Urban Squatter Settlements in Peru: A Case History and Analysis Author(s): Henry Dietz Reviewed work(s): Source: Journal

of Inter-American Studies, Vol. 11, No. 3 (Jul., 1969), pp. 353-370 Published by: Center for Latin American Studies at the University of Miami Stable URL: http://www.jstor.org/stable/165418 . Accessed: 18/01/2012 03:41
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Henry Dietz Ph.D. Candidate in Political Science Stanford University

URBAN SETTLEMENTS A CASE HISTORY AND

SQUATTER IN PERU

ANALYSIS*

in Latin America since the of the most important developments ( end of World War II, has been the rapid growth of all major One cities, generally at a pace well beyond the rate of growth of the due to as a whole. The expansion rural areas as well as the countries normal growth (high birth rates coupled with declining death rates and in? is at times high. However, such growth has often been creased longevity) augumented sharply due to a seemingly irreversible flow of migrants from the rural areas. And among the many problems and difficulties raised by are perhaps the most such migration, the very large squatter shantytowns that have re? obvious as well as the most misunderstood developments sulted. Both popular journalists and academic social scientists have com? mented at length and in lurid terms about the "belts of mushrooming and the "festering sores" which these squatter settlements sup? posedly comprise. of these settle? In this paper I intend to examine the phenomenon a microcosmic ments in Peru (more precisely in Lima), by employing of view. I propose to relate the life history of a single, specific indi? point vidual in a particular Lima barriada, to analyze his story, and then to sources examine and to amplify its meanings for Peru, using secondary misery" when necessary and applicable.

* This study was originally carried out during the summer of 1967, and was made possible by a grant from the Center for International Studies at Indiana Uni? versity, whose assistance is gratefully acknowledged. I would also like to thank. Dr. Paul Doughty of Indiana University for aid received during that summer, and for comments concerning a first draft of this paper. 353

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The Peruvian term barriada (or barrio marginal) refers specifically to squatter housing settlements formed for the most part illegally on either are often initiated through ac? public or private lands. These settlements tual and physical invasion of such land; they are largely unplanned and and the land they occupy has rarely been improved ahead unauthorized, of settlement etc. The water, sewerage, by facilities such as electricity, Lima barriadas, developing because of the migrant flow men? primarily tioned earlier, surround the central core of the city and provide living migrant populace.1 In Lima, there are quarters for an almost exclusively more than 700,000 probably persons in the barriadas, and nearly 90 per? cent of all the heads of resident families were born outside of metropolitan Lima-Callao.2 Such areas provide strong evidence of a lack of planning and pro? visions for low-cost urban housing, which can be partially ascribed to wellA law passed by the official legislation. intentioned but shortsighted in the late 1930's, for example, Peruvian the legislature prohibited further of the traditional which had provided construction callejones, (and still do provide) the cheapest housing in the downtown area of Lima. This sudden cessation of callejon construction, precisely on the eve of the great migrant waves that followed World War II, created extremely over? both for the traditional lower classes who live per? crowded conditions, manently in the heart of Lima, and also for the newly-arrived migrants who can afford nothing above the absolute minimum in rent and hence in and creature comforts. The barriadas, therefore, have arisen from the lack of decent, low-cost housing within the city proper, and from the services of people to have, as John Turner's film and the determination title states, "A Roof of Their Own." 3 The very size of the barriadas in Lima, due almost entirely to mi? that massive social nature, is overt demonstration gration of a rural/urban have been occurring in Peru since the end of World War II. When changes one million people have made their way from it is noted that approximately areas of that city, the resulting ramifioutside Lima to the metropolitan desire 1 This statement refers to the adult population. As might be expected, the average age in the barriadas is very low (median less than 15 years), and often all the children in a family have been born within the city. Thus, while more than half of the barriada populace can claim Lima as its birthplace, probably more than 80 percent of the heads of families are migrant in origin. 2 Jose Matos Mar, "Migration and Urbanization: The Barriadas of Lima" in Philip Hauser, ed., Urbanization in Latin America (New York: International Documents Service, 1961), p. 179. 3 John Turner, a British city planner with a decade of work in Peru, produced a film of an actual barriada invasion with this title.

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cations

are extremely significant for the nation of Peru and its social, and political fabric. economic, One cannot disagree with those who say that this phenomenon of rapid urbanization presents any country with manifest difficulties, nor can it be disputed that the squatter settlements of cities such as Lima have in? deed created problems, often of a serious nature. However, it can be that there is an obverse side of the coin, that areas such as argued are not properly defined as "slums," and that to view all such as "festering rings of misery" may become misleading and self-defeating. Rather, the barriadas of Lima, especially the largest and more recent, are not slums, if by that word social and physical disintegration are tacitly assumed. Further, in many cities and in many areas, squatter settlements or the provide a better solution to low-cost housing than the government sector could supply. And third, regardless of what some observ? private ers may consider to be extreme poverty and sub-human the conditions, settlements very great majority of the squatter inhabitants view their position in the city as one which offers hopes and alternatives, and as therefore preferable to their previous situation in more rural areas. It would be misleading to tions have not created problems; but, given the condi? in the cities and in the rural areas of Peru, and given the lack of of capital, and oftentimes of control over the social situation, personnel, claim that the barriadas barriadas

answer the squatter settlements frequently offer a viable and satisfactory to an extremely difficult and complex problem.4 It is my intention to develop these and other points later in this re? port. I want, first, to present the background and story of a single man and his family who live in one of the newer barriadas a few miles outside are not in any sense composite or imaginary Lima. These individuals characters. Segundo and his family today live in the area described, and as they told it to me has been corroborated the story of their experiences by their neighbors as well as by government officials who became involved. often Segundo related his story to me under very informal circumstances, ma? during work breaks when I was helping him with the brick-making chine. He had no hesitancy in telling me about his past and about his life 4 The Social Progress Trust Fund Report of the Inter-American Development Bank is an example of a narrow viewpoint. The 1961 Report states that only 11 percent of all dwellings in Peru could be considered as meeting "minimal stan? dards," while 89 percent were either "badly substandard" or in need of "rehabilita? tion." This evaluation, based on some undefined scale, gives little recognition to the possibilities for improvement through self-help; furthermore, it assumes that any housing within a squatter settlement is by definition substandard and therefore Inadequate.

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and hopes; his wife was considerably shyer and said little except to agree. of the past than his age and experiences Segundo today appears younger few years might imply; he is friendly and open, although he speaks with a noticeable stammer. I retell his story as objectively as possible; any re? marks about his feelings and thoughts included here were openly ex? pressed, and have not been inferred Rural-Urban by me. A Case Study

Migration:

in the of Cajamarca, Segundo Micha was born in the department in 1945. Celendin was at that time, and still is, a small town of Celendin, sierra village, despite the fact that it is a district capital. Segundo was the second son of the family; his older brother had been born five years earlier. His father deserted the family when Segundo was four months old, and went off to start another household. Segundo grew up in a rural, his mother took care of the family as largely agricultural environment; best she could, primarily by doing laundry and by serving as a domestic at sporadic intervals. When Segundo was thirteen years old, his older brother left Celen? din to complete his military duty on the coast, and then remained in Lima He found a two-room flat in a quinta in an area of upon its termination. older district of the Lima known as Magdalena Nueva, a lower-income, city. Three years later, when Segundo was fifteen and bored with sierra life, his brother sent him money for land passage by truck from Celendin to the coast and to Lima, and Segundo came to the capital for the first time. He promised to send for his mother when there was enough money, in Lima. Segundo and when there was room for her to live somewhere with his brother in Magdalena Nueva for about five years, but he stayed was not happy with the cramped quarters of the quinta or with the rent that he had to help pay. The two rooms were back to back off a long alley? way, and the lighting and the ventilation were very poor. The drains were clogged most of the time, and the whole building was very noisy, crowded, and dilapidated. Segundo dropped out of school in order to take a job with a construction crew, but even though he earned a steady wage, the rent took a large part of his income, and he was not willing to spend money to improve his quarters since they did not belong to him. His brother likewise with their situation, which became even more difficult was dissatisfied during the fifth year: on a vacation trip back to Celendin, Segundo married a girl whom he had known, and both his wife and his mother came to live in the flat with him and his brother. During this same year, Segundo learned through a friend of his (who also worked on the same construction crew) that a group of families was

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secretly forming to invade a government housing project called Ciudad del Rio. This low-cost housing development lies alongside the large, wellestablished barriada of San Martin de Porres. At the time that Segundo's group took shape over a period of some months, the Ciudad del Rio proj? ect was almost completed and ready for occupancy. All the houses had de la Vivienda been bought through the Junta Nacional (the JNV, or National Housing Board) by families that had made down payments. It was the plan of the invading group to occupy the empty houses in the hope that they might be allowed to stay or at least receive some aid from the Junta. The group planned that two hundred families would participate in the invasion, but when the actual move came only one hundred and twenty became involved. The hope that they would be allowed to stay in the houses in Ciudad del Rio did not materialize; the Junta, with the help of the Civil Guard, and after forced the invaders to move out after five days of occupancy, many arguments, pleas, and threats by both sides. The JNV offered at length to make land available on the periphery of another new settlement called Pampa de Arena south of the city, where a group of four or five hundred families had been relocated after a fire. The Junta promised to title to the lay out lots and to give the people a chance to gain provisional land in the future, and some forty families of the invasion group, includ? ing Segundo, agreed; the others decided either to return to their former Then two days before Segundo's locations or to look for other possibilities. group was due to be transferred to the newly created lots in Pampa de Arena, these lots were themselves invaded by over fifty families, some of whom were members of the original Ciudad del Rio invasion group. The final outcome, after extended discussion, was for all families to be allowed to occupy temporary lots in Pampa de Arena until the JNV could survey the area thoroughly, and Segundo actually arrived in Pampa de Arena, in a section called El Mariscal, on June 5,1966. His first move was to purchase five pieces of estera (woven straw inch stakes, and with these to construct and some two-by-two matting) meter lot provisionally his house on the back edge of the eight-by-twenty assigned to him. He moved in with his mother and his wife, who was by crew for a few this time pregnant. He quit his job with the construction and agreed to work with a North American professor who was in? in Pampa de Arena under the auspices of a United States com? organization. munity development learned how to operate a vibrating machine for making Segundo It was bricks, which his employer helped to buy for the community. bricks for a lower that the machine would be able to manufacture hoped months volved

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firms, and thus allow the inhabitants of Pampa de price than commercial Arena to build their houses at minimal cost. Segundo received less pay than he had for his construction work, but the new job was close to his and involved no transportation costs or delays. As the work con? tinued, however, he found that he simply could not make financial ends he hurt his back and was unable to work for over two meet. Furthermore, weeks. Since he was employed by a private individual, he could not re? ceive social security benefits or medical care at the Hospital Obrero home For these reasons, when he recovered he rejoined (Worker's Hospital). crew and received, along with social security, about 90 the construction soles a day, which was a third more than he had received operating the brick machine.5 The construction job has its own difficulties, however; he has to leave home each morning about 5:00 or 5:30 in order to arrive in an hour away by bus. He does not arrive Callao in time for work?about home until late in the evening, and has little time for work on his house except on Saturday afternoons and Sundays. Work on his house has progressed, however; late in 1967 the Junta awarded him a provisional title to a specific lot, but a different one from where he had constructed his house. Segundo, therefore, had to dismantle his house and re-erect it on the lot the JNV granted him. His land title was not free; he had to pay 650 soles (about 5 soles a square meter) for the and security of having his own land made the title, but the knowledge his house today has extra trouble and expense worthwhile. Furthermore, also of estera matting, and he has built a waist-high stone another room, wall around his lot. His mother does most of the cooking outside on a pressure kerosene stove. There are no utilities, but El Mariscal has sup? effort by tapping off a Junta plied itself with water through community at various locations throughout watermain and installing six standpipes the settlement. Tank trucks are supposed to circulate through the area to but private entrepreneurs have fill each house's 5 5-gallon waterdrum, augmented this service by selling water from their own trucks when the Junta supply is insufficient. There are no sewerage facilities of any kind, although they have been promised by the JNV since the first days of oc? cupancy, nor is there any electricity. However, Segundo owns (as do most a small transistor radio that is in constant use through? of his neighbors) out the day. which Segundo is a charter member of a small housing cooperative was started by an assistant of Segundo's former employer; there are pres5 At the time of field work (June, 1967), the Peruvian sol was worth 26.82 to US $1.00. The sol has since undergone further devaluation.

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three hundred and each contributes members, ently about twenty-five soles monthly to remain a member. Segundo hopes that more people will be persuaded to join the co-op; at any rate, he plans to start construction sufficient capital for a of his permanent house when he has accumulated loan. He plans to use brick and mortar, and to build a house with four rooms, with a roof strong enough to support an eventual second story. of families of El Mariscal, Segundo Although there is a local association or national politics. If feels that he has little time for either neighborhood to the national government, anything, the JNV is his major connection and he wants the Junta to follow up on some of its promises to supply water, schools, and other facilities. Despite the physical hardships and time-consuming aspects of his job, Segundo is basically content with his situation in El Mariscal. The whole area has grown since the middle of 1966 from five hundred families to over three thousand, most of whom invaded the land without the ap? proval of the Junta. His wife dislikes the dust (the whole area is built on an enormous sand dune, and it never rains) and the lack of water in the house, but they both feel that they are better off in El Mariscal than they were either in the quinta or in Celendin. Segundo has no thoughts or desire to return to his home town, except possibly for a vacation or for a special He thinks that life is more tranquil and quiet than it was Nueva; he knows most of his neighbors, and a previously in Magdalena fiesta celebration. cousin of his from Cajamarca named Guillermo Villar lives two houses away. Guillermo has a job during the evenings at an expensive restaurant near their old home in Magdalena Nueva and is able to continue his schooling during the mornings. He also helps with the brick machine from time to time, which is now managing to produce bricks at a slightly lower cost than the usual market prices. Segundo definitely feels that by coming to Lima he has had a chance to improve his life, and that he has taken advantage of that opportunity. He wants very much for his son to have as much education as possible, and is concerned with the fact that there is only one school (elementary) for all of Pampa de Arena, and that it is extremely overcrowded and Segundo's main concerns are obtaining a modicum of se? for himself and his family, and finishing the house. His wife spends curity her time with the baby; his mother, who does the marketing and cooking, still wears the traditional sierra dress?a long full skirt and a straw hat, with her hair done in two long braids. Segundo and his wife both wear old and generally modern dress, although their clothes are somewhat is presently twenty-four; his wife is two years younger, patched. Segundo and their son is about two years old. understaffed.

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The story of Segundo's coming to Lima and his eventual settlement in a barriada is basically typical of hundreds of thousands of migrants in the Lima-Callao area. Some particular details of his experience?espe? of the Ciudad del Rio housing project? cially the abortive invasion But the general pattern of his cannot be viewed as usual occurrences. I would movements holds true for the majority of barriada inhabitants. patterns, and then discuss some of the social and of people such as Segundo and his family.6 political implications In the first place, the overwhelming majority of heads of families within the barriadas are migrants. They may come from either small coast? like to analyze such al towns or from the sierra, and they may or may not have lived in an before their arrival in Lima. Various studies and sur? urban environment that the character of Lima's population has changed dramat? veys7 show and in size. Insofar in composition ically during the past thirty years, both is concerned, as composition perhaps the easiest and most effective man? such a change lies in noting the native-born/migrant ner of demonstrating were ratio for the city. In 1936, some 65 percent of Lima's inhabitants and 33 percent had originated in the provinces. native-born, By 1965, and only 35 more than 62 percent of Lima had come from the provinces, percent had been born in the city.8 Segundo, of course, is a member are his movements to a barriada inhabitants and of of this migrant populace, from a rural village to a downtown

particular concern quinta and thence that most barriada

some years later. Observers have noted9 amount of time in the pass a considerable

central districts of the city before they move on to an outlying settlement. There are various reasons for this pattern; in the first place, the most read? exist in the center ily available jobs (and the most menial and unskilled) of Lima, especially around La Parada, the sprawling downtown wholesale market. Moreover, living in such a locale allows a migrant to become ac-

6 It could be argued that since Segundo now lives in an area planned by the Junta, he is not a barriada resident. Yet more than half of Pampa de Arena is inhabited by families who arrived through invasion, and the area is referred to in the offices of the Junta as a barriada. 7 See, inter alia, William Mangin, "Latin American Squatter Settlements: A Problem and a Solution" in Latin American Research Review, II, No. 3, (Summer, 1967); Joseph Stycos and Cara R. Dobyns, "Fuentes de la migration en la gran Lima" in Henry Dobyns and Mario Vazquez, eds., Migracion e integracion en el Peru (Lima: Editorial Estudios Andinos, 1963); Ernesto Paredes, "Fuentes de la poblacion de la barriada Fray Martin de Porras" in ibid. 8 Stycos and Dobyns, ibid., p. 38. 9 See Mangin, ibid., and also Mangin, "Urbanization Case History in Peru" in Architectural Design (August, 1963).

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to an urban way of life.10 Such acculturation may include many and profound steps if the individual is to succeed and survive necessary in the city: he may have to learn what it means to live within a money economy when his previous experiences have been largely with subsistence agriculture. He may have to change his dress, and become ly new way of working, living, Segundo's five years in this process of acculturation him to find steady learn, or at least to improve, his Spanish, accustomed to what is likely to be an entire? and thinking. Nueva Magdalena and socialization.

culturated

allowed him to undergo In his particular case, it to and to become accustomed permitted employment and acquainted with the city. Much more important in the long run, how? ever, was the gradual conclusion on his part that life in the quinta failed to provide him with what he wanted. From this point, he came to the further realization that he had the possibility of alternative courses of action, and that these alternatives depended upon himself. That is, no one (govern? ment, family, friends) who in Celendin might have aided him could or would help sumably improvements rested with himself. and although him improve his position, changes and pre? were possible in Lima, the outcome and decisions

This realization constitutes the major differences between Segundo's existence in Celendin and his life in Lima. Even though the simple and harsh life in the sierra offers, in a sense, a type of security, it is a security based on the absence of choice. To live in the sierra on the level of a sub? sistence farmer demands certain existence patterns which are so firmly and widespread set by tradition and necessity that fundamental change has simply not been able to occur as yet. On the other hand, the city is of many groups with diverse backgrounds and composed heterogeneous for freedom of personal and interests. Such diversity creates opportunities behavior which do not and cannot exist in a rural context. Although this freedom and diversity constitute the main "pull" or attractive force of the on an individual to decide responsibilities city, they impose concomitant for himself just how he will behave and indeed survive. Fewer standards of conformity exist in the city, and for persons unused to making choices action such a freedom may be demoralizing and untrained in independent and confusing to an extreme. Peruvian rural life does not permit as yet this basic freedom and its Therefore, the only feasible possibility for responsibilities. accompanying change in the sierra lies in the choice made by Segundo: to leave, and to where alternatives in an environment start again elsewhere, do exist? 10 See the case studies by Richard Patch in the American University Field Staff Reports, West Coast of South America vol. XIV (1967) nos. 1, 2, and 3.

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namely, the city. Whether or not Segundo would have left Celendin of his own accord is not the point; that he did leave and did not return but in? stead created a new life for himself and his family remains the significant fact. are in most respects the same as in Segundo's present surroundings invasion-formed barriada.11 The fact that the Junta is responsible for any originating Pampa de Arena and for having placed Segundo where he is makes little real difference; in actuality, his position and possibilities are much the same as those of his neighbors who have actually invaded the land. If Segundo stays in good health and keeps his job, his future can be with reasonable accuracy. of estera matting, and has His house, as noted, is today constructed two rooms, with a cooking alcove attached to one side. The house sits on the back edge of the lot, and Segundo has already built a stone wall to demarcate his land. When he has the money, his first step will be to build a brick wall about seven feet high to replace the stone. This wall will pro? vide him with privacy and will at the same time become the walls of the house. He may build about four rooms on the front of the lot, and cast a reinforced concrete roof, strong enough for a second floor. He can then re? move the estera hut and use the land for a small corral for livestock (chickens, pigs, etc.). Since he knows something of construction methods,, he may be able to do much of the work himself; however, he will require help from friends, relatives, or neighbors to place the roof. He may pos? sibly contract to have most of the work done, and be content to help out and to make sure that the house is built as he wishes. The whole process may take anywhere from five to ten years, or even more.12 As for Pampa de Arena, it is considerably more difficult to predict what may happen. The chances for further invasions and expansions are very high; however, to guess at an ultimate population total would be im? possible. There is little reason to doubt (since the JNV is assigning pro? visional lot titles) that permanent house construction will proceed rapidly and widely once people have a feeling that they actually do own the land the often-promised on which they live. Eventually, basic services (water, will be installed as well. All this sewerage, electricity, and other facilities) can be forecast with some assurance since Pampa de Arena has been a part of a legal district of Lima since the local elections of 1966, thus re? moving a major hurdle in the way of official help. 11 See note 6. Pampa de Arena had, by the end of 1967, some eight zones, six of which had been formed by invasion. These six account for roughly 80 percent of Pampa de Arena's population of 20,000. 12 See John Turner, Architectural Design (August, 1963), p. 377. sketched

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The present political situation is chaotic. Each of Pampa de Arena's eight districts or zones (such as El Mariscal, where Segundo lives) has a and often more than one dissenting local association, splinter group As a formed around a policy issue or around political party divisions. result, a great deal of energy and time vanishes because of intra-barriada and bickering. Just how such a situation might be resolved squabbling remains to be seen; perhaps the area can at some point elect a local and co? in meaningful mayor, or at least unite the various associations ordinated efforts. now merit discus? Some of Segundo's opinions and self-perceptions sion and comment. First, his intentions to remain in Pampa de Arena and in Lima are of primary importance. The barriadas of all Peruvian cities be ?and settlements generally throughout Latin America?must squatter understood migrants, Peruvian built by people who, although to be permanent settlements no intention of returning to their place of birth. In the case, a lot and a house in a barriada represent the end point of have

migration, and a distinct step upwards for the inhabitant insofar as physi? Se? and personal pride and satisfaction are concerned. cal environment lower the quinta in Magdalena Nueva is considerably gundo's opinion of than his view of Pampa de Arena; he has little doubt that any disadvan? He is planning by his opportunities. tages he now faces are outweighed his future very carefully; he wants to build a well-constructed house, and to accumulate the money he he is willing to wait as long as necessary needs. A latent pride of ownership is, in effect, manifested by this willing? ness to wait. In turn, such a willingness is based on the belief that, in the long run, the end result will be worth waiting for, and that any accompany? ing delays or difficulties will simply have to be overcome as they arise. Perhaps the need for a clear distinction between the terms "slum" and "barriada" can be made here. "Slum" in general usage connotes social If the and physical decay; such an image, however, may be inaccurate. term "slum" is loosely applied to any area of burgeoning urban growth, and temporary it is inadequate and may be misleading. Poor-quality hopeless and dete? dwellings should not be thought of as automatically riorating, nor should such dwellings be labeled a "slum" until the observer has done considerable research and careful analysis. What at first glance appear to be areas of permanent blight and decay may be, in fact, what Charles Stokes13 refers to as "upward-escalating hopeful" areas. Stokes' typology of slums makes the point very clearly: there are slum areas of self-improvement and betterment as well as of deterioration. 13 Charles Stokes, "A Theory of Slums" in Land Economics (August, 1962).

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His example of a squatter settlement on the tidal flats of Guayaquil, Ecua? of a most important and subtle character? dor, provides an illustration and ability toward self-improvement and even istic, i.e., the tendency self-elimination through individual and community initiative if (as Stokes the community as a whole has the time and patience to wait. emphasizes) The Guayaquil settlement will probably "clean itself up", and may eventu? ally arrive at the point where it will simply be a lower class residential district of the city. The English word "slum" has no connotation of such To equate the Peruvian word barriada with slum is self-improvement. to do more than to mistranslate; it is to commit a serious error, and to express what may be a rigid and narrow point of view. In a barriada settlement, a strong pride of ownership, coupled with the prospect of permanence, an environment favorable to com? produce of the munity as well as individual betterment. The physical improvement in a barriada provides the most obvious manifestation of the dwellings attitudes and goals. Given sufficient time and opportunity, an area such as Pampa de Arena may well become a valuable addition to Lima. A settlement known as San Martin de Porres, begun by invasion in the main street is a 75,000 inhabitants; 1952, today has approximately divided highway, flanked by three-story buildings, banks, cinemas, paved, inhabitants' etc. A large number of houses are plastered and painted and have water and sewerage and electricity. San Martin is not an isolated instance; even larger areas have started since its founding and show every sign of follow? trends If, then, rural/urban migration ing its patterns of development. are accepted as largely inevitable and as irreversible (at least in the fore? seeable future), then the barriadas indeed provide what is undoubtedly the most practical and satisfactory solution available for the problems of low-cost urban housing. There are, of course, migrants to Lima who are not able to adjust to the city, and who fall by the wayside and simply dis? appear into the lower social and economic strata of the city.14 Others show no desire to move away from the center of the city, and may remain there.15 But some hundreds of thousands have managed, one way or an? are available to those willing to take to realize that alternatives advantage of them. Segundo is simply one of these; if his plans for the from the sierra to the city will future go as he hopes, his transculturation be completed.16 Segundo's basic concerns are for his family, his job, and his house, other, 14 See Richard Patch, "La Parada, Lima's Market: Part I?A Villager Who Met Disaster" in AUFS, op. cit. 15 See Patch, "La Parada, Lima's Market: Part III?Serrano to Criollo, A Study of Assimilation" in AUFS, op. cit. 16 See Caroline MartuseellL "Some Characteristics of Personality Related to therefore

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and his entire existence revolves around these three. As mentioned, there is an organization of "The Fathers of El Mariscal," which comes as close as any group to being a local ruling association within the area.17 However, he feels that Segundo is vague as to its specific purposes and organization; the Junta is a far more important and relevant organization for him. Inso? far as national politics are concerned, he shows little enthusiasm and less knowledge. He knows that the mayor of the whole district in which Pampa de Arena is located (called Pampas de San Juan) is a member of the opposition party; however, he did not vote in the local election of 1966 as he had not obtained the necessary papers. He feels that his vote or partici? pation really matter very little, and that he has little time to worry about politics Such attitudes are the rule;18 barriada inhabitants, generally. recent arrivals, are far too busy trying to keep their lives going especially to devote much time or interest to party politics. For those who did par? elections, the majority of the ticipate in the 1962 and 1963 presidential barriada

vote went to the conservative Odria.19 It might be ex-president that such lower-class would be attracted expected people by radical his administration, Odria gave work to many spokesmen. However, during barriada men as laborers on public works' construction crews. He also maintained low prices and a low cost of living. Such achievements, wheth? er democratically or not, constitute no mean feat in Peru, and engineered are remembered by the lower classes. From this analysis, it should not be concluded that the barriadas con? sist of conservative and fully contented people. Segundo's expectations for himself are one thing, but they are quite another for his children. He came to Lima with basically low aspirations, which for the most part have been fulfilled, or will be in the future: a chance for alternatives, for choices in his life, and the chance to learn a trade and to own his own house. But his aspirations and hopes for his son, although not clearly formulated or are probably much higher. It is very common for a father to verbalized, express the hope that his son become a doctor or a lawyer or an engineer or some sort of middle-class But such desires are wildly unprofessional. Upward Social Mobility in an Unstable Environment," United Nations E/CN.12/ URB/8, for a discussion of squatters in Rio de Janeiro. Martuscelli's findings pro? vide a good description of personality traits of individuals such as Segundo; the primary characteristics are (1) the ability to function with relatively little support from the environment; (2) a strong capacity for initiation and organization; and (3) the ability to overcome successfully social and other environmental hurdles. 17 Since the 1966 elections, when Pampa de Arena was able to participate in electing a mayor for the whole district of Pampas de San Juan, this association has no longer enjoyed the power and prestige it once had. 18 See Mangin, Latin American Research Review, op. cit. ** Francois Bourricaud, "Lima en la vida politica peruana," in America Latina (October-December, 1964).

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the present educational and social realistic, considering is being born exist in Peru. If, therefore, a generation and expectations, which is raised on high aspirations same time has a low actual achievement potential, then

conditions which in the barriadas but which radicals at the or agita? As Ger-

tors may indeed find discontented audiences.20 and receptive mani has pointed out,21 status incongruency or inconsistency is gen? erated by a wide disparity between aspirations and opportunities. Unless there are special structural arrangements prepared to absorb newly mobile groups, very serious difficulties may arise for the stability of the social leads to a manner through which the barriadas' It is argued function in the urbanization process can be conceptualized. that the barriadas do in fact supply precisely the "structural arrange? here of migrants. These ar? ments" necessary to absorb the first generation be most clearly expressed and understood can furthermore, rangements, functions. Merton's by reference to Merton's concept of manifest/latent distinction between these two provides a particularly valuable mechanism for dealing with the barriadas, since it attempts to replace naive moral with a stricter sociological of a analysis. Moral evaluations judgments are generally couched in terms of the by outsiders, society, especially of a practice or an institution. Further? manifest or obvious consequences based as they are on evaluations of the obvious more, these judgments, of a structure, tend to be unrealistic, that is, functions or appearances "... they do not take into account other actual consequences of that struc? ture . . . which may provide basic support for the [society]." 22 It is not, therefore, surprising that analysis of the latent functions of a structure often conflicts with accepted views. variables must be considered for the proper evalua? Two sociological tion of a social structure. First, the structural context may make it im? possible to implement acceptable structures to fulfill vital social functions structures to fill the or needs, and thereby allow outside or unapproved societal subgroup may have particular "social vacuum." Secondly, any or unique needs which are not met by society except through the latent functions which the unapproved structure does indeed provide and fulfill.23 system. This last observation

20 See Mangin, Architectural Design, op. cit, p. 370; see also Caretas (Lima), August, 1967. 21 Gino Germani, "Social and Political Consequences of Mobility," in N. J, Smelser and S. M. Lipset, eds., Social Structure and Mobility in Economic Develop? ment (Chicago: Aldine Publishing Co., 1966), pp. 364-94. 22 Robert K. Merton, Social Theory and Social Structure, revised ed., (New York: Free Press, 1957), p. 72. 23 Ibid., p. 72.

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It is asserted here that the barriadas of Lima have as a basic manifest the supplying of low-cost housing for large numbers of rural Since the great majority of wage earners in these areas have migrants. function or and since outside state aid has been nonexistent very low incomes, in will appear (especially minimal, it is only natural that such settlements the initial stages) as areas of the most abject poverty. However, as previ? the likelihood of improvement, particularly from with? ously emphasized, in the settlements themselves, must be taken into account. Moreover, since both the public and private sectors of Peru have provided almost nothing insofar as low-cost housing goes, the migrants have been forced to provide their own solution. Indeed, the basic demands of the migrant subgroup desire for an owned are met through the structure of the barriadas?the home and lot, and the chance to live outside the crowded (not rented) downtown slums. Aside from these "physical" functions of a barriada, important so? cial and cultural functions are likewise fulfilled. In the first place, such settlements contain viable and generally coherent democratic social com? munity structures. In fact, up until 1964, the local barriada associations elected ruling groups in the country, since were the only democratically all local officials had been appointed previously by the central govern? ment in Lima. Further, the barriada provides a consolidation point for the recently mobilized individual, and allows him to fix his position and to become a more permanent part of the urban environment. Still another function already mentioned briefly lies in the successful and rapid assim? of very large numbers of people at relatively low ilation and acculturation cost to the city. The improving "suburban" barriadas (such as Pampa de a Arena) contain over half a million people, with (at a rough estimate) solidly-built good deal more than half of them housed in permanent, structures. Any public or private efforts to supply housing of equal quality for such numbers of people would have been, and still is, totally out of the question. One other point merits attention here, and it is of particular rele? vance from a policy point of view. An existing social structure cannot be of the eliminated unless the functions structure replaced or destroyed For instance, Law or are adequately either lose relevance replaced. in 1961, stated that any #13517, passed by the Peruvian legislature after Septem? barriada formed through invasion and without permission ber of 1960 would not be eligible for government aid or recognition.24

24 For a detailed description and analysis of this law, see Kenneth Manaster, "The Problem of Urban Squatters in Developing Countries: Peru" in Wisconsin Law Review, vol. 23 (1968), no. 1, 23-61.

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This decree sions.

naively hoped that such a threat would prevent further inva? to provide a suitable alter? However, no efforts were forthcoming native for the barriadas, and quite naturally invasions have continued made to provide housing up to the present time. Such attempts as were a satellite city projected for 100,000 people were noticeably unsuccessful; stopped at a tenth of that total, and a very large highrise project originally to middle income families went completely out planned for lower-middle of control and reached luxury price levels. or planner involved in Thus, it becomes apparent that a policymaker the problems of rapid urbanization must view areas such as barriadas with He must try to evaluate them in terms of the func? a realistic perspective. tions they perform, and he must become appreciative of the society as In and possibilities. a whole, with its manifest limitations, problems, are of short, the latent functions performed by these squatter settlements and complexity, considerable and any attempts to replace, magnitude them must be carried out with considerable control, or even supplement sophistication. and purposes of the bar? With this understanding of the functions riada settlements, some final remarks may help to identify some of the of the urbanization process and the changes implied within consequences involves the abandon? it. Karl Deutsch's of social mobilization concept and psychological ment of old social, economic, patterns of life, and the several sub-processes) of new ways of living.25 The (through acceptance of this process 26 of mobilization characteristics quantifiably measurable can be used to compare nations, as Deutsch originally intended. However, the concept can be equally useful for viewing barriada inhabitants as both since through their moves and the result of this mobilization, the population which has the provinces to Lima, they comprise and is responsible for changes in the indicators mentioned undergone (see note 26). of the second the barriadas are primarily manifestations Moreover, That is, their existence is evidence that state of the mobilization process. the migrants have indeed become inducted into "relatively stable (and) 27 and commitment," new patterns of group membership, organization, the reason from 25 Karl Deutsch, "Social Mobilization and Political Development" in American Political Science Review, LV, no. 3 (September, 1961), 493 ff. 26 Ibid., pp. 494-97. More specifically, the indicators which Deutsch employs include: percentage of population exposed to modern life; percentage of population exposed to mass media; percentage of population living in an urban environment; percentage of population in nonagricultural occupations vs. percentage gainfully employed; percentage of population literate; and growth of per capita income per year. 2? Ibid., p. 494.

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and that both stages of the process are, In this sense, the habitants, complete. termination of the mobilization process, tion for the first generation of migrants.

for the great majority of the in? barriadas can be viewed as the and as areas of social consolida? This phrase is chosen for a num?

ber of reasons. First, it connotes the idea that a barriada is almost always a finishing point for a migrant as well as the place where he intends to live is implicit in residence in a since permanence permanently. Secondly, his for an individual to consolidate barriada, it provides an opportunity The word "mar? often marginal position vis-a-vis the urban environment. since the barriada inhabitant occupies a ginal" is used here purposely, situation classifiable as marginal in almost all respects?physically, po? and socially.28 Deutsch employs the litically, culturally, economically, word "marginal" in an appropriate manner when he notes that social mobilization in leadership is very apt to be a causal factor in political change, he notes: and elite composition. Specifically, especially

. . . political leadership may tend to shift to the new political elite of party or quasi-party organization, formal or informal, legal or illegal, but always led by the new "marginal men" who have been exposed more or less thoroughly to the impact of modern education and urban life." 29 These remarks apply particularly well to the already-mentioned barriada associations that exist in every settlement. The leaders of these associations have a dual responsibility. First, they serve as the government of a newly-formed and adjudicate such issues as lot disputes and their more important task lies in soliciting and However, assignments. obtaining aid for the settlement from the JNV, especially in the form of water, schools and teachers, etc. Official sewerage, police protection, therefore becomes absolutely and the local asso? recognition necessary, ciation leaders must be acquainted with the frustrating and often devious workings of the Peruvian bureaucracy in order to obtain this recognition. It should be noted that the effectiveness of and the need for the associa? tion varies inversely with the settlement's age. That is, as the barriada becomes older, more stable, and as recognition is granted, the associa? tion loses its raison d'etre and tends to atrophy. Such decay may be es? pecially apparent if, as mentioned, the barriada becomes a part of a muni? cipal district of Lima thereby acquiring legal status.30 28 Anibal Quijano Obregon, "Notes sobre el concepto de marginalidad social," CEPAL (Santiago, 1966), mimeo. 29 Deutsch, op. cit., p. 499. so See Daniel Goldrich, R. B. Pratt, and C. R. Schuller, "The Political Integra? tion of Lower-Class Urban Settlements in Chile and Peru," delivered at the American Political Science Association Meeting, New York, 1966. barriada

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of the viability of the association in its later stages, it Regardless has served its purpose. As Deutsch notes, even where political elections are held, "a network of . . . marginally (may) political organizations serve an important political function by providing a dependable social who have been partly or wholly uprooted or setting for the individuals 31 Both the local associa? alienated from their traditional communities." of as fulfilling these func? tion and the barriada itself may be conceived tions: the local association provides the more obvious political framework, and the barriada as a whole becomes an integrating and integrated social environment. which I feel In conclusion, I wish to set forth five propositions summarize the principal arguments I have presented. As I noted pre? do not rest alone on Segundo as an individual, viously, these propositions are based on his experiences, which are paralleled by those of yet they numbers of people like him. great 1. The barriadas of Peru are manifestations and are areas of consolidation, thereby stage of the mobilization process. manifest 2. Their inhabitants istics which are in part responsible urban environment. of social mobilization, to the second corresponding

character? particular personality for successful acculturation in an

The squatter settlements serve important functions both for the 3. and for the city itself. inhabitants 4. Given the social and structural context of Peru, the barriadas present the most viable and practical solution available for very low-cost 5. urban housing. in the The potential gap between aspirations and achievement the adaptive function new generation may demand a wide increase in of the Peruvian The central ethnocentric insoluble barriadas: political idea behind and social systems. this case study, however, is to offer a nonthat is most often seen as an phenomenon

view of a social

problem. It cannot be denied that problems do exist within the lack of basic facilities and medical care, disease, severe social and so on. Yet it is a basic thesis of this analysis that one of difficulties facing the barriada inhabitants is misunderstand?

deprivation, the greatest

is absolutely essential for the A realistic viewpoint ing and ignorance. of barriadas, for the cities, and for the social and political development Peru.

31 Deutsch, op. cit., pp. 499-500.