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Desigualdad Territorial De Oportunidades, Cohesión Comunitaria Y Captura Del Estado

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Desigualdad Territorial De Oportunidades, Cohesión Comunitaria Y Captura Del Estado TESIS DOCTORAL EN CIENCIA POLÍTICA Departamento de Ciencia Política y Derecho Público DESIGUALDAD TERRITORIAL DE OPORTUNIDADES, COHESIÓN COMUNITARIA Y CAPTURA DEL ESTADO Democracia y desarrollo a escala humana en el Perú JOSE CARLOS LAMA Directores| Joan Botella i Carme Miralles-Guasch Barcelona, 2015 A Luciana, mi inspiración absoluta. Viniste al mundo a mitad del trabajo de campo -en Perú- para darle absoluto sentido a cada párrafo aquí escrito. Gracias, porque las circunstancias arbitrariamente favorables con las que naciste terminaron de comprometerme con la tarea pendiente en nuestro país, de miles de niñas y niños que nacieron contigo, pero sin tanta suerte. Te amo. 2 RESUMEN La presente investigación emplea el paradigma de enfoque territorial para abordar el problema de la significativa desigualdad de oportunidades de desarrollo humano en el Perú y sus efectos negativos sobre su sistema democrático y su población infantil. En particular, se identifican factores que explicarían por qué a pesar del importante crecimiento económico de las últimas décadas, y de acciones descentralizadoras por parte del Estado y de otros actores, la reducción del nivel de desigualdad ha sido insignificante o insuficiente. Se propone como hipótesis que dichos resultados son causados principalmente por dos factores: un elevado grado de captura del Estado por intereses ajenos a la población desfavorecida y una discontinuidad territorial que se presenta con intensidad a nivel comunal. Se verificó dicha hipótesis de manera territorialmente diferenciada estudiando un grupo de oportunidades asociadas a los servicios básicos de provisión de agua potable, servicios de salud y educación en unidades territoriales a nivel comunal (barrios urbanos, centros poblados periurbanos y comunidades rurales) del distrito de Andahuaylas, provincia de Andahuaylas, región Apurímac, Perú. En particular, se verificó que la cohesión comunitaria de las familias de unidades territoriales de tipo rural tiene mayor influencia sobre la cobertura y calidad de servicios básicos que las familias residentes en zonas urbanas y periurbanas. Esta situación se explica por el mayor acceso a los tomadores de decisión por parte de las familias que habitan las zonas rurales, lo que tiene implicancias fundamentales para la concepción de democracia expuesta en esta tesis. En el caso de la variable captura estatal, se verificó lo contrario, es decir, que su impacto mayor es sobre el ámbito urbano debido al incremento de actos de corrupción y/o de incapacidad técnica, especialmente cuando la escala del servicio a proveer es mayor y mayores son los intereses en juego por capturar. A la luz de estas observaciones, se recomienda implementar una reforma descentralizadora que minimice las discontinuidades territoriales a través de la institucionalización del nivel comunal. Estarecomendación se implementaría a través de la transferencia desde el gobierno central de competencias y recursos relacionados con los servicios básicos en el marco de procesos de concertación y de una reforma territorial que contrarreste eficazmente la captura estatal. Se sugiere como posibles extensiones de la presente investigación la aplicación de la metodología propuesta a otros distritos del país con el fin de construir una caracterización tipológica nacional de unidades territoriales de nivel comunal, introduciendo en el análisis variables como el género o el nivel educativo de los padres y abordando servicios como el de atención nutricional infantil dados los niveles preocupantes de desnutrición crónica infantil que presenta el Perú. 3 ABSTRACT This research employs the territorial approach to address the inequality of opportunities for human development in Peru and the associated negative effects upon its democratic system and children. Specifically, this research identifies factors that would explain why, in spite of the significant economic growth in recent decades and the decentralization reforms carried out by the State and other stakeholders, the reduction in the level of inequality has been either negligible or insufficient. It is suggested that these results are primarily caused by two factors: a high degree of State capture by interests contrary to those of the affected population, and a high degree of territorial discontinuity, particularly at the commune level. This hypothesis was verified in a territorially differentiated manner by studying a group of opportunities associated with basic services including water supply, health and education in commune-level territorial units (i.e., urban and suburban neighborhoods and rural communities) in the district of Andahuaylas, Andahuaylas province, Apurimac region, Peru. In particular, it was verified that the communal cohesion of families living in rural territorial units have a greater influence on the coverage and quality of basic services than families residing in urban and suburban areas do. This situation can be explained by the greater access to decision-makers by families living in rural areas, which has fundamental implications for the idea of democracy presented in this thesis. The opposite situation was verified in the case of the State capture variable, namely that its effect is more prominent on the urban sphere due to increased corruption and/or technical incompetence, especially when the service is to be provided at a greater scale andwhen the interests at stake to be captured are also greater. In light of these observations, a decentralization reform intended to minimize territorial discontinuities at the commune level is recommended. This recommendation would be implemented by transferring the central government's competencies and resources associated with basic services within the framework of consultation processes and a territorial reform capable of effectively countering State capture. Among the potential extensions of this research, it is suggested that the proposed methodology be applied to other districts in the country with the intent to build a national typological characterization of territorial units at the commune-levelthat would incorporate into the analysis variables such as parental gender or level of parental education, and that would address services such as child nutrition care given the alarming chronic malnutrition of children in Peru. 4 ÍNDICE Página 1. CAPÍTULO 1: HIPÓTESIS DE INVESTIGACIÓN………………………….. 13 1.1. Introducción………………………………………………………………..... 13 1.1.1. Primeras reflexiones y especulaciones………………………………… 13 1.1.2. Estructura de la investigación ………………………………………… 22 1.2. Hipótesis de investigación…………………………………………...……… 23 1.2.1. El escenario y algunas proposiciones…………………………………. 23 1.2.2. El problema, la pregunta y la hipótesis de investigación……………… 32 1.2.3. Relevancia de la investigación………………………………………… 37 2. CAPÍTULO 2: MARCO TEÓRICO-NORMATIVO…………………………. 41 2.1. Base paradigmática…………………………………………………………. 41 2.1.1. Apuntes en relación a la generación de conocimiento científico-social. 42 2.1.2. Apuntes contextuales para el caso peruano……………………………. 45 2.1.3. Apuntes sobre justicia y desigualdad………………………………….. 46 2.1.4. Apuntes sobre desarrollo, democracia y acción estatal………………... 57 2.2. Marco teórico………………………………………………………………... 64 2.2.1. Elementos teóricos…………………………………………………..… 65 2.2.2. Enfoques teórico-normativos de relevancia para la tesis……………… 74 2.2.3. Variable de hipótesis a explicar: Acción Externa Igualadora de Oportunidades Humanas (AEIOHU)…...………………………………. 81 2.2.4. Variable explicativa 1: Cohesión Comunitaria…………………..……. 85 2.2.5. Variable explicativa 2: Captura del Estado……………………………. 89 3. CAPÍTULO 3: PROPUESTA EMPÍRICA…………………………………….. 94 3.1. Propuesta epistemológica…………………………………………………… 94 3.1.1. Tipo metodológico general y descripción básica……………………… 94 3.1.2. Fuentes de información………………………………………………... 95 3.1.3. Ámbito de estudio y selección de casos……………………………….. 96 3.2. Secuencia metodológica……………………………………………………... 96 3.2.1. Primera etapa de campo: etapa preliminar…………………………….. 97 3.2.2. Segunda etapa de campo: verificación de la hipótesis………………… 99 5 3.2.3. Tercera etapa: evaluación de datos……………………………………100 3.3. Propuesta de observación y medición de variables……………………….100 3.3.1. Observación y medición de la primera variable independiente: cohesión comunitaria………………………………………………………………100 3.3.2. Observación y medición de la segunda variable independiente: captura estatal…………………………………………………………………… 102 3.3.3. Observación y medición de la variable dependiente: eficiencia de la acción externa igualadora de oportunidades humanas…………………. 103 4. CAPÍTULO 4: TRABAJO DE CAMPO Y TRATAMIENTO DE RESULTADOS…………………………………………………………………. 104 4.1. Introducción……………………………………………………………….. 104 4.2. Caracterización del ámbito de estudio…………………………………… 105 4.2.1. Andahuaylas: algo de historia………………………………………... 105 4.2.2. Andahuaylas: una caracterización territorial…………………………. 107 4.2.3. Tipología territorial de Centros Poblados o Unidades Territoriales…. 111 4.3. Unidades territoriales estudiadas y entrevistas realizadas……………… 113 4.3.1. Primera etapa de campo……………………………………………… 113 4.3.2. Segunda etapa de campo……………………………………………... 114 4.3.3. Aplicando la ficha de campo…………………………………………. 118 4.3.4. Acotando unidades territoriales……………………………………… 120 4.4. Necesidades básicas evaluadas……………………………………………. 122 4.4.1. Acotando necesidades básicas……………………………………….. 122 4.4.2. Situación del servicio de provisión de agua potable…………………. 123 4.4.3. Situación del servicio de atención de salud………………………….. 125 4.4.4. Situación del servicio
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