Lima - Perú Regional Project of Risk Reduction in Andean Capital Cities

ANDEAN CAPITAL CITIES 2007 Regional Catalogue of Municipal Management Tools in risk Risk Reduction and Emergency Preparedness

Regional Strengthening and Risk Reduction in Major Cities of the Andean Community

Catalogue of Municipal Management Tools in Risk Reduction and Emer- gency Preparedness in Andean Capital Cities

A publication of the United Nations Development Programme (UNDP), executed within the scope of the Project “Regional Strengthening and Risk Reduction in Major Cities of the Andean Community”, co-financed by the Bureau of Crisis Prevention and Recovery (BCPR) and the Disasters Preparedness Programme (DIPECHO) of the European Commission Humanitarian Aid Offi- ce (ECHO).

The context of this document is the exclusive responsibility of its authors and does not necessarily reflect the official opinions of the UNDP or the DIPECHO. The UNDP and the DIPECHO have the right to make use of the context of this is publication freely and in any manner they consider appropriate.

UNDP – RLA 51467 ECHO/DIP/BUD/2005/03013 DIPECHO IV Action Plan

UNDP/BCPR LAC Regional Advisor: Ángeles Arenas

Regional Project Coordinator: Luis Gamarra Coordination assistant: Jorge Vargas

National systematization consultants: Luis Gamarra and Jorge Vargas (Bolivia) Germán Camargo (Colombia) Franklin Yacelga (Ecuador) Olga Lozano and David Montero (Perú) Virginia Jiménez, Ketty Mendes and Velquis Velandria (Venezuela)

UNDP Country Offices Focal Points: Rocío Chaín (Bolivia) Luisz Olmedo Martínez (Colombia) María Elena Enríquez (Ecuador) Raúl Salazar (Perú) Carlos Sánchez (Venezuela)

Coordination of the edition: Luis Gamarra Copy editor: Rolando Costa Benavides Revision: Ángeles Arenas Pictures: Provided by the corresponding municipalities

Design: Gianni Renzo Borja Godoy and Rolando Costa

For more information about this Catalogue, please contact: Ángeles Arenas: [email protected] Luis Gamarra: [email protected]

Regional Catalogue of Municipal Management Tools in Risk Reduction and Emergency Preparedness LIMA

Credits

CONSULTANTS RESPONSIBLE OF THE DOCUMENT:

ARQ. OLGA LOZANO CORTIJO, UNDP Consultant

ING. DAVID MONTERO COBEÑAS, UNDP Consultant

METROPOLITAN MUNICIPALITY OF LIMA ING. PEDRO KULJEVAN GARCÍA Subgerente de Defensa Civil

DRA. GISELLE ZEGARRA FLORES Gerente de Dearrollo Urbano

ACKNOWLEDGEMENTS

MUNICIPALIDAD METOPOLITANA DE LIMA

DR. LUIS CASTAÑEDA LOSSIO Alcalde de la Municipalidad Metropolitana de Lima

REGIDORES GERENCIA DE DESARROLLO URBANO Arq. Norma Yarrow Lumbreras Abog. Giselle Zegarra Flores Presidenta de la Comisión de Defensa Civil Gerente

Raúl Dueñas Rospigliosi Abog. Úrsula Luna Santome Miembro de la Comisión de Defensa Civil Asesora Legal

Josily De La Torre SUBGERENCIA DE DEFENSA CIVIL Asesora de Prensa

ing. Pedro Kuljevan García Subgerente SUBGERENCIA DE ADJUDICACIÓN Y SANEAMIENTO LEGAL DE TIERRAS Ing. Teresa Bazalar Gonzáles Jefa del Área de Prevención Abog. Nancy Zedano Martínez Subgerente Sr. José Ubilluz Ezcurra Jefe de Inspecciones Técnicas Adm. Mario Palomino Rivera Jefe de la División de Titulación ing. Ismael Chávez Riveros evaluador de Riesgo Abog. Ana Maribel Príncipe Hidalgo Consultora MML

Regional Catalogue of Municipal Management Tools in Risk Reduction and Emergency Preparedness Regional Project of Risk Reduction in Andean Capital Cities

Ing. José Armas Noriega Ing. Renán Altez Carrera evaluador de Riesgo Consultor MML

Ing. Juan Olano Risco Bach. Soc. Julio Vilchez Chiroque evaluador de Riesgo Consultor MML

Ing. Tania Ríos Araujo Ing. Jesús Razo Blas evaluador de Riesgo Consultor MML

Bach. Ing. Fernando Dávila Aguirre Evaluador de Riesgo SUBGERENCIA DE PLANEAMIENTO Y HABILITACIONES URBANAS Bach. ing. Pamela Taboada Huarcaya Evaluador de Riesgo Ing. Luz Mariela Bueno Otiniano Subgerente Bach. Ing. Ruth Arévalo Hernández Evaluador de Riesgo Arq. José Oviedo Lira Consultor MML

UNITED NATIONS DEVELOPMENT PROGRAMME UNDP - PERÚ

SR. JORGE L. CHEDIEK Coordinador Residente del Sistema de Naciones Unidas Representante Residente PNUD

SR. RAÚL SALAZAR SALAZAR Oficial de Programa

SRTA. HILDA POLANCO GUEVARA Secretaria de Programa

Regional Catalogue of Municipal Management Tools in Risk Reduction and Emergency Preparedness LIMA

Index

PRESENTATION 7

1. INTRODUCTION 9

2. CHARACTERISATION OF THE SCENARIO 11

2.1. tHE ENVIRONMENT 11 2.1.1. PHYSICAL-GEOGRAPHIC FRAMEWORK 11 2.1.2. HISTORICAL-CULTURAL FRAMEWORK 14 2.1.3. POLITICAL, REGULATORY AND INSTITUTIONAL FRAMEWORK 17

2.2. tHE NUCLEUS OF THE SCENARIO 18 2.2.1. tHE AREAS AND THEIR CHARACTERISTICS 19 2.2.2. tHE ACTORS AND THE PROCESSES OF RISK CONSTRUCTION 21

2.3. UNSAFE CONDITIONS, HAZARDS AND VULNERABILITIES 27 2.3.1. HAZARD CONDITIONS 27 2.3.2. VULNERABILITY CONDITIONS 27

2.4. unsafe CONDITIONS 27 2.4.1. effeCTS ON THE SELF-MANAGED COMMUNITY of HUAYCAN (NUCLEUS) 27 2.4.2. EFFECTS ON THE CITY AS A WHOLE 28

3. INVENTORY AND DESCRIPTION OF PRACTICES AND RISK MANAGEMENT INSTRUMENTS 31

3.1. ENVIRONMENT MANAGEMENT 31 3.1.1. PUBLIC REGULATORY AND INSTITUTIONAL POLICIES FRAMEWORK 31 3.1.2. MUNICIPAL ADMINISTRATION 37

3.2. MANAGING THE NUCLEUS OF THE SCENARIO 38 3.2.1. FORMALISATION PROCESS OF HUMAN SETTLEMENTS IN RISK AREAS 38 3.2.2. SCOPE AND LIMITATIONS OF THE FORMALIZATION PROCESS OF HUMAN SETTLEMENTS IN RISK AREAS 41

INSTRUMENT 1: INCORPORATING THE ANALYSIS AND UNSAFE CONDITIONS IN THE TITLING PROCess 2 INSTRUMENT 2: RISK ASSESSMENT REPORT 43

Regional Catalogue of Municipal Management Tools in Risk Reduction and Emergency Preparedness Regional Project of Risk Reduction in Andean Capital Cities

3.3. MANAGING UNSAFE CONDITIONS 44 3.3.1. PROJECT: CONSULTANCY AND SUPERVISION OF COMPLIANCE WITH THE REQUIRED RECOMMENDATIONS in RISK REPORTS 44

INSTRUMENT 3: CONSULTANCY AND SUPERVISION OF COMPLIANCE WITH THE REQUIRED RECOMMENDATIONS IN RISK REPORts

3.3.2. PROJECT: IMPROVING LIVING CONDITIONS OF THE POPULATION LIVING IN EXTREME POVERTY AND EMERGENCY SITUATION IN HUAYCAN-PERU 47

INSTRUMENT 4: IMPROVE LIVING CONDITIONS OF THE POPULATION LIVING IN EXTREME POVERTY AND EMERGENCY SITUATION IN HUAYCAN - PERu 9

3.3.3. STRENGTHEN COMMUNAL ORGANISATION AND PARTICIPATION IN PREVENTIVE ACTIONS TO DEAL WITH NATURAL HAZARDS 50

3.4. EFFECTS MANAGEMENT 50

INSTRUMENT 5: STRENGTHEN COMMUNAL ORGANISATION AND PARTICIPATION FOR PREVENTIVE ACTIONS TO FACE NATURAL HAZARDS 51 INSTRUMENT 6: COMMUNITY TRAINING 53 INSTRUMENT 7: EMERGENCY SIMULATIONS 54 INSTRUMENT 8: CONTINGENCY PLANS 55 INSTRUMENT 9: SECURITY AND EVACUATION MAPS 56 INSTRUMENT 10: DAMAGE ASSESSMENT REPORT 57 INSTRUMENT 11: HUMANITARIAN SUPPORT 58

ANNEXE 1 59

ANNEXE 2 60

BIBLIOGRAPHY AND REFERENCES 63

Regional Catalogue of Municipal Management Tools in Risk Reduction and Emergency Preparedness LIMA

Presentation

The Regional Project “Strengthening Risk Reduction in Major Cities of the Andean Community”, which was developed in parallel and in coordination with the five capital cities of the Andean Community: Bogotá, Caracas, La Paz, Lima y Quito has analyzed, compared and shared risk reduction experiences, generating synergies and mutual support strategies within the region.

The project’s objective was to strengthen the capabilities of these capital cities and their most vulnerable communities, through the compilation of initiatives, identification of common policy guidelines and appropriate and manageable indicators, as well as the exchange of experiences at the national and regional level.

The hillsides currently occupied by informal human settlements were the scenario selected for comparison between cities. In this sense, this document places the risk management activities performed by Lima’s Metropolitan Municipality within the context of the interest to develop tools to anticipate the impact of disasters.

It is important to stress the fact that this project is the result of collective work performed within the Municipality, between the Civil Defense Sub-Management De- partment and the Urban Development Department, and with external participation, where valuable input was received, from the participants of the Workshops to exchange experiences to reduce disasters taking in each Andean capital city. In Lima, these workshops were held during the 12, 13 and 14 of October 2006.

The text starts of with a brief introduction on Lima’s problem related to risk construction on hillsides; it characterizes the scenario in terms of the setting (the city) and the nucleus (Huaycán’s case), and presents the inventory and description of risk management practices and tools. A total of 11 risk management tools were identified.

For Lima’s Metropolitan Municipality, the project has been a valuable experience, in particular due to the exchange of experiences with other Andean capital cities and the establishment of cooperation links that in the future will contribute to the design of risk management municipal tools.

Regional Catalogue of Municipal Management Tools in Risk Reduction and Emergency Preparedness Regional Project of Risk Reduction in Andean Capital Cities

In this fashion, we will improve our risk management program, innovating our response to urban problems affecting the population’s security and living standard and contributing to raising the living conditions of the population occupying risk areas.

In addition, it is evident that the reduction of risk conditions requires having a pa- noramic and integral vision of the city, the ongoing economic and social processes and their political and institutional contexts.

Finally, I wish to express my gratitude to the technical personnel of the Metropoli- tan Municipality of Lima, the consultants, the Humanitarian Aid Department of the European Union, the UNDP’s Bureau of Crisis prevention and Recovery (BCPR), the UNDP Peru and those institutions that directly or indirectly have contributed to the strengthening risk reduction in the city of Lima.

Regional Catalogue of Municipal Management Tools in Risk Reduction and Emergency Preparedness LIMA

Introduction 1 The city of Lima, the capital of Peru, is a very large urban area made up of Metro- politan Lima and the Constitutional Province of Callao. The former has 43 districts whilst the latter has 5, which cover an area of 2,819.26 square km, representing 0.2% of the national territory. However, it houses a third of the national population, approximately 8,000,000 people.

The topography of the city is generally flat, with rocky hillside areas surrounding it, which have been increasingly occupied contrary to the law, due to the scarcity and/or lack of housing for families with limited resources. When this occupation started such human settlements (A.A. H.H.) were perceived by the municipalities as subject to relocation, however under pressure from the population they were subsequently legally recognised and physically reorganised particularly at election time. As a consequence, extensive poverty belts have developed, characterised by horizontal rather than vertical growth.

As a result of both the demographic explosion in the 1980s and 1990s caused by the natural growth of the city itself and the intensified migration process due to armed conflict throughout Peru, the low-income population was forced to take land which by its very nature was of little urban value. Such land was generally barren, sandy (without the potential for growing crops), often on steep slopes, with limited access and without urban adaptation or basic services. Once the developable land within the city became depleted, the population began to look towards the hillsides

Regional Catalogue of Municipal Management Tools in Risk Reduction and Emergency Preparedness Regional Project of Risk Reduction in Andean Capital Cities

and ravines, which had historically presented problems of an external geo-dynamic nature, such as huaycos (flows of mud and rocks).

On the hillsides the primary hazards are earthquakes and fire. Seismic quakes bring about a loosening of the rocks, directly affecting the settlements located in them whilst fire creates problems due to the precarious material used in the houses. These vulnerable conditions in these areas are high in almost every respect and as such the risk manifestation is high in cases of fire, earthquakes, house collapse, rock falls and flooding due to overflow.

The control of the occupation, as well as risk management on the hillsides is a task for the district municipalities. Equally, they are also in charge of preparing and dealing with emergencies within their jurisdiction, unless it goes beyond their capabilities, in which case the Metropolitan Municipality of Lima (MML) and the Sistema Nacional de Defensa Civil - SINADECI (National Civil Defence System) intervene, respectively.

However, the Metropolitan Municipality of Lima, all throughout the process of physical-legal regularization for property titling, is currently implementing in the city two important actions:

n Risk assessment, as a prior measure for property titling, developed by the Sub- gerencia de Defensa Civil (Civil Defence Office). n The guidance and supervision of necessary actions to remove the identified unsafe conditions, carried out by the Subgerencia de Adjudicación y Saneamiento Legal de Tierras (MML Office of Adjudication and Legal Regularization of Land).

It is worth mentioning that in relation to civil defence issues, the MML has, amongst others, the following functions:

n the creation, proposal and development of the Plan Metropolitano de Contingencia para la Prevención y Atención de Situaciones de Emergencia y Desastres (Metropo- litan Contingency Plan for Emergency and Disaster Prevention and Assistance). n the creation, proposal and development of the Sistema Regional de Defensa Civil (Regional Civil Defence System). n The creation and enhancement of the Comités Distritales de Defensa Civil (Dis- trict Civil Defence Committees). n the creation of a risk map for Lima Cercado (Lima District) and the consolidation of the same corresponding to the Lima Province. n The implementation of dissemination campaigns for the community, as well as training and technical assistance.

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Characterisation of the Scenario 2

2.1. THE ENVIRONMENT

2.1.1. PHYSICAL-GEOGRAPHIC OUTLINE The city of Lima, the capital of Peru, is located in Lima Province, at the western centre of the national territory. It is made up of an urban sprawl that comprises Metropolitan Lima and the Constitutional Province of Callao, the former with 43 districts and the latter with 5.

It has a total area of 2,819.26 square km, of which 2,672.28 covers Metropolitan Lima and 146.98 Callao: a surface that represents 0.2% of the national territory. It houses a third of the national population, that is to say, it houses 7,765,151 people, of which 6,954,583 are in Metropolitan Lima and 810,568 are in the El Callao Port1.

The city of Lima is located between the borders of the Andean Mountain Range and the Pacific Ocean. Its climate is temperate, with some arid and sub-tropical thermal 1. Definitive Results of the 2005 Popu- lation and Housing Census. Instituto conditions, low fluctuation of the maximum (30ºC) and minimum (10ºC) tempera- Nacional de Estadística e Informática – INEI (Nacional Statistics and Infor- ture, and with a thermal inversion when reaching 1,000 m.a.s.l. matics Institute).

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LOCATION OF LIMA GRAPHIC 01

Source: INEI’s Webpage. Made by: Architect Olga Lozano Cortijo.

The topography of the city is generally flat, with rocky hillsides surrounding it, which have been increasingly occupied contrary to the law, due to the scarcity and/or lack of housing for families with limited resources

Earthquakes are the greatest hazard in the city of Lima and in the whole country. The main source that generates seismic events affecting this region is the subduction area, defined by the interaction of the Nazca Plate and the South American Plate. This source can generate events of a great magnitude, those that, according to seismic history, in the central coast area can reach 8.2 degrees on the Richter scale2.

OUTLINE OF THE SUBDUCTION AREA IN PERU GRAPHIC 02

2. “Vulnerability and Seismic Risk Study in 42 Districts of Lima and Callao”. Un- dertaken by the Civil Engineering Depart- ment of the National Engineering Univer- sity - UNI, the Instituto Peruano Japonés de Investigaciones Sísmicas y Mitigacion de Desastres - CISMID (Peruvian-Japane- se Centre for Seismic Investigation and Disaster Mitigation), and the Asociación Peruana de Empresas de Seguros - APE- SEG (Peruvian Association of Insurance Source: Earthquake exposure – situational analysis of Lima, MML. Civil Defence Directorate Companies). April 2005.

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The city has five geo-technical seismic areas defined on the basis of existing soil types; predominantly gravel, sand and limestone with thickness less than 10 m, and finally eolian sands3. It is worth mentioning that the hillsides of a rocky structure are considered stable in the event of an earthquake; although movement can lead to the loosening of rocks that directly affect the settlements located on them.

GRAPHIC 03 GEOTECHNICAL EARTHQUAKE AREAS OF LIMA CALLAO Area I With rocky surfaces and gravel strata that makes up the alluvial fans of the Rí- mac and Chillon rivers. Its behaviour is rigid, with periods of natural vibration determined by the micro- trepidation readings that vary between 0.1 and 0.3 seconds. Area II Made up of areas comprised by a surface layer of fine, grainy soil and clay soil. The strength varies between 3.0 and 10.0 m. Underneath these layers is the alluvial or colluvial gravel. Area III With deposits of fine soil and thick sands (Puente Piedra, La Molina and Lurin). With deposits of eolian sand in a loosened state (Venta- nilla and Villa El Salvador). Area IV With deposits of very thick, loose eolian sand. With marine deposits and swampy ground (Ventani- lla, Callao, Chorillos, Villa El Salvador and Lurin, as well as Pachacamac – an area National Engineering University – UNI. Peruvian-Japanese Centre for Seismic Investigation and with quarries filled with this Disaster Mitigation – CISMID. Peruvian Association of Insurance Companies - APESEG material). La Punta: Surface layer of 3. “Vulnerability and Seismic Risk Study in 42 Districts of Lima and Callao”. Un- gravel over a large deposit of mud generates relatively long periods. Pachacamac Sector: dertaken by the Civil Engineering De- With deep deposits of sand generating long periods. partment of the National Engineering University - UNI, the Instituto Peruano Area V Japonés de Investigaciones Sísmicas Made up of specific areas comprised of filled, loose deposits of a heterogeneously dismoun- y Mitigacion de Desastres - CISMID (Peruvian-Japanese Centre for Seismic ted nature, which have been placed in a natural depression or digs undertaken in the past, Investigation and Disaster Mitigation), with strengths between 5.0 and 15.0m. and the Asociación Peruana de Em- Landfill sites (Rimac, Surquillo, Bellavista, La Perla, San Juan de Miraflores and San Juan de presas de Seguros - APESEG (Peruvian Association of Insurance Companies). Lurigancho). April 2005.

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2.1.2 HISTORICAL-CULTURAL FRAMEWORK

History of the Occupation of the city of Lima-Callao Since the settlement that took place in the Pre-Hispanic era, the city of Lima was located on the left bank of the Rimac River, a source of water for the city and with a steady flow of agricultural activities. The Spanish occupation began in the same region and grew towards the West and East of the current Historic Centre of Lima, World Cultural Heritage Site. Until 1910 it was consolidated and expanded towards the Port of El Callao, at the far West of the city, and towards the main estates.

From 1940 to 1972, that is to say, in little more than 30 years, the population of the city was multiplied five times over, from 645,000 people to 3,300,000. This demographic growth was determined by the search for employment opportunities by the population from the countryside, due to the fact that the centralised political administration did not foster development of the mountain and jungle regions. The first occupied areas were agricultural, along the central axis towards Miraflores, an occupation facilitated by the construction of the Arequipa Avenue. Then, little by little, areas began to be occupied towards Magdalena del Mar, Callao and towards the hillsides of the south-eastern hillsides of the city.

EVOLUTION OF THE CITY OF LIMA-CALLAO GRAPHIC 04

Source: Lima 2000. Produced by: Architect Olga Lozano Cortijo

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In the 1970s and 1980s, the flow of migration and the occupation of the hillsides were more intense. In the 1970s due to the effects of the agrarian reform and in the 1980s because of the armed conflict that struck the whole nation. The agrarian reform, together with an economic policy of import substitution, increased poverty; whilst internal conflicts compelled the population to search for areas that would offer increased security.

As a result, nowadays, the city of Lima-Callao houses almost 8,000,000 people in an area of approximately 280,000 hectares. In this growth process all “flat” areas, as well as the hillsides that surround the city have been formally and informally occupied.

CHART 01 EVOLUTION OF THE POPULATION AND AREA OF THE CITY OF LIMA-CALLAO – 1940-2005

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* Source: National Census of population data. ** Source: The different urban plans produced in those years. The area of the city in 2005 includes non-occupied areas. Earlier figures only include occupied areas. Produced by: Architect Olga Lozano Cortijo.

The Occupation of Hillsides in the City of Lima-Callao Due to the City being generally ‘flat’ the formal sectors were able to access areas near to those that were already urbanised, while the informal sectors occupied barren land on the hillsides – the majority of which was property of the State but where no basic services were provided. These last human settlements slowly obtai- ned their regularization and legalisation, and even basic service supply, in spite of the elevated costs, throughout the investments made by the governments.

As this land began to be occupied, in response to the demand for housing and the inability of the State to meet these demands adequately, the low-income population started locating themselves on the hillsides, as well as the river banks, marshy areas, etc; which, in the most part are high-risk areas.

Regional Catalogue of Municipal Management Tools in Risk Reduction and Emergency Preparedness 15 Regional Project of Risk Reduction in Andean Capital Cities

These settlements have HILLSIDE SETTLEMENTS GRAPHIC 05 developed in a progressive way. It stems from a deficit of equipment, services and infrastructure, that is partially and slowly supplied as networks are gradually extended, facilities are built and the roads are improved, all of which can be partially managed or built by the local communities themselves.

The informal and mar- ginalised social conditions, together with the precarious nature of the housing and urban structure, determine several degrees of fragmentation

for these settlements with Source: Lima 2000. Produced by: Architect Olga Lozano Cortijo regard to the structure and functioning of the city. In turn, this fragmentation contributes to the mainte- nance and increase of informality, marginalisation and poverty dynamics.

These settlements are comprised mainly by housing that may often be of a progre- ssively constructive nature (the form, the materials and size change as the owner is able to improve it). This informal housing is often mixed with other uses, often in the same buildings, such as commercial activities, workshops and industry, which also tends to present various informality dynamics.

When this occupation started such human settlements (A.A.H.H.) were viewed by the municipalities as subject to relocation, however under pressure from the population they were subsequently legally recognised and physically reorganised particularly at election time. In graphic No. 5 an outline of the human settlements located on the hillsides that began with an informal occupation is presented. A great number of them have already been formalised but others have not. These remai- ning informal settlements are being subjected to risk assessment to proceed or not towards their formalisation.

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The occupation of the hillsides represents a concern for the people involved, for the district municipalities where they are located, and for the Metropolitan Municipality of Lima. However, the concern of these populations is generally centred on the physical reorganisation and legal recognition of their property, which enables access to basic services (water, drainage, electricity, roads and pavements), rather than on their conditions of vulnerability and risk, which is a concern for the authorities. The rest of the population is not aware of the problem.

2.1.3. POLITICAL, REGULATORY AND INSTITUTIONAL FRAMEWORK Metropolitan Lima has a special political-administrative regime that confers it regional together with local functions and resbonsibilities. In that sense, the MML is in charge of creating and approving the Plan de Desarrollo Metropolitano y los Planes Específicos (Metropolitan Development Plan and the Specific Plans) that may be required. It is also in charge of approving, the Urban Development Plans and Specific Plans that are created by each of the 43 districts that comprise it4. Inside the city each district municipality of Metropolitan Lima has the same functions as the national districts ones. The Constitutional Province of Callao presents the same regime, being a regional and provincial government at the same time, made up of 5 districts.

GRAPHIC 06 PLANNING OFFICES IN PERU

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Source: Lima 2000. Produced by: Architect Olga Lozano Cortijo

As for the guidelines in the Metropolitan Development Plan, aside from the generic ones referring to the defining of risk areas, the District Urban Development plans are the ones that identify and regularise those areas. It is for the Metropolitan Muni- cipality of Lima to control compliance with these standards when approving the ur- 4. Ley Orgánica de Municipalidades (Organic Law of Municipalities). ban authorisation files. However, there is no control regarding these investments.

Regional Catalogue of Municipal Management Tools in Risk Reduction and Emergency Preparedness 17 Regional Project of Risk Reduction in Andean Capital Cities

Likewise, as Lima is the capital of the republic and all the facilities of the central government can be found in the city there is a lot of government interference in municipal functions. However, it is not the same in risk management, where the intervention levels are clearly defined by the National Civil Defence System- (SI NADECI), which operates hierarchically, as shown by the structure presented in graphic No. 07:

STRUCTURE OF THE NATIONAL CIVIL DEFENCE SYSTEM (SINADECI) GRAPHIC 07 ��

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Source: Manual of basic knowledge for Civil Defence Authorities and Offices. Produced by: Architect Olga Lozano Cortijo

The district municipalities has administrative autonomy to control occupation, risk management and emergency preparedness and response; unless however such emergencies go beyond their response capacity. In these cases there may be intervention, firstly, from the Metropolitan Municipality of Lima and secondly from the National Institute of Civil Defence.

2.2. THE NUCLEUS OF THE SCENARIO The city of Lima is surrounded by poor areas, the progressive development of which has been characterised by a growth that is more horizontal than vertical. The demographic explosion of the city increased in the 1980s and 1990s, as a result of the internal (within the city) and external (from the countryside to the city) migration process. As a consequence of population displacement due to armed conflicts between Sendero Luminoso, Tupac Amaru and the Armed Forces, the population with limited economic resources was forced to take land that was of little urban value. Generally such land was barren, sandy terrain, with a steep slope which was

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difficult to access. Once flat land in the city was depleted, the population turned to hillsides and quarries which historically present geo-dynamic risks such as huaycos (flows of mud and rocks).

CHART 02 RELATION OF HILLSIDE AREAS WITH THE CITY OF LIMA (Estimates)

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Source: MML- Civil Defence Office- prevention area, urban development management office. Produced by: Engineer David Montero Cobeñas

The area of Huaycan has been chosen to explain the processes of occupation and development of the settlements, and to exemplify the problems on the hillsides in the city of Lima.

2.2.1. THE AREAS AND THEIR CHARACTERISTICS

Location

LOCATION OF HUAYCAN GRAPHIC 08 The Self-Managed Commu- nity of Huaycan is located in the Ate district, Lima province, department of Lima, Lima region, on the following co- ordinates: LS 12º01’18” and LW 76º54’57”, at a height that varies between 380 and 500 m.a.s.l and has an area of 877.85 hectares of land.

The district of Ate has an urban area of 7,772 hectares and is located east of the city of Lima.

5. Urban Plan of Ate, Update of the Ge- neral Zoning and District Road System, Instituto Metropolitano de Planificación - IMP (Metropolitan Planning Institute), June, 2004.

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The Physical Environment

Geomorphology The Self-Managed Community of Huaycan is located on the alluvial fan of a dry ravine of the same name, surrounded by rocky hills, typical of Andean rock forma- tions.

The hills have an elevation higher than 1,602 m.a.s.l. (in the water divide of the Ba- sin of the Rimac River with the Basin of Lurin River towards the south). The largest extension of the ravine is of approximately 6 km, from the highest elevation to the rivermouth of the channel of the Rimac River.

Climate The environmental temperature fluctuates between 13ºC in winter (July-Septem- ber) up to 29ºC in the summer (January-March).

Eventhough rainfall in the region is scarce, the relative humidity is high – between 70%-90% in the months of August, September and October, with peaking climate characteristics and with light precipitation, being especially dry the rest of the year. Very rarely there are rainfalls that could generate superficial flows of runoffs or huaycos (Flows of mud and rocks).

Occupation of the Territory The Programa de Habilitación Urbana (Urban Regularization Programme) in the Area of Huaycan was created on the 3rd of May 1984 by Resolution No. 40 of the City Hall in the Metropolitan Municipality of Lima.

The municipality defined its role as promoter of PLANE OF HUAYCAN GRAPHIC 09 popular management, seeking to consolidate the popular organisations, supporting independent building and developing appropriate urban techno- logies.

Its objective was to house the working class of the city, respecting, in their design, high-risk areas such as the channels of the quarries and hillsides, which would become areas of forestation. Unfortunate- ly, given the expansion of settlements, such areas were extensively occupied and moreover, the lack

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of water prevented any attempts at forestation. For this reason the Self-Managed Community of Huaycan became a representative area for the rest of the scenarios presented by housing on the hillsides in Metropolitan Lima.

2.2.2. THE ACTORS AND THE PROCESSES OF RISK CONSTRUCTION

Characteristics of the actors in the informal settlements of the hillsides Huaycan has a population of approximately 120,000 people, the majority of whom are migrants from within the country. In terms of labour, the primary occupations are those of street vendors, construction worker and housekeeper, located on a strip of extreme poverty. According to the National Institute of Statistics and Infor- mation (INEI), the average income is US$ 68 a month per family, significantly less than the minimum wage of US$120.

The main social characteristics are the following: 67.4% speak Spanish as a first language; 32.5% speak Spanish and Quechua as dialect and language to commu- nicate with each other; 38.3% are below 15 years of age; 59.1% are between the ages of 15 and 40; and 83.2% have built their own homes.

Organisational Form Huaycan is a Self-Managed Urban Community with a pyramid structure; the base of which is made up of the Unidades Comunales de Viviendas (Communal Housing Units), more commonly known as UCVs. A UCV is comprised of 60 lots, with each lot corresponding to a home. Each UCV may elect a president as a representative to area and central managements.

Each area is identified by a letter of the alphabet (see graphic No. 09) and includes a variable number of UCVs. Each area elects a Secretaría Zonal (Area Administration Secretariat) that represents the whole of the area organisation. These Secretariats co-ordinate their efforts with the central management, represented by the Consejo Ejecutivo Central – CEC (Central Executive Council) of the Self-Managed Urban Community of Huaycan.

Initially 200 UCVs had been planned. However, currently there are 235 and 80 have been extended. Each UCV has an area of one hectare (10,000 square metres) and encompasses 60 lots. These lots provide single-family homes and cover an area of

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90 square metres (area determined with the aim of optimising space), rather than the 120 square metres traditionally used for homes.

ORGANISATIONAL STRUCTURE OF HUAYCAN GRAPHIC 10

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The reduced size of each lot is partly due to the fact that ‘green areas’ are considered to be outside of the home. Thus, if one were to multiply the 60 lots by 90 square metres, the result would be that homes only occupy 54% of the total UCV area. Generally the houses are constructed around the perimeter of the UCV, leaving an open area in the centre. This open area is considered communal property and has two streets that must cross each UCV. In addition there is also space for communal green areas. Using this design the space is organised with greater efficiency, services are grouped, leaving space for a community centre on one lot, where meetings take place and which house an eating area and a first-aid kit.

In the extended areas, located in the higher parts of Huaycan on the hillsides, this spatial arrangement is lost due to the topography of the land. Here the local communal and service spaces are maintained, but the housing areas in some cases are reduced (due to the slope) or are increased in size, as in the case of bio-gardens, where lots can cover up to 300 square m.

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Information Level of the Organisation Regarding the Risk of Informal Occupation on the hillsides6

■ 7% of the population knows of the existence of the Civil Defence System in their area. ■ 7% of the population believes in the probability of there being a damaging natural phenomenon. ■ 7% refers to vulnerability as the degree of resistance ahead of a hazard. ■ for dealing with risks and/or disasters, 44% claim they would ask for support, 37% would ask that they be prepared and trained permanently, and only 19% would ask to be moved urgently to a new location. ■ 100% are willing to get organised with their neighbours in the nearby areas so that the Civil Defence can support them continuously in the event of any disaster. ■ 73% maintain that one of the most important actions to be taken into account is the creation of work and prevention programmes, and 27% requested prepa- rations for emergencies.

Physical Characteristics of the Occupation and Construction in Informal Settlements

Housing The techniques used in the construction of housing vary depending upon the terrain on which they are built. Where the ground is made of eroded rock or deep soil, the slope on which the houses are built is cut. Where the land has a rocky surface, terraces are built with dry stone walls that are filled with the material extracted from cutting the slope.

GRAPHIC 11 ADEQUATE HOUSING CONSTRUCTION ON THE HILLSIDES

6. Survey applied in November, 2005, as part of the pilot project called “ Fortalecimiento de la Organización y Participación Comunal en Acciones de Prevención frente a Peligros Naturales” (Strengthening Communal Organisation and Participation in Preventive Actions Before Natural Hazards” carried out by Ricardo Palma University and the Natio- nal Institute of Civil Defence in the J, K and R Sectors of Huaycan. Produced by: Civil Engineer Ennio Moran Núñez

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Where the surface of the ground is covered by rock, dry stone walls are built directly on top with no foundation work. Where the soil is deeper, shallow foundations are built without any bonding material (cement, plaster, lime) or mortar (cement, sand, water).

The materials employed for the construction of the dry stone walls and the filling of terraces comes from the area. For the interior walls, chipboard (sheets of pressed sawdust) or rush mats with wood are used. These are provided by local hardware dealers.

Common mistakes are building of high dry stone walls more than 1.5m high, without the appropriate incline against the slope to obtain more stability; and the absence of bonding material, which can lead to walls collapsing onto houses below. (See picture on the right).

The slope stabilisation work (which is in the process of being formalised) is carried out by the residents themselves with technical assistance from the Metropolitan Municipality of Lima or other non-governmental organisations that work towards risk reduction for people living in poverty and unsafe conditions.

Residents of areas that have been formalised (physical/legal survey) are able to compete to participate in temporary work programmes “A Trabajar” (Let’s Get Wor- king’) run by the Central Government or the Metropolitan Municipality of Lima, for neighbourhood improvement projects or work for accessibility, basic and prevention services, as well as the construction of retaining walls for small ravines.

If the construction of retaining walls is not carried out with technical assistance, there could be an increased risk of collapse or water or mud flow after strong rainfalls. Lima has not experienced a large-scale seismic event since 1974, nor has it seen heavy rainfall, meaning that the constructions in Huaycan have not yet been put to the test.

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Roads Access is via asphalt roads in the lower part of Huaycan, which are extended by unpaved roads. Access to the houses on the hillsides is made possible through man- made steps or unpaved pathways, similar to a bridle path.

Services Coverage of basic services is limited. Electricity is supplied informally by the communities located in the lower areas, who are usually relatives or people from the same region as the hillside occupiers. Water connection on the hillsides is done through “pilones” (a wall with one or more pipes); from here water is carried through hoses to the water tanks located in the houses. In other sectors water is supplied by water tankers, supervised by SEDAPAL7. These tankers charge approximately US$ 0,5 for a barrel or cubic meter of water.

None of the settlements on the hillsides has a sewer system. This total lack of a sewage system means that waste water must be disposed of in waste grounds; thrown into landfills or discarded amongst plants in small gardens. In the latter case such disposal may act as a bio-stabiliser for the terraces on the hillsides. However, the lack of proper drainage or guttering means that water discarded out in the open inevitably becomes a source of pollution.

Currently unsafe conditions and informality are taken into account so the companies – which supply public services – will refrain from providing the service and therefore prevent the legalisation of the informal human settlement in question. However, under pressure from the population the services are eventually provided.

7. Servicio de Agua Potable y Alcanta- Residents separate household waste. They recycle plastic, paper, carton, glass and rillado de Lima – SEDAPAL (Drinking Water and Sewer Service of Lima), a other valuable materials, while organic waste is burnt in waste grounds close to the company of the State. The MML has no say in the management of this company or on the electric power companies.

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houses. Rubble from slope removal is used in the building of dry stone walls and the filling of terraces.

There are various sources of energy; cookers for example may function on liquid petroleum gas (propane gas) or kerosene; whilst poorer people often make use of sticks, paper and plastic to fuel fires.

Risk Construction The primary environmental consequences that can affect Huaycan- in the event of huaycos (flows of mud and rocks) or floods- are: the destruction and deterioration of housing; the suspension of water services and drainage, which would create instances of infection and airborne pollution, due to decomposing organic matter; the presence of waste and dead animals carried by the river or huayco; the spreading of epidemics; the devastation of flora and fauna; the appearance of insects such as mosquitoes and other vectors; the destruction of schools and public facilities; road closures; and the loss of cultural and natural heritage.

If there was to be heavy and persistent rainfall in Huaycan for more than two days, it would possibly cause mudslides or huaycos that would affect both the high and low areas of the hills and the houses along the path of the huayco in the ravines that go down the hills. Clearly the most precious thing to lose would be human life since material assets are precarious and of little value.

SUMMARY OF ACTORS OF RISK MANAGEMENT AND CONSTRUCTION CHART 03

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Produced by: Engineer David Montero Cobeñas.

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2.3. UNSAFE CONDITIONS: HAZARDS AND VULNERABILITIES Unsafe conditions are calculated in relation to hazards and vulnerabilities found in the nucleus of the scenario. The hazards can be natural, socio-natural and/or man-made, and added to the conditions of vulnerability will determine the level of unsafe conditions.

2.3.1. HAZARD CONDITIONS

CHART 04 COMMON HAZARDS

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Produced by: Engineer David Montero Cobeñas.

2.3.2. VULNERABILITY CONDITIONS In every sense poor communities are the most vulnerable; although in the example of Huaycan the organised area is strong. Regarding the physical medium, homes are precariously and poorly built on terraces. The general characteristics are as follows:

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2.4. UNSAFE CONDITIONS

2.4.1. EFFECTS ON THE SELF-MANAGED COMMUNITY OF HUAYCAN (NUCLEUS) Due to the frequency with which threats such as storms occur and the vulnerable conditions in the Huaycan settlements, the manifestation of risk is high, particularly in cases of fire which accounts for 84.63% of incidents; housing collapse 7.7% and flooding due to an overflow 7.4%. These figures relate to the period 2003-2006 and are supplied by the Sistema Nacional de Prevención y Atención de Desastres -

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SINPAD (National System of Disaster Prevention and Attention) of the Civil Defence System (SINADECI).

This information also shows that due to the occurrence of adverse events such as fires, housing collapse, and channel flooding, a total of 65 people have lost their homes and domestic possessions. In addition a further 10 people have also suffered a partial loss of possessions.

2.4.2. EFFECTS ON THE CITY AS A WHOLE The city continues to expand but with a lack of planning in places with little access (hillsides), as this elevates the cost and the difficulty in installing and maintaining basic services (such as water, drainage and electricity). As the communities live in extreme poverty, the city would have to subsidise these services somehow, through social charges, which currently exist in some services such as healthcare, education and electricity amongst others. These communities or families that in time improve their economic standing abandon these houses (difficult to access and that are under risk), leaving them to relatives, transferring them, or selling them at a low price to people with lower financial resources. In turn, this generates a cycle of poverty in the area, which has to be countered through programmes which create local employment with a view to breaking the cycle.

The Pressure-State-Response Model – PER-ES (see graphic No. 12.A), describes, analytically and as a whole, how the environment of the scenario, in this case the city of Lima influences each one of the risk generation and construction- varia bles, and variables for occupational dynamics in risk areas. These variables are: economic growth, internal conflict, inequality, informality, lack of regulations, rural poverty, amongst others. Unfortunately these variables are not taken into account in risk management practices, therefore affecting the efficiency of the actions, by institutions engaged to reduce risk, carried out to mitigate risks and vulnerabilities, generating eventually high unsafe conditions.

The city has expanded without adequate planning, due mainly to the fact that the different government offices failed to foresee that the migration of people from the countryside to the city- brought about by internal conflict- would generate innu- merable human settlements in places not suitable for housing (in legal-technical terms).

The model in graphic No. 12.B describes the public risk component, where the actors involved generate processes of informal occupation and affect the transformation of a particular area (territorial scenario), with specific goods and services

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(sector scenario). In addition this shows how the generation of a series of processes eventually brings about a situation of high hazard or high vulnerability, in the event of earthquakes, and heavy rainfall, that could result rockslides and collapse of walls.

The model graph No. 12C analyses how epidemics and fires in the home are caused, from the point of view of the actors’ environment. In the event of fire, the main causes are the extensive use of candles and unsafe kitchen fires. The causes of epidemics and environmental pollution are mainly the inadequate processes of waste disposal. Waste is often sorted and burned in close proximity to the homes; this generates environmental pollution and also affects a local cemetery, administered by the Self-Managed Community of Huaycan itself, which has no technical planning and represents – for the population in general- a potential generator of large-scale epidemics such as dengue fever or malaria.

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PRESSURE-STATE-RESPONSE MODEL OF THE HILLSIDE SCENARIO GRAPHIC 12 ��

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Produced by: Engineer David Montero Cobeñas.

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Inventory and description of practices and risk management instruments 3 3.1. ENVIRONMENT MANAGEMENT

3.1.1. PUBLIC REGULATORY AND INSTITUTIONAL POLICIES FRAMEWORK In order to explain the situation concerning this matter in the City of Lima and Callao, it is convenient to approach it under two headings: planning and civil defence.

At Planning Level As has been described in the characterisation of the environment, there are two planning instances (see graphic No. 06): at national level and at Metropolitan Lima level. Regarding the specific regulations for town-planning and construction on the hillsides, the following have been created:

Ley Orgánica de Municipalidades (Organic Municipal Law), Law No. 27972 (May 2003) This law regulates, nationally, all the functions and competences of these government planning offices, and includes a section about the special regime ofthe Metropolitan Municipality of Lima.

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Section 79 states that the provincial Planes de Acondicionamiento Territorial (Te- rritorial Adaptation/Conditioning Plans) and the studies on environmental impact, within Civil Defence, must identify protection or security areas under natural risk.

Section 85 states that the task of coordinating the civil defence duties within the province is a provincial function, subject to the regulations established with respect to the Provincial Civil Defence Committees. In addition it also states that it is a district function, with the district Civil Defence Committee, to coordinate any necessary actions to assist the victims of natural, or any other kind of disasters.

Article 161 states that it is a metropolitan function to promote and control the supply of services in the event of a civil disturbance or disaster, and also to create and develop the Plan Metropolitano de Contingencia Para la Prevención y Atención de Situaciones de Emergencia y Desastres (Metropolitan Contingency Plan for Emergency or Disaster Prevention and Assistance) in conjunction with the National Civil Defence System.

Ordinance No. 620 – Metropolitan Municipality of Lima (April 2004) The ordinances, in terms of the Organic Municipality Law, have the force of law their jurisdictions. To that effect, the Metropolitan Municipality of Lima on the basis of Supreme Decree No. 027-2003-VIVIENDA, which regulates territorial conditioning and urban development, promulgated the Ordinance No. 620 and its Amend- ment No. 719, which establishes the regulations to this end in its jurisdiction. These ordinances establish the identification of risk areas in the Urban Development Plans and in the metropolitan area.

National Construction Regulation: Regulation TH.50: Adaptation on Riverbanks and hillsides This legal device regulates slopes steeper than 20%, specifying the levels and the type of infrastructure of basic services:

n Definition of adaptation on the hillsides: urban adaptation processes carried out on slopes steeper than 20%. n the provincial municipalities will establish vulnerable areas on the hillsides un- suitable for urban adaptation, as well as safety strips corresponding to huaycos or landslides. n for their adaptation, the general drainage network should be integrated with the existing public networks. n the public drainage network should include a drainage system. n the emptying of the drains should be by gravity in the adapted lots.

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General Guidelines of the Metropolitan Development Plan It is important to have the context of the main criteria of the Metropolitan Develo- pment Plan, as part of the environment.

CHART 05 METROPOLITAN DEVELOPMENT PLAN CRITERIA

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Graphic No. 13 presents the dynamic, central and sub-central axis of the long-term vision of the city, while graphic No. 14 shows treatment areas, differentiated by ho- mogenous areas, with densification and compatibility use policies. It is important to highlight that the aforementioned criteria constitute the basis for each one of the 43 districts in Metropolitan Lima to create their respective urban development plans.

At Civil Defence Level In Peru civil defence is defined as the set of permanent measures designed to prevent, reduce, deal with and repair damages to people and goods caused by disasters or calamities. The State of Peru, through the National Civil Defence System (SINADECI), both promotes and guarantees civil defence, with the National Civil Defence Institute (INDECI) as the central organisation.

The National Civil Defence System (SINADECI) It is the inter-related group of public and private organisations, of regulations, resources and doctrines, aimed at the protection of the population through preventive measures, lending timely and adequate assistance, until it reaches the basic rehabilitation conditions that would enable to continue with the development of the affected activities.

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Hierarchically the SINADECI is comprised of (see graphic No. 07):

n the Instituto Nacional de Defensa Civil - INDECI (National Civil Defence Institute). n the regional civil defence directorates (currently part of INDECI). n the regional, sub regional, provincial and district civil defence committees. n The regional and sub regional civil defence offices. n The sector, institutional and State Companies civil defence offices. n The local government civil defence offices.

DYNAMIC AXIS – METROPOLITAN LIMA GRAPHIC 13

Source: Metropolitan Planning Institute (IMP) web page.

I n Regulated densification. TREATMENT AREAS – METROPOLITAN LIMA GRAPHIC 14 n Higher compatibility with other areas. II n Higher densification. n Regulated compatibility with other activities. III n Regulated Densification. n Restriction of the compatibility with other activities. IV

n special regulation. Source: Metropolitan Planning Institute (IMP) web page.

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The Civil Defence Committee of Metropolitan Lima This committee has under its jurisdiction three levels: the Metropolitan Lima region, the Metropolitan Lima province and the district of Lima District. It is presided over by the Metropolitan Mayor and its operative body is the Civil Defence Office (Sub- gerencia de Defensa Civil) of the MML. Its specific responsibilities are:

n Prevent and mitigate the loss of human lives and material possessions, the deterioration of the environment as a consequence of natural or man-made hazards that may escalate into emergencies or disasters which may threaten the continuous development of the city of Lima. n Being the executing, coordinating and promoting agent, able to establish strategies that minimise risk and vulnerability.

GRAPHIC 15 STRUCTURE OF THE CIVIL DEFENSE COMMITTEE OF METROPOLITAN LIMA

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Source: Manual of basic knowledge for authorities and offices of civil defence (INDECI) Produced by: Engineer David Montero Cobeñas.

Civil Defence Office of the Metropolitan Municipality of Lima The metropolitan policies regarding disaster management are: permanently improve disaster management in Metropolitan Lima; prioritise the concept of prevention in the development process; work in a joint, integrated, organised, efficient and decentralised manner, with the active participation of public and private authorities, and the population in general; make decisions, as a result of meetings carried out with members of the Civil Defence Committee of the Metropolitan Municipality of Lima; provide immediate and appropriate assistance in emergencies and undertake risk evaluation as a fundamental and initial action for the reduction of disasters.

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In that context, administratively, the Civil Defence Office depends on the Citizen Protection Management Office, and its functions are as follows:

n Program, direct, execute and control civil defence activities in the area of Lima Cercado. n Create, propose and develop the Metropolitan Contingency Plan for Emergency and Disaster Prevention and Assistance, together with SINADECI. n Create, propose and develop the Regional Civil Defence System, in coordination with SINADECI, district and provincial civil defence offices, bordering the province of Lima. n activate the district civil defence committees, disseminating their responsibility and promoting the organisation of civil defence brigades. In addition to train and prepare the civil defence brigades. n operate the communication system established between the Civil Defence Com- mittee and the entities and institutions that make up the SINADECI. n execute and control prevention, emergency and rehabilitation plans that corres- pond to their field of competence. n Coordinate, organise and execute disaster prevention actions, and offer direct and immediate help to the victims, as well as the rehabilitation of affected populations in the Lima province. n Promote, coordinate and control service supply in the event of civil unrest or disaster, or in any other event in the Lima province. n Carry out technical civil defence security inspections, to evaluate the degree of risk presented by facilities and/or services, whether a natural person or legal entity. n Make an inventory of resources available in the Metropolitan Municipality of Lima applicable to civil defence, and organise the warehouses that allow for the reception and storage of material help. n Promote and execute community dissemination campaigns, with regard to civil defence. n Promote actions in support of the Fire Brigades, charity organisations, Red Cross and other institutions in service of the community. n Promote the active participation of existing scientific and technological organisations in the Lima province, in coordination with the Second Civil Defence Region. n Monitor compliance with the regulations and dispositions set forth by the SINA- DECI.

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3.1.2. MUNICIPAL ADMINISTRATION The metropolitan administration refers exclusively to the 43 districts that comprise Metropolitan Lima, it does not include the Constitutional Province of Callao (with 5 districts), that together make up the total urban area of the city of Lima. They have the following representation at authority level:

Metropolitan Lima Constitutional Province of Callao 01 Metropolitan Mayor, who in turn is 01 Regional President (covers the same President of the Metropolitan Lima jurisdiction as the provincial Mayor). Region and Mayor of the Main Dis- 01 Provincial Mayor, who in turn is Ma- trict (centre of Lima). yor of the Callao District (Cercado). 42 District Mayors. 04 District Mayors.

An assembly of Mayors is carried out once or twice a year; however, to date, there has not been an adequate definition of its functions. This assembly has no influence over the control of occupation on hillsides or risk management.

Each district municipality, in accordance with the regulation of zoning plans that is approved by the metropolitan instance, identifies the risk areas and establishes the urban parameters for their occupation.

Administrative Decentralisation of the City The functions of each municipal level, both district and provincial, are defined in the Municipal Organic Law. In some cases functions have been delegated to committees within each district; parallel to this are other municipal agencies, which generally do not cause conflicts since they function as coordinating bodies. However, the district municipalities have exclusive jurisdiction over the control of occupation and risk management on the hillsides.

Institutional Presence In Peru emergency assistance and preparedness are well regulated, under the responsibility of the National Civil Defence Institute (INDECI). However, on the issue of hillside occupation the entities in charge of risk management have certain organisational limitations such as: n Lack of training for technicians on the issue. n Lack of supply of trained technicians in the Municipalities. n Changes of administration.

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The city administration does not give priority to dealing with risk on the hillsides, per se; but rather as a consequence of seismic activity, which is one of the primary hazards in the city.

The control of informal occupation on the hillsides is one of the functions –within urban control management- that all municipalities have at a district level. In the city of Lima, as is the case throughout most of Peru, urban control is poor due to the lack of personnel to carry out such function, and of adequate mechanisms that would contribute to this control.

3.2. MANAGING THE NUCLEUS OF THE SCENARIO

3.2.1. FORMALISATION PROCESS OF HUMAN SETTLEMENTS IN RISK AREAS

General Aspects According to what is stated in Law No. 28687 and its Regulation, S.D. No. 006- 2006-VIVIENDA, the Metropolitan Municipality of Lima has subscribed on the 6th of July 2006 a new Inter-institutional Agreement with the Comisión de Formaliza- ción de la Propiedad Informal - COFOPRI (Formalisation Commission for Informal Properties). This agreement gives COFOPRI, in its capacity as a technical body, the responsibility to execute the formalisation process for these settlements.

In accordance with this agreement, COFOPRI will be in charge of the physical and legal survey of informal property located in state property areas or in private property areas, through a settlement process. It must be said that the MML intervenes actively in this process.

Often during a titling process a population is found to be located in a vulnerable or risk area. In these cases the Civil Defence Directorate creates a Risk Evaluation Report with the objective of identifying hazards, assessing the risks and carrying out the analysis of vulnerabilities in the human settlement.

The aforementioned report is the technical study through which one determines the level of danger and the degrees of vulnerability to which a determined geographic space, environment or social structure are exposed. The contents of this report are presented in Appendix 2.

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Description of the Process It comprises two stages of paperwork and the actors involved are the population, the Metropolitan Municipality of Lima and COFOPRI, each of them with the functions detailed in graphic No. 16:

GRAPHIC 16 ACTORS IN THE PROCESS OF FORMALISATION OF HUMAN SETTLEMENTS IN RISK AREAS

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Produced by: Architect Olga Lozano Cortijo

First stage 1. The population of the informal human settlements requests the formalisation of their property, for which they present a file with documents that attest to the ownership history. 2. the municipality, through the Subgerencia de Adjudicación y Saneamiento Legal de Tierras (MML Office of Adjudication and Legal Surveying of Land), of the Ge- rencia de Desarrollo Urbano (Urban Development Management Office), carries out the review and qualifying of the human settlements and approves the execution of the Campañas Trimestrales de Formalización (Quarterly Formalisation Campaigns). 3. COFOPRI carries out a diagnostic of each property and identifies those that re- quire a Risk Evaluation Report. 4. The MML creates the Risk Evaluation Report, through the Office of the Civil De- fence. 5. the MML submits that report to COFOPRI with a copy for the district municipality where the property is located.

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OUTLINE OF THE FORMALISATION PROCESS OF HUMAN IN RISK AREAS – FIRST STAGE GRAPHIC 17

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�� Produced by: Architect Olga Lozano Cortijo

Second stage 1. the population starts the necessary actions to implement the recommendations made in the Risk Evaluation Report: n activities to raise funds. n Contacts with NGOs, the district municipality, professionals, technicians, etc., for the creation of a technical file. n Communal work, supervised by the Metropolitan Municipality of Lima. 2. The population requests the Metropolitan Municipality of Lima to verify the tasks that have been carried out. 3. MML Office of Adjudication and Legal Surveying of Land requests to the MML Office of Civil Defence to carry out an inspection visit, from which the Final Report is made. Finally the Metropolitan Municipality of Lima submits this Final Report to COFOPRI. 4. COFOPRI draws the blueprints that are then incorporated in a Titling Program- me. 5. the Metropolitan Municipality of Lima approves, through a resolution, the titling of each one of the lots included in the programmes, after determining they are not located on any access road. 6. deeds are printed with the resolution of COFOPRI.

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7. the Metropolitan Municipality of Lima subscribes the titles, delivers them to the beneficiaries and carries out the registration in the Public Registries of Owned Property of Lima.

GRAPHIC 18 OUTLINE OF THE FORMALISATION PROCESS OF HUMAN SETTLEMENTS IN RISK AREAS – SECOND STAGE

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Produced by: Architect Olga Lozano Cortijo

3.2.2. SCOPE AND LIMITATIONS OF THE FORMALIZATION PROCESS OF HUMAN SETTLEMENTS IN RISK AREAS It is important to highlight that this process is set within the risk management strategy in the city, specifically for informal human settlements. Titling enables the citizens to have access to basic services such as water, energy, etc., as well as obtaining credit, improving building conditions and mitigating the levels of risk; in other words, it contributes to the transformation of the conditions in the nucleus of the scenario.

Nevertheless, the process also has its limitations, as it sets up corrective measures to face occupation on hillsides located in risk areas.

Regarding preventive measures, the current legislation in force is clear, but the problem lies in the little or non-existent ability of the district municipal authorities to exercise urban control and prevent the occupation of these risk areas by the population.

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3.3. MANAGING UNSAFE CONDITIONS The Metropolitan Municipality of Lima, within the formalisation process of occupied areas used for housing on State or Private land, is in charge of carrying out a number of studies analysing vulnerability and hazards that can affect families and future infrastructure, particularly in vulnerable areas such as the ones mentioned above. The process is described as follows:

n the population, when starting the formalisation process of its settlement at the Metropolitan Municipality of Lima, receives as part of such process the Risk Eva- luation report, which indicates the need to correct the findings and implement then recommendations to mitigate risks. n the MML is implementing a project to that end, but at the same time the population also contacts the corresponding district municipality, the NGOs or independent professionals to ask for the necessary technical assistance; with this aim different activities to raise funds are carried out. In that context two experiences are presented: n the Proyecto de Asesoramiento y Supervisión (Consultancy and Supervision Project) for the compliance with required recommendations in Risk Report, from the MML. n the project Mejorando las condiciones de vida de la poblacion en extrema pro- breza y situación de emergencia en Huaycan-Peru, (Improving life conditions of the population living in extreme poverty and emergency situation in Huaycan- Peru); based on coordination between MML, the population and an NGO.

3.3.1. PROJECT: CONSULTANCY AND SUPERVISION OF COMPLIANCE WITH THE REQUIRED RECOMMENDATIONS IN RISK REPORTS The objective of the project is to support and supervise people who own informal properties in risk areas that may be in process of formalisation, by following the recommendations formulated in Risk Evaluation reports, produced by the MML Office of Civil Defence with the aim of mitigating risk and continuing with the formalisation process, to eventually issue the property deeds.

It comprises the following steps:

n Risk Evaluation Reports of the communities to be advised. n inspection visits with two professionals (Civil Engineer and Geographic Engineer). n Coordination with the district municipalities – Civil Defence Area.

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n support for the consolidation of social organisation. n Consultancy in situ, in permanent coordination with union leaders and residents for the execution of the work plan (production of technical files for the construction of retaining walls, steps, etc.). n Once the risk findings have been corrected, a report for the MML Office of Adju- dication and Legal Surveying of Land is produced, and in coordination with the MML Office of Civil Defence a final inspection is carried out in order to verify the results and final favourable report can be issued.

GRAPHIC 19 ACTORS OF THE PROYECT: CONSULTANCY AND SUPERVISION OF COMPLIANCE WITH THE REQUIRED RECOMMENDATIONS IN RISK REPORTS

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GRAPHIC 20 OUTLINE OF THE PROJECT: CONSULTANCY AND SUPERVISION OF COMPLIANCE WITH THE REQUIRED RECOMMENDATIONS IN RISK REPORTS ��

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3.3.2. PROJECT: IMPROVING LIVING CONDITIONS OF THE POPULATION LIVING IN EXTREME POVERTY AND EMERGENCY SITUATION IN HUAYCAN-PERU This project is carried out by the non-governmental organisations Castellano – Man- chega from Spain together with their counterparts in Peru, Solidaridad con el Tercer Mundo -SORTEMUN (Solidarity with the Third World) and the Instituto de Desarollo Urbano -CENCA (Urban Development Institute), in coordination with the Metropo- litan Municipality of Lima, for the execution of prevention and disaster mitigation work:

n Construction of retaining walls – to protect the population and their homes – at the top of the hills, as they are rocky and continuously subject to landslides (caused by rain and/or natural erosion due to winds). n technical study of the land to make the necessary recommendations to the residents about the type of construction they need for the safety of their homes. n Construction of access steps in order to prevent accidents. n securing the terrain to prevent subsidence and landslides. n strengthen the community organisations, training the leaders and the population in values that reaffirm cooperation and solidarity. n Production of a development plan for the area, with the participation of the population, with a future perspective and prioritising feasible projects.

ACTORS OF THE PROJECT: IMPROVING LIVING CONDITIONS OF THE POPULATION LIVING GRAPHIC 21 IN EXTREME POVERTY AND EMERGENCY SITUATION IN HUAYCAN-PERU

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PROJECT INTERVENTION AREA: IMPROVING LIVING CONDITIONS OF THE POPULATION LIVING GRAPHIC 22 IN EXTREME POVERTY AND EMERGENCY SITUATION IN HUAYCAN-PERU

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IMPROVING LIVING CONDITIONS OF THE POPULATION LIVING IN EXTREME POVERTY AND EMERGENCY SITUATION IN HUAYCAN-PERU GRAPHIC 23

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3.3.3. PILOT PROJECT: STRENGTHENING COMMUNAL ORGANISATION AND PARTICIPATION IN PREVENTIVE ACTIONS TO FACE NATURAL HAZARDS This project was carried out by the Ricardo Palma Private University, within the institutional agreement between the District Municipality of Ate and the National Civil Defence Institute (INDECI), which financed the Proyecto Piloto sobre Forta- lecimiento de la Organización y Participacion Comunal en Acciones de Prevención frente a Peligros Naturales (Pilot Project for the Strengthening and Organisation and Communal Participation in Preventive Actions to face Natural Hazards), consis- ting of the undertaking of Basic Engineering Training Workshops for the Population, on how to self-build retaining walls, stable dry stone walls and steps, amongst other things. These workshops motivate the population to learn about risk reduction at structural level.

3.4. EFFECTS MANAGEMENT Emergency preparedness falls directly on local actors who have to maximise resources to protect themselves, due to the inaccessibility of the homes and the lack of institutions that provide rapid help such as a Fire Brigade (Huaycan does not have a Fire Brigade). For this reason the residents are obliged to make a Local Contingency Plan, at human settlement level.

This plan lays out the actions the population must take in the event of an earthquake, or fires, the most frequent hazards. Moreover, direct training activities and earthquake and fire drills are carried out; all this with the active participation of the population. A warning system has been created for this purpose, which can be activated through loudspeakers or sirens and whistles, to warn the population in the event of an emergency. The emergency preparedness process is as follows:

n First, the population is trained and organised, creating a Comité Vecinal de De- fensa Civil (Civil Defence Area Committee), chaired by the president of the UCV or of its extension. Then the Civil Defence Operative Brigades are formed, which are made up of a minimum of three people each (first aid, fire fighting and security and protection). n Second, the Contingency Plans and the Security & Evacuation Blueprints are produced; these are distributed and finally suitable for implementation during drills. If this plan or the design of the evacuation routes, location of fire extin- guishers and safety areas are not up to standard, the plan and blueprints are redesigned in order to optimise response in the event of a real emergency.

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This process is within the framework of the functions of the Civil Defence District Committee. Training such as emergency preparedness is carried out continuously and placed under the responsibility of public and private institutions members of SINADECI and committed to assisting the population in the event of a disaster.

ACTORS IN THE TRAINING PROCESS GRAPHIC 24

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ACTORS IN THE EMERENCY ASSISTANCE PROCESS GRAPHIC 25

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BIBLIOGRAPHY AND REFERENCES

DOCUMENTS n estudio de vulnerabilidad y riesgo sísmico en 42 distritos de Lima y Callao – Ayu- da Memoria document produced by the Civil Engineering Faculty of the National Engineering University (UNI) together with the Peruvian-Japanese Centre for Seismic Inves- tigation and Disaster Mitigation (CISMID) Financing: Peruvian Association of Insurance Companies (APESEG). Presentation Format: Digital in Adobe Acrobat Professional (PDF) Lima, April 2005. pp. 16. n estudio de vulnerabilidad y riesgo sísmico en 42 distritos de Lima y Callao – Dis- trito de Ate document produced by the Civil Engineering Faculty of the National Engineering University (UNI) together with the Peruvian-Japanese Centre for Seismic Inves- tigation and Disaster Mitigation (CISMID) Financing: Peruvian Association of Insurance Companies (APESEG). Presentation Format: Digital in Adobe Acrobat Professional (PDF) Lima, April 2005. pp. 13. n Formulario de Identificación para Proyecto de Acciones Humanitarias y de Emer- gencia Work document of the ONG “Fundación Castellano – Manchega de Cooperación” (Spain) Project: “Improving the living conditions of the population living in extreme poverty and emergency situation in Huaycán-Peru”. Lima 2006 n gestión local del riesgo y preparativos de desastres en la Región Andina sistematización de buenas prácticas y lecciones aprendidas Experiencia 12: Huaycán - Construyendo una ciudad segura y saludable - Perú united Nations Development Programme - UNDP.

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disaster Preparedness Programme (DIPECHO), of the European Community Hu- manitarian Office, ECHO. Authors: Social Studies Network for Disaster Prevention, LA RED (Linda Zilbert Soto, Gustavo Wilches-Chaux, Juan Carlos Orrego Ocampo) Research and Original text: Orlando Chuquisengo Vásquez Publishing Manager: Sandra Zúñiga Briceño Publisher: graphus Publisher in Quito – Ecuador, June 2005. pp. 49.

n gestión local del riesgo y preparativos de desastres en la Región Andina sistematización de buenas prácticas y lecciones aprendidas ficha de compilación de información de Huaycán - Perú united Nations Development Programme - UNDP. disaster Preparedness Programme (DIPECHO), of the European Community Hu- manitarian Office, ECHO. Authors: Social Studies Network for Disaster Prevention (LA RED), Linda Zilbert Soto Quito, Ecuador, June 2005. pp. 11.

n guía metodológica para la Gestión de Riesgos de Desastres en los centros de educación primaria Practical Solutions for Poverty, ITDG. Authors: Orlando Chuquisengo, Lizardo Pinedo, Adrián Torres, Francisco Rengifo. Financing: Generalitat de Catalunya. education Monistry, San Martín Regional Directorate, Perú. foundation for Sustainable Development (FUNDESO). Publisher: Punto Impreso Perú, July 2005. pp. 143.

n informe del proyecto piloto de efectos de la capacitación a la población en talle- res de ingeniería básica en los sectores J, K, R de Huaycán Document produced within the Pilot Project: “Strengthen Communal Organi- sation and Participation in Preventive Actions to Face Natural Hazards” of the Private University Ricardo Palma. Psychology Department.

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Responsibles: Altamirano, W; Barco, M; Benavides, S; Decheco, O; Dueñas, S; Espiritu, N; Franco, F; Molina, S; Quispe, V; Uscuvilca, G; Yancunta, L. Financing: National Civil Defence Institute (INDECI). Lima, December 2006. pp. 10. n Informe final del programa piloto sobre “Fortalecimiento de la organización y participación comunal en acciones de prevención frente a peligros naturales” Agreement: Private University Ricardo Palma – National Civil Defence Institute - INDECI Responsibles: Civil Defence Regional DirectorateLima – Callao; Engineer. Julio Alvites Lopez. Financing: National Civil Defence Institute (INDECI). Work Documento of the National Civil Defence Institute (INDECI). Lima, December 2006. pp. 16. n Ley Nº 27972, Ley Orgánica de Municipalidades Congress of the Republic of Peru. Lima, May 2003. n Ley Nº 28687, Ley de Desarrollo y Complementaria de Formalización de la Pro- piedad Informal, Acceso al Suelo y Dotación de Servicios Básicos Congress of the Republic of Peru. Lima, March 2006. n Manual de conocimientos básicos para comités de defensa civil y oficinas de defensa civil Publication of the National Civil Defence Institute (INDECI). Lima, November 2003. pp.138. n Manual Nº 2: Gestión comunitaria de riesgos Publication of the ONG “Foro de Ciudades para la Vida”. Cooperation: National Civil Defence Institute (INDECI)

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Financing: UN-HABITAT: United Nations Human Settlements Programme Production: Luis Salazar Ocho, Luís Cortez y Jorge Mariscal Lima, November 2002. pp. 21.

n Manual sobre el manejo de peligros naturales en la planificación para el desarrollo regional integrado Organization of American Status (OAS): Regional Development and Environmnet Department execuive Secretariat for Economic and social Issues US Agency for Internacional Development (USAID): Office of Foreign Disaster Assistance Washington, D.C., 1993. pp. 440.

n norma TH. 050 – Habilitaciones en riberas y laderas nacional Regulation for Constructions. Housing Ministry. Lima, June 2006.

n Ordenanza Nº 620: Ordenanza reglamentaria del proceso de aprobación del plan metropolitano de acondicionamiento territorial y desarrollo urbano de Lima, de planes urbanos distritales y actualización de la zonificación de los usos del suelo de Lima Metropolitana Metropolitan Municipality of Lima. Lima, April 2004.

n Ordenanza Nº 719: Modificación de la Ordenanza Nº 620 Metropolitan Municipality of Lima. Lima, October 2004.

n Plan de desarrollo metropolitano de Lima-Callao 1990-2010 Metropolitan Municipality of Lima.

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Metropolitan Planning Institute (IMP) first Edition, Publisher EPIGRAF S.R.L. Lima, July 1992. pp. 455. n Plan Distrital de Prevención y Atención de Emergencias (PDPAE) Min City Hall of Bogotá D.C. Government Office. Document from: www.sire.gov.co year 2006 n Plan Integral de Desarrollo del Distrito de Ate 2003-2015 district Municipality of Ate. Centre IDEAS: Rosa Mejía Salazar Technical Team: Enrique Baez Garamendi, Marco Molina Guerrero, Edmundo Paez Anaya, Pedro Sedano Valdeiglesias, Walter Verde García Presentation Format: Digital in Adobe Acrobat Professional (PDF) Document from the District Municipality of Ate web page: www.muniate.gob.pe (September 2006) Lima, 2003. Volume I: pp. 121., Volume II: pp.196 ., Volume III: pp.148., Annex Area 06: pp. 99. n Plan Urbano de Ate – Actualización de la zonificación general y sistema vial distrital district Municipality of Ate. Metropolitan Planning Institute (IMP). Presentatio Format: Digital in Adobe Acrobat Professional (PDF) Document from the District Municipality of Ate web page: www.muniate.gob.pe (September 2006) June 2004. pp. 102.

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n Plano de Huaycán Field Work and Edition: F. Jacob Espinoza Maggino. Year 13 Nº 26 November 2003

n Programa de Ciudades Sostenibles – Primera Etapa (PCS-1E), Perú national Civil Defence Institute – INDECI. Presentation Format: Digital in Adobe Acrobat Professional (PDF) Document form the INDECI web page: www.indeci.gob.pe Perú, 2006. pp.16.

n Reducción de desastres – Viviendo en armonía con la naturaleza Julio Kuroiwa Horiuchi. first Edition Design, layout and pre press: CECOSAMI Publisher: Quebecor World Perú S.A. Lima, January 2002. 429 pp.

n Reglamento de formalización de la propiedad informal de terrenos ocupados por posesiones informales; centros urbanos informales y urbanizaciones populares, a que se refiere el Título I de la Ley Nº 28687 Supreme Decree Nº 006-2006-VIVIENDA. Housing, Costrucions and Sanitation Ministry. Lima, March 2006.

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WEB PAGES n national Civil Defence Institute (INDECI) www.indeci.gob.pe n national Institute of Statistics and Information (INEI) www.inei.gob.pe n Peru Geophysical Institute www.igp.gob.pe n Metropolitan Planning Institute (IMP) www.munlima.gob.pe/imp/index.html n urban Development Institute (CENCA) www.cenca.org.pe n Lima 2000 www.lima2000.com.pe n Metropolitan Municipality of Lima (MML) www.munlima.gob.pe n district Municipality of Ate wwwmuniategob.pe n Information System for Risk Management and Emergency Assistance of Bogotá www.sire.gov.co n googLE EARTH Imágenes satelitales

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