic Center of Lima.

(l) UNESCO (United Nations Educational, Scientific and Cultural Organization)


UNESCO’s mission is to contribute to the building of peace, the eradication of poverty, sustainable develop-ment and intercultural dialogue through education, the sciences, culture, communication and information.

(m) FOMUR: Fondo Municipal de Renovación Urbana (Mu-nicipal Fund for Urban Renovation) It is the main financial instrument for the Urban Renovation projects in Lima. It pro-vided access to the conventional financial system of the mar-ginalized communities that wouldn’t be able to otherwise.

(n) PROLIMA: Programa Municipal para la Recuperación del Centro Histórico de Lima (Municipal Program for the Recovery of the Historic Center of Lima)http://prolima.wordpress.com/

Appendix S: Community Visioning and Strategy Development Workshop

(o) EMILIMA: Empresa Municipal Inmobiliaria de Lima (Municipal Estate Company of Lima)http://www.emilima.com.pe/It is a company of MML and is responsible for managing the buildings owned by Lima Municipality, fostering their profitability.

(p) CEPROMUR: Center for Urban PromotionIts mission is to help inner-city rehab and renovate an-tiquated and deteriorated buildings. Provides training, technical advice, feasibility studies of project. Helped to launch relationships with municipalities in the 5 districts, and along with a community member is part of “Mesa de Concertacion” advisory committee.

Outcomes

Time Positive Negative

Past CulturePlazasLake of maintenanceNo racismOther construction techniques, houses adapted to earthquakesHistory of music “criolla”There were big and affordable rental housing Positivism, good willeducated and intelligent peopleSolidarity, company, respectTraditional neighborhoods with distinguished residentsThere was no extreme povertyPolice workedDignity and quality of lifeEducationNo delinquency

CorruptionImmigrationNeglect because of povertyMisuse of historic sitesExploitation of the poor by FONAVIOutsidersAnother generation, emigrationNo access to credit for the poorMystic essence was lostLack of maintenanceGentrificationSolitude

Present IdentityHistoryCultureCrioliismoLocation (proximity)Heritage e.g. churchesFamily Tradition to live in BAUnity between NeighborsFight for rights, to improve conditions“Center/Middle of everything”Close to Services (hospitals, markets, everything)

OvercrowdingSafety, healthinessCommerce (city without people is no city)Own local authorityIndifference from authoritiesMonopoly in property (church)Delinquency, Drug addictionCorruption in police and judicial powerOutsiders Family unionChange in educationLoss of ValuesAccess to Housing: just and equitable prices

Future Urban renovation Safety (after or during the process of Urban renovation.)Safety Culture of responsibility, urban renovation and zoning10-15 years financing Greener. Public spaces with accessTransport: reorganise transport, not through Barrios Altos streets, Congestion etc.Communal areas inside the quintasProperty of the lotInfrastructure improvement

Disorganisation (to confront the small group of speculators)Ghost cityDisplacement to the periphery of LimaZonification


Appendix T: Additional Maps *See Appendix CD for base maps

Source for maps below: Created by authors, based on MML and PROLIMA

4. José Carlos Mariátegui. Between the City and the Sky: Consolidation without expansionAyesha JavedDaniela Cuellar VargasDavid ScottFatima ManjraHenry RepardSurabhi KarambelkarTiffany CheungYogi Wong

Risk, water, and expansion in NG. Photograph by David Scott

Table of Contents

AcknowledgementsAbbreviations Executive summary

1. Introduction 1.1 Background1.2 Objectives

2. Conceptual framework2.1 Environmental Justice Theory2.2 State of Exception Theory2.3 Hypothesis & research questions

3. Methodology & limitations3.1 Methodology3.2 Limitations

4. Findings4.1 Regulatory states of exception greying the Quebradas4.2 Co-opting of the states of exception 4.3 Regularity exception: creating a needs economy4.4 Market State of Exception: self regulation of the grey areas4.5 Risky State of Exception4.6 Risk for the “non-human” environment

5. Water injustices5.1 Practices of space making: WASS practices5.2 Everyday practices5.3 Institutional practices

6. Visions for the Future

7. Strategies7.1 Recognition7.2 Participation7.3 Distribution

8. Conclusion

BibliographyAppendices


Acknowledgements

We would like to express our gratitude to Liliana Miranda, from Foro Ciudades para la Vida, for inviting us and facili-tating our work in Lima.

We would like to thank Teresa Belkow and Sophie Ayling for their translation support.

We would also like to thank Carlos Franco Pacheco, Rosanna Poblet Alegre, and José Manuel Mamani Coto for taking time off from their busy schedules to talk to us.

We would like to thank the Ministry of Housing and Environ-ment and SEDAPAL for offering us the opportunity to en-gage with them and taking the time to answer our questions.

We also thank the staff from the DPU: Liza Griffin, Rita Lambert, Matthew Wood-Hill, and Etienne von Bertrab for various administrative, academic and emotional supports.

We would like to extend our abundant gratitude to our facilitators Deyssi Inga, CENCA’s social officer, and Carlos Escalante, the president of CENCA, for introducing us to the communities, sharing their work, and supporting our research.

We would like to express our appreciation and gratitude to the communities of José Carlos Mariátegui, specifically Nueva Generación and Portada de Belen, for sharing their lives with us.

We wish to particularly thank Victor Santacruz and Norma Chavez from Nueva Generación, and Abad Villanueva, Rosa Inostroza, and Richard Dixon Sanchez from Por-tada de Belen. We also hope that our humble contribu-tions will be useful.

Finally, we would like to express our thankfulness for the support, guidance and inspiration provided to us by our facilitator Adriana Allen.Thank you.

Abbreviations

APT - Agua para TodosWater for all

CM - Certified map

COFOPRI - Comision de formalización de la propiedad informalFormalization Agency of Informal Property

COP - Constancia de posesión Certificate of possession

IMP - Instituto Metropolitano de PlanificaciónThe Metropolitan Planning Institute

JCM - José Carlos Mariátegui

MML - Metropolitan Municipality of Lima

NEQ - Nuestra Eco-QuebradaOur Eco-Ravine

NG - Nueva Generación

PBP - Programa de presupuesto participativoParticipatory budgeting program

PDB - Portada de Belen

PGU - Programa de generación de suelo urbano Urban Land Generation Program

PPP - Public Private Partnership

SE - State of Exception

SEDAPAL - Servicio de Agua Potable y Alcantarillado de Lima Potable Water and Sewerage Service Provider for Lima

SJL - District of San Juan de Lurigancho

WASS - Water and sanitation services

The team. Photograph by Yogi Wong


Executive summary

We, eight students from the Development Planning Unit, conducted this research over a period of 5 months. The aim was to develop transformative environmental plan-ning strategies to promote water justice, based on an understanding of current trends of urban development and socio-environmental change in metropolitan Lima and the Rímac river basin. In order to do this, we fo-cused on two communities of José Carlos Mariátegui: Nueva Generación and Portada de Belen; both these communities lack full access to water and sanitation services and are located on high risk terrains at the boundary of the city.

Our fieldwork brought us to the conclusion that the current trends of urban development and socio-envi-ronmental change have forced the urban poor out of the formal planning and legal system. This generates a space of government inaction in the periphery where the tensions and problems of fast-paced urbanization remain poorly addressed. This abandonment results in the creation of popular urbanizing entities, seeking, in a very fragmented manner, to develop the area. A myriad of fragmented formal and informal planning and development practices are happening in isolation

of an interface, which produces and reproduces water injustices.

Adding to this, government non-action has facilitated, incentivized, and tolerated unplanned expansion, which has resulted in the growth of informal areas and also the transferal of costs and risks of urbanization to the popu-lar sectors. The creation, restructuring, interpretation, and the social and cultural adaptation of spaces are carried out by informal urbanisers, at different scales, for different purposes, and from different vantage points (Perera, 2009). This is resulting in the construction of many spaces, where the experiences and perception of water injustices are differentiated. Some markers of differentiated water injustices include location on the Quebrada, date of settlement, filial relationships, and economic power.

In order to alleviate the burden on the periphery, we argue that the communities should consolidate rather than continue expansion. Through this, they will better mitigate risk and allow for the necessary infrastructure development to ensure water access. For consolidation to happen, a new form of governance structure, pro-moting popular inclusion and participation, is required. Our strategies seek to inform this structural change.

The higher parts of JCM. Photograph by Yogi Wong


1. Introduction

1.1 Background

Lima is one of the fastest growing financial centers in Latin America, and is of great political and economic sig-nificance within Peru. This phenomenon has led the me-tropolis to grow rapidly, due to in-migration and natural growth. However, urban growth in Lima has by enlarge been unplanned and uncoordinated resulting in pro-nounced shortages of adequate and affordable housing with basic water and sanitation provision (WASS). As a consequence, the responsibilities and costs of provid-ing housing are transferred to the popular sectors. The transfer process is facilitated by a land policy that ena-bles people to invade peripheral land of high risk with the assurance that their claims will be formalized. Therefore, formalization practices facilitate the neglect of the hous-ing sector. This generates a space of government inac-tion in the periphery where the tensions and problems of urbanization remain poorly addressed. This abandon-ment creates popular urbanizing entities, seeking, in a very fragmented manner, to develop the area. A myriad of formal and informal planning and development prac-tices are happening in isolation of an interface, which produces and reproduces water injustices. This is the case of Lima, arguably all of Peru, and many growing cities in the global South.

Figure 1: Location of case study sites in relation to the whole of JCM

1.2 Objectives

In José Carlos Mariátegui (JCM), one such peripheral area of Lima, government inaction has become a form of public policy, which acts as a platform for urbanizing entities to develop and plan the area; thus, perpetuating the cycle of informality and lack of access to WASS. Such has been the case of the inhabitants of Nueva Gener-ación (NG) and Portada de Belen (PB), who have been forced to live in the periphery due to a lack of policies that truly address their needs (see figure 1)1. Our research shows that over 50% of the inhabitants relocated from central Lima to the periphery, where land was easily avail-able for self-led, housing developments. As a result, more and more people are pushed into high-risk areas with-out access to WASS. Hence, the aim of this report is to: outline the characteristics of government inaction; under-stand who and what drives urban expansion; assess the consequences of the continuation of these practices; and lastly, develop strategies that break away from this cycle of inaction and expansion. The environmental justice (EJ) framework serves as a departure point for this analysis, and it is complemented by the application of the State of Exception (SE) theory.

1. For more background information on the case study sites, please refer to the appendix.


2 Conceptual Framework

2.1 Environmental justice

Most understandings of EJ refer to the issue of equity, or the distribution of environmental ills and benefits (Schlos-berg, 2004). However, theories of distributive justice offer means by which distribution may be improved, but do not examine the social, cultural, symbolic, and institutional conditions motivating poor distributions in the first place. Focusing on distribution is essential, but insufficient for achieving justice.

Distributional justice must concern itself with recognition. Part of the problem of injustice, and part of the reason for unjust distribution, is a lack of recognition of group difference (ibid). Furthermore, Young argues that if social differences exist, and are attached to both privilege and oppression, justice requires an examination of those dif-ferences to undermine their effect on distributive injustice (Young in Schlosberg 2004).

There is a link between a lack of recognition and a decline in participation in the greater community, including the po-litical and institutional order. If you are not recognized, you do not participate (Schlosberg, 2004). In this respect, jus-tice must focus on political processes to address both the inequitable distribution of social goods and the conditions undermining social recognition (Fraser, 1998; 2000). Fur-thermore, participatory decision-making procedures are an element of, and a condition for, justice; they simultane-ously challenge institutionalized exclusion, a social culture of misrecognition, and current distributional patterns (ibid).

Based on these arguments, we adopt a ‘trivalent’ con-ception of justice, where recognition, distribution, and participatory issues are considered in tandem. Thus, we define water justice as follows: water justice exists when all the individuals or groups, regardless of their identity and spatial locality have equal and equitable quantities of clean water to maintain a healthy life and livelihood. It also ensures that all agents are given the opportunity to ac-cess water and participate meaningfully in the decision-making regarding the sustainability of water resources.

Like Foucault stated, power is multiple, and arises eve-rywhere in everyday situations and must be constantly resisted where it is experienced (Foucault, 1980; Schlos-berg 2004). It is no different with injustice, and thus, we adopt the SE theory to complement our study of justice; to allow us to look into the different forms and manifesta-tions of injustice, its scale, its spatiality, and ultimately the manner to contest it.

2.2 State of Exception

Planners organize space at neighbourhood, urban, and regional scales. Yet they are not alone: the creation, re-

structuring, interpretation, and the social and cultural ad-aptation of space are carried out by almost everyone, but at different scales, for different purposes, and from differ-ent vantage points (Perera, 2009). This process of space-making is called familiarization.

The room for familiarization is afforded by the incomplete-ness of formal urban systems (ibid). Modern urban sys-tems are never complete; these have gaps, cracks, and depend on exceptions (ibid). For example, administrators will tell you that they know that people are squatting on il-legally occupied land, but it is best to let them stay (Chat-terjee, 2007). This is so because, this population has a very important role to play in the urban economy; in their absence, these economies might collapse (ibid).

This can be seen from another perspective: if these peo-ple had no livelihood at all, they would be even more of a threat to property, to the law, and to order (ibid). This is a way in which they are actually controlled and governed, by precisely making them an exceptional case (ibid). Therefore, contrary to common belief, urban informality is not beyond the realm of the state or formal planning. The ‘unplannable’ polity is a product of the state and its planners (Roy, 2005).

State power is produced and reproduced through the capacity to construct and reconstruct categories of le-gitimacy and illegitimacy (ibid). It becomes apparent that the legalization of informal property systems is not simply a bureaucratic or technical problem but rather a complex political struggle (ibid). These structural forces produce the spaces in which residents are only partially incorpo-rated into the urban community, economy and space, and are excluded from membership in the city polity (Yiftachel, 2009). These partially incorporated people, localities and activities are part of a growing urban informality, termed here ‘grey space’– positioned between the ‘whiteness’ of legality/approval/safety, and the ‘blackness’ of eviction/destruction/death (ibid). They are neither integrated nor eliminated, forming pseudo-permanent margins of to-day’s urban regions (ibid).

Building on this conceptualization of informality, SE, and ‘grey space’ we seek to understand how these help un-derstand the factors that dictate the distribution of and access to water in the seemingly ‘unplannable’, high risk Quebradas of Lima.


2.3 Hypothesis & Research Questions

Water injustices in the peripheral settlements of the Quebradas , labeled as high-risk areas, are structurally linked to continuous urban expansion on these hills. Furthermore, government non-action has facilitated, incentivized, and tolerated unplanned expansion, which has resulted in the transferal of costs and risks of urbanization to the popular sectors. However, some existing institutional and everyday practices, if strengthened, improved, and better linked might have the potential to disrupt this vicious cycle.Research Question 1 What are the processes driving expansion and inaction?Research Question 2 What and who leads these trends and how?Research Question 3 What are its consequences?Research Question 4 And how can these vicious cycles be broken?As it can be discerned from the hypothesis and research questions, the report seeks to critically analyze and assess not only the production and reproduction of environmental injustices but also socio-economic injustices associated with unplanned urban expansion.

Expansion into high risk areas. Photograph by Fatima Manjra

First mapping of settlements: NG & PB


3 Methodology and limitations

3.1 Methodology

To fulfil the objectives of this research, a diverse set of tools were employed (Please refer to the appendix for further details about the methodology.). The research is broadly divided into two parts: data collection and pro-cessing. The data collection section is made up of pri-mary and secondary research. Details about these can be found in the table below.

Stage I: Secondary Research

January 2013 to April 19th 2013

Review of academic and grey literature on water policies, practices, and perceptions in Lima and the global South.Inquiry into environmental justice theories.

The aim: to develop a fieldwork plan and a working hypothesis to test on the ground

Stage II: Primary Research

April 20th 2013 to May 7th 2013

Development of criteria to select case studies containing following considerations:o Degree of access to formal and informal WASSo Degree of community organizationo Degree of institutional interfaceo Incidence of

§ Land trafficking§ Lomas ecosystem

o Degree of natural and man-made risko Establishment through occupationo Date of occupation

Preliminary site visits to 7 settlements in JCM to select the case study sitesTransect walk in case study sitesCommunity enumeration in PB and NGParticipatory mapping in PB and NGSemi-structured interviews with:

o Women inhabitants (NG & PB)o Community leaders (NG & PB)o Government authorities

§ SEDAPAL§ Ministry of Housing§ Ministry of Environment

o Civil society organizations§ Cenca§ Foro ciudades para la vida

Focus group discussion with women (with PB & NG inhabitants)Attendance in weekly community meetings with JCM residents

Stage III: Data Processing

May 8th 2013 to June 4th 2013

Data processing & analysiso Using EJ and SE framework

Outputs:Videoo Mapso Google maps with pictures and videoso Mapping manualo Posters o Report with findings and strategies


3.2 Limitations

While efforts were made to execute the research meth-odology objectively, there are certain limitations to the research. Firstly, the secondary research was marked by an information bias, which is characterized by hav-ing an unbalanced representation of government policies, practices, and perceptions in comparison to other per-taining views. This is due to the fact that relatively speak-ing grey literature is more readily available online. There was also a pronounced shortage of academic writing on the topic to provide a balanced perspective, and equally poor documentation providing popular insight. Secondly, the primary research was limited because we had only 3 weeks in Lima, which delimited the number of field vis-its. Given that our research is the first of its kind, offering for the first time an enumeration and mapping of these settlements, time was crucial to understand all the com-plexities of the case studies. Also, while the case study sites were chosen because of their ability to represent the general trends of urban expansion, there could have been added value in undertaking more sites of research. Lastly, though translation was available, it was a challenge to in-terpret the entirety of our interactions with stakeholders.

First mapping of settlements: NG & PB

Figure 2: Example of a Certificate of possession

4. Findings

The states of exception discussed in the upcoming sec-tions make reference to the aforementioned public policy of inaction, which tolerate, facilitate, and incentive expan-sion and ultimately producing water injustices.

4.1 Regulatory states of exception greying the Quebradas

“The planning and legal apparatus of the state has the power to determine which forms of informality will thrive and which will disappear’’ (Roy, 2005). In the Quebradas, certificates of possession1 (COP) and certified maps (CM) are the apparatuses that establish and maintain infor-mality. Through these a regulatory SE is created through which access to WASS is gained before property formali-zation occurs and housing standards are met (see figure 1. A COP is issued by the district with the objective of ensur-ing access to basic services for households living in areas of expansion.

2). The exception creates a grey area where informality is allowed to thrive. The greying of the Quebradas facilitates and motivates further expansion, since a requirement for the COP is the presence of a housing structure. People are propelled to construct precarious housing structures that inadvertently increase risks, but get them closer to being integrated into the city by their access to basic ser-vices. This partial integration creates the hope of becom-ing a white area, so encouraging further occupation.

Similarly, communities seek CMs as a means of be-ing recognized by the district government, since these are used to record and inform formal planning activities (see figure 3). However, CMs are authorized without any background checks, resulting in mal-recognition. Mal-recognition derives from the authorities limiting their un-derstanding of these areas to the maps they receive, but also from the manipulation of maps. Individuals submit maps for certification that misrepresent reality; although empty land stands, plots are subdivided and marked on the map (see figure 4). As a consequence of these prac-tices, land traffickers use maps to usurp land and urban-izers gain indirect permission to continue expanding into unserviceable areas.


Figure 3: Example of a CM

Figure 4: Map showing sub-division of lands for the attainment of a CM


4.2 Co-opting of states of exception

A combination of a lack of housing alternatives, ambiguous land policies, and the SE in the Quebradas, facilitates its occupation1. Expansion by newcomers, or growing settle-ments, is a way to co-opt the planning apparatus to satisfy their short-term needs. However, settlements have devel-oped different motives, which guide their development and expansion logic. For example, PB follows a community or-ganization model, where land is not sold; rather people pay to become members of the community. As members, they have to abide by a communal code of conduct, which pro-motes a collective effort to protect and improve their settle-ment. Conversely, NG mimics the logic of land traffickers, where expansion is seen as a means of monetary gains for communal initiatives. PB is being forced to change its logic since their undeveloped land is under threat of being usurped by nearby traffickers. Thus, they are being forced to expand to achieve tenure security, which under a SE does not exist without physically occupying the land. By benefiting and contributing to the SE communities main-tain it, facilitating the movement of people into areas of high risk, without access to WASS (see figures 5 & 6).

1. Substantiating this action is De Soto’s thesis on liberating land for capital investments to escape poverty, which creates the ‘heroic entrepreneur’ who undertakes these expansionary practices (1989, 2010).

In essence, there is no popular housing policy in Lima. While there have been fragmented national policies to address housing shortages, these have excluded the poor. For example, Mivivenda and Techo Proprio are financing schemes that mobilize savings, subsi-dies, and loans for purchasing homes (Fernández-Maldonado, 2010). However, the poor operate within subsistence economies, where they are rarely able to accrue savings and lack access to financial in-stitutions. Additionally, the private sector’s control of the housing market delimits the supply of afford-able housing; thus, requiring greater resources, be-yond the capacity of households and popular finance. This creates an impetus for informal occupation and self-led housing projects. Being on the edge of the formal planning systems spurs citizens to creatively familiarize their area. The process of building precari-ous structures high up on the hills is known to cause landslides for the household and their neighbors be-low. These construction methods also decrease the feasibility of executing infrastructure developments for WASS, and thus further expunge the areas from the formal planning regime.

Community leader of NG. Photograph by Yogi wong


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Figure 5: Trend of expansion in PB

Figure 6: Trend of expansion in NG


4.3 Regularity exception: creating a needs-economy

Within the bounds of a subsistence economy, the regular costs of housing exclude the poor from the formal mar-ket. Conversely, in a SE regular payments are shirked, providing an entry point for the poor. Urbanization costs in the grey areas are episodical, following specific instances of self-led development. This gives rise to a needs-econ-omy from the SE. Community organizations constitute this economy as they pool funds for their development projects. Funding for the organization come from mem-bership fees, or the sale of land under the auspices of the organization. This instills a habit of payment for ser-vices, which then facilitates further economic requests for concurrent communal projects. These fees are increas-ing due to the mounting difficulty of executing projects and delivering services on greater inclines. For example, the membership fee in PB has increased from 35 to 700 soles in the period of 2004-2013 (see figure 7). In the short-term, increasing costs incentivize expansion further up the slopes to acquire greater fees, but this, in the long term, will only increase costs.

Figure 7: Graph showing the upward trend of the cost of membership fees in PB

4.4 Market SE: self regulation of the grey areas

Formal planning and regulation creates a SE that materi-alizes in the creation of an informal housing and land mar-ket. In SJL, the tenure system was frozen in 1994 as a re-sponse to the institutional inability to mediate contesting claims dating as far back as 1875 (Pacheco, 2013). The freezing of the system acted as a means to deregulate land. This coupled with the strong affinity to land, given the absence of housing policies, facilitated and motivat-ed further expansion, thus, raising the demand and ulti-mately the value of land. Community-based developers and traffickers assume the role of suppliers in the market, seeking to benefit from the considerable demand for land. For example, in NG the community leader is subdivid-ing and developing additional plots on high-risk areas for sale, thus elevating land prices (see figure 8). Whilst in PB,

nearby traffickers are threatening to usurp their undevel-oped land. For those who buy land or housing from these informal developers, they are pushed into precarious and risky living conditions. For the already established, their unsubstantiated claims are contested, adding to the un-certainty of their occupation. Land speculation, the hope of being formalized and integrated into the city, supports the informal market, and reproduces the habitual prac-tices of invasion, development, and retail of these lands propagating more urban sprawl into unserved, high-risk areas1.

Figure 8: Graph showing the upward trend of land prices in NG

4.5 Risky SE

However, with the law of prescription from 1999, quite the opposite is happening. People are being compelled to con-tinue invasions, as a method of acquiring titles through the continuous use of the land (WEAL, 2008). While adding to speculation and social tensions, the Law, has serious reper-cussions in regards to risk, since the law invites invasions without applying prior risk reduction measures. Furthermore, this State responsibility, of risk managers, is being eroded through the convergence of institutional practices. That is the law of prescription, the COP, and titles ‘con carga’2 all serve as instruments of transferal of responsibilities to the commu-nities. All these offer the communities a very perverse trade-off: gaining entitlement to land, while losing the support of the State. Hence, perpetuating the exposure of the popu-lation to risk (see figure 9 & 10). Programs like Barrio Mio further cement this disenfranchisement since they conduct

superficial, and in some cases, detrimental projects, which 1. Titling is not a viable option to dissipate the informal market. Given speculative forces and the vested interests of informal ur-banizers, the titling of the area could help cement the present unbalanced, power relationships (Razzaz, 1997; Krueckeberg, 1995; Roy, 2005). Furthermore, titling is not likely to happen be-cause the city requires the existence of grey areas, to alleviate the pressure of the housing shortage. It is a way for the urban regime to assert its power, even when it is unable to cope with its internal contradictions.2. A title ‘con carga’ means literally a title with a burden. The burden refers to the responsibility to manage risks in the area of occupation.


fail to address the factors contributing to communal vulner-abilities and risks.

The ill treatment of risk has resulted in a distorted percep-tion of risk. The inter-linkages among social, economic, institutional, and natural and built environment remain in-existent, preventing a holistic understanding of risk man-agement (see figure 11). The State continues to supply stairs and retention walls, gravely masking risks and ex-erting those same parameters of risk assessment to the communities. As a consequence, risk mitigation is limited to the following practices: 1) Extending novice staircases for accessibility to the site and upper settlements; 2) Lev-eling land for future occupancy and; 3) Building retention

walls (see figure 12). Arguably, such familiarization prac-tices add to risk, but also cause further expansion ex-tending risks to more populations3. The trade-off results in ignoring imminent risks, by focusing on the short-term gains. And thus there are no comprehensive guidelines for risk assessment, and the housing structure is beyond the scope of risk evaluation, creating another SE. This ex-acerbates the standard of housing structures increasing the overall risk. Furthermore, there is the normalization of risk. Like Cardona states, “vulnerability was borne out of human experience under situations in which it was often very difficult to differentiate normal day-today life from dis-aster” (Cardona, 2003). This instills a culture of reacting to risk rather than prevention.

3. The areas of risk referenced are those, which the communi-ties highlighted themselves. See risk map in appendix.

Figure 9: Illustration showing the inter-linkages among vulnerability, hazard, and risk

Figure 10: Map showing type and location of risk in NG Figure 11: Map showing type and location of risk in PB


4.6 Risk for the “non-human” environment

Expansion increases the risk for people and for the “non-human” environment (Schlosberg, 2013). This risk manifests in the form of the rapidly decreasing lomas: the unique ecosystem that shapes the microclimate of Lima. Currently the MML runs the program Lomas de Lima to preserve the larger, more diverse lomas, like the ones in Villa María del Triunfo (MML, 2013). Due to their small size and low diversity, the lomas in JCM are not part of this program (see figure 13). As a result, expansion remains unchecked, threatening their existence. Moreover, there is a general lack of awareness1 regarding their impor-tance, which delimits the incentives to conserve them, when occupation yields monetary gains.

1. The loss of this ecosystem will increase the threat of land-slides caused by the disappearance of the green cover that stabilizes the terrain. It will also mean the loss of alternative wa-ter sources in the form of fog-catchers and adverse changes to micro climatic-conditions. Their disappearance will facilitate desertification on the hills. Desertification is considered one of Peru’s most paramount problems as it causes climate change leading to temperature increases and heightened water stress conditions (Guevara, n.d).

Figure 12: Risk wheel showing the multiplicity of policy- driven and needs-driven practices for risk management

5. Water Injustices

5.1 Practices of space-making: WASS practices

As previously discussed, SEs are created by the state’s planning and legal apparatus. The consequent ‘greying’ of spaces offers the opportunity for communities to fa-miliarize these, to make them support their everyday and cultural practices. In order to understand how water in-justices are perceived, lived, and contested in the Que-bradas, one must seek to understand the familiarization process.

The processes of space-making in relation to WASS can be organised into Everyday- and Institutional- practices (see figure 14). Everyday practices are needs driven and are often coping mechanisms in the context of the state being unable to provide services, while institutional prac-tices are policy driven and often provide the avenues through which injustices can be challenged, and through which transformation can occur.

Figure 14: Water wheel showing the multiplicity of policy-driven and needs-driven practices for water management


Figure 13: Map showing the type and location of Lomas in Lima, with a focus on JCM


5.2 Everyday practices

Everyday PracticesGifting of Water The gifting of water to support those without access to water was not found to be

explicitly present in PB or NG, with most having access from their home connections or via economic exchanges. However, due to the high number of extended families in the community, families are known to gift water amongst themselves in instances where access to water is lost.

Economic agreements The sharing of water through an agreement is the most common way for individuals in PB and NG to cope with the water injustices. However, despite their claims that the cost of water is shared equally amongst those with the agreement, it was found that those without home access often paid considerably more than those with a connection, indicating the existence of some profiteering.

Pilon Until a few years ago a pilon* was present in NG. It was a coping mechanism for the residents to deal with the water injustices experienced. It offered a constant connection to water with a split cost amongst all who took from it, whilst also removing reliance on overpriced and often inconsistent water tankers. The competition for the resource was an issue, among NG inhabitants and later PB as well, and ultimately with the establishment of home connections through APT, the pilon was removed. In PB, the newcomers, who did not benefit from APT, established a pilon to share the costs of accessing water in the higher areas.

*A pilon is a communal tap in public spaces accessible to those who pay for their consumption and its establishment.

Tanker Trucks Tanker trucks provide a means to access water in situations where there is a lack of water infrastructure to supply an area. The issues of price, consistency, and quality are the primary problems of this coping mechanism. There is often a significantly higher price of water, the time of arrival, volume of water available varies, and lastly there is no imposition of stringent regulation of water quality. Tankers are no longer used in PB or NG; however for those living in areas without infrastructure they are essential to ensuring access to water, although the issues associated often propagate further injustices.

Household Connection Individual connections are the preferred method of access to water; the advantages include continual access, reduced costs, and less conflict. However, as the settlement of the higher slopes continues, the feasibility of providing individual connections will diminish, making alternative water sources the dominant modes of access (see figures 15 & 16). The overall cost of water connections has gone up already from 30 soles in 2001 to 1200 soles in 2013. It is projected that these will increase to 400-500,000 soles in the higher areas, increasing dependency on alternate water sources. Already, the costs of alternate water sources are increasing as well. These costs increased from 7 to 10 soles for people on the lower parts and up to 45 soles for people living higher up, adding to the insecurity in the area (see figure 17)

Water extension projects require hefty investments that are only made when a large population stands to benefit. Furthermore, these require extensive feasibility studies to assess the cost-effectiveness of the investment. In response to these, communities develop their lands and expand to justify the investment. Due to the precarious nature of development activities, feasibility studies do not allow for these investments to be made. Nonetheless, people keep expanding with the expectations of being awarded WASS, and whilst these hopes materialize more and more people are pushed into unserved, high-risk areas.


Figure 15: Percentage of households with water access in PB from 1999 to 2005

Figure 17: Graph of cost of alternative water services in NG

Examples of everyday practices. Photograph by Yogi Wong

Figure 16: Percentage of households with water access in PB from 2006 to 2013


Water distribution panel, SEDAPAL. Photograph by Yogi Wong

5.3 Institutional practices

Institutional PracticesCOP A COP is required by SEDAPAL to set up a home connection, thus, they provide a

means to alleviate water injustices. The primary research shows that 89% of houses in PB have a COP, whereas only 45% of houses in NG do. This differentiated access to COP translates to differentiated access to water. However, recent trends show that newcomers are less able to secure COPs, and thus, their ability to claim WASS is also diminishing (see figure 18)*.

*COPs are becoming harder to obtain because they require the demarcation of the plot on a CM. CMs are expensive and thus with new expansion, these are not always updated.

Agua Para Todos APT is another mechanism households can use to cope with water injustices. In 2007-2008, a number of households in PB and NG received connections from ATP program.Although this helped give access to a number of households, infrastructure development has not been maintained to extend services to post-2007 settlers (see figures 19 & 20).

SEDAPAL At present, sedapal is undertaking a network extension project, Esquema 400, while simultaneously there are major investments happening in the development of the local Huachipa plant. These two mega-projects have the same objectives, to extend water services to popular settlements, but are being executed independently. Also, the focus has been to extend distribution networks over access mechanisms.

International Donors NG has attempted to circumvent the normal means of gaining infrastructure by petitioning the UN’s UNOPS for help with funding to privately build WASS infrastructure.


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Figure 19: Map showing comparative access to water in NG

Figure 20: Map showing comparative access to water in PB


6 Visions for the future

6.1 Reasons for Action

Our first scenario, taking into consideration current trends, forecasts that expansion continues in a similar fashion. This wouldundeniably reproduce negative trends such as increasing costs and risks for the inhabitants; the disappearance of the lomas;and the diminishing feasibility of infrastructure developments, such as WASS extension projects.

This scenario depicts the current situation of the area.

Scenario : As of today

Scenario: Business as usual - into the future


Our second scenario envisions that reactionary programmes such as Barrio Mio will continue in attempts to mitigate risks andimprove living conditions. As these do not address the root causes of expansion, their fragmented implementation may in turnfacilitate expansion.

Scenario: Towards a better future- Nuestra eco quebrada

Scenario: Reactionary mitigation


7. Strategies

Our strategies are grounded on an understanding that the grey areas provide a space for alleviating the socio-economic tensions in the city, and that their formalization, without any structural changes, will only result in the re-production of grey areas and water injustices. Hence, we propose a means to address these tensions, to achieve environmental justice. Thus, our strategies address the three major concerns of EJ: recognition, distribution, and participation. Based on the understanding that if you are not recognized, you do not participate in the formation of political and institutional order, and that in this respect, you are excluded from contesting inequitable distribution, we prioritize interventions in the following order: recogni-tion, participation, and distribution (see figure 21) (Fraser, 1998; 2000).

Our strategies fall under an umbrella initiative titled Nuestra Eco-Quebrada (NEQ)1. NEQ refers to a diverse set of poli-cies and actions, which address various planning, social, environmental, and economic issues, so as to encourage development within existing urbanising areas, rather than non-urbanised land. The ultimate objective of NEQ is to bring about a form of governance through these policies and actions that bridge the gap between the community and state so that through co-management and planning of urbanising areas, consolidation and development can take place.

Figure 21: Illustration showing the hierarchy and grouping of strategies

1. For more information on NEQ, please refer to the ap-pendix.

7.1 Recognition

7.1.1 From land to housing

In 2012, a metropolitan popular housing program was created. The Program’s foreseen limitation is the lack of cooperation between the national and municipal govern-ments; which is essential, because the national govern-ment holds the lands for district housing projects. Thus, in the short-term, it is best to shift the focus away from housing in non-urbanized areas to supplying alternative housing in urbanized lands and to improve existing hous-ing. Consolidation is proposed via residential densifica-tion in popular urban areas to meet housing needs of the popular sector, to integrate them to the urban fabric, and to ensure access to basic services. The Metropolitan Min-istry has already been introduced to the concept of ‘buy-ing air’, that is to buy a household’s permission to build upon their structure to establish multi-familiar accommo-dations. These need to be prioritized to make efficient use of new, or existing infrastructure, to make the extension of access to wellbeing institutions and transport to com-munities, to be more cost-effective, and to reduce envi-ronmental impacts. In the long-term, when land transfer-ral is possible, a land bank should be established at the municipal level.

Before popular housing is sold, there has to be a re-structuring of popular housing finance. In the short-term, a study of popular economies has to be undertaken by Mivivienda Program to truly understand the purchasing power of the sector. Another factor delimiting the pur-chasing power of the poor is the regularity of payments required and the prevailing high costs of housing. There-fore, housing price controls have to be in place, delimit-ing the market power of private developers. A way to do this is to engage in public-private partnerships for the construction of popular housing. This will indirectly delimit the market power of private developers and the role of the state as a guarantor can ease the necessity of regular payments.


From Land to HousingAction Entry Point Actors Expected

OutcomesTime Frame

Housing SupplyShift focus away from housing in non urbanized areas

Supply alternative housing in urbanized land

Improve existing housing structures

Create land bank at the municipal level

2012 popular municipal housing program

PGU

MML (Housing Ministry)

National Government (Housing Ministry)

Popular Sector

Residential densification in popular urban areas

Meet the demand for popular housing

Integrate the popular sector to the urban fabric

Ensure access to basic services

Reduced impact on environment

Short term Housing improvements on urbanized lands

Long term Housing improvements on non-urbanized lands from the land bank

Housing FinanceEstablish pricing controls

Restructure housing finance

Execute study of subsistence economies

Techo Propio

Mi vivienda Program

Existing housing developers

MML – Housing Ministry

Private sector

Understanding of subsistence economies

Restructuring housing finance

Public Private Partnerships (PPPs)

Fairer housing prices

Short term Economic study of the popular sector

Medium term Restructuring of finance

Long term Developing of PPPs to build and improve housing

.

7.1.2 Legal and planning aparatus

The COP facilitates access to WASS before formalization. Therefore, it is a useful deregulation tool for those living in areas of expansion. However, they are conducive to risky and costly expansion, and thus measures have to be taken to mitigate this. One suggested avenue is to use the existing municipal legal frameworks that allow for the entitling of the nearby communities with the right to manage areas of ecological importance. This docu-mentation can offer tenure security and can be used as an alternative to the COP to access WASS. The strat-egy will require changes to the municipal legal appara-tus, but given the political impetus to protect the lomas, such a change can be justified. Thus, expansion can be

avoided and the preservation and conservation of the smaller lomas like those in JCM can be promoted, which otherwise would not benefit from municipal conserva-tion strategies.

CMs are a good entry point for getting recognition, how-ever, in practice these have yielded negative outcomes. To curb these negative consequences, maps have to be democratized. Community mapping exercises during the fieldwork helped introduce the communities to maps as a tool for recognition. The NGO CENCA has com-mitted to carrying out mapping workshops to continue participatory mapping exercises as a means to map spaces, practices, and perceptions for greater control over their future. These maps can feed into the certified


Legal and Planning ApparatusAction Entry Point Actors Expected Outcomes Time Frame

Alternatives to Land TitlingPromote communal land holdings

Encourage alterna-tive land uses

Deregulation of land titling in SJL

Law of prescription

SJL

MML

COFOPRI

Right to stay

Substantiated claims to services and credit

Short term Provisioning of com-munal and alternative land entitlements

Medium and Long Term Access to basic ser-vices and the right to stay

Legal ApparatusEntitling of commu-nities with the right to manage areas of ecological impor-tance

COP

MML- program Lo-mas de Lima

Municipal Legal framework for the protection of eco-logical areas

MML

SJL

Community

Land tenure security

Protection of lomas

Promotion of passive land uses

Reduced expansion

Short Term The communities can request the entitlement

Long term Protection of the land

Planning ApparatusMapping with com-munity

Using community maps for PBP

Monitoring and regu-lation of expansion

Development proj-ects for consolida-tion

District participatory budgeting program

Our community mapping exercises

CENCA mapping contest

SJL

Community

CENCA

DPU

Development without expansion

Consolidation

Democratization of mapping and informa-tion

Greater understanding of space

Commitment building

Short term Community work-shops

Medium term Individuals can map their own settlement

Long term Incorporation of these maps into the district

mapping process through the district PBP. Furthermore, they can be used to collectively monitor and regulate expansion. This would require the tailoring of the PBP to promote and facilitate consolidation by encourag-ing the communities to apply using the co-financing mechanism, which requires they sign a commitment statement. This will ensure that all members of the com-munity adopt the project and a commitment to stop ex-pansion. At this point, community maps can be adopted as CMs. Furthermore, more funds are made available for development projects.

Using this SE, communal holdings and alternative land-uses can be promoted to relieve the precariousness of informal dwellers, by ensuring tenure security, over titles. Unlike land titling programs, security of tenure is not an absolute condition but rather a continuum of rights and claims that can include the right to remain, the claim to services and credit, and the application of market values to property (McAuslan, 2002; Sims, 2002). This, the ex-tensions of rights, can ultimately enable mobility within the social stratification of the city, and allow progress from a grey area to a white area.


7.1.3 Unpacking risk

The current definition of risk used by institutions is too narrow and lacks a temporal and spatial dimension. This promotes a culture of risk mitigation instead of preven-tion. A re-definition of risk based of it’s spatial, qualitative and temporal aspects can help better identify the root causes of risk, which can better inform planning inter-

ventions and risk prevention practices, as well as pro-vide a means to best link up with needs based practices in these areas. As previously mentioned, the community mapping carried out with the help of CENCA and the district authorities can include the mapping of natural and social risks, which can be used for institutional re-mapping of the areas and the creation of a risk database to inform interventions in areas of high risk.

Unpacking RiskAction Entry Point Actors Expected Outcomes Time Frame

Unpacking RiskPromote the under-standing of risk based on hazards and vul-nerabilities

Redefinition of risk

Remapping areas of risk based on new definition

Prioritizing and zoning risk management

Create a database to inform interventions on risk, hazards and vulnerability

Current definitions of risk

Current risk man-agement systems

Existing mapping of risk areas

Community map-ping exercises

Community

CENCA

Civil Defence

Temporal and spatial understanding of risk areas

Extension of wellbeing institutions to reduce vulnerabilities

Improved data collec-tion and information sharing practices

Move from risk mitiga-tion to risk prevention

Informed interventions

Safer living conditions

Short term There will be map-ping and redefinition of risk

Medium term Consolidation of information and cre-ation of database for sharing

Long TermMore appropriate in-terventions

LomasEntitling of communi-ties with the right to manage areas of eco-logical importance

Promote passive land uses

Raise awareness about the ecosystem services offered by the lomas

Planting of native plant species

The COP

MML lomas pro-gram (Lomas de Lima)

MML Adopt a Tree program

Municipal Legal framework for the protection of eco-logical rights

MML

SJL

Community

CENCA

Conservation of lomas

Stabilization of ground

Retention and filtration of water

Alternative water re-sources from fog catch-ers

Short TermEntitling of communi-ties

Application of passive land uses

Medium TermReduced expansion

Long TermPreservation of lomas

Enhanced ecosystem services


7.2 Participation

7.2.1 Power in numbers

Currently many of the community leaders are coming to-gether to create a federation, which will encompass all the 60 settlements located on the higher parts of JCM. The fed-

7.2.2 New development logic

By shifting the focus away from constructing roads and stairs, which promotes expansion and a rather narrow clientelistic attitude towards development, a new devel-opment logic based on the aspirations of the community can be fostered. This can be done by creating savings groups that discuss and develop an agenda based on

eration seeks to promote collaboration among all the neigh-bourhoods, the state, and other relevant actors, to improve recognition, and participation, and ultimately enhance trans-parency and accountability. This kind of collaboration will also promote information sharing, transfer of best practices, and awareness raising, which can help them and others, move away from single plot development practices.

Participatory Decision Making ProceduresAction Entry Point Actors Expected Outcomes Time Frame

Creation of a fed-eration for the higher areas of JCM

Information sharing

Engage in dialogue and negotiations with authorities

Existing 12 members

Community meet-ings

Communities

MML

SJL

National

The ‘Those without a roof’ movement

Federation of 60 com-munities

Increasing knowledge about development al-ternatives to single plot initiative

Increased bargaining powers with the authori-ties

Increased accountability and transparency

Short term The federation will be created

Medium term Sharing of information and dialogues

Long term Participatory decision making

their most pressing needs. This will also change the way the district government participatory budgeting program functions as people will demand what they need, not what they hope they can get. Lastly, it can lead to the re-designing of conventional tools: staircases can serve functions other than mobility. These can be combined us-ing better designs that will reduce soil erosion, promote soil stability and mitigate risk.

New Development LogicAction Entry Point Actors Expected Outcomes Time Frame

Expand the focus from the construction of roads, retention walls and stairs

Development of community lead de-velopment agenda

Create of savings group

Redesigning of stairs, walls and other con-ventional tools

Participatory bud-geting

Community Junta Directiva

CENCA’s technical assistance

CENCA

Community

District

Savings groups

CENCA

Creation of savings groups

Community lead devel-opment initiatives

Rupture of clientalistic relationship with the government

New designs and func-tions for staircases

Improved partnerships for development proj-ects

Short TermCreation of savings groups

Medium TermRedesigning of tools and projects

Long TermPartnerships for de-velopment


7.3 Distribution

7.3.1 Water for all

At present, sedapal is undertaking a network extension project, Esquema 400, for the district, while simultaneously there are major investments happening in the development of the local Huachipa plant. These two mega-projects have the same objectives, to extend water services to popular set-

7.3.2 Sanitation

Consolidation facilitates the permanent demarcation of plots for defecation, which can be equipped with water, drainage, communal latrines or toilets that can help create a more healthy and pleasant environment. Community funds and labour can jointly be used to develop

tlements, but are being executed independently. By linking them, there can be a more efficient use of resources while also liberating funds for projects that focus not on distribu-tion but access mechanisms. The Metropolitan Planning In-stitute has already been acting as an intermittent planning advisor, by better integrating their assistance, reactionary approaches that entail larger investments can be replaced with planned interventions ensuring access and distribution of water to all.

Water for AllAction Entry Point Actors Expected Outcomes Time Frame

Access to WaterExtend WASS to pop-ular settlements

Link up fragmented initiatives

Shift focus from dis-tribution to access mechanisms

Incorporation of plan-ning to water services

Esquema 400

Huachipa plant

Aqua Para Todos

SEDAPAL’s Past col-laboration with the MPI

SEDAPAL

MPI

Linking up initiatives through planning

More efficient use of re-sources

Liberating funds for con-current project

Increase access to water

Short term The Huachipa and the Esquema 400 projects have to link up

Long term Incorporate planning to design, coordinate and execute the projects

SanitationAction Entry Point Actors Expected Outcomes Time Frame

Demarcation of defeca-tion areas

Construction of latrines

Extension of water and drainage to defecation areas

Gender sensitive demar-cations

Unused land

Our meeting with the community regarding sanitation

Posters we distributed

Past demarcation of areas

Community

Individuals

Health benefits

Human waste man-agement

Reduce environmental impacts

Creation of a more pleasant environment

Short term Adoption of new practices and de-marcation of areas

Long term Health and environ-mental benefits


7.3.3 Eco-water management

Water is a finite resource, and this is particularly evident in the case of Lima. Approximately 80% of Lima’s water supply comes from glaciers, which are now in retreat due to climate change. It is predicted that within 30 years,

there will be no glacier water remaining. As the popula-tion of Lima continues to grow, the scarcity of water will increase, accompanied by a sharp rise in the price of wa-ter. Through the adoption of best water practices, it is possible to decrease consumption considerably, resulting in the reduction of everyday costs.

Eco-Water ManagementAction Entry Point Actors Expected

OutcomesTime Frame

Reduce the duration of shower, this uses 20lt of water per min-ute

Standing shower in a bathtub, to recycle wastewater. This water can be used for flushing toilets

Shut off the water tightly

Wash dishes in the tub rather than letting water flow

Rainwater harvesting

Soak before washing clothes and dishes to avoid excessive water consumption

Water plants in the early morn-ing or evening to avoid excess evaporation

Recycle water used for the preparation of foods such as rice and potatoes to water plants

Existing water saving practices

Our discussion groups with the community about water manage-ment

Posters we distributed regarding water man-agement

Community

Individuals

Reduce consump-tion and cost of water

Reduce water waste

Reduce amount of time spent procuring water

Short term Adoption of practices

Long term Reduction of wa-ter stress condi-tions


8. Conclusion

In the Quebradas, labelled as high risk, government in-action is produced and reproduced through the ‘grey-ing’ of the area. The ‘greying’ of the area occurs from the creation of various SEs that facilitate, tolerate, and incentivize expansion and water injustices. The instru-ments through which the SEs are created are mainly the COP, CM, the deregulation of the tenure system, defi-cient housing finance, and the ill interpretation of risk. The ‘greying’ of the Quebradas, thus, results in disen-franchisement, which in our understanding of EJ signi-fies a deep-rooted socio-political mal recognition of the polity. As a result of the mal-recognition and exclusion, mal-distribution emerges.

Furthermore, within the SE, the costs, risks, and re-sponsibilities of developing the areas are transferred to the communities, thus, forcing them to familiarize their spaces, to make them habitable. Familiarization of spaces gives rise to popular urbanizing entities, which act in isolation, thus creating multiple spaces, logics, and perceptions in regards to risk, development, and water injustices. These practices, perceptions, and log-ics co-opt the SE for short-term gains, while neglecting the long-term consequences of continued expansion. For example, settlements building precarious structures high up on the hills not only increase risk, but also re-

duce the feasibility of executing infrastructure develop-ments for WASS, further expunging them from formal planning regime.

Thus, through our strategies we propose consolidation as an attempt to bridge ‘formal’ and ‘informal’ space-making practices. This is based on the belief that consolidation will yield the integration of the popular sector to the urban fabric, extend access to basic services, reduce environ-mental impacts, and ultimately, through greater recognition and participation, change the governance structure of the Quebradas. Therefore, our strategies address the underly-ing factors of environmental justice: recognition, participa-tion, and distribution. Prioritizing them in that same order. The underlying principles of our strategies are embodied through the concept Nuestra Eco-Quebrada.

Nuestra Eco-Quebrada can act as the trigger for trans-formative change. It has the potential to link needs based and policy driven practices, thus harmonizing the myriad of formal and informal planning and development prac-tices, that at present produce and reproduce water injus-tices. It acts as a blueprint that can be contextualized in other cities of the global south that witness similar trade-offs, between expansion and development. Nuestra Eco-Quebrada is not an end in itself. It is the foundation for assessing and addressing environmental problems so as to attend to inequality in cities.


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Appendices

1. Introduction to the Case Study Sites

1. Introduction to the Case Study Sites:

1.1 Portada de Belen

The settlement of Portada de Belen is situated on the higher parts of the Quebradas in José Carlos Mariátegui. It was established in 2000 when settlers came and occupied the area. These settlers did not pay any membership fees to be a part of the community. However from the year 2001, the community members have had to pay a membership fee to become a part of the community. These fees have increased from 50 soles in 2001 to 800 soles in 2013. The community use these fees to carry out community development works, which are decided upon and carried out through the Sunday Faenas.

Water:• Prior to 2008, water trucks delivered water in the area.• Pilons are communal taps that are installed by SEDAPAL. In PB they are 4 months old. One of the three has the water meter, which measures the consumption of water. 30 people came together to apply for the communal connection. There are 32 users for all three pilons and the households pay approximately 5 soles per month for their water. The watering of communal green areas is counted within the scheme as two users.• People with a water connection pay 20-25 soles for their water consumption.• The new community members are trying to get individual connections and they are looking at not just SE-DAPAL but other private sources for the water connection. They are also trying to obtain finance for these connections.

Risk:• The stairs have no railing or landings. As a result they are very precarious.• All 8 stairs are built with stones.• During winter the risk is higher as there is dense fog, that reduces visibility considerably.• The area also faces seismic risk.• There is increased risk during the rainy period from July-August when the pircas can be entirely washed away.• The entire block A is affected during this period as everything is built on the pircas.

Electricity:• The community obtained their streetlights in 2013.• It took three years to fully install the lights as the terrain had to be made suitable for the construction of these lights.• The community did the construction and flattening of the land for these lampposts during the Sunday fae-nas.• The electricity was provided as part of the program Luz Para Todos. The individual lights came after the streetlights were fixed.

Risk Mitigation/ Afforestation:• The community is planting trees in areas of risk, as trees will help risk mitigation.• The community attempt to prevent the occupation of these lands from land traffickers through afforestation• Land trafficking does not occur in PDB however it does occur in the neighbouring areas.• Eucalyptus trees, Molle trees and sugarcane plant are the only plated fauna seen in the area.• The Municipality visited the area in February and gave a general talk on risk for 2 hours. The community was not informed about this meeting

Land and Mapping of new areas:• For new residents to get a COP, the community needs to hire an engineer and remap the area with the new community.


• The cost of the mapping is spread equally amongst households.• The community will often wait until infrastructure projects are finished to avoid the cost of unnecessary remapping.• 2010 was the first time the community attempted to acquire land titles from COFOPRI. However, COFOPRI did not have the resources to carry out the risk assessment or provide land titles, hence the whole process was stalled.• From 2010-2012, the community asked for more land titles. However COFOPRI, due to lack of resources, was unable to process the documents.• The land in the area originally belonged to the Jicamarca.• The most important document for the community is the COP (as it entitles them to the basic services)• The certificate lasts 5 years.• Some services require a renewal of the certificate.• The COP is awarded to individual plots, however the community does it collectively.• The individuals need a signature by their neighbour for authorisation of the legal boundaries of the plots.• It costs 72 soles for each certificate.

1.2 Nueva Generación

In 2001, there was a struggle going on between Portada de Belen and U4 for the land now occupied by Nueva Generación (NG). The large invasion that occupied the land decided to belong to neither community and started their own community organisation. The first settlers were 60 households that paid 150 soles to be a part of the NG association. They paid another 120 soles for flattening the land, but it was still paid to neighbouring associations.

Water:• The original settlers did not participate in any programs until Agua Para Todos.• In 2006 the water tank situated near Portada de Belen was built through the joint efforts of 5 settlements. In 2007, SEDAPAL started providing connections and all of the settlements received water from 2008.• When NG did not have piped connections, they received water through the water trucks. These trucks were authorised by SEDAPAL.• It is illegal to share water and SEDAPAL has the right to fine the resident providing the water approximately 800 soles if they are seen to be sharing water. SEDAPAL carries out unannounced visits to check for illegal sharing but rather than implement this fine connections are cut. If a resident has their connection cut it costs 50 soles to re-establish their connection.• The water service for those connected is very good (24x7) and the water quality is good as well (the people boil water before consumption and this is a practice endorsed by SEDAPAL as well)

Cost of water:• People paid 30 soles for a connection and they paid 10 cents for 80l of water (this was from the original pilon that does not exist anymore) in 2001.• The cost of a water connection has gone up to 1200 soles for individual connections.• For the settlers without a water connection on the lower parts of the hills, it costs 7-10 soles per month to access alternate water connection; whereas on the higher parts of the hills this cost is 45 soles per month.• Due to the increasing cost of connection, the percentage of households dependent on alternative sources has dramatically increased.

Risk:• People assume the responsibility of risk in this region.• The area is more risky during the rainy season and all the stairs are considered risky.• People build their own pircas. These pircas are considered as areas of risk as they are built without any technical support and thus tend to be improperly built.• The staircases are also considered as being a risk.


2. Maps of the Sites

• The new construction activities on the higher parts of the hills are posing a threat to the residents on the lower parts. This is due to construction material and boulders falling down and damaging the structures on the lower parts on the hills.• The cost of mitigating risk has greatly increased as the cost to flatten land has gone up from 120 soles in 2001 to over 800 soles 2013.• The cost of building retention walls has also increased and only a few households can afford to build reten-tion walls for their individual plots.

Land:• People who have lived in the area from before December 2001 can apply for a land title.• The land title provides them better security, but in reality land titles are not given in thisarea.• If a plot is unoccupied for over three months it can be resold. This is done to maintain aspecific level of population in the community to carry out community works and to fulfil therequirement of the population size for any projects that might be undertaken in that area.

2.1 Portada De Belen

Figure 26


Figure 27

2.2 Nueva Generación

Figure 27


Figure 29


3. Methodology

3.1 Field trip Schedule with Aims and Objectives


3.2 Details of the Mapping exercise

Objective:

To understand the actual and perceived risks that affects the communities, their coping mechanisms and the insti-tutional practices that can mitigate such risks. We also hope to gain a clear understanding of the differentiated water access in terms of quality, quantity, type of water access and the duration of access in terms of intermittent access by mapping them out. We hope to raise awareness of such issues and pass on the knowledge to the communities of how to map out the risks and water issues, which can then be used to push for improvements in their areas.End Product:A document that maps out such issues and provides a series of recommendations.

Introduction to exercise• Objective• End product• When and how will the information be shared (contentious)• What we need from them• Explain the procedure• Ask for volunteers

Roles1. Sticking dots (x2)2. Holding map for transect walk3. Note taker (x2)4. Recorder5. GPS mapper

Census data/Enumeration1. Name2. Plot location3. Time of settlement4. Type of water access5. Household size6. Land Title7. Contact detail

3.3 Questions for the Semi-Structured Interviews conducted during the Enumeration:

Type of water access:a. How did they get itb. Year of acquisitionc. Quality of waterd. Frequency of servicee. Quantity consumedf. Price of service

Type of current land holding:a. Membership feeb. What that entitles them toc. When did they get itd. How did they get ite. Future development plans for their land holdingf. Developments they have undertaken for their landg. Any benefits or lost under this land title (the district and/or COFOPRI)

Time of arrival:a. Type of land claim at year of arrivalb. Was it a collective or individual effort


c. How did they establish themselvesd. How many people were already locatede. What sort of services were availablef. What motivated the moveg. Where did they move from (city or a different part of the country)

Where are the stairsa. Who built themb. What material are they made out ofc. State of stairsd. When were they builte. What is their purpose (connecting which points)f. Any mishaps that may have occurred while using those stairs

Where are the retention wallsa. Who built themb. What material are they made out offc. State of wallsd. When were they builte. What is their purpose (what are they holding up)f. Have they been looked at by the civil defence? And do they get damaged during the winter

Where are risks locateda. Typeb. Scale (low, medium, high)c. Who are affectedd. Are there any mitigation practices

i. Pastii. Currentiii. Future

Where are the lomasa. What sort of activities take place thereb. What is their extent

i. Has this changedii. Will this changeiii. Who else has access to these

i. Do they influence the state of the resource? How?c. Services provided by the lomas in the period of their bloom.d. Use of the land when the lomas are not in bloom

Practicesa. Are any faenas carried out with other asentamientosb. Are any improvement works carried out with governmental institutionsc. Are any improvement works carried out with non-governmental institutionsd. What are the lacking skill set that they need help with

i. Futureii. Pastiii. Present

Gender (Men/women)a. What is the biggest concern?b. What is the major challenge for the access to the water serviceprovision (tariff, quality of water, institution, etc)?c. How do they participate in the community meeting? (Invited?)d. Who were in the meeting and the male/female ratio?e. Have you involved in any community work and what kind?


1. Areas d Risk as indetifies by the community

Figure 30

Figure 31


4. Nuestra Eco-Quebrada


Figure 32. Nuestra Eco Quebrada Poster


5. Ordinance 1643 Municipal Popular housing program

Figure 33


6. Esquema 400 SEDAPAL network extension project


7. Lomas de Lima


8. Mapping Manual


5. Huaycán. Rebuilding Hope

Nick AnimThomas ChungMonica GurmilanKathryn LehrSatya PatchineelamSu Jung SongEreeny Yacoub

Table of Contents

AcknowledgementsAbbreviations Executive Summary 1. Introduction 1.1 Huaycán: Building Hope 1.2 Objectives 2. Theoretical Framework 2.1 Hypothesis and Research Question 3. Methodology and Research Questions 3.1 Methodology 3.2 Limitations 4. Grounding Diagnosis and Findings 4.1 Disjunctures 4.2 Water 4.3 Spatial Fragmentation 5. Strategising Transformation 5.1 Capacity Building 5.2 Integrating Youth 5.3 Statutes and Governance 5.4 Housing 5.5 Lima 2025 6. Conclusions and Future Research References Appendix


Acknowledgements

Our group would like to start off giving a special thank you to Carlos Caycho, our field facilitator, who very will-ingly gave us his time and energy, helping us in the field, offering his knowledge and believing in our research. We also express our gratitude to Andres Alencastre our first facilitator, who despite his circumstances exerted every effort to support and enrich our research.

We would also like to express our foremost gratitude to some unique individuals that were extremely significant throughout the fieldwork process; Teresa Belkow, Lor-enzo Ortiz Rosales, Julio Cajas Ramos, Beatriz Carde-nas Robles, Eduardo Lizarzaburo Robles, Alejo Quispe Yauyo,Nancy Anchi Marallan and Jenny Sangama Rios, as well as community members of zones R and J.

Our appreciation extends to the different public institu-tions that shared their knowledge and opened their doors to our inquiries: Municipal Agency of Huaycán, Ministry of Environment, SEDAPAL and Ministry of Housing.

Last but not least, special thanks to our UCL facilitators who accompanied us to Lima, especially Étienne von Bertrab, who through his enthusiasm gave us continu-ous support and guidance, as well as Adriana Allen, Rita Lambert, Matthew Wood-Hill and Liza Griffin.

Abbreviations

CEC - Central Executive Council

COFOPRI - Organismo de Formalizaciòn de la Propie-dad Informal (Organisation for the Formalisation of Informal Property)

COP - Certificate of Possession

CUAH - Comunidad Urbana Autogestionaria de Huay-can (Self Managing Community of Huaycan)

GO - Governmental Organizations

GPS - Global Positioning System

LIMA 2025 - The Coordinated Regional Development Plan of Lima

NGO - Non-Governmental Organizations

SEDAPAL - Servicio de Agua Potable y Alcantarillado de Lima (Service of Potable Water and Sewage of Lima

UCV - Unidad Comunal de Vivienda (Communal Housing Unit)


Executive Summary

This report presents a case-study of Huaycán, a self-managing community of predominantly low-income households on the outskirts of metropolitan Lima, to highlight the growing importance of community-based alternatives to development. The report employs the con-cept of socio-environmental justice to examine the com-plex linkages between social and ecological injustices as the Huaycán community struggles with an exceeded car-rying capacity and ongoing expansion.

Through the use of mapping and interviews with various stakeholders, our investigations reveal tensions between community development and the prevailing market-driv-en political economy, which fosters the normalisation of individualistic pursuits. Our resulting field study indicates that the temporal erosion of the collective identity and ob-jectives intrinsic to the sustainability of the Huaycán com-munity can be addressed through various strategic inter-ventions including capacity building, establishing a set of common drivers, and proactively engaging the youth in the decision-making processes.

Finally, the report concludes by looking at possible future strategies for the city as a whole to argue that a holistic approach to development which encompasses the origi-nal ideas of self-management offers the most practicable way to sustain Huaycán in a social and environmentally just way, thus reconstructing the hope for a better future.The report is targeted primarily at policymakers and stakeholders in the Municipality of Huaycán, the District of Ate and Metropolitan Lima in the hope that it will en-rich the developmental debates and practices not only in Huaycán, but also across the mega-city of Lima.

1. Introduction

Lima, Peru's capital city, consists of 43 districts. From the city centre to the outskirts, ultramodern neighbour-hoods can often be seen juxtaposed against a backdrop of informal settlements that cling to barren hillsides. With nearly 9 million inhabitants, its governing authorities por-tray the city as a ‘city for all’.

Departing from the principle of sustainability which is concerned with the symbiotic linkages between the tri-partite spheres of ecology, social equity and economic demands, this report presents a case study of the self-managing community of Huaycán to examine how ac-cess to the city’s resources is manifested (Figure 1).

To that end, the report is presented in 5 main sections. The first section is a synopsis of Huaycán’s creation and evolution which highlights the changing objectives of the expanding settlement and its inhabitants. The second sec-tion looks at the analytical framework/s and methodology employed in the case-study, as well as the limitations en-countered. The third section then presents the findings, critical evaluations and preliminary conclusions from the field. The penultimate section of the report looks beyond the conclusions drawn from the field findings, to potential outcomes. This involves presenting possible scenarios in order to strategise interventions for transformative change. Finally, the report argues in its conclusions that the tem-poral erosions of Huaycán’s original objectives and ideals, coupled with the prevailing political economy, has fostered individualistic pursuits resulting in an absence of the cohe-sive community envisaged by the community’s founders. Furthermore, the report contends that the sustainability and future development of the community requires proac-tive efforts to respect the carrying capacity of the environ-ment as well as, importantly, engaging the next generation of community leaders, the youth.

Figure 1. Map of Huaycán in relation to Lima


1.1 Background

Located in the district of Ate-Vitarte, the settlement of Huaycán can be found 16.5km from the centre of Lima. The original settlement was formed on the 15th of July 1984 by an association of 5000 low-income families in the prevailing absence of government housing programmes to meet the needs of a rapidly increasing urban population (Arévalo, 1997). Huaycán was a planned intervention de-signed by the municipal authorities and grassroots organi-sations as a model of a self-managing urban community (Arévalo, 2007; Rojas, 2013)

The first phase of the development was organised around communal housing units (UCVs) comprising of 60 housing plots of 90m2 including additional spaces for communal areas and parks (Caycho, 2013b). On average, 20 UCVs constituted a zone,

and in the initial phase, there were 11 zones; A to K (Rojas, 2013). An integral part of this controlled phase of devel-opment was the setting up of security committees, which monitored and prevented unplanned invasions further up the slopes of the alluvial valleys of the settlement area (Arévalo, 1997). This ensured that the emerging planned settlement did not encroach on the surrounding lomas, thereby sustaining its hybrid benefits of helping to mitigate against the potential risks of huaycos (mudslides), as well as its latent function as ‘the lungs of the city’ (Cárdenas,

Figure 2.The zones of Huaycán

2013). Further important objectives achieved by the emer-gent community through collective action included cam-paigns for water, electricity, a complete drainage system, an institute of technology, a hospital and enterprises . With the strong leadership and visioning of its founders, Huay-cán was emerging as a ‘city of hope’ in spite of the com-plex and sometimes violent political environment of the time (Caycho, 2013 a).

In the 1990s, during the presidency of Alberto Fujimori, neoliberal reforms were introduced to stabilise Peru’s economy, which had been plunged into hyperinflation and depression by the previous government of Alan Gar-cia (Gonzales de Olarte, 1993). These reforms, combined with rural underdevelopment and increasing incidents of terrorist activities carried out by the ideologically opposed Shining Path, served as a push factor for rural to urban mi-gration. Despite the lack of housing programmes to meet the rising demand, Lima was a destination of choice due to its economic primacy. The corollary of this migration was the proliferation of land invasions in and around the city. In Huaycán, this resulted in an upward extension of the set-tlement into the unoccupied and protected areas. Huaycán now provides homes for some 150,000 people in an urban expanse of 26 zones A-Z, (Figure 2) (Caycho, 2013a). The settlement still clings to its founding axiom of being a self-managing community although the passage of time and the exponential growth of the population have arguably di-minished the community’s ability to act collectively.


1.2 Objectives

Our fieldwork objectives evolved in three distinct stages. We initially focused on issues of water injustice with the aim of expanding our theories of distributive justice. The second phase in the development of our objectives was informed by in-depth diagnostic literature research cou-pled with interviews with partners on the ground. Our focus shifted from water injustice to environmental justice. From what we learned, the community had developed beyond the quest for access to the basic services of water and sanitation. Our aims at this point then focused on issues of disjuncture, fragmentation and individualistic pursuits within the community. Our renewed objectives therefore sought to compare the original Huaycán settlements to the recent arrivals.

Our fieldwork reframed our objectives. Whilst issues of in-dividualistic pursuits and fragmentation within the Huaycán community were still pertinent, we realised the complexity of our ambitions; not least because of the spatial expanse of the community. Following various interviews with com-munity leaders, we further revised our objectives to include issues of land tenure, risk and community sustainability.

2. Theoretical Framework

Environmental justice emerged as a normative concept and social movement in the United States in the 1970´s (Schlosberg, 2007), and can be referred to as the spa-tial distribution of environmental benefits and burdens amongst people with a distinct “fairness in the distribution of environmental wellbeing” (Low & Gleeson,1998). Differ-ences of the social environment are accepted as a root for

the mal-distribution of environmental burden and benefits (Hornberg and Pauli, 2012), based on the links between social and spatial distribution of hazards, risk and socio-economic status. The dynamics of urban space are con-stantly shaped by interacting drivers in the continuously evolving social, economic, political, physical and environ-mental systems. These systems shape questions of injus-tices not only within the city but also at regional, national and global scales (Ibid).

Addressing environmental justice in an urban context pos-es a complex challenge due to those dynamics as our re-search demonstrated in Huaycán. As such, the question if and how a just distribution of environmental burden and benefits can be realized, as well as which assessment cri-teria are to be observed, has become an area of interest in the discourse on environment and urban space.

Following the main ideas, a contemporary definition should focus on or include aspects of distribution (Bullard, 1994), recognition (Figueroa, 2004) and participation (Shrader-Frechette, 2002). Furthermore, ideas of combining ele-ments to address environmental justice have been brought forward (Taylor, 2000). Within the context of Huaycán, we define environmental justice as the protection from envi-ronmental and health hazards, equal access to decision-making processes and equitable distribution of society’s benefits and burdens- especially in regards to the on-going expansions and a healthy environment in which to live learn and work as well as the inclusion of the rights of non-human nature. The movement towards achieving environmental justice can be seen as a solution approach to the formation of environmental inequity (Figure 3) (Sze and London, 2008).

Figure 3. Environmental Inequity Formation. Source: Pellow, 2000


Accordingly, environmental injustice cannot be seen as a single harmful event but as a product of political, social and economic interactions. Such injustice is derived from the decision process made by all involved parties, which is subject to contradicting interests.

Given the nature of environmental hazards and risks, a long term life cycle perspective is advised though often ignored, to fully account for costs and benefits within time and space. “A Life Cycle perspective incorporates a set of procedures for compiling and examining policies as-sociated with environmental impacts attributable to the functioning of a system throughout its life cycle.”(SETAC, 1993). Adopting a life cycle approach in assessing inter-ventions could therefore be a tool to ensure a holistic de-velopment planning approach, contributing to social and environmental sustainability.

The process of decision-making or governance is spe-cial in Huaycán (Figure 4). Designed as a self-managing community, a federal system of UCV´s is used to micro govern the area. The system relies on the ability of the community for finding a common voice and participatory action, thereby in theory keeping injustices to a minimum (Mortensen, 2010).

Risks in the context of Huaycán are related to its natu-ral setting at the bottom of mountain slopes, therefore, Huaycán is prone to huaycos, which pose an inherent risk to settlements. However, it is primarily the recent expansions on the upper slopes that are located within these high risk areas. Even though the idea of mitigating disaster risk through green spaces and restricted areas

had been part of the original development plan, these areas have been settled, defying their original function as ecosystem services. Ecosystem services can be viewed as goods and services derived from biophysi-cal processes that benefit human well-being and sup-port societal functions (Daily, 1997). In an urban context such services are tied to urbanized ecosystems espe-cially green spaces or watershed areas. These fulfill a variety of functions like stress relief, improved air qual-ity, food production and risk mitigation, to name only a few (Niemelä et al., 2011). Due to the complexity and relative novelty, the discourse around the relationship of ecosystems and environmental justice has yet to be fully explored (Ernston, 2013).

The influences on the environmental sphere in a local con-text are directly related to the self-governance scheme. The ideal of common community action has been replac-es by fragmented, single interventions (Figure 5).

Urban geographies are constantly reshaped thus re-flecting power relations amongst different urban actors (Cumming, Cumming & Redman 2006; Swyngedouw & Heynen, 2003). Subsequently these relations lead to synergies which cause benefits for some whilst others make the urban system vulnerable to outside influences. An example is how the original layout of Huaycán is now interconnected to the middle and upper zones. By ne-glecting risk mitigation strategies in the upper zones the lower zones are potentially affected by new water runoff due to stair building.

These problems are related to the lack of a holistic vi-sion and community fragmentation. The renunciation of finding a common voice for community action can be seen as a major contributing factor to said fragmen-tation. The idea of participatory self-governance was intended to allow for a localized approach to ensure just development. The common driver had however been lost after the procurement of services to the origi-nal zones. This heterogeneity from within poses a ma-jor challenge. Such division:´(…) can be overcome by good institutional design when interests of those con-trolling collective-choice mechanisms are benefited by investing time and effort to craft better rules’ (Ostrom & Varughese, 2001). However, given the local govern-ing structure the crafting of better rules from national down to zonal levels is difficult. In ‘Anthropology in the Margins of the State’ Das finds that:” (..) state laws and documentation take on a life of their own in a poor neighborhood.”.

As such, there are multiple agents vested in orchestrating improvement programs for Huaycán. Government agen-cies, NGOs and grassroots organizations back individual projects thus contributing to these kinds of dynamics. These approaches show how governance is complicated both physically and conceptually because power does Figure 4. Governance Structure Huaycán


not emanate from one centre. Secondary and tertiary agents, like program administrators and local leaders can build power and influence in the lives of residents through state power in illicit ways (Poole, 2004) thus influencing boundaries and power relations.

Injustice is manifested through inadequate financial and land resources in combination with limited economic op-portunities and defined boundaries which in turn restricts the scope of action for the afflicted resident groups. Thus these residents are exposed to risk as they have no choice but to settle in inexpensive, un-serviced, unmitigated ar-eas. The government´s neglect for adequate social hous-ing programs as well as the question of enforcing existing statutes causes added pressure.

Ultimately the relations of society from National to com-munal level, down to the individual household need to be taken into account.

Departing from the micro level of distribution, recogni-tion and participation, the field research was explored through a framework which was to evaluate the impact of fragmented self-governance on human and non-hu-man nature and explored how it translates into the links between social, and ecological justice interactions and their effects on the lives of local residents due to spatial manifestations.

2.1 Hypothesis and Research Questions

The diagnosis research and theoretical background lead to the following hypothesis:

“The effects of individualistic interventions on various levels of governance have eroded the community´s ability to act collectively, leading to

Figure 5. Influences on the environmental sphere in a local context

fragmentation within Huaycán’s zones creating social injustices that manifest themselves spatially. However, by prompting collective action and pro-moting government collaboration the issues of so-cial and water injustices can be addressed.”

Following research questions were relevant to assess the Hypothesis:

1. What are the driving influences behind alleged fragmentation, what role do the various levels of governance play and how does it manifest itself in daily life?

2. How can community and community action be conceived in the local context and what counter-acts a common drive?

3. What is the access level to infrastructure servic-es and basic services across the different zones?

4. How do environmental burdens and benefits ex-press themselves spatially and what kinds of risks are faced by the marginalized?

5. What mechanisms perpetuate ongoing expan-sions and accordingly how are boundaries defined and by whom?

3. Methodology and Limitations

3.1 Methodology

For the purpose of exploring both our hypothesis and our research questions, different approaches were developed to uncover key information needed to fully understand and analyse our area of study.


The methodology has evolved according to the findings in the field, the group had to adapt and readjust zonal focus and schedule.

For example, we initially planned to work in zone Z on teh first day, then later the community was not interested to participate so accordingly we focused on zones J and R, where there were:

MethodologySTAGE I: Diagnostic ResearchLondon, UK

- Desk research was conducted as an initial preparatory phase in regards to Metropolitan Lima and Huaycán.

- Key interviews with main facilitators via Skype.-Andrés Alencastre-Silvia de los Ríos-Carlos Escalante-Liliana Miranda

STAGE II: Field WorkLima, Peru

Transect walks (see Figure 6)

Three transects were conducted in zones R, J and Z

- Conducted for the purpose of understanding local conditions and to define problematic areas.

- Data collection was undertaken and supported by GPS, Camera and Epicollect.

Mapping

- To determine risk, informality, boundaries, growth and infrastructure was carried out with the participants of Zone J and Zone R.

- As a result the group produced maps with UCVs boundaries that were defied in the mapping exercise and were given back to the community

Interviews, Presentations and Lectures(See Appendix 1)

- 14 Key individuals of the community were interviewed in addition to conversations with community members during field daysand we also attended presentations and lectures of various organizations in Lima, amongst which are SEDAPAL and Ministry of Environment

Survey

- A survey of the youth was conducted in two local schools of Zones J to understand the relationship between the youth and the potential future involvement with the community

STAGE III: Post Field Trip Analysis and Outputs London, UK

- Analysis of data

- Video and Final Presentation

1- Eagerness from the community to participate2-Examples of respected and well followed leaderships3- Diversity of settings; formal, informal and expansions4- Sound examples of water issues either inaccessibil-ity or political issues. The following methodology was used both in the diagnostic stage, as well as the field work stage and with it we were able to reach a clearer diagnosis of our research.


Figure 6. Combined Transect Walk Zones R and J

Mapping in Zone J


3.2 Limitations

Size Huaycán covers a large area and as such, the assessment of the community as a whole posed a physical restriction for our research. Therefore the relationship between the various zones and UCV´s, as well as the relations between the original lower zones and the more recent middle and upper ones were not explored indepth. In addition our focus was confined to two zones with a limited number of paricipants , so it did not provide a thorough example of land informality, risk mitigation and community programs throughout Huaycán.

Mapping Exercise Due to the lack of participant availability, the community input was hindered in the mapping exercise as it was only attended by key figures and leaders creating a potential opinion bias.

TimeOur total time spent in the field was five days. Due to the complex nature of Huaycán, its history, planning and social organisation, we felt this was not enough time to thorough-ly and completely identify and grasp all the underlying intri-cacies of our key findings. Thus our findings and strategies were limited by our timing and scope of fieldwork.

LanguageThe understanding and interpretation of our interviews, discussions and fieldwork were limited by the lack of language skills. Our group had two bi-lingual members, however during on-site or ‘real-time’ interactions, the lan-guage barrier proved to reduce our comprehension level.

4. Findings and Diagnosis

Our research has presented a number of significant find-ings that permeate the multiple levels of Huaycán. While our research incorporates Huaycán as a whole, our field work was focused in two zones: J and R. Located on the upper slopes of the valley, the two zones provided us with a unique view into the various facets of community life (Appendix 4.4).

4.1 Disjunctures

Research findings have shown disjunctures within Huay-cán as well as the communication interface between Huaycán and Lima. The first of such is highlighted by the discords between national policies and Huaycán’s original development plan. Huaycán was the first settlement that was created to address the issue of housing while simul-taneously incorporating the environmental and communi-ty carrying capacities (Alencastre, 2013). However, within years this holistic vision was impaired by Alan Garcia’s political clientelism, which facilitated a land grab through-

out Peru, and resulted in the neglect of Huaycán’s original development intent.

Years later, the disregard of the original plan was further underpinned through legal mechanisms. In the early 1990’s metropolitan Lima saw an influx of settlers coming from the countryside due to Shining Path’s violence. Due to this surge in population and inadequate housing provi-sions, the government passed a land law in 1995 that lift-ed residential restrictions on designated agricultural land (Calderón, 2001). This law ultimately restrained the ability to limit urban expansion into agricultural zones and sus-tained the opportunity for expansions to ascend the hill-sides of Huaycán exceeding the once delineated bound-aries of settlement. The incentive for collective action was diminished once communities acquired their basic needs. The original organizational structure of Huaycán has lost a substantial part of its purpose. The waves of migra-tion have spurred the detachment between the original settlers, Huaycán’s ideals and the current developments, thus allowing for the creation of assorted Huaycáns.

The erosion of the collective community has enabled the individualised interventions within the zones. Though there has been a lapse in the collective aspect, the dif-ferent Huaycáns are still connected through the original layout; project and initiatives in one zone correspond-ingly affect others. Numbers of NGO’s have been active within various zones, however there is a lack of coordina-tion amongst them, thus projects are zonal or UCV spe-cific and occur without consideration for the community at large. Stairs have been constructed in Zone J with-out regard to the effects of runoff and potential floods in neighbouring areas. Communities mobilise effectively to address their needs, yet not cohesively, thus creating and reinforcing the differences and divides.

The quality of government or NGO project implementa-tion is often initiated and dependent on zonal leadership and relations with the community as well as the planners. An example of such inefficiencies occurred in Zone R-


the leadership was unable to settle a community dispute regarding a sewage connection. The zone was at odds with itself, which resulted in the split of the community and only a portion initially receiving the condiminial sys-tem (Appendix 1.1).

Leadership inefficiencies are reflected in other areas such as the lack of guiding the youth. Due to Huaycán primar-ily functioning as a dormitory city residents are obligated to work elsewhere accordingly the parents have voiced their concerns (Appendix 1.2) about not being able to supervise their kids, additionally, the nonexistence of youth programs perpetuates an environment for youth to participate in antisocial behaviours; gangs and drug use. This is an indicator of the disjuncture between the youth and the larger community. The original generation overlooked the transfer of ideas to newer generations, thus resulting in the youth’s lack of understanding of the struggle for Huaycán and its identity. This creates a rift in the direct involvement of the youth and their commu-nity (Caycho, 2013 a).

4.2 Water

Our findings show a high degree of access to water, ac-cording to residents roughly 90% have access (Ortiz, 2013). This counters our initial perception of water scar-city within the community and upon further introspection, utilising Ioris´ concept of scarcity, we can understand scarcity and water injustice through socially produced mechanisms (Ioris, 2012). Using the definition of water justice as; the recognition and opportunity of all persons regardless of their formality statues, to gain equal and equitable access to affordable potable water and sanita-tion services, our findings indicate that water access and cost and therefore justice are dependent on status of land possession.

While a large portion of households have piped water, those lacking or those that are in the process of obtaining government approval are reliant on water lorries- which can cost up to ten times more than a piped connection for the same quantity (Caycho, 2013a). In an isolated cir-cumstance, eight families are misrecognised as ‘invasors’ or “invaders” by an association and are prevented from formalising land claims, which in turn constrains their ac-cess to water resources (Figure 7). Due to financial con-straints and inability to pay for costly water lorries, the families depend on neighbors and family to gain water provisions. The storage methods for these families affect the quality of the water and pose a high risk to water-related diseases, thereby, creating unjust unnecessary exposure to health risks.

The formalisation process is just as important for ac-quiring land possession as it is for basic services. The process follows the hierarchical governance structure of Huaycán, starting with the UCV and must gain approval

at the numerous levels to obtain a CoP (Figure 8). The CoP enables households to apply for service connections to the municipal network and is the precursor to obtaining the formal land title from COFOPRI.

However, there have been instances where communities have circumvented this process and have gone directly to the highest level to seek approval. Regardless of the pro-cess, until the households of an extension obtain the CoP, it is up to them to acquire the basic services whether they can afford it or not. Although this is the formal process to acquire land titles, there are exceptions when households and extensions have circumvented the process directly petitioned the CEC or Municipality for approval.

4.3 Spatial Fragmentation

The original development plan positioned Huaycán to ex-ist within the carrying capacity and to maintain the sur-rounding environment; however currently this is not the case. Thus referring to our definition of environmental justice in Huaycán, we find that these injustices are mani-fested spatially and are to be bore by those not formally

FORMAL

NEWLY FORMALISED

ON THE PROCESS

CERTIFICATE OF VIVENCIA

INFORMAL EXPANSION 2011

LAND WATER

ACCESS

ACCESS

ACCESS

NO

NO

Figure 7. Zone J, Water and Land Titles


Figure 9. Absence of Land Titling and Services

Figure 8. Formal Land Titling Process

recognized and forced to settle in higher more risky areas in turn negatively affecting the environment by encroach-ing on the rights of non-human nature.

The process of informal land titling was originally done through local municipalities and became nationalised in 1996 through COFOPRI (Calderón, 2004) (Appendix 3.3). In order to fill the regulation gap of risk, land and housing, the government amended the land titling procedure, and externalised the obligation of risk mitigation onto the peo-ple (Franco Pacheco, 2013). As the expansions ascend the slopes, households enter zones of high risk. Though risk mitigation is both costly and time consuming, it must be addressed in order for households to obtain a CoP and a connection to SEDAPAL’s network, otherwise, for technical purposes.

Infrastructure for accessibility is in high demand as well and is often constructed without concerned for the en-vironment and the elderly. Therefore mobility is impeded and the repercussions have significant effects on people’s mobility. While there has been an effort to create stairs and pave roads, little has been done to address trans-port. The community does not currently maintain a public transport system, and the cost to use private moto-taxis is high (Appendix 1.5). Huaycán largely functions as a dormitory city, its residents are reliant on various forms of transport to get to their jobs thus stretching their financial resources.

In attempts to reincorporate Huaycán’s original intent of maintaining the surrounding environment, Huaycán Verde was initiated in 1994 as an attempt to green the area, as well as provide a buffer zone to prevent further ex-pansion (Alencastre, 2013). However, this has proven to be ineffective. Huaycán Verde was largely a govern-ment intervention, and thus resident participation in the

decision-making process and physically implementation was low. In order for programs like Huaycán Verde to be sustainable and carried on by the community, there must be a greatly level of community involvement from the ini-tial phases. A passive version of Huaycán Verde contin-


Figure 9. Absence of Land Titling and Services

ues today, providing trees to for residents to plant in their yards, which has spurred localised tree planting projects in a few UCVs of Zone J and R with attempts to expand to the zonal level.

The interconnectivity and expansions of the lower ar-eas into the middle and higher zones add an extra layer of complexity in regards to interventions and unwanted synergies (Zilbert, 2013). However, given the self-man-aging structure and absence of environmental policies, the conflict between settling the hills and resulting social concerns often take precedence to the conservation of the surrounding ecosystem. The lomas have been encroached upon, and their contribution of ecosystems services has been overlooked and unheeded. The lo-mas provide a number of ecosystem services not lim-ited to water collection for people and recharging under-ground water (Nature.org, 2007). The destruction of the lomas no only damages the local ecosystem, but has the potential to affect livelihoods of the people (Nature.org, 2007). The neglect of conserving sufficient green areas has effectively lead to the destruction of the ‘city’s lung’, which seeks to be addressed in the broader re-gional context.

Throughout our fieldwork we found that adults and chil-dren speak to the same vision of greener Huaycán as well as a more developed and unified Huaycán. The Coordi-nated Regional Development Plan of Lima (Lima, 2025), seeks to address the holistic interplay of development and the environment, however its envisaged impact re-mains to be seen.

5. Strategising Transformation

Huaycán has encountered numerous obstacles that have precipitated the fragmentation of its community. The driving forces that helped form Huaycán and its legacy have been neglected as individualized interests have taken the lead, and have overridden the collective and the idea of living within the carrying capacity. The ideals of the past have been overlooked to assess the present needs without regard to the future limits and generations. However, utilising our findings we suggest five different strategies that can be adopted to prompt and ultimately lead to environmental justice and transformative change. Such transformative change in Huaycán can be adopted through collective collaboration of all stakeholders where ideas, innovations and actions are developed to identify, create and bring up key practical and strategic approach-es, resulting in the fundamental changes necessary to bring about social and environmental justice (Springett, 2010).

5.1 Capacity Building and Communication

Throughout our field research it became evident that there exists a deficiency within and between communication

channels on both vertical and horizontal levels through various echelons of governance. Although Huaycán is setup to be a self-managing community, planning deci-sions and interventions lack multi-stakeholder involve-ment and collaboration. By reintroducing or strengthening communication channels and creating recurring forums to exchange views and ideas on how to promote the de-velopment of Huaycán, a holistic vision can potentially be addressed and realized, counteracting the on-going trend towards isolated interventions. Through these forums the community and its leaders can develop desired capacity building attributes that would assist in enhancing com-munication, leadership, participatory decision making, resource mobilization and sustainability (Brimblecombe, et al., 2011). By promoting the acquisition of outside ex-pertise knowledge transfer from GO and NGOs, Huaycán build up its capacity on all levels and maintain knowledge on human and non-human resources as well as preserve Huaycán’s self-management and governance structure.

However, as our research has shown, the government is not often involved in such processes, and the commu-nity will be heavily reliant on NGOs- which is a potential limitation as was shown in the failure of such projects like Huaycán Verde There the NGO involved failed to engage the community with the implementation of the project leaving them unaware of how to successfully maintain it. The enthusiasm shown by members of the original zones and their willingness to work with the recent expansions, as displayed on our fieldwork, can be an entry point for the development of new dialogues and skill sharing. Furthermore, the promise of further improvements and knowledge dissemination to younger generations is an enticing and necessary component for the revitalisation and sustainability of Huaycán’s objectives and can only be carried out with the creation of these dialogues 5.2 Involving Youth

Capacity building and a greater dialogue can also amelio-rate the disconnect that exists with the youth. Since the community has not worked on raising awareness of the original ideals and objectives of Huaycán within the youth, they have grown up detached from the community’s iden-tity and show apathy in maintaining their futures in Huay-cán. Through the efforts of active community leaders and members, Youth programs should be introduced giving added value to the youth and adult community alike. Cre-ating these programs can be challenging but an opportu-nity exists to build upon the link of similarity between the youth’s and adult’s visions for the community.

5.3 Statutes and Governance

Huaycán’s tenfold population increase has contributed to the community’s fragmentation. Exceeding the intended carrying capacity has rendered the original statutes out-of-date and has eroded the community’s ability to effec-


tively self-manage. To address the pressing issues of to-day, the current statutes ought to be amended (Appendix 5). Whilst conducting our fieldwork, founding members of the community expressed a desire for updated stat-utes showing that the community is aware that the cur-rent ordinance of the community is outdated. However, continued expansions pose as obstacles to the statutes as they essentially operate individually and with little re-gard to the decrees, undermining the governance struc-ture. Throughout the readjustments of the statutes, there lies the potential to undertake and enhance policies con-cerning environmental protection, densification, economy and land- all of which significantly impact Huaycán.

5.4 Housing

The lack of effective housing policy and programs throughout Metropolitan Lima became evident in Huay-cán throughout our fieldwork. The current programs are insufficient to meet housing demands and are unable to reach those in need (Ortiz, 2013) (Appendix 3.1). It is through community planning and development of land policies, as well as affordable housing programs, that people can gain social justice. Formal land titling provides people access to acquire basic services through network connections. With the lack of state interventions regard-ing housing and risk, it is up to the community to address these issues.

Working with the plans that exist within the leadership of Zone J of reaching out to NGOs and international institu-tions for financial assistance, can be a small step to provid-ing adequate housing in the community. Although this can potentially address the issue on a micro scale it has the capacity to undermine the state by neglecting their pres-ence and responsibility to address these issues, as well as the continuation of existing fragmentation within Huaycán.

5.5 Lima 2025

Instilling transformative change within communities can prove to be a difficult task and produce a number of con-straints. However, the vision and implementation of Lima 2025 can be an opportunity to help address these limita-tions at both the regional and community level. Arguably, the implementation of this vision will not be inclusive and will be delayed by the presence and growth of informal expansions scattered throughout Huaycán (Figure 10). Currently such settlers are not deemed part of the com-munity, changes designated by the community are not applicable, and thus this can potentially undermine imple-mentations of future community-wide projects. Neverthe-less, the cooperation displayed within the UCVs and the various zones, shows that an opportunity exists for the development of a localized LIMA 2025 plan. The leader-ship that we encountered in zone J and R both demon-strated that such a plan can be developed at the UCV level, can later be incorporated by the zone and ultimately

encompass the community as a whole. The trade-off lies in accepting temporary injustices for a chance at the implementation of a localized holistic development plan; this in turn could be a unifying driver to return a common voice to the community. As the program gains strength over time, its interventions can lead to a reduction of ad-ditional informal expansions creating a positive feedback towards its further execution.

The localized version of Lima 2025 has the capacity and potential to be the unifying objective, which not only brings the community together but becomes the cata-lyst to bring about transformative change. This vision is a new attempt at having a holistic development plan for the city and is comprised of a regional urban plan, capac-ity building, economic development, environmental and waste management, security, benefits, institutional plans and annual forums, (Figure 11) (Lima, 2012). Lima 2025 can meet the goals of the region and at a more localized level, as a self-managing community, Huaycán has the opportunity to implement this as a bottom-up approach with the necessary amendments and additions appropri-ate for its community.

Figure 10. Land Titling Zones J and R


Figure 10. Land Titling Zones J and R

Figure 11. Formulation of Coordinated Regional Development Plan. Source: Lima, 2012

6. Conclusions

Various forms of individualistic interventions and poli-cies, from national to community-level governance have permeated Huaycán’s original objectives and ideals, causing a multi-level fragmentation throughout. Due to the lack of a holistic vision, point interventions on the interconnected urban platform have allowed for the un-equal distribution of social and ecological benefits and burdens. These physical and conceptual spatial mani-festations have led to environmental injustices that affect Lima as a whole but especially the urban poor. In Huay-cán the prolonged neglect of the surrounding environ-ment and carrying capacity has exacerbated ecological and social injustices that perpetuate one another. The neglect of the natural and defined boundary has toler-ated expansions deep into the alluvial valleys- imped-ing on previous ecological zones and defining forms of social injustice.

Unaddressed in our preliminary research, the concept of youth and their relation to the community was found to be a significant issue; not only because it reinforced fragmentation between generations but also for the fu-ture. The disjuncture between the youth and the com-munity will prove to be a challenge for the sustainability of the self-managing community and its ideals. Huaycán

is faced with a crucial decision, to continue as it cur-rently is, or to once again be an exemplar for community self-management.

6.1 Future Research

We identified the following areas for future research:

- Gender relations within the community with re-gards to land titling, and water access

- Coordinated Regional Development Plan for Lima 2012-2025 and its potential impact on Huaycán

- Analysing the consequences of Huaycán be-coming a district

- Amendments to the statutes and what this would mean for the self-managing community

- Identifying future partners for collaboration with regards to social and ecological developments


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1. Questionnaires template for school students:

Questionnaire for youth

1- Gender: Male □ Female □2- Age bracket: 12-14 □ 14-16 □ 16-19 □ Older, Specify...............3- The school that you attend is: In zone J □ In other zones □4- How safe do you think your zone is (1 is the least safe, 5 is the maximum): 1 □ 2 □ 3 □ 4 □ 5 □5- Did you have any water related disease in the recent months? Yes □ No □If yes, indicate………6- do you work?Yes □ No □If yes, Where?What activity?How many hours per week?7- What do you do for recreation time?Sports □ Music □ Hanging out with friends □ others, Specify....................8- What level of education do you aspire to?High school □ University □ Diplomas □ others, Specify....................9- Would you like to stay in Huaycán after you finish your studies?Yes □ No □10- Are you interested in participating or working in the communal work in your zone?Yes □ No □11- Prioritize from 1 to 6 the needs of your zone, (1 is the most important)Water and sanitation □ Stairs □ House amelioration □ Green spaces □Recreational facilities □Other, Specify..................

Appendices


1.1 Tabulation and charts for Public school questionnaire. Tabulation for Public school, 20 students

Quantitative questions

Age bracket 13 14 15 16

-Number of students 2 11 2 2

Gender girls boys

-Number of students 5 15

Zonal distribution R J v K

-Number of students 5 5 2 3

Work yes no 1-Construction every day in the morning

2-Construction weekends

3-Serving on holidays

4- Painter free lancer

In a warehouse 5h/day

-Number of students

5

15

Recreational time Music Sports

- Number of students 15 15

If they want to live in Huaycán after school? Yes No


If Huaycán’s economy gets better will you stay? yes no


Does anyone do community work yes no


Do any of your parents have leadership positions in your community? yes no


Do you all have access to water? Yes No

-Number of students 15 0However they all boil it before drinking it

Qualitative Questions

Why don’t you want to live in Huaycán?

-Because it has been all the same, nothing changes in HuaycánPollution -”Snakes”, lots of bad people

What do you want to study after school?

-Business administration -Fashion designer

What are your needs?

- Green areas as there is lots of dust-Roads-Sports areas-reduced crime rate-University -Stadium


1.2 Tabulation and charts for Private school questionnaire

Tabulation for Private school

Quantitative questions

Question

Number of family members Two Three Four Five Six or more

-Number of students 1 11 9 5 8

Age bracket 13 14 15 16 17


Gender girls boys


Zonal distribution R J U F K


Work yes no


Ambulate selling curtains in the afternoons and weekends

Recreational time Music Sports Dancing Skateboarding Biking

24 14 2 2 4

If they want to live in Huaycán? Yes No


If Huaycán’s economy gets better will you stay? yes no


Does anyone do community work yes no


Do any of your parents have leadership positions in your community? yes no


Do you all have access to water? Yes No

-Number of students 15 0 However they all boil it before drinking it

Qualitative Questions

Why don’t you want to live in Huaycán?

-To improve our living standards-To have a better life-To see new countries like in Europe

What do you want to study after school?

-Law-Philosophy-Paediatrician-Teacher-Engineering-Accounting-Translator

What are your needs?

-Green areas as there is lots of dust-security, some of them were robbed before, including the school itself twice


2. Summaries:

2.1 HousingUrban Land Management PolicyPeruvian government implemented two measures start-ing in 1990.1. Inflation brought under control from a rate of 2,775 percent in 1989.2. Structural reforms were implemented in order to im-prove efficiency and organize a new model of develop-ment in which the state would play only a secondary role.The result for that isa painful short term consequences for the population.

Changes in Housing Policy-The Ministry of Housing and Construction went to Vice Ministry within the new Ministry of Transportation, Com-munication, Housing and Construction.-Social spending in Ministry of Presidency (25% of the entire general budget)-State decentralization lost momentum.-Regional government is marginalized.-No increase in funding municipalities.-National Housing Fund (Fondo Nacional de la Vivienda- FONAVI); Mandatory tax until 1999.

Urban Land Management Policy-The state policy is directed to the central government. The central government puts more emphasis on the reg-ularization of land than on programs to access it. -New constitution of 1993, the municipalities “have ju-risdictions to plan urban and rural development within their boundaries, as well as to execute corresponding plans and programs”, different from the approach of the 1979 constitution which provided a kind of “constitu-tional guarantee.”-On Fujimori re-election 1995, it was established to in-crease investor confidence and promote private invest-ment. This had consequences for the use and manage-ment of rural and urban land. That weakened municipal function in favour of management by central government agencies; it reduced municipal flexibility and control over land use management and urban expansion.-The1995 Land Law sought to stimulate the economy through the promotion of private investment, this law lifted municipal prohibitions on the conversion of agri-cultural land to other uses if such lands were in areas of expansion, and it allowed for the sale of barren land and the land of compression communities. This law elimi-nated the municipality of metropolitan Lima’s ability to limit urban expansion by declaring certain agricultural zones intangible. Making the agricultural land available for urban use and reducing the quantity of land on the urban periphery and it also reduced obstacles to entre-preneurial activities by informal real estate developers.-This law reduced the authority of municipalities to man-age urban expansion.

-Legal right to sell barren land to private business agents had a huge impact to the low income sectors of soci-ety. Barren lands on the periphery had been available to meet the demand for urban land by low income sectors. Private capital acquiring those lands reduced the supply of land and reducing its social use.-The General Law of Expropriation also intended to pro-mote private investment. Expropriations can no longer be justified as “social interest,” only public necessity. -Changes were intended to increase the confidence re-quired by land owners and businesses in order to invest in property.-Law 26557 transferred responsibility for the regulariza-tion of informal settlements to the central government.-Comision de Formalizacion de la Propiedad Privada (COFOPRI) was created to improve the living conditions of the poor through the formalization of property.-The General Law on Urban Infrastructure Development transferred responsibility for urban infrastructure devel-opment to district municipalities.-COFOPRI required to register public lands, establish a registry of individuals applying for land, and respond to the demand for low income housing.-Law 26912 established “Fondo Hipotecario de Pro-mocion de la Vivienda- MIVIVIENDA” in order to promote public access to private residential property through participation in private sector mechanisms, 20% went to registry of land applicants and the rest to MIVIVIENDA to be auctioned to a group of participating housing de-velopers.-1995 Land Law legal framework removed the policies which had promoted the gradual transfer for municipali-ties to manage land use and urban expansion.-Central government continues to manage public lands and property formalization and local municipal districts oversee urbanization process.-Municipal management was weak due to the lack of master plan for the urban development by Municipality of Metropolitan Lima-FONAVI and COFOPRI emphasized the consolidation to regularize neighbourhoods that were originally illegal over promoting the more organized use of urban space. -Policies allowed for greater urban consolidation of existing barriadas. FONAVI primarily used to support the construction of service infrastructure and self-help housing in barriadas. Conflict occurred between 1995-1998 with COFOPRI and the central government over land titles. COFOPRI did not recognize the titles given before 1996, resulting in the absence of recognition of certain barriadas after 1996. Programs placed higher priority on existing barriadas than on policies for orderly access to land.-Access by the Low-Income Population to Urban Land and the Real Estate MarketPrivate and public land supply prices based on the costs of urbanization and profits are not within the reach of the poor. This results in the acquisition of land from il-legal alternatives that do not operate within required


frameworks which do not include the costs of formal urbanization. Low-income population are incapable of acquiring real property because of the high cost of real estate and have no choice but to participate in the in-formal housing market. Housing projects were generally discontinued due to the high cost and units not going to the intended population.

Low Income Housing DevelopmentsThe sector in between not being able to afford formally urbanized lots and yet not squatting in barriadas either, the main characteristics usually violates legal codes.This sector is mainly operated by genuine businessman, who break the law when;1. Selling land that is restricted to agricultural uses.2. Selling land without municipality consent.3. Selling land for urban use without setting aside areas for proper infrastructure.4. Selling individual lots without recording a deed.5. Selling land that does not legally belong to the seller or sell the same lot to more than one person.-With current availability of formerly agricultural land, il-legal sales on the market for low-income developments have accelerated. The cost of housing to the low-income demand sector in the metropolitan area, whose average income is $406, is 10% of its disposable income, while the same sector would pay 28% of its disposable in-come for housing obtained on the formal market.

2.2 HistoryThe name ‘City of Hope’ came because Shining Path was not able to maintain a stronghold in Huaycán. The name was the community’s answer not to be associ-ated with the terrorism. The idea of self-management was aimed to fill the gap of government, overarching or bridging the community and Municipality of Lima. Zone and UCVEach Zone has many UCVs. A UCV contains around 60 families. They are represented by a president and two delegates that are elected by the people in a zonal assembly. UCV organization is all the same but some leaders don’t have the political experience, direction or charisma to reach their objectives. Furthermore, their objectives differ depending on the times. There exists a great need of capacity building in the leadership of the community. They are all united by the same idea but share different personal ones. Most leaders have aspirations but lack ambition. Initially the zones were to be farms, but due to urban encroachment zonal restric-tions had to be changed. Each zone received two op-tions for planning and enumeration. Every 3 to 4 times a year there is a zonal plenary where the community participates. For example, Zone J has 29 UCVs, in the plenary there must be at least 90 at-tendees. Usually the women are more present than the men. Women has been considered the glue that holds them together in their zone because the usually fight for their rights, and their needs. The UCVs leaders and

presidents have meetings often; however presidents and delegates meet with more frequency.

2.3 COP and COFOPRIConstancia de Posesion (Certificate of Procession) is given to the family by the municipality through the UCV leadership. Once COP is awarded land title can be pro-cessed, but it is valid for only 6 months and it can take 7 years for the family to receive this certificate. When the family receives the COP the requests for basic services can be initiated such as water. COFOPRI is responsi-ble for processing the land titling; this title can also take more than 5 years for the family to receive it.

2.4 Zone R Profile History / General information Zone R, UCV 205F is an expansion from UCV 205C that came from UCV 205. UCV 205C was originated around 1991 to 1992, fourteen years later UCV 205F was fund-ed. Initially the people from UCV 205F contributed to communal work of the UCV 205C, but they could not benefit from it; therefore they stopped working with UCV 205C.There are around 50 families living in UCV 205F Zone R nowadays and 100 plots which some are found empty or abandoned. The community worked and contributed on the making of stairs to connect the top of the hills to the bottom. It was an every weekend communal work until accom-plished.

Land TitlingThe people that live in UCV 205F Zone R do not have land titling, they will only obtain that once they have solved all risk hazards according to Civil Defence’s pro-ject. Extensions and invasions differ because, invasion is a planned housing in non-risky area, sometimes it is for the children from the families that is already living in Huaycán or other family members. Invasion on the other hand is an unplanned housing occupation where the original plan is ignored and in high-risk areas. The previous president’s (Alan Garcia) political manoeu-vring: a false promise to citizen that the place they oc-cupy for housing would be formalised; but never hap-pened.

Risk Management The risk management is essential to receive the land en-titlement. Barrio Mio project for contention walls and staircases were planned for the UCV but it is on hold. An interna-tional NGO ‘Isolem’ invested in infrastructure works in the area, with the help of the community.

Water and Sanitation During Alan Garcia’s government, Zone R had trouble


installing the condominial system because there were many resistances with the system and project. The UCV205C was having problems agreeing with the sys-tem, so UCV205F requested SEDAPAL for the services and it was installed. Even though it was successfully installed, families from that UCV have not received the water bill since it was installed two years ago.

Future Vision and NeedsFor the present: community open space for sport, com-munity meeting place, green gardens, basket watering.For the future: community open space for sport, com-munity centre (on top of the hill), green areas, planting trees (for risk management and preventing invasion); Eu-calyptus, fruit trees avocado, mango, etc), medicinal trees, water reservoirs and irrigation for trees on the hill.

3.5 Zone J ProfileHistoryThe original land for Zone J was to be a farming area for agriculture and poultry. The settlement had 150m of proximity limit to the other building site, because of the fear of animal disease transmission. However after that the farming idea started fading away.

Land TitlingIt took 8 years for the community member's to obtain CoP which happened in the year of 2000. With that they started requesting for basic services. In parallel through COFOPRI they worked on acquiring land titling. In the process of receiving the titling the community was mo-bilised and worked collectively, however after receiving it they became more individualistic.

WaterSEDAPAL invested to provide water to the community. Nowadays people are paying for their bills in addition to the original debt. Private companies are the ones ben-efited from the process and the people have no options.

Migrating to HuaycánWomen from different origins came to Huaycán in search of jobs, especially when the economic crisis hit the country in 2000.

SchoolsThere are three schools in the zone and they all have the main levels of education.

Communal WorkThe communal work counts on all the families partici-pation, therefore the family that does not show up are supposed to pay a fee or make it up for the lost day of work another day. Some people refuse to pay or work and these ones are usually expelled from the community as part of the collective. In the assembly (UCV level), everyone pays as a contribution and its equal fee for

everyone. If a assembly is missed it cost 10 soles. There are also a plenary meeting that is held on zonal levels, every 3 or 4 months and leaders within the same zone meet more frequently.

Future VisionZone J's future vision is for more green spaces, road-ways, stairs and communal spaces.

- Zone J UCV 153D (La Ponderosa)

Those who are living in the area are often called “invad-ers”. Although they have been living there since 1994, they could not get CoP yet. They blame poor leadership in the past, and the process of CoP is closer to come with efforts of present leader, Lorenzo. There is no con-nection to water, so they have to access through neigh-bours. Waste disposal is another issue which has poor condition, and this leads to health problems especially within children.


3. Maps:

3.1 Huaycán Expansion(Source: based on expansión maps from Laboratoireurbanismeinsurrectionnel.blogspot. co.uk and added SERPAR 2012 map)


3.2 Map of zone R expansión (Source: Interviews with people zone J and R)


3.3 CUAH Map(Source: Andrés 2013)


4. Statutes:

ESTATUTOS DE LA COMUNIDAD URBANAAUTOGESTIONARIA DE HUAYCÁN

TITULO I

DECLARACION DE PRINCIPIOS

La Comunidad Urbana Autogestionaria de Huaycán, es la organización representativa y de defensa de los dere-chos e intereses de los pobladores titulares de lotes y de los Organismos Naturales asentados dentro del área geográfica comprendida por el Programa Especial de Habilitación Urbana del área de Huaycán, constituido por Decreto de Alcaldía N° 040 del 03 de mayo de 1984, organismo desconcentrado de la Municipalidad de Lima, organismo encargado de planificar, proyectar, promover, coordinar, gestionar l obtención de recursos y ejecutar la ocupación y desarrollo del área mencio-nada en beneficio de los que no tienen vivienda propia.

Un 15 de julio de 1984 los asentamientos humanos “An-drés Avelino Cáceres”, del distrito de Ate-Vitarte, “Aso-ciación de Vivienda “Las Malvinas” de Ñaña y diver-sos grupos humanos de Chosica, Chaclacayo, y otros distritos de Lima y Callao tomaron las tierras eriazas y abandonadas de la quebrada de Huaycán, del distrito de Ate-Vitarte, y forjaron lo que es hoy el Asentamiento Humano Huaycán.

El objetivo común de las familias concurrentes a este programa, prioritariamente, lo constituye la imperiosa necesidad de contar con una vivienda propia. Para la materialización de dicho objetivo, el asentamiento hu-mano Huaycán, requirió de una organización que per-mitiese conjurar el esfuerzo individual y colectivo de las familias, con esa finalidad los días 19, 20 y 21 de julio de 1985, los precitados asentamientos humanos con el objetivo de unificarse en uno solo y afrontar en forma conjunta el saneamiento físico legal de las tier-ras tomadas y contribuir solidariamente a forjar una so-ciedad justa, realizan su I CONGRESO ORDINARIO DE POBLADORES y fundaron la Asociación de Pobladores del Asentamiento Humano Huaycán.

La experiencia de estos tres años nos indica la necesi-dad de profundizar nuestros niveles organizativos do-tándolos de una institución que posibilite el logro de nuestros objetivos y fines, lo cual nos conduce a la creación de una Comunidad Urbana Autogestionaria. Esto se cristalizó en el I CONGRESO ESTATUTARIO, realizados los días 12,13 y 20 de Septiembre de 1987.

Creada la COMUNIDAD URBANA AUTOGESTIONARIA DE HUAYCÁN, ella e convierte en el instrumento legal de lucha de la comunidad, se orienta a la solución de sus reivindicaciones mediatas e inmediatas, la necesi-

dad de ampliar el movimiento por la conquista de me-jores condiciones de vida y justicia social.

Dada la realidad de nuestra patria, ello no es posible si no nos proyectamos a un trabajo conjunto con estas organizaciones similares e impulsemos la más amplia solidaridad de clase.

Pr garantizar esto la comunidad basa su acción en la práctica del principio fundamental de la defensa conse-cuente e irreconciliable de los intereses fundamentales de sus comuneros. Basa también su acción en la prác-tica de los siguientes principios:

DEMOCRACIA POPULAR: La Asamblea Popular tiene una estructura profundamente democrática que se ejercita desde las bases. La toma de acuerdos para su ejecución abarca aspectos de contenido histórico. La participación de los pobladores es efectiva y directa, pudiendo controlar y revocar a sus dirigentes.

INDEPENDENCIA Y SOBERANIA: La organización de los pobladores de creación y en beneficio de los mismos pobladores, no admite injerencia externa en la toma de sus acuerdos y decisiones así como tampoco lo admite en la dirección de la ejecución de las mismas.

CENTRALISMO DEMOCRATICO: La participación pop-ular es canalizada a partir de las asambleas de base ( Unidad Comunal de Vivienda). A partir de allí la práctica de la subordinación de la minoría a la mayoría, del or-ganismos superior y de todo el pueblo al congreso de los pobladores de Huaycán.

DISCIPLINA CONSCIENTE, VIGILANCIA Y AUTODE-FENSA: Practicar el respeto de los acuerdos y deci-siones de la asamblea en base a la persuasión con-sciente que eduque con el ejemplo. La emulación del espíritu de trabajo y de la mentalidad progresista. Pero también la práctica de la disuasión física en tanto y en cuanto el caso así lo requiera.

SOLIDARIDAD DE CLASE: La lucha contra el adversario común exige la disciplina, sacrificio y solidaridad entre todos los pobladores, que debe ser una acción concre-ta y efectiva a favor de los compañeros en lucha. Esta solidaridad es internacionalista a favor de los pueblos explotados y oprimidos del mundo.

CRITICA Y AUTOCRITICA: Porque es el método correc-to que permite resolver las contradicciones en el seno del pueblo, corregir los errores y aprender del fracaso, para obtener el éxito en beneficio común. Con la Crítica y la autocrítica fortalecemos la organización de los po-bladores y elevamos cualitativamente su unidad en la lucha y en el trabajo.

PRINCIPIO DE FRENTE UNICO: Practicar la unidad de


los pobladores sobre la base del reconocimiento que somos pertenecientes a sectores sociales explotados y respetando los credos, la filiación política, sexo, raza y edad de todos los integrantes de la organización.

PRINCIPIO DE LA ORGANIZACION VECINAL: La lucha indeclinable porque el estado atienda las necesidades sociales de la vivienda digna para los sectores popu-lares y se utilicen las tierras urbanas de acuerdo al bien común y con la participación de la comunidad local.

TITULO II

DEL NOMBRE CONSTITUCION Y DOMICILIO

ARTICULO 1°.- El nombre completo de la institución es COMUNIDAD URBANA AUTOGESTIONARIA DE HUAY-CÁN, cuyas siglas son: C. U. A. H., está compuesto por todos los pobladores titulares de lotes, debidamente empadronados en los padrones de la Institución.

ARTICULO 2°.- La COMUNIDAD URBANA AUTOGES-TIONARIA DE HUAYCÁN, está constituida al amparo del artículo 2, incisos 11, 16 y 18 de la Constitución Política del estado, por la Ley 23853 Ley Orgánica de Munici-palidades, por acuerdo N° 192 de la Municipalidad de Lima Metropolitana que aprueba la Ordenanza Munici-pal sobre la organización de pobladores; por las normas del presente Estatuto, y por las demás normas conexas y complementarias sobre la materia.ARTICULO 3°.- La duración de la C.U.A.H. es indefinida y regirá desde la fecha de su inscripción en los Reg-istros Públicos teniendo como distintivo (quedo pen-diente para someterlo a concurso público) como lema “HUAYCÁN ES UN PUEBLO QUE LUCHA POR LA PAZ Y LA JUSTICIA”, y como consigna: “HUAYCÁN ES UNO SOLO Y NADIE LO DIVIDE”.

ARTICULO 4°.- El domicilio social de la comunidad es su local institucional ubicado en el núcleo de Servicio N° 16, sito en la Av. José Carlos Mariátegui s/n de la COMUNIDAD URBANA AUTOGESTIONARIA DE HUAY-CÁN, distrito de Ate-Vitarte.

ARTICULO 5°.- La C.U.A.H. se encuentra ubicada en la quebrada de Huaycán, distrito de Ate-Vitarte, provincia de Lima, departamento de Lima, siendo sus límites si-guientes:

Por el NORTE: El Descanso margen izquierdo del rio Rímac, Km 16.5

Por el SUR: distrito de Cieneguila, distrito de La Molina.

Por el ESTE: Distrito de Chaclacayo – Huascata

Por el OESTE: Distrito de Ate-Vitarte-Pariachi

Siendo su extensión territorial de 5’766,989.20 metros cuadrados

TITULO III

DE LOS FINES Y OBJETIVOS

ARTICULO 6°.- La C.U.A.H. tiene como finalidad coady-uvar a la realización de un gobierno democrático popular que asegure el bienestar social de todos los peruanos.

ARTICULO 7°- la C.U.A.H. lucha por los siguientes ob-jetivos:Ante la indiferencia de los gobiernos de turno plantea reclamos, realiza gestiones y adopta medios de lucha para la solución de los problemas existentes.Fiscalizar la labor y comportamiento del distrito que deben estar al servicio de la comunidad a partir de las necesidades más urgentes.Impulsar y desarrollar en todos sus niveles las iniciativas culturales del pueblo, fomentar el espíritu de laboriosi-dad.Instituir el trabajo comunal solidario, enfrentar las lacras de la miseria y la enfermedad, organizando la resisten-cia popular y los grupos de Autodefensa especializados contra la injusticia social.Construir organizaciones de Autodefensa para preser-var al pueblo de la delincuencia, el alcoholismo, la drog-adicción, la prostitución, las violaciones y los abusos de autoridad a todo nivel.Realizar el Programa Mínimo y Máximo del pueblo de Huaycán.Cumplir el Plan de Trabajo Anual, según cronograma de actividades.Satisfacer las necesidades básicas y los servicios co-munales de los pobladores por orden de prioridad.Impulsar acciones de cooperación en el plano social y económico para fomentar el espíritu de ahorro y trabajo, creando una institución financiera autónoma del pueblo subordinando al congreso que hará posible la conduc-ción del Programa de la autoconstrucción, con miras a solucionar los problemas inmediatos de infraestructura; así como también lograr mejores condiciones de vida para los miembros de la comunidad.Establecer niveles de coordinación y/o ejecución con organismos públicos o privados para llevar a efecto Programas de Habilitación Urbana de Arquitectura e Ingeniería del Proyecto Habitacional y/o Unidades Co-munales de Vivienda.Centralizar el movimiento de los pobladores de Huaycán para lograr la mejora integral y defensa de la comunidad.Asumir la defensa y lucha por los intereses colectivos contra toda injusticia, como parte del movimiento popu-lar peruano.Reivindicar el derecho a la vivienda en el terreno legal, con programas de mejoramiento y con obras de infrae-structuras, servicios y equipamiento adecuados.


Fiscalizar y promover la dotación de un adecuado servi-cio de educación, cultura y deporte, exigiendo al gobi-erno central que designe más del 20% del Presupues-to General de la República para el sector Educación. Adecuar el Programa curricular de acuerdo a la realidad concreta y a las necesidades de nuestra comunidad.Ñ) Promover el acceso de la población de Huaycán a los servicios médicos permanentes y de emergencia, hospitalización debidamente adecuada, con el personal especializado y los recursos materiales del caso.Promover la consecución de un adecuado servicio de transporte público, de acuerdo a la demanda de Huay-cán con líneas, horarios y rutas que estén acordes con las necesidades y posibilidades de los pobladores y de los transportistas, también promueve la mantención de las 24 horas de servicios y la tarifa de pasaje urbano y de pasaje obrero.Asume la defensa de los recursos naturales de la que-brada de Huaycán, por una nacional explotación de las mismas y por la conservación y mejoramiento del medio ambiente en beneficio de los pobladores.Promueve el desarrollo de formas tecnológicas, cientí-ficamente comprobadas, que signifiquen un aporte al desarrollo de la población en áreas de la vivienda, salud y saneamiento.

TITULO IV

DE LOS ASOCIADOS DERECHOS, OBLIGACIONES Y SANCIONES.

ARTICULO 8°- La comunidad está formada por los miembros titulares de los lotes ( primer y segundo titu-lar) unifamiliares que debidamente empadronados en la COMUNIDAD URBANA AUTOGESTIONARIA DE HUAY-CÁN, ocupando personalmente con su familia si es cas-ado o conviviente, Su residencia debe ser permanente.

ARTICULO 9°- Pueden ser socios de la Comunidad los mayores e 18 años de edad con capacidad civil de ejer-cicio que voluntariamente desea integrarse y tiene que cumplir con los siguientes requisitos:

Conocer y cumplir el presente Estatuto y respetarlo.No pertenecer a otra institución de la misma naturaleza.No tener vivienda, ni terreno propio dentro de la jurisdic-ción de Lima y Callao.Gozar de solvencia moral.Ser aceptado por la mayoría de la base a la que busca integrarse,

ARTICULO 10°- Son derechos de los asociados:

Gozar de los beneficios obtenidos mediante la C.U.A.H. Como: Adjudicación de terreno, titulación, habilitación urbana de acuerdo a las normas técnicas, vías, electri-ficación, agua, desagüe áreas verdes, centros de pro-

ducción y servicios, etc.Participar, elegir y ser elegido en la vida institucional y cargos respectivos.Denunciar ante las instancias correspondientes sobre actos cometidos en perjuicio de la comunidad.Participar activamente en tareas de desarrollo económi-co, social y cultural de la comunidad.Ser asistido por la comunidad en caso de ser agredido en sus derechos de ciudadano.

ARTICULO 11°- Los derechos de los socios son in-transferibles e inalienables.

ARTICULO 12°- Son obligaciones de los asociados:

Participar en las tareas de desarrollo integral de la co-munidad.Pagar cuota de ingreso.Aportar cuotas ordinarias y extraordinarias, cuando los organismos pertinentes así lo determinen.Cumplir el Estatuto y su reglamento.Asistir a sus asambleas en sus distintas instancias y cumplir sus acuerdos.Ser honesto defender las buenas costumbres y desar-rollar el espíritu de solidaridad en su base.Emitir sus votos en las elecciones.Aceptar los cargos y comisiones que se le encomienden con el máximo de dedicación y esfuerzo para el bien de la comunidad.Participar activa y obligatoriamente en los trabajos co-munales para el mejoramiento de la comunidad.

ARTICULO 13°- Los pobladores de la Asociación se hacen acreedores a sanciones, al infringir las disposi-ciones del presente Estatuto y Reglamento de la Comu-nidad, así como los acuerdos de asambleas.

ARTICULO 14°- Las sanciones son impuestas por la mayoría de la asamblea de base al que pertenece el infractor, y si el caso requiere por acuerdo de la mayo-ría de delegados de la Plenaria Zonal. En ambos casos el poblador acusado tiene pleno derecho a ejercitar su defensa con toda garantía a las instancias superiores.

ARTICULO 15°- Se pierde la condición de socio:Fijar residencia estable propia en otro lugar.Abandonar a su familia, que, en cuanto fuera posible quedarán al amparo de la comunidad.Incumplir en forma sistemática con las obligaciones trazadas y aprobadas en asamblea.Pertenecer a otra instituciones de la misma naturaleza dentro del perímetro de Lima y Callao.Realizar dentro de la comunidad actividades económi-cas que no afecten a la economía popular.Tener dentro de la comunidad o en su lote de vivienda y/o comercial actividades que afecten el normal desar-rollo de la niñez y de la juventud, estando solo permitido las actividades deportivas amparadas por la ley del de-


porte y recreación vigentes, concorde con la Ley Gen-eral de Educación.Fomentar agresión física y moral otros asociados y que haya merecido censura en su base, zona y de la central.Por renuncia escrita.Por fallecimiento.Por duplicidad de lote dentro de la Comunidad Urbana Autogestionaria.Por no haber tomado posición de su lote y/o abandona-rlo.Por malversar los fondos económicos y apropiación il-ícita de los fondos de la comunidad.

ARTICULO 16°- Son obligaciones de los directivos en sus diferentes níveles sea de base, zona o central lo siguiente:

Cumplir honesta y responsablemente obligaciones que se deriven de su cargo, demostrando iniciativa y apertu-ra en el ejercicio de su función y denunciando sí obser-vara incumplimiento o irregularidades en el desempeño de sus funciones a otros dirigentes.Coordinar con las instancias necesarias al interior de la comunidad, de base, de zona, central y con otras in-stituciones de similar naturaleza, así como de organis-mos públicos y privados en aras de un mejor desarrollo de la comunidad.Capacitarse e informarse acerca de las leyes, normas y elementos del acontecer nacional y local que inciden en el mejor desenvolvimiento de sus funciones.Elegir y ser elegido a cargos superiores.Preparar y difundir periódicamente los avances de su gestión, informando por escrito en caso necesario y al finalizar su periodo.Llevar un archivo adecuado de la documentación base que requiera y de todo documento que suscriba en fun-ción de su responsabilidad.

TITULO V

DE LA ORGANIZACIÓN DE LA COMUNIDAD

ARTICULO 17°- La COMUNIDAD URBANA AUTOGES-TIONARIA DE HUAYCÁN tiene como organismos de la comunidad lo siguiente:

La Unidad Comunal de Vivienda (U.C.V.) y la Franja Comercial de la jurisdicción zonal respectiva en el or-ganismo base y primordial sobre la cual se constituye la comunidad.Los Comités Zonales.Los Organismos de Apoyo.Los Organismos Naturales

ARTICULO 18°- La U.C.V. y la Franja comercial son los núcleos bases sobre la cual se constituye la COMUNI-DAD URBANA AUTOGESTIONARIA DE HUAYCÁN y como tal la instancia básica para la soberanía y del de-

sarrollo de la comunidad.

ARTICULO 19°- Las bases como organización de inter-na acatan los acuerdos de sus asambleas que pueden ser ordinarias y extraordinarias. Los acuerdos de las asambleas obligan a los socios y dirigentes a cumplirlos o llevarlos al seno de las reuniones de nivel superior cor-respondiente.

ARTICULO 20°- El Comité Zonal es la organización territorial de los pobladores de acuerdo al centralismo democrático y la descentralización del gobierno de la comunidad.

ARTICULO 21°- Está conformado por las U.C.V., las franjas comerciales y organismos naturales, que tiene su sede y actividad en la jurisdicción de la Zona y que están debidamente empadronados en la Comunidad.

TITULO VI

DE LOS ORGANISMOS NATURALES

ARTICULO 22°- Son aquellos que conscientemente constituyen los socios con objetivos y finalidad lícitos y convenientes a los intereses de la comunidad.

ARTICULO 23°- Están comprendidos:

La Asociación de Padres de Familia de los Centros Edu-cativos.Los clubes de madres.Los comedores y/o Cocinas Populares.Las Asociaciones Educativas, culturales y Deportivas.Los Comités de Vaso de Leche.Los organismos gremiales destinadas a una función so-cial.Las Asociaciones de Comerciantes.

ARTICULO 24°- Se rigen a control y están sujetos al régimen de la comunidad, las instituciones lucrativas.

ARTICULO 25°- De conformidad al artículo 80 del Nuevo código civil por D.L. N° 295 de julio de 1984 que a la le-tra dice: “La Asociación es una Organización estable de personas naturales o jurídicas o de ambos que a través de una actividad común persiguen un fin no lucrativo y de acuerdo con estilos que supere el corporacionismo, gremialismo o concepción mutualista”. Cada organismo natural en tanto persona jurídica no inscritos ampara-dos legalmente por el Código civil en referencia puede asociarse a la comunidad por decisión libre y voluntaria cumpliendo su derecho de autonomía institucional.

ARTICULO 26°- Para integrarse al organismo vecinal debe cumplir con las siguientes normas:

Estos organismos, previa presentación de su plan de


trabajo serán evaluados por el consejo ejecutivo Central y por la Oficina de contribuciones.Que estén integrados por un mínimo de 40 socios le-galmente reconocidos y constituidos por la comunidad.Que esté al servicio del pueblo y que estén sujetos a la supervisión del Consejo Ejecutivo Central.Tendrán una representatividad de 03 delegados para la asistencia a los Congresos y Plenarias de Delegados General.

TITULO VII

DE LOS ORGANISMOS DE APOYO

ARTICULO 27°- El Organismo de apoyo Técnico, Legal y de Servicios está compuesto por un grupo de pro-fesionales y/o socios cuyas funciones estén orientados en un apoyo referido, quienes dependerán del Consejo Ejecutivo Central.

ARTICULO 28°- La COMUNIDAD URBANA AUTOGES-TIONARIA DE HUAYCÁN contará con la asesoría de un equipo multidisciplinario quien diseñará su Plan de Trabajo de acuerdo al PLAN DE DESARROLLO PRO-GRESIVO de la Comunidad.

ARTICULO 29°- Las diferentes Comisiones de Apoyo estarán sujetos a las Plenarias zonales y Plenarias de Delegados General, a la vez que gozarán de autonomía de trabajos.

ARTICULO 30°- Su duración será de acuerdo al Plan que se presente por dicha comisión de Apoyo, sean es-tas de corto o largo plazo y su disolución estará sujeta al término del proyecto y logros alcanzados previa pre-sentación de su informe.

TITULO VIII

DE LOS ORGANISMOS DE GOBIERNO

CAPITULO I

Los organismos de gobierno están conformados por:

Junta Directiva de Base.Asamblea General de Base.Consejo Ejecutivo Zonal.Asamblea Plenaria de Presidentes y Delegados Zonal.Asamblea General Zonal.Consejo Ejecutivo Central.Plenaria de Presidentes y Delegados General.Congresos.

CAPITULO II

DE LA JUNTA DIRECTIVA Y ASAMBLEA DE BASE

ARTICULO 31°- Conforme al Reglamento de Elecci-ones, todos los socios titulares se reúnen para elegir su Junta Directiva que tendrá una dirección de 1 año y que estará conformada por los siguientes cargos:

Presidente.Secretaría de Organización.Secretaría de Economía.Secretaría de Actas y Archivos.Secretaría de Difusión y Prensa.Secretaría de Salud y Bienestar Social.Secretaría de Educación, Cultura y Deportes.Secretaría de Producción y Trabajos comunales.Secretaria de Servicios Comunales.Secretaria de Autodefensa.

ARTICULO 32°- Para ser miembro de la Junta Directiva de Base se requiere los siguientes requisitos:

Ser socio titularEstar al día en sus cotizaciones y no tener deudas pen-dientes de pago.No estar cumpliendo penas disciplinarias.Gozar de solvencia moral

ARTICULO 33°- son funciones del Presidente de Base

Representar a su base ante los demás organismos de la Comunidad Urbana Autogestionaria de Huaycán y enti-dades públicas y privadas.Cumplir y hacer cumplir el Estatuto, reglamento interno y las decisiones de las Asambleas y Reuniones de su Junta Directiva.Planificar y dirigir, en coordinación con las demás sec-retarías, las acciones favorables a los intereses de su base.Convocar a reuniones ordinarias cada 15 días a los miembros de la Junta Directiva de Base.Convocar y Presidir las asambleas de su base, abrir cuenta bancaria, firmar cheques, endosar, aceptar le-tras, vales, pagarés y otros compromisos de créditos inherentes a la actividad económica de su base, conjun-tamente con la Secretaría de EconomíaEs responsable del patrimonio de su base y dispone la publicación de los estados financieros anuales.Participa activamente en los comités Zonales y en todo evento de orden superior de la C.U.A.H. Es miembros nato en las asambleas superiores y congresos de la C.U.A.H.

ARTICULO 34°- Son funciones de la Secretaría de Or-ganización de BaseReemplazar al Presidente en caso de ausencia o indis-posición de éste.Llevar actualizado el padrón de los socios de su base.Coordinar y organizar las actividades de apoyo a las otras secretarías.Garantizar la realización de las sesiones de la J.D.B. de


las Asambleas de Base.

ARTICULO 35°- Son funciones de la Secretaría de Economía de Base.Llevar la responsabilidad del manejo económico de la base y presentar por escrito ante la asamblea su in-forme trimestral.Suscribir conjuntamente con el Presidente todo mov-imiento económico de la base.Es responsable directo de velar y controlar el patrimonio de los enseres de la base.Tener obligatoriamente coordinaciones con organismos de su instancia superior.

ARTICULO 36°- Son funciones de la Secretaría de Ac-tas y Archivo de Base.Llevar al día los libros de actas de las sesiones de la Junta directiva y Asamblea de base.Ordenar y archivar los documentos oficiales de base.

ARTICULO 37°- Son funciones de la Secretaría de di-fusión y Prensa de base.Integrar el Consejo de Línea de difusión y prensa de la zona.Mantener informado a sus asociados de los principales acontecimientos internos y externos de la C.U.A.H.Coordinar con los secretarios de su base, en especial con la Secretaría de Educación, Cultura y Deportes la elaboración de los periódicos murales, boletines y noti-cias que convengan al desarrollo integral de la C.U.A.H.

ARTICULO 38°- Son funciones de la Secretaría de Salud y Bienestar Social de Base.Integrar el Consejo de Línea de Salud y Bienestar Social de la Zona.De acuerdo a las normas que establece el consejo de Línea de Salud y Bienestar Social de la Zona, cump-lirá las tareas concordantes a las acciones preventivas, como saneamiento ambiental, vacunaciones, inmuniza-ciones, acciones curativas y las eleven al nivel de ali-mentación y nutrición.Coordinar con el Comité de leche y otras organizaciones naturales de salud y alimentación que se desarrolle en la base.Conforme al conocimiento de la realidad de su base ca-nalizar hacia el consejo de línea de Salud y Bienestar Social Zonal la información necesaria para que el Centro de Salud y otras instancias públicas y privadas proyect-en su acción preventiva, promotora y asistencial a fin de lograr resultados óptimos de salud social, necesa-rio para la armonía comunal que impulse el desarrollo económico y social.

ARTICULO 39°- Son funciones de la Secretaría de Edu-cación, Cultura y Deportes de base.

Integrar el consejo de Línea de Educación, Cultura y De-portes de la zona.

Impulsar y coordinar las actividades educativas, cul-turales y deportivas de su base.Participar en las campañas de alfabetización y capaci-tación que se organice en la C.U.A.H.

ARTICULO 40°- Son funciones de la Secretaría de Pro-ducción y Trabajos Comunales.

Integrar el consejo de Línea de Producción y Trabajos Comunales de la zona.Coordinar con la Secretaría de Producción y Trabajos Comunales de la zona la formación de talleres familiares o grupales, conforme l programación del Consejo de Línea de Producción y Trabajos comunales.Recoger las iniciativas y sugerencias de los pobladores de base y canalizarlas a nivel zonal de su consejo de línea correspondiente, todo en cuanto se refiere impul-sar la industria y el comercio.Programar las acciones de trabajos comunales y pro-mover la capacitación de sus asociados de base.

ARTICULO 41°- Son funciones de la Secretaría de Ser-vicios comunales de Base.Integrar el Consejo de Línea de su zona.Coordinar con las demás secretarías de su mismo ra-mos, aspectos urbanos comunales como son: el alum-brado, limpieza pública, cuidados de las áreas verdes, agua , etc. Para el mejor funcionamiento de dichos ser-vicios.Velar por el mejor abastecimiento de la electricidad, transporte, agua, desague, etc.

ARTICULO 42°- Son funciones de la Secretaría de Au-todefensa de Base.

Organizar y promover la organización de Autodefensa, para combatir la delincuencia, la drogadicción y el alco-holismo.Tener a su cargo la responsabilidad de entrenar a los miembros de su grupo de trabajo y mantener protegida a la base que representa.Defender en cualquier instancia los intereses de su base y de los asociados.Integrar el consejo de Línea de Autodefensa de la zona.

CAPITULO III

DE LA ASAMBLEA GENERAL DE BASE

ARTICULO 43°- La Asamblea General de Base, es el órgano soberanos de su instancia correspondiente. Las Asambleas son:Asamblea ordinaria, que se realiza cada 30 días obliga-toriamente.Las Asambleas Extraordinarias, que se realizan cuando las circunstancias los requiere y es con agenda especí-fica.


ARTICULO 44°- El quórum de las asambleas se esta-blecen con la concurrencia de la mitad más uno de los socios de base, en primera y segunda llamada y en la tercera con los socios presentes.

ARTICULO 45°- Son atribuciones de las asambleas de base:Aprobar el Plan de Trabajo de la Junta Directiva y el Reglamento interno de base.Tomar acuerdo, según sus intereses y conforme al pre-sente Estatuto y sus Reglamento.Elegir y renovar a sus dirigentesDeclarar lotes vacantes a los que estuvieran abandona-dos y adjudicarlos, según el reglamento de adjudica-ciones; además de acuerdo a la decisión de la asamblea, con conocimiento de las instancias superiores.Aprobar o desaprobar el informe del Consejo de Vigilan-cia y declarar la nulidad.

CAPITULO IV

DEL CONSEJO EJECUTIVO ZONAL.

Artículo 46°.- El Consejo Ejecutivo Zonal es elegido por un periodo de 2 años, con cargo a ser renovado en caso de falta. Está conformado por 1 directivos y los coordinadores de línea.Los Directivos zonales son:

Secretaría General Zonal.Secretaría de Organización.Secretaria de Economía.Secretaría de Actas y Archivo.

Los Coordinadores de Línea son:Coordinador de Salud y Bienestar Social.Coordinador de Educación, cultura y Deportes.Coordinador de difusión y Prensa.Coordinador de Producción y Trabajos Comunales.Coordinador de Servicios Comunales.Coordinador de Autodefensa.

Artículo 47°.- Para ser dirigente zonal es INDISPENSA-BLE ser o haber sido dirigente de base.

Artículo 48°.- Los dirigentes del Consejo Ejecutivo Zon-al, solidariamente son responsables de la marcha y del plan de trabajo de la zona concordante con el plan de desarrollo integral.

Artículo 49°.- Son funciones de la Secretaría General Zonal

Es responsable directo de la conducción de la zona en todos los niveles.Es el representante zonal ante las instancias superiores.Presidir las asambleas del C.E.Z., asamblea ordinaria y extraordinarias y asambleas plenarias de delegados

zonales.Está obligado a concurrir a todos los eventos que se realicen a favor del buen desarrollo de la C.U.A.H.Está facultado para abrir cuenta bancaria y es respon-sable del manejo económico conjuntamente con la Sec-retaría de Economía.

Artículo 50°.- Son funciones de la Secretaría de Organi-zación Zonal

Reemplazar a la Secretaria General Zonal.Llevar las Estadísticas y el padrón de los asociados den-tro de su jurisdicción.Organizar las sesiones del Comité Ejecutivo Zonal y las asambleas de las instancias superiores dentro de su ju-risdicción.

Artículo 51°.- Son funciones de la Secretaría de Economía.

Llevar bajo su responsabilidad el movimiento económi-co de la zona.Abrir cuenta bancaria, conjuntamente con la Secretaría General y realizar las operaciones financieras a beneficio de la zona.Presentar balances anuales.

Artículo 52°.- Son funciones de la Secretaría de Actas y Archivo.

Llevar al día el Libro de Actas.Organizar y mantener al día el archivo de su jurisdicción.

Artículo 53°.- Son funciones del Coordinador de Salud y Bienestar Social.

Integrar el Consejo de Línea del C.E.C.Coordinar con las Secretarías afines de base y organizar campañas de vacunación, fumigación y otras orienta-das a preservar la salud poblacional.Organizar charlas sobre la erradicación de la drogadic-ción, el alcoholismo y otras que atenten el bienestar de los socios.Organizar eventos, sobre planificación familiar y nutri-ción; así como de capacitación de salubridad y bien-estar.Organizar y poner en funcionamiento las postas sani-tarias y botiquines comunales, en coordinación en las bases.

Artículo 54°.- son funciones del coordinador de Edu-cación Cultural y Deportes

Integrar el consejo de línea del C.E.C.Coordinar con las secretarias afines de la base, para planificar las acciones que permitan promover la edu-cación, cultura física, intelectual y artística de la po-blación comunal.


Programar cursillos de capacitación de los dirigentes a todo nivel dentro de su jurisdicción.Impulsar la creación de bibliotecas y campos deportivos comunales.;Promover, efectuar eventos, actividades culturales y de-portivas.Autorizar la realización de actividades sociales y cul-turales de su jurisdicción.Impulsar la creación, implementación y funcionamiento de los centros educativos así como la creación de pro-gramas educativos en los diferentes niveles y modali-dades.

Artículo 55°.- Son funciones del Coordinador de Di-fusión y Prensa Zonal

Integrar el consejo de línea del C.E.C.Mantener informado a los dirigentes y socios en general de los sucesos más importantes del interior y exterior de la zona.Coordinar con las secretarias afines dentro de su juris-dicción.Está bajo su responsabilidad todo equipo de difusión y prensa que tuviera la zonaPublicar y difundir los comunicados y boletines que acu-erde su consejo de línea y las instancias respectivas de la zona.

Artículo 56°.- Son funciones del coordinador de produc-ción y Trabajos Comunales zonal

Integrar el consejo de Línea del C.E.C.Impulsar la creación de empresas comunales en coordi-nación con el Plan de Desarrollo integral de la C.U.A.H.Promover la creación de los talleres comunales en las bases, en coordinación con la Secretaria de Producción y Trabajos comunales de base.Planificar y coordinar la realización de trabajos comu-nales de la zona.

Artículo 57°.- Son funciones del Coordinador de Servi-cios comunales de la zona.

Integrar el consejo de Línea del C.E.C.Coordinar acciones tendientes a dotar de servicios de la zona.Participar activamente en la Planificación y el buen fun-cionamiento delos servicios de agua, electrificación y transporte.

Artículo 58°.- Son funciones del Coordinador de Auto-defensa zonal

Integrar el consejo de línea del C.E.C.Velar por el buen funcionamiento y desarrollo de las asambleas del CEZ, asamblea plenaria de delegados.Defender a los asociados en su instancia correspondi-

ente.Defender ante cualquier instancia los intereses de la zon, en caso de ser afectados.

CAPITULO V

DE LA PLENARIA DE DELEGADOS ZONALES

Artículo 59°.- La Plenaria de Presidentes y Delegados zonales es la segunda instancia superior dentro de su jurisdicción y todo cuanto se acuerde en dicha instancia será de inmediata ejecución por el C.E.C.

Artículo 60°.- La asamblea de Presidentes y delegados se convocará cada tres meses con carácter ordinar-io y cuando las circunstancias los requieran será con carácter extraordinaria.

Artículo 61°.- La asamblea de presidentes y delegados está facultado para aprobar informes de los miembros del C.E.C. y del C. De V., resolver denuncias generados en su jurisdicción.

Artículo 62°.- Está facultado para nombrar una comisión Organizadora de la asamblea General zonal a plena re-sponsabilidad.

Artículo 63°.- en caso del no cumplimiento para la con-vocatoria de la asamblea, se procederá de la siguiente manera:

solicitud de convocatoria por escrito a la vez suscrito por más del 50% más uno de los presidentes de base, con tiempo fijado y con agenda clara a los miembros del C.E.C.A la negativa de la solicitud, será convocado por los mismos con cargo de dar cuenta a la instancia inme-diato superior.

CAPITULO VI

DE LA ASAMBLEA GENERAL ZONAL

Artículo 64°.- La asamblea general zonal es la máxima instancia dentro de su jurisdicción; sus acuerdos y res-oluciones son acatados por los pobladores de las bases y organismos naturales.

Artículo 65°.- La asamblea general zonal será convoca-da cada 6 meses ordinariamente antes de la realización del congreso General del C.U.A.H.

Artículo 66°.- su convocatoria será responsabilidad de una comisión lo que fenecerá en la juramentación de la mesa directiva que se nombra para que lleve a cabo el evento.

Artículo 67°.- El quorum se establecerá con la partici-


pación de la mitad más uno de los socios titulares de lotes, en la primera citación y en la segunda citación con un tercio (1/3) de los socios titulares de lotes de la zona respectiva.Asi mismo, con asistencia de los Organismos naturales con sede en la zona respectiva y los socios de la franja comercial de la jurisdicción zonal debidamente organi-zados

CAPITULO VII

DEL CONCEJO EJECUTIVO CENTRAL

Artículo 68°.- El C.E.C. es el máximo órgano ejecutivo de la C.U.A.H. y ejerce la representación jurídica de la misma y es el encargado de hacer cumplir el presente estatuto y el reglamento.

Artículo 69°.- El C.E.C. está constituido por 12 cargos; de los cuales 6 son elegidos por el voto popular, los cargos a elegir son:

Secretaría General de la C.U.A.H.Sub-Secretaría General.Secretaría de Administración.Secretaría de Planificación.Secretaria de RelacionesSecretaria de Economía y Finanzas.

Los 6 restantes cargos son elegidos internamente, entre los coordinadores de los diferentes consejos de línea y el que preside dicho consejo es la Secretaria del ramo. A la vez pasa a ser parte integrante del CEC de la CUAH, los consejos de línea son:Secretaría del consejo de Línea de Difusión y Prensa.Secretaría del Consejo de Línea de Educación, Cultura y DeporteSecretaría del Consejo de Línea de Salud y Bienestar Social.Secretaría del Consejo de Línea de Producción y Traba-jos ComunalesSecretaría del Consejo de Línea de Servicio Comunal.

Secretaría del Consejo de Línea de Autodefensa.

Quienes serán ratificados en la asamblea Plenaria Po-blacional.

Artículo 70°.- Las reuniones del CEC, son ordinaria y extraordinaria, los cuales serán convocados cada15 días los ordinarios y las extraordinarias cuando las cir-cunstancias lo requiera. Siendo el quorum la mitad más uno de los dirigentes y las decisiones se determina por mayoría simple.

Artículo 71°.- La duración de su mandato será de 2 años consecutivos, pudiendo ser reelegidos en el peri-odo siguiente, más no en el subsiguiente, según regla-mento de elecciones.

Artículo 72°.- Los cargos del C.E.C. son personales e indelegables por o mismo es un honor serlo y solidari-amente responsable de sus actos.

Artículo 73°.- Son funciones del C.E.C.:

Ejecutar los acuerdos de las asambleas plenarias y de los congresos.Aprobar y elevar los actos y contratos, necesarios para el desarrollo económico social de la C.U.A.H. Someter a consideración de la asamblea plenaria y el congreso dentro de los términos establecidos, los presupuestos, así como los balances y cuentas previo documentos.Aprobar el Plan de desarrollo que anualmente presenta en comité de Planificación por intermedio de la Secre-taria respectivo par que de esa manera se eleve a las instancias superiores. Convocar a la asamblea plena-ria con citación escrita y con un tiempo prudencial además con agenda específica.Dar el visto bueno de los mecanismos económicos y administrativos de la C.U.A.H.Tener estrecha coordinación y aprobar el regla-mento de funciones del órgano de apoyo que funcione como organismo técnico y legal. Adoptar todas las me-didas concordantes al más eficaz cumplimiento de Plan de desarrollo comunal ceñido a los fines

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Transformative planning for environmental justice in Lima

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