Title: Peruvian local government
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 Material Information
Title: Peruvian local government structures, functions, and style
Physical Description: x, 278 leaves. : ill. ; 28 cm.
Language: English
Creator: Furlong, William L., 1936-
Publication Date: 1967
Copyright Date: 1967
 Subjects
Subject: Municipal government -- Peru   ( lcsh )
Political Science thesis Ph. D   ( lcsh )
Dissertations, Academic -- Political Science -- UF   ( lcsh )
Genre: bibliography   ( marcgt )
non-fiction   ( marcgt )
 Notes
Thesis: Thesis -- University of Florida.
Bibliography: Bibliography: leaves 273-278.
Additional Physical Form: Also available on World Wide Web
General Note: Manuscript copy.
General Note: Vita.
 Record Information
Bibliographic ID: UF00097827
Volume ID: VID00001
Source Institution: University of Florida
Holding Location: University of Florida
Rights Management: All rights reserved by the source institution and holding location.
Resource Identifier: alephbibnum - 000543357
oclc - 13140704
notis - ACW7065

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PERUVIAN LOCAL GOVERNMENT:
STRUCTURES, FUNCTIONS,
AND STYLE











By
WILLIAM L. FURLONG













A DISSERTATION PRESENTED TO THE GRADUATE COUNCIL OF
THE UNIVERSITY OF FLORIDA
IN PARTIAL FULIILLMENT OF THE REQUIREMENTS FOR THE
DECREE OF DOCTOR OF PHILOsOIPHY










UNIVERSITY OF FLORIDA
December, 1967

































Copyright by

William L. Furlong

1967






































To Juanita and Marlea













ACKNOWLEDG ENETS

This study was undertaken in 1965 through 1966 while

I was serving as a research consultant with the Institute

of Public Administration of New York, I?A. The IPA team

is under contract with the U.S. Agency for International

Development, AID, which was engaged in a technical assis-

tance, research, and a training program with the govern-

ment employees in Peru. The host organization with which we

worked is the Oficina Ilacional de Racionalizaci6n y Capacitaci6n

de la Administraci6n Publica, OIIRAP.

I owe much to many people who gave their assistance,

cooperation, and support to this project. Dr. Harry Kantor,

Professor of Political Science at the University of Florida,

has been very helpful in giving his support to the project, in

his constructive criticisms, and in providing more insight to

the environment within which the study was elaborated and car-

ried out.

Dr. Gladys M. Kammerer, Professor of Political Science

and Director of the Public Administration Clearing Service,

University of Florida, gave much of her time and effort in

helping to construct the conceptual framework and research

methodology through which the study was elaborated.

Dean Cresap and Allan Richards of IPA gave helpful sug-

gestions and assisted in many ways. To my colleagues, Sherman

Lewis and Daniel Figgins, I give my many thanks for the hours

iv







spent discussing mutual problems and working through many of

them together. I am also deeply grateful to the ONRAP staff

as a whole, the secretaries who aided me in the typing that

had to be done and to Ingenlero Eduaro Urrutia for his sug-

gestions and help. Assistance was also given by Harry Ilunoz

Carro and Roberto Chocano. I am also grateful for the support

given by the President of OliRAP, Victor Miranda llieto.

Although the empirical research was performed while I

was working as a research consultant for IPA at OTIRAP,

and the project had the support and official sponsorship of

both, the statements made within and the interpretations

thereof, including all conclusions drawn, are my sole res-

ponsibility.














TABLE OF CONTENTS


Page


ACK.E':ULE DG IENTS


LIST OF TABLES . . . . . .

LIST OF I-APS . . . . . .

Chapter

I. INTRODUCTION: SCOPE AND METHOD


II.


. . . . . vil


. x


Literature . . . . .
Sco e . . . . . .
Conceptualization . . .
Methodology . . . .

THE PERUVIAN SCE'1E . . .


Geography . . . . . . . . .
Economy . . . . . . . . . .
Demography . . . . . . . . .
Culture and Socio-Economic Class . . . .
Politics . . . . . . . . . .


LI NA, BARRIADAS, AND IIMDIAN CO'MMUNIITIES

Li a . . .
Barriadas . . . . . . .
Indian Communities . . . . . .


. . 69
. . 70
. . 8a


V. HISTORY AND ELECTIONS . . . . . .

The Inca Period . . . . . . .
The Spanish-Colonial System . . . .
Period of Independence . . . . .
Impact of 1963 Elections on Local Government
Conclusions . . . . . . . .

V. CENTRALIZATION AiND THE PREFECTURAL SYSTEM .

National Government . . . . . .
Centralism and Autonomy . . . . .
Prefectural System . . . . . . .
Other National Institutions . . . .


I


. 102
SI111


S11L

. 11L
S. 116
S. 119
S. 126


. .

















Page

. . . . 130


THE MAYOR-COUICIL SYSTEM .


Political Divisio


Local Councils
Conclusions


VII. FUNCTIONS

Analysis .
Conclusions

VIII. FINANCES .

Revenues .
Analysis .
Expenditures
Analysis .
Change . .
Conclusions

IX. PERSOTINEL AND

Mayors . .
Personnel
Conclusions

X. CONCLUSIONS

APPENDIX A . .

APPENDIX B . .

APPENDIX C . .

BIBLIOGRAPHY . .


* .

. .
. .

. .

. .
* .
* .
* .
. .
* .

ADM

* .
. .
. .

. .


* .

* .


ns .











IHISTRATIO.]
... .




... . .
. . . .





. .

. . . .

. . .

. . . .

. . . .


Chapter

VI.


130
139
149

152

184
192

197

200
212
223
232
235
238

241

241
244
253

257


264

271

272


. . . . . . . . . 273


vii


*












LIST OF TABLES


Table

1.1

1.2

1.3

1.4

2.1

2.2

2.3


2.4

2.5


2.6

2.7

3.1


3.2

6.1

6.2

6.3

6.4

6.5


Classification of Functions . . . .

Major Revenues . . . . . . .

Major Expenditures . . . . . .

Characteristics of Cities Studied . . .

Population, Area, and Density . . . .

Peruvian Exports: 1950, 1960, and 1965

Percentage of Population Increase
from 1940-1961 by Political Division . .

Cities of 30,000 Population or More . .

Population and National Income by
Departments and Regions 1960 . . .

Level of Education: 9 Years of Age and Over

Occupational Activity . . . . . .

Peru: Distribution of Registered
Industries 1955 . . . . . . .

Revenues of Peruvian Local Governments .

Years of Creation of Departments of Peru

Political Divisions in Peru . . . .

Structure of a Typical Provincial Council

Typical Provincial Council Assignments .

Political Comoetition and Conflict in
Councils . . . . . . . . .

Public External Functions and Services
of Local Government . . . .


viii


Page

20

S 27

S 2

39

4 6

50


53

55


56

58

59


. 71

S 75

S 133

S 137

. 146

147


148


153













Table

7.2 National Government Institutions
Important on a Local Urban Level. . .

7.3 Councilmen's Opinions Concerning the
Central Government . . . . . .

7.4 Functions and Services of Local
Government . . . . . . . .

7.5 Councilmen's Opinions of Municipal
Financial Systems . . . . . .

7.6 Per Capita Revenues Compared with
Structure Concerned with Water and
Sewage Services . . . . . . .

7.7 Correlation Coefficients of Utility
Costs and Variables . . . . . .

7.8 Correlation Coefficients of Councils
Providing Physical Contribution to
Education . . . . . . . .

7.9 Correlation Coefficients of Councils'
Expenditures on Culture and Recreation

7.10 The Association of Selected Functions by
Council Number and the Geography Variable

8.1 Government Revenues and Expenditures . .

8.2 Percentage of Specific Revenues to Total
Revenues . . . . . .

8.3 Annual Commercial Tax Rates . . . .

8.4 Correlation Coefficients of Selected
Revenues and Variables . . . .


8.5


3.6


Page


S 157


160


S 162


S 176



* 186






189


190


S 191

. 193


202

205


216


The Relationship Between Financial Support
from Outside Sources and Selected Variables

Relationship Between Geography and
Revenues by Ilumber of Cities . . . .


221


223


















8.7 Percentage of Expenditure
to Total of Expenses . . . .

8.8 Expenditure by Function . . . .

8.9 Percentage of Total Expenditures
Spent on Maintenance Functions . .

8.10 Correlation Coefficients of Mayor
Expenditures and Selected Variables

8.11 Amount and Percentage of Revenue
Change for Selected Cities 1961-1966

8.12 Change in Total Revenues for Selected
Cities 1960-1966 . . . . .

9.1 Correlation Coefficients with Use
of Merit Devices . . . . .

9.2 Local Councilranic Attitudes Towards
Their Employees . . . . .

9.3 Local Councilmanic Attitudes Towards
Employee Salaries, Related to
Selected Variables . . . .

9.4 Education of Council Employees and
Laborers in the City of Cuzco
January, 1964 . . . . . .


Page


225

227


230


233


236


237


248


249


S. . 252



* . 254


MAPS


Departments of Peru . . . . . .

Location of Cities Studied . . .


134

272


...




















CHAPTER I


INTRODUCTION: SCOPE AND METHOD


The form, structure, and procedures of Peruvian local

government have developed over a long period of time. Some

of the roots extend back to the Roman Empire; others to the

indigenous Inca Empire. Recent developments, however, have

had a great impact upon local governmental structure and

procedures in Peru. These developments have influenced pro-

cedures as well as attitudes, which because of their possible

lasting impact have created a need for greater understanding

and more knowledge with respect to local government.

This study is designed to partially fill this need.

First this study will examine the history of local government

and define some of the changes which have taken place recently.

Then the structures, services, finances, and personnel of

local government will be studied in order to ascertain what

differences might exist between and among various cities and

towns. These differences will be analyzed in relationship to

a number of predetermined variables in an effort to identify

to what extent relationships exist between the variables and

the variations involved.


Literature





2

The wealth of material on local government and the

studies made about local government have increased profusely

over the past decade. New methodologies have been designed,

tested, and later disputed. Different models have been

developed using diverse approaches and examining various

topics. One of the most important models is the elite or

power structure model of local government, which attempts to

determine how political power and influence are distributed

within a community.

Since Floyd Hunter wrote Community Power Structure.

many studies of local power elites have been developed and

written. At least three major findings have resulted from

these studies. Hunter's thesis was that a monolithic power

elite controlled the local government he studied. In contrast,

Robert Dahl2 found a pluralistic power structure in which

specialized groups influenced local government decisions and

activities in specific issue areas, but the groups were not

necessarily competitive. A third group of studies exist like

Men at the Top3 and The Urban Political Community,4 both of

which found some communities to have monolithic and some

pluralistic power structures, but in the pluralistic towns,

Floyd Hunter, Community Power Structure (Chapel Hill:
University of North Carolina Press, 1953).

2Robert A. Dahl, Who Governs? (New Haven: Yale Univer-
sity Press, 1961).

3Robert Presthus, Men at the Top (New York: Oxford
University Press, 1964).

4Gladys M. Kammerer, et al., The Urban Political Com-
munity (Boston: Houghton Niffln Co., 1963).





3
the researchers found that the different groups are highly

competitive in a variety of areas. In this latter finding

they differ from Dahl. Other later and more tightly conceived

studies in this field include Community Influentials1 and

The Rulers and the Ruled.2

In contrast to determining the power structure by the

method of correlating official position with power position

as has been done traditionally, or through the method of

relying on panels of judges who Identify a power position on

the basis of reputation, as did Hunter, the principal and

currently widely accepted method utilized in the identifica-

tion of political power holders is through both ascriptive

methods and the examination of the decision making process and

its participants. The studies utilizing the latter method

are concerned with who the actors are and what their amount

of participation and scope of activity is in the making of

decisions. Important among the studies which concentrate

more on the decision making process are City Managers in

Politics by Kammerer, et al.,3 The Urban Political Community

by the same authors, Political Restructuring of a Community


1Kent M. Jennings, Community Influentials (New York:
Free Press, 1964).

2Robert Agger, Daniel Goldrich, and Bert Swanson, The
Rulers and the Ruled (New York: John Wiley and Sons,Inc., 1964),

3Gladys M. Kammerer, et al., City Managers in Politics
(Gainesville, Fla.: University of Florida Press, 1962).

4Kammerer, et al., The Urban Political Community.





4

by Ruth McQuown, et al.,l and Decisions in Syracuse by

Roscoe C. Martin, et al.

But one of the most important studies that effectively

utilized these varied approaches rather than relying upon

one method, and does so on a comparative basis, is The Rulers

and the Ruled. The purpose of their study is:

. primarily concerned with how the people decide
to shift or maintain the scope . of local govern-
ment in respect to the economic, social, and welfare
systems of communities. It is also meant to provide
an understanding of political decisions concerning the
organization of government itself. The structure of
power and type of regime, and how the rulers relate
to each other and to the ruled in making decisions.
The relations are of concern both at a moment in
time and over a period of time.3

This study is a monumental one in the field. It attempts to

examine those stated relationships not only among and between

four different communities, but it also carries out the

analyses over an extended period of time. So rather than

obtaining a single case study in a "snap-shot" time period,

it extends both through time and space.

The aforementioned study, as well as many others com-

pleted in the United States, represent major contributions to

the field of knowledge of local politics within the United

States. These approaches, however, have been of limited

adaptability for the purposes of this study of the Peruvian


1Ruth McQuown, et al., Political Restructuring of a
Community (Gainesville, Fla.: Public Administration Clearing
Service, 1964).
2Roscoe C. Martin, Decisions in Syracuse (Bloomington:
Indiana University Press, 1962).

3Agger, et al., o cit., p. 2.





5
scene. The difficulty in implementing an approach similar to

these in Peru is primarily due to a lack of published, des-

criptive, and analytical material, plus the lack of necessary

statistics. A review of the literature available about local

government in Peru will indicate the state of the information

available.

There are a number of good books and articles In the

field of local government in developing nations and in Latin

America, but few of them discuss the structure, functions, or

finances of Peruvian local governments. One example of these

very general books is Samuel Humes and Eileen M. Martin's book

Structure of Local Governments. This book deals in a very

general way with local government structures throughout the

world, but has nothing in it directly relating to Peru. The

Latin American countries treated in this survey are: Brazil,

Ecuador, Colombia, and El Salvador.

An excellent book in the field of local government in

developing countries is Harold F. Alderfer's Local Government

in Developing Countries. Although this book does mention

Peru in some of the examples, there is nothing that goes into

any depth on the current condition and structures of local

government.

An example of a book concerning Latin American local


Samuel Humes and Eileen M. Martin, Structure of Local
Governments (The Hague: International Union of Local Authori-
ties, 1961).

2Harold F. Alderfer, Local Government in Developing
Countries (New York: McGraw-Hill Book Co., 1964).





6

government is Philip Hauser's Urbanization in Latin America,

but like many others that deal with Latin American urbaniza-

tion, it discusses specific social, cultural, and economic

problems without giving any depth to one of the major

institutions involved in the solutions of these problems--

local government. Other examples of similar studies can

readily be found.2

The study made by Orrin E. Klapp and Vincent Padgett

on Tiajuana3 is a more specialized study. It indicates that

the Floyd Hunter model and methodology were not applicable to

a study of elite influence in that city. This may be true of

many other Latin American cities.

An elite study (not yet published) was recently finished

by Delbert Miller in Lima, Peru. Another study of structure

and functions of Lima local government is in process, but

nothing is available yet. This latter study is being made by

Sherman Lewis.

A number of articles and books are also available on

Peruvian local government, but most of them are concerned with

1Philip Hauser, Urbanization in Latin America (New York:
International Documents Service, 1961).

Jaime Dorselaer and Alfonso Gregory, La Urbanizaci6n
en America Latina (B6gota: Centro Internal de Investigaciones
Sociales de FERES, 1962); Charles Haar, "Latin America's
Troubled Cities," Foreign Affairs, CLI (April,1963), 536-549;
Francine Rabinovitz, Felicity Trueblood, and Charles Savio,
Latin American Political Systems in an Urban Setting: A
Preliminary Bibliography (Gainesville, Fla.: University of
Florida Press, 1967).

30rrin E. Klapp and Vincent Padgett, "Power Structure
and Decision-Making in a Mexican Border City,"American Journal
of Sociology, LXV (January, 1960), 400-406.





7

purely legal aspects of local government with little atten-

tion given to what functions are actually being performed by

local councils. An exception to this is Volume XXIII of the

Plan Regional para el Desarrollo del Sur del Perd. This

volume deals with functions and structure of local government

in southern Peru, but is somewhat superficial. It is also

outdated as the basic relationship between local and central

governments has changed since it was written. It is weak

because it concentrates mainly on functions that are performed

by agencies of the national government, such as education and

public housing.

Another work that has been useful is Legislaci6n Admin-
2
istrativa: Municipalidades. This book, although mainly

legalistic, does cover in depth the legal basis for nearly all

the functions presently being performed at the local level.

The two-volume work was quite useful in preparation of the

list of functions given on page twenty, and also some of the

amplification of services found in Chapter VIII.

A number of other books (listed in the bibliography)

are either too formalistic or legalistic to be used for more

than just basic reference material, or they are involved polem-

ics on why a new law for local government is needed, or they

are concerned with other topics not closely related to the


1Plan Regional para el Desarrollo del Sur del Perd, Vol.
XXIII: Funciones y Medios de Gobierno Local (Lima,Perd, 1959);
also Vol. XVIII: Desarrollo Urbano (Lima, Perd, 1959).

2Lufs Alberto Dongo Denefri and Benjamfn Chirinos Pacheco,
Legislaci6n Administrative: Municipalidades, I (Arequipa, Perd:
Editorial Universitario, 1962), also Vol. II (1964).





8

design of this study. Some are concerned with basic social

problems, but do not tie the municipality in with their quest

for solutions.

There is another separate and distinct group that dis-

cusses local government, but in a different sense. These are

the anthropological or sociological case studies of particular

cities, towns, villages, or small areas. Three of the most

helpful works among these are Richard Adams' A Community in

the Andes: Problems and Progress in Muqueyauyo, Hualcan: Life
2
in the Highlands of Peru by William W. Stein, and Moche: A

Peruvian Coastal Community by John Gillin.3 These are useful

books in their field, as are many others, but they say little

that is directly related to local government except in a very

localized sense.

Allan Austin did some preliminary work in the field of

Peruvian local government which is valuable as a basic

introduction to the structure and functions of Peruv1in local

government. This study did, in a sense, provide the point of

departure for some of the emphasis of the present study.

After a detailed examination of the subject, this author

discovered that there is very little printed information in


1Richard Adams, A Community in the Andes: Problems and
Progress in Muqueyauyo (Seattle: University of Washington
Press, 1959).

William W. Stein, Hualcan: Life in the Highlands of
Peru (Ithica, New York: Cornell University Press, 1961).

john Gillin, Moche: A Peruvian Coastal Community
(Washington,D. C.: Smithsonian Institute, 1945).

Allan Austin, Local Government in Peru (New York:
Institute of Public Administration, 1964).




9

existence, in either Spanish or English, with respect to

what local governments in Peru actually do, how they do it,

and the inter-relationships between the local and the national

levels of government that exist today. This lack of published

material made early research plans and projects for this

project difficult to design and organize. Because the infor-

mation was lacking on such a basic level, the author decided

that a search for material in this area would be valuable and

useful at this time, and would prepare a base for future

studies that might examine political influence and power.


Scope


Peruvian governmental agencies are broadly classified

into three major categories; the national government, the

independent public sector, and the local governments. This

generally accepted categorization, which is used by most

government agencies in Peru, is acceptable for the purposes

of this study. The national sector includes the legislative,

executive, and judicial branches, plus the electoral agencies.

The independent public sector includes national independent

agencies, government industries and businesses, regulatory

commissions, welfare agencies, and some developmental agencies.

The local government sector is divided into three political

levels. The largest are the departments, which are then sub-

divided into provinces, which are in turn subdivided into

districts.

Local government officials can be classified into two





10

categories--political and elective. The political category

refers to prefectural officers, who are under the jurisdiction

of the Ministry of Government in the national government

sector. The elective category refers to the officials elected

as mayors and councilmen according to recently adopted legal

provisions.1 The former has an hierarchical set of officers

beginning at the departmental level and extending down to a

subdistrict level, whereas the latter has only popularly

elected officials at the provincial and district levels.

The system of local government in Peru is different

from both the Anglo-American system and the French system.2

Titles and terms tend to be a bit confusing, as the Peruvian

terminology has been adopted from both of the two foreign

systems. In order to clarify the situation, the following

explanation is given.

Before 1963, the mayors and councilmen formed an inte-

gral part of the prefectural system adopted from France in

1872. The mayor was appointed and controlled by prefectural

officers, and councilmen, in turn, had little independence,

as they were completely subjected to the will of the mayors.

The prefectural-council situation was altered through the

introduction of local elections in 1963. The prefectural


The terms used in Spanish are: Alcalde = Mayor, Consejo=
Council. The structure, however, is more closely related to a
commission-type of local government. The author has chosen
to use the titles of council and councilmen instead of commis-
sion and commissioners in this study to be closer to the
Spanish meaning of the titles.
2As defined by Alderfer, op. cit., pp. 3-7.





11
officers continue to be appointed through the central govern-

ment, while mayors and councilmen are now popularly elected

and are outside the control and jurisdiction of prefectural

officers.

Since the 1963 elections, the prefectural system has

lost much of its power, influence, and functions. It still

administers the national police and has effective jurisdiction

in urban and rural areas. The mayors and councilmen have as-

sumed the major role in local affairs but exercise little

effective jurisdiction or control over rural areas. Thus the

prefectural officers are much different from those of France.

Councilmen are also distinct from their counterpart in the

United States, as they are more like the elected commissioners

in the commission form of government which has almost disap-

peared in the United States, and should not be equated with

the meaning of the term "councilmen" as is currently used in

the United States.

It is the council system that is known in Peru as the

government of the municipalidad or municipio. Thus, most

studies of "municipal government" in Peru discuss the

municipalidad or the mayor-council system and not the pre-

fectural one. The term municipalidad, or local government,

should not be confused with the concept of a city or town

government in the United States. For example, services and

functions are different, usually in a more restricted sense

for the Peruvian municipio, and the municiplo has less inde-

pendence from the central government than does a city or town

in the United States from the federal government, or for that





12

matter, from the state governments. The Peruvian munlcioalidad

must rely on the central government in many areas, yet is more

independent than those in many other contemporary unitary states.

Because agencies of the three major sectors of the

government function on local levels, and because of vagueness

in laws and overlapping jurisdictions, there can be some

confusion as to which units constitute local government. For

this reason a restrictive definition of local government has

been adopted for this study. Local government is defined as

those governments with less than national territorial juris-

diction into which a nation is divided (this excludes the

central government), which possess general public powers and

provides a general group of services (this excludes local of-

fices or field units of the central government and the indenen-

dent public sector that operates on the local level in specific

services such as education or health), and are responsible to

a local electorate (this excludes the prefectural system

which has general powers but is responsible to central govern-

ment officials). In this manner, local government in Peru is

that which is directed and administered by the councils

elected on the provincial and district levels. This defini-

tion will be confined to the particular Peruvian situation.

For use in other areas it would need some broadening, parti-

cularly with respect to responsibility of local officials to

a local electorate. However, for the purposes of this study,

the author considered it necessary to include this provision

so as to exclude the prefectural system.




13

Local government does not work in a vacuum. It is

closely related to the national governmental system and is

influenced and controlled to a large extent by it. This is

why some effort will be made to describe the prefectural

system and its relationships with the mayor-council system.

Relationships with other governmental agencies and their

responsibilities on a local level will also be examined as

they relate to the variables examined here.


Conceptualization


All local governments in Peru operate under a uniform

national law of municipalities adopted in 1892 and are there-

fore all structured in a similar manner. But in spite of the

sameness; the services, local structure adaptations, and finan-

ces vary considerably from city to city. The purpose of this

study is to examine these differences in an attempt to identify

the influence that the following variables might have in

determining these differences,and to search for patterns of

these variables that are influential concerning the existent

differentiations. The following paragraphs define and describe

those independent variables considered important and as

possible determinants.


Variables


Size of population. The size of the urban provincial

population will be used, except in district capitals where

the urban district population figures will be used. The

larger area is used because nearly all population figures are





14

calculated on a provincial basis. Although some exactness is

lost in this larger figure, it is still considered to be signi-

ficant by the author as the provincial councils have formal

jurisdiction over the entire province, their revenue base

includes the entire province, and they are elected by the

provincial electorate.

Age groups. Age levels will be divided Into four

groups: pre-school, 0-5 years; school and generally pre-

employment, 6-19 years; employment years, 20-65 years of age;

and post-employment, retirement, or more inactive years, over

65 years of age.

Economically active poDulation. This variable includes

the number of people employed within a specific occupational

category. These include: agriculture, forestry, and fishing;

mining and quarries; manufacturing; construction; electricity,

gas, water, and other such services; commerce; transportation

and communications; and services including domestics.

Growth rates. The comparison of 1940 population figures

with those of 1961, in order to determine the rate of growth

over a twenty-one year period, will be made.

Density. The data used to create the numerical values

of this variable are less exact than in the variables above be-

cause city size is not uniformly defined and reliable surveys

are lacking. Data were not available for all of the communities.

In spite of these deficiencies, the variable will be considered.

Income level. Because annual income in scles is avail-

able only at a departmental level, rather tran for each





15

individual community, the values of this variable are not

very exact. However, as this variable may be significant,

it at least merits consideration.

Urban low income groups. The relevance of this figure

will be determined through the use of the following indicators:

low literacy rates, poor housing, large number of occupants

per unit dwelling, and a high percentage of laborers as com-

pared with others, i.e., white collar workers and employers.

Literacy. This variable includes two sets of data:

first, the number of persons over seventeen years of age who

are literate, and second, the number of school age children

(six-sixteen) who are literate.

Indian population. This variable is derived from the

number of people in a community who speak an Indian language

rather than Spanish. Professor Rowe stated that language was

the best indicator of this ethnic group. The number of per-

sons using honchos, chewing coca, and not wearing shoes were

also to have been used as indicators, but the author never

obtained this data.

Job competition and demands. The indicators for this

variable are: large city size, low literacy rates, low level

of per capital income, and a high percentage of economic

inactive.

Company towmn. The urban land in some communities is


John Howland Rowe, "The Distribution o' Indians and
Indian Languages in Peru," Geographical Review, ::V::JII
(April, 1947), 214.





16

practically all owned by a single company, which,at the same

time, employs most of the non-agriculturally occupied popu-

lation. This type of a community will be labeled a "company

town."

Constitutional level. This factor involves the poli-

tical division of the nation into sub-units. The classifi-

cation includes three categories; provincial capitals which

are also departmental capitals, provincial capitals which are

not departmental capitals, and district capitals.

Political complexion. The election figures of the 1963

municipal elections will be used to determine the political

complexion. Two major groups were involved, but in some lo-

calities independent groups were strong, and in a few cities

these independent groups won over both the AP-DC coalition and

the APRA-UNO coalition candidates. For use with correlation

coefficients, this variable will be considered on a high-

low scale. The lower end of the scale will be associated

with low affiliation with the party in control, or the Presi-

dent's party, the AP-DC coalition. The upper end of the

scale will indicate greater strength of the AP-DC over the

APRA-UNO coalition or over independent political groups.

Region. This word is sometimes used to refer to zones

delineated by groups of similar ethnic composition or pre-

dominant economic activities, but since reliable data on

these two factors are not available, region in a geographic

sense will be used. For example, it is generally known that

most of the nation's Indian communities are located in the





17

sierra, that most of the plantation agriculture is on the

coast, and that most of the mining activities are in the

sierra, etc. But since reliable statistics are unavailable,

the following geographical regions which are more easily

defined and identified will be considered. The three cate-

gories are: coast, sierra, and selva or rain forest.

Types of mayors. This factor is a subjective classi-

fication by the researcher, judged through observation and

unstructured interview questions. It consists of the follow-

ing categories: 1) Strong mayor: a mayor who generally runs

the council. The council passes his resolutions and follows

his lead. Councilmen and employees defer highly to him. 2)

Average mayor: this man is stronger than any single council-

man, but he is subject to overriding votes and deference is

average, not high. 3) Weak mayor: the council in this

situation provides most of the initiative. The mayor's will

is subject to constant revision and subjection to that of the

council. In addition to these three categories, two varia-

tions exist within the average and weak categories based upon

the mayor's reaction to the political situation. In some

cases, an average or weak mayor may partially withdraw from

mayoral activity and become "passive." In extreme cases he

may withdraw completely and become "inactive." In the case of

the latter, he performs none of his municipal duties or

mayoral obligations.

The following dependent variables: cent-al government

funds, per capital revenues, property taxes, and commercial






18

taxes are also used as independent variables in specific

hypotheses. These variables will be more extensively defined

when they are examined as dependent factors in the text of

the study.


Structures and Functions


The term function as used in this study should not be

confused with the more general and broader term used by

Talcott Parsons1 and Almond and Coleman.2 The word function,

as they use it, is an activity that is present in all socie-

ties although it is not always performed by similar struc-

tures. The term, as used in this paper, is more specific

and more limited in meaning. It entails a service or a pro-

gram in this case, characteristic of a local government. It,

unlike the more general term, is not always performed within

a given community.

Peru has a long history of centralization of political

power and control, although attempts have been made several

times during its history to establish locally elected councils

and viable local governments. For various reasons, however,

these attempts have failed and the central government has re-

tained tight control of much local activity. In the past,

when pressures developed for the resolution of problems,the


1Talcott Parsons, Structures and Process in Modern Socie-
ties (New York: Free Press, 1959).

Gabriel Almond and James Coleman, The Politics of the
Developing Areas (New Jersey: Princeton University Press, 1960),
p. 11.





19

solution to which normally could be considered local in

nature, this responsibility was shifted to the central govern-

ment or a special agency or authority as the case might be,

rather than to strengthen the local capacity for coping with

the problem. This was especially true in the case of primary

education, housing, public health, and police protection.

In 1963, when local elections were held for the first

time in over forty years, an attempt to reverse this trend was

begun. Since then, certain important revenues have been

returned to the municipalities, and more emphasis is being

given to decentralization instead of further centralization.

Little is really known and even less is published on the

functions of local government. Without a knowledge of the

styles, structures, and functions of local government, it

will be difficult to measure the effectiveness of this de-

centralization program and nearly impossible to predict what

may happen when new and greater attempts are made to further

decentralize administration, power, and authority. The pre-

sent study should provide some of this important information.

Because local functions are performed by a variety of

agencies, including the national ministries, public and private

entities, and the municipalities themselves; it will first be

necessary to choose which functions are to be examined and

then to discover which agencies are involved in the perfor-

mance of these functions. The following table is the compila-

tion of the major functions described in the Municipal

Organic Law of 1892, those summarized in Allan Austin's







report on Peruvian local government,1 those outlined by

Robert Wood In 1400 Governments, and those identified in

the Toronto Study by Rodman T. Davis.3


TABLE 1.1


CLASSIFICATION OF FUNCTIONS


Function


Culture


Education


Electricity


Financing


Fire prevention and
control

Housing


Intergovernmental
relations


Activity or Description


Provide and maintain libraries,
museums, and historical sites;
promote arts, sciences, and
civic celebrations.

Provide and maintain municipal
schools, promote and build other
schools, promote education.

Provide public street and park
lighting, provide private
electricity, promote private or
central government activity for
the provision of private elec-
tricity.

Perform property evaluations,
tax collections, utility costs
collections, bonds and loans.

Promote volunteer fire depart-
ments.

Promote low cost housing pro-
jects and subdivision construc-
tions, regulate and license
new constructions.

Maintain relations with agencies
of the central government and
with other local governments.


Austin, loc. cit.

2Robert Wood, 1400 Governments (Cambridge, Mass.:
Harvard University Press, 1961).

Rodman T. Davis, Toronto Study (New York: Institute
of Public Administration, 1965).








TABLE 1.1 CONTINUED


Function


Justice


Markets


Police


Promotion and regulation
of private business


Public health


Public relations





Public transportation



Public welfare


Activity or Description


Provide legal defense and
prosecution where the council
is a party to a dispute, be it
private, or intermunicipal, or
governmental.

Provide and administer public
markets, slaughter houses,
special markets feriass);
control of weights, prices, and
speculation; food provision.

Enforce local rules and ordinan-
ces, cooperate with national
police.

Promote industrial parks and pro-
vide incentives to induce the
establishment of new industries,
zoning, control of public adver-
tising space, licensing of new
constructions, promote tourism.

Insure pure food, drinks, and
drugs for public consumption;
regulate and inspect sanitation
in bars, restaurants, and hotels;
provide health certificates for
food handlers; promote construc-
tion of hospital and medical
centers.

Communicate to the public the
activities and projects ac-
complished by the council and
the reasons for taking the
positions that it does.

Regulate and promote private
companies, provide public trans-
portation.

Promote, aid, and cooperate with
public and private welfare
agencies; provide special welfare
projects; construct and maintain
cemeteries.








TABLE 1.1 CONTINUED


Function Activity or Description

Recreation and sports Provide and maintain parks,
plazas, playing fields, stadiums,
bull fight rings; regulate
theaters and arenas.

Street cleaning and Clean the streets, collect and
garbage disposal dispose of garbage.

Streets, roads, and Build and maintain streets and
transport roads, promote the constructions
of airport and port facilities.

Traffic regulation Regulate direction and flow of
traffic, maintain semaphores,
cross walks, and signs.

Vital statistics Keep and maintain birth, mar-
riage, death, and divorce
records and provide the public
with copies of these records
upon request.

Water and sewage Construct and maintain water
and sewage systems.

This classification of functions is used rather than a

more categorical one as could be derived from the tables

used by Agger, et al.1 or such general studies as Austin
2
Ranney's. The classifications that these men have made, al-

though more useful conceptually, are difficult to use in the

present study on the Peruvian scene. The more specific

classification is used here in order to utilize with more

facility, local government budgets, personnel classifications,

and interview data.


Agger, et al., loc. cit.

Austin Ranney, The Governing of Men (rev. ed.; New
York: Bolt, Rinehart, and Winston, Inc., 1966), p. 532.





23

Concentrated attention will be paid to a special group

of functions. Among these will be the internal system of

personnel and the external functions of tax collection,

municipal police enforcement, markets and related activities,

and capital improvement and development projects. These were

chosen because the author holds that these are the activities

that consume most of the efforts, time, and money of the

municipality. Other reasons will be given as each function

is identified and discussed later in this study.

There are many structures and levels that fulfill the

functions that are considered to be traditionally local in

nature. Especially important, in addition to the municipali-

ties themselves, are the agencies of the national government

sector and those of the independent public sector.

The national government sector includes twelve minis-

tries of the executive branch, many of which have decentralized

offices throughout the country. The General Office of the

National Police, which is a part of the Ministry of Government,

is highly decentralized and is a central part of the pre-

fectual system. The Ministry of Justice and the electoral

branch are also decentralized. The Independent Public Sector,

which is made up of over 250 entities, also has many decen-

tralized offices and agencies that may carry out a specific

local function.

Private businesses and service organizations are also

important in carrying out certain local types of functions.

This is especially-true with relation to public transportation,





24

electricity, and private schools. In the past, it was of

great importance in the tax collecting aspect, but today

more and more municipalities are collecting their own taxes.

The tax collection company is still important in some areas,

however. Voluntary organizations are especially important in

the field of fire control. All local fire departments are

composed of voluntary firemen This is a prestige position

in many cities and to become a member is an honor sought by

members of the community.

Structures that perform those functions that are

treated in depth will be examined in some detail. Those

structures related to other functions will be mentioned,

but they will not be treated in the same manner and some will

merely be mentioned. Local government structure will be

examined in detail with some of Alderfer's concepts in mind.

Under his classification of local government systems, Peru is

considered to have followed the French pattern. Of this

pattern, Alderfer states:

In summary, French local government is char-
acterized by centralization, chain of command,
hierarchical structure, executive domination, and
legislative subordination. We shall find these
in some relative degree in all local governments
that have followed the French pattern.1

The degree to which the Peruvian system resembles this model

will be examined.

The style is the pattern of activity by which a

structure performs a function. The categories for this

variable will be different with each function.


1Alderfer, op. cit., p. 7.





25

Hypotheses examining the specific structures, styles,

and functions and their relationship to the independent

variables are given below:

S-1. If per capital revenues are low, or the com-
munity is a company town, then there will be
a tendency to turn the basic services of water,
sewage, and garbage collection over to private
structures or to agencies of the central
government.

S-2. If per capital revenues are low and size is
small (under 5,000), and Indian population
is high, then there will be a tendency not to
provide the above services.

S-3. If communities have low literacy rates and/or a
high percentage of the population in the age
group of five through seventeen, or a high
Indian population, then they will have an
increasing tendency to give physical support
to education.

S-4. As the size of cities increase and literacy
rates are higher, there will be a tendency to
support various forms of recreational and
cultural activities, such as museums, municipal
theaters, bands, etc.


Finances


In order that the governmental structures perform their

desired functions, basic resources are necessary. Those of

finances and personnel will be explored in this study. Fred

Riggs points out that most local officials in developing
1
countries have insufficient funds to finance their activities.

This, he writes, is in contrast to developed nations where

over the years local governments have spent as much or more

1Fred Riggs, Administration in Developing Countries
(Boston: Houghton Mifflin Co., 1964), p. J39.





26

than some national governments. This same situation is

discussed by Harold F. Alderfer.2 He states as one of his

major assumptions or essentials of local finance in develop-

ing nations, that there is an ". . extremely small portion

of total public income that finds its way into local treasur-
,,3
ies to be used for local public purposes . .

Local finances will be one of the central issues

examined in this study. A number of assumptions as well as a

number of hypotheses concerning local finances will be tested.

Some of the basic assumptions of Alderfer and Riggs will be

compared to the Peruvian situation to test their relevence

there.

The literature on Peruvian public finance leaves much

to be desired. A few sources discuss the legal sources of

local council revenues, but give little or no attention to

what is really collected and what the relative values are.

The situation is also in a period of change due to the changes

that have been implemented since 1963. The most informative

study to date on the subject is the Plan Regional para el

Desarollo del Sur del Perd, which, as has been previously

stated, is hopelessly out of date. Even the Central Reserve

Bank, which publishes the only nationwide figures on local

government revenues, is quite uncertain about the validity of


lIbid., p. 367.

2Alderfer, op. cit., p. 149.

3Ibid.







many of their own figures.1

Peruvian local governments obtain their revenues from

a variety of taxes and fees. The following table of revenues

and expenditures includes a brief description of those that

are particularly germane to the major assumptions and hypothe-

ses that will be tested within this study.


TABLE 1.2

MAJOR REVENUES


Source of Revenue

Property tax



Commercial tax



Market revenues







National government
grants




Special laws


Description

Tax on value of urban and rural
property or income derived from
such properties.

Tax on capital worth of busi-
nesses or on income of pro-
fessionals.

Monies obtained from stall rental
in markets, fees for licenses to
obtain such stalls, tax on
liquor by the drink, fees for the
control of weights and measures,
and fees for slaughter house
and refrigeration services.

Universal set rate grant to all
local councils, grants from
specific government agencies for
specific local purposes, and
parliamentary grants.

This is a special category of the
above. Special ear-marked allo-
cations are made from specific
national government revenues,
especially from customs duties.


Interview with Richard Webb, Bank Official, on March
10, 1965.








TABLE 1.2 CONTINUED


Source of Revenue

Rentals of municipal
property





Utilities and related
constructions






Others


Description

Includes rent from buildings.
especially commercial-type,
and property belonging to the
town, and in some cities, the
sale of such property is also
included.

Fees for public lighting,
street cleaning, garbage
collection, maintenance of
parks and also includes costs
collected for extensions of
water and sewer systems, side-
walks, and such.

Various licenses, entertainment,
transit, vital statistics, and
cemeteries taxes, and fines.


TABLE 1.3


MAJOR EXPENDITURES


Type of Expenditure

Public works and plans



Salaries





Utility costs


Description

Outlays on public works pro-
jects and capital improvements
as well as feasibility plans.

Includes salaries to both
white-collar workers (empleados)
and laborers (obreros), social
security, overtime, and other
personnel expenses.

The cost to the council for the
provision of the following
services; garbage collection,
street cleaning, park maintenance,
public street lighting, water
and sewer systems, and vital
statistics.








TABLE 1.3 CONTINUED


Type of Expenditure Description


Operation expenses Includes material and service
expenses not covered in the
above, including internal
expenses.

Education For building or maintaining
schools, providing scholarships,
and other scholastic incentives.

Others Includes commissions, grants,
grants to district councils,
debts, and uncollected bills.


A financial breakdown by individual functions is

attempted where possible, using a similar classification as

is used with the services.

In connection with the previous lists of local

revenues, the following hypotheses will be tested:

R-la. If two or more of the following are present:
a large percentage of the population under
nineteen years, a high percentage of economi-
cally inactive population, a low level of in-
come, or a small municipal size; then per capital
revenues will be low.

R-lb. If population growth is high and a high per-
centage of urban lower economic class people
come to live in the community, then low per
capital revenues will result.

R-2. As communities increase in size, literacy,
and income levels, a higher per capital revenue
from property taxes and commercial taxes will
be realized.

R-3. As size and density increase, revenues from
municipal markets and related activities will
also increase.





30
R-4. Because of governmental and legal aspects, if
communities are on higher constitutional levels,
they will realize greater total per capital
revenues, higher per capital property tax re-
venues, and greater financial support from public
works commissions.

R-5. If the AP-DC political coalition (the President's
party) is politically dominant locally, then
support for public works projects, when central
government aid is solicited, will come through
the executive branch, i.e., the public works
boards or Cooperaci6n Popular.

R-6. If the APRA-UNO political coalition (the majority
group in the legislature) is dominant locally,
then such public works projects will be sup-
ported by funds derived from "parliamentary
initiatives."

The following basic assumptions of Alderfer and Riggs

will also be examined: 1) that a large percentage of local

revenues are derived from national subsidies and loans, 2)

that many local taxes will be collected by national agencies,2

3) that the national government will have broad controls over

every phase of local finance, including budgeting, auditing,

spending, tax levying, and tax collecting,3 4) that the most

important local tax will be imposed on real property, and 5)

that taxes due will not be collected.5

The expenditures listed also lead to a survey of the

relationships between them and the independent variables

previously listed. The following hypotheses will be tested:


Alderfer, loc. cit.

2Ibid.

3Ibid.

4Riggs, op. cit., p. 369.

5Ibid.





31

E-l. Where per capital property taxes are high and/or
insignificant financial support comes from
central government sources, then the munici-
pality will invest a high percentage of its
revenues in public works and capital investment
projects.

E-2. If per capital revenues are low, then the muni-
cipality will spend a high percentage of its
revenues on salaries for its employees and
laborers, and the mejor portion of what remains
will be spent on the basic services of water,
sewage, garbage collection, and civil register
(or vital statistics records).

E-3. If communities have low literacy rates and/or a
high percentage of the population between the
ages of five through nineteen, and a high
Indian population, then they will have an increas-
ing tendency to spend money on education.

Other financial data will be included, but in a more

descriptive manner. They will be examined in order to fill

present gaps on the subject of local finances. Important local

revenues and expenditures would be ignored if only those

financial data are included that have a direct relationship to

these aforementioned hypotheses and assumptions.


Personnel and Administration


One of the basic problems in most developing nations is

the low level of the quality of local government employees.

According to Alderfer, there is always a shortage of com-

petent, skilled technicians, and qualified administrators.1

This problem is the result of various causes. Much of the

problem can be identified with the methods of recruitment used

and the salaries and rewards that such service offers. Beyond

this, there is the general problem of a shortage of educated


1Alderfer, op. cit., p. 182.





32
personnel for all the needs that an emerging nation acquires.

The subject of personnel will be examined in this study

from the standpoint of number of employees, recruitment,

training, and attitude. Four methods of recruitment will be

explored: 1) achievement, through use of some comparative quali-

tative devices, 2) attainment, through partial use of merit

combined with familiar ties, 3) ascriptive, through familiar

ties almost exclusively, and 4) simple random or lottery

choice. Attitudes towards employees held by councilmen will

be examined with respect to efficiency, initiative, dedication,

compliance, and activity. Attitudes concerning salaries

will also be explored.

Hypotheses arising from these examinations are:


P-1. Because of more competition and demands for
jobs, large cities with low literacy rates, low
income levels, or a high percentage of economic
inactives will tend to use merit tests for
hiring municipal employees.

P-2. If cities have high literacy rates and high
business tax revenues (which shows a high level
of professionalism), then they will have
employees with more than a low level of initia-
tive.

P-3. If cities have high per capital municipal income,
then they will offer salaries considered above
low or minimum.

Assumptions to be checked include the following sug-
1
gestions by Fred Riggs: 1) the quality of local government

employees is considered to be relatively low, 2) employee

appointments, promotions, and rewards are for political service


1Riggs, op. cit., pp. 371-372.





33

and personal loyalty rather than performance and merit, 3)

local councils will pay salaries that are considered to be

relatively low in comparison with those of the business com-

munity, and 4) these problems are aggravated due to over-

staffing and lack of useable equipment in local government

offices.

The question now at hand is how are all of these data

to be obtained and compared? This question leads us to the

next section in this chapter, the methodological activities

through which this study will be elaborated.


Methodology


This study is primarily concerned with what local

governments do, how they provide and distribute their services,

and their associations with other institutions. It also is

designed to examine the resources, both in money and personnel,

.that the local councils utilize, and the structures that

bring these resources to bear on goal attainment. As Alderfer

remarks:

To understand any individual local government, the
functions it actually performs must be known. . .
The most accurate gauges are the amounts of money
spent for the various f nations and the number of
people who do the work.

Or as stated by Agger, Goldrich, and Swanson in The Rulers and

the Ruled:

Local government . produces and distributes goods
and services. It regulates the production,


1Harold F. Alderfer, American Local Government and
Administration (New York: Macmillan Co., 1956), p. 350.





34

distribution, and consumption patterns of other
institutions in the community.

Talcott Parsons also provides a scheme of analysis for the

examination of an institution such as these local councils.

He indicates that the analysis of a structure can proceed

through three broad and major reference points. The primary

one is the procurement of resources and the procedures

established for such procurement. The second point is con-

cerned with an analysis of the procedures by which the

resources are utilized, and third, the patterns that define

and regulate the boundaries between the analyzed organization,

as compared to others, must be sought.2

In order to analyze local councils beyond the point

that the search and review of existing literature allowed,

interviews were designed to obtain the needed information

from officers and functionaires of local councils. Many

hours were spent in attempts to locate and talk with council-

men and mayors in Lima, but interviews were very difficult to

obtain. The only solution to this problem was to move outside

of Lima, and as Lima was not to be studied in depth, this

was the logical thing to do. The small town of Huacho,

about eighty-one miles north of Lima. was chosen for this

purpose. Interviews with the councilmen and mayor, as well as

with many of the local council employees, provided much of

the basic information that was desired. Further observations

and conversations were also very helpful.


1Agger, et al., op. cit., p. 2.

2Parsons, op. cit., p. 22.





35

In order to verify the information obtained in Huacho, which

is a coastal town, a city over twice the size of Huacho

located in the sierra was chosen--Huancayo. The information

collected there was compared with that acquired in Huacho and

from these two basic studies, a questionnaire for ten other

towns was developed and a design constructed. The question-

naire developed (See appendix A) concentrated upon the sources

of revenues in conjunction with the procedures for collecting

them and their use in the performance of local functions.

Various aspects concerning local personnel were also examined.

Attitudes of the councilmen and mayors covering a broad range

of questions including relationships with the central

government, local finances, personnel and political systems,

and political problems were sought to supplement factual

information gathered and to give more depth to the study.

The additional ten cities were chosen for the study

on a basis of their location, their political position, their

size and growth, and their political complexion. The other

variables in this study are used for comparison purposes, but

did not relate directly to the original choice of the cities.

These cities were subsequently visited and interviews
1
were held with the mayors, about one-half of the councilmen,

and with various local employees. Financial and personnel

information was obtained also. These data included a budget


lIn some of the cities, only two or three of the council-
men could be located to be interviewed. In nearly every city,
at least one member of the council was in Lima while the
author was visiting his city.





36

for the year 1965. and other financial and personnel informa-

tion that was available.

The year 1965 was chosen because 1961 was the first

year that the elected councils had served, and many councils

merely used the budgets of the previous year. In a number of

cities visited, their 1966 budgets had not been approved or

published at the time of the visit. It was also decided by

the author, that their 1966 budgets might be inflated slightly

in the capital improvement section to impress the electorate

for the then upcoming November. 1966 elections.

Because these cities chosen were neither large, nor

did they include the major cities of Peru outside of Lima, an

amplification of this original narrow base was attempted. In

order to construct this extended base, a small Indian community

and a district council of Lima were added. Then financial

information was sought from the ten largest cities of Peru,

excluding Lima-Callao. Information was not obtained from two

of these latter ten cities, but in the process of obtaining

information from the other eight, budgets were sent in from

three unexpected cities. These were used in place of the two

that could not be obtained.

Thus, financial and some supplementary information was

available for a total of twenty-five local councils. This

information, with the results of the interviews and observa-

tions from the fourteen selected cities, was coded and put on

data processing cards. Information relative to the variables

chosen was also coded and placed on cards. The cards were

processed and multiple correlations were made.





37

Simple correlations are used to measure the degree of

relationship that may exist between the variables used in this

study. Correlation coefficients are an appropriate statisti-

cal device for this purpose as they measure the degree of

closeness of the association between two different variables.

This association can range from a coefficient of +1.0, indicat-

ing a perfect positive association, to a coefficient of -1.0,

indicating a perfect negative association. A coefficient of

zero or near zero indicates a lack of any relationship. Thus,

a correlation coefficient of .76 between the variable of city

size and percentage of employed persons involved in manufac-

turing indicates that there is a significant relationship

between the two, and as the size of the city may change, the

percentage of persons employed in manufacturing would tend to

change in the same direction. If a coefficient of .50 is ob-

tained between city size and literacy rates, then, although

a positive relation exists, it indicates that the percentage

of persons employed in manufacturing is more closely related

to city size than is literacy. Not only do correlation

coefficients allow the examination of the relationship bet-

ween two variables, they also allow one to compare those

relationships with other variables. A negative correlation

coefficient is also significant in that it indicates the

existence of an inverse association between the two variables

being measured.

Correlation coefficients are always comparable, even

though the units or amounts of the individual variables being




38
measured may differ greatly. In this study, attitudes have

been scaled and assigned numbers and have been correlated with

the concrete data of finances and population. This is pos-

sible using correlation coefficients, but the results are

more tenuous as attitudes have no real numerical quality.

The question of significance is also an important one

to consider. The social sciences allow more flexibility here

than do the exact sciences. If the correlation is above the

level of chance, or in this case, above the .05 level, it

will be considered to be significant. In order to determine

this level of significance for the different numbers of cases

involved with various coefficients, the table found in

Introduction to Statistical Analysis1 will be used. This

test of significance merely indicates that the relationship

between the variables is more likely to be a real one al-

though it may seem to be very slight.

Besides interviewing the mayors and councilmen, many

additional interviews were held with people who were working

for agencies involved with local councils. These inter-

views included prefects and sub-prefects, administrators in
2
Cooperaci6n Popular, public works commissions, development

corporations, the Finance Ministry, the Development Ministry,

the Elections Board, ONRAP, and others; and also the president

of an Indian Communal Committee. These people, with many


W. J. Dixon and F. J. Massey Jr., Introduction to
Statistical Analysis (2nd ed., New York: McGraw Hill, 1957).
p. 14.


See page 111,
definition.


in the text for description and





39
others, not so closely related to local councils, were able

to provide a large amount of information that is neither

published nor available to the general public.

A table is included containing a list of the twenty-

five cities used in this study. The first fourteen are those

where interviews were made. Most of the last eleven were

visited, but were not studied in sufficient depth to be in-

cluded among the first group.


TABLE 1.4

CHARACTERISTICS OF CITIES STUDIED

Urban
Admin. No. on Political Dist.
Level Council Complexion Pop.


Abancay

Chimbote

Huacho

Huancayoa

Hudnuco

Ilo

Iquitos

Lince

Mollendo

Pacasmayo

Paruro

Pucard

Talara

Tingo Maria


Co-B

Co

I

Al

Al-B

Al

Al-B

Al

I

Co

I

Al-B

I

Co


9,000

60,000

23,000

46,000

25,000

10,000

58,000

82,000

12,000

12,000

2,000

2,000

28,000

5,000


Gro




1,


>wth
q) Region

70 SS

300 CC

76 CC

140 CS

106 (N)CS

221 SC

82 SE

857 cc

1.8 SC

81 NC

-- SS

-- CS

115 NC

-- SE


City


1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.


--


Gro
(

I,









TABLE 1.4 CONTINUED


Cit.

15.

16.

17.

18.

19.

20.

21.

22.

23.

24.

25.


r


No. on
Council


Admin.
Level

D

D

D

D

D

D

P

P

D

D

D


aCity size is larger than urban district

Key: D- Departmental capital NC-
P- Provincial capital CC-
Di- District capital SC-
Al- Alianza (AP-DC) NS-
Co- Coalicion (APRA-UIO) CS-
B- Balanced SS-
I- Independents (important) SE-


size.

Northern coast
Central coast
Southern coast
Northern sierra
Central sierra
Southern sierra
Selva or rain forest


A number of problems were encountered in the implemen-

tation of the research design. The first was a result of the

non-availability of written resource material, which necessi-

tated a considerable amount of field work before the final

research design could be developed and the questionnaire

elaborated. It was only after the many visits to Huacho and

the trip to Huancayo that the design was finalized.


Arequipaa

Cajamarca

Chlclayo

Cuzcoa

Huardz

Ica

La Oroya

Lambayaque

Piura

Puno

Trujillo


Political
Complexion

Al

Co

Co

Al

Al

Co

Al

Co

Al

Al

Co


Urban
Dist.
Poo.

84,000

23,000

96.000

60,000

20,000

50,000

25,000

11,000

43,000

25.000

100,000


Growth
(4)

76

59

203

96

84

135

83

61

124

77

171


--- --- --- -- - --- ---- ---


Region

SS

NS

NC

SS

CS

SC

CS

NC

sIC

SS

NC





41

Generally, people were very cooperative in supplying

the necessary information for this study. There were some

areas of difficulty, especially in connection with obtaining

budget data, personnel information, and holding and completing

interviews. In practically all of the cities visited, it was

necessary to obtain the mayor's consent before any written

material, and especially budgets, were made available to the

researcher. In one town, the mayor was away on business in

Lima, and no one on the council would authorize such data

availability. Therefore, only a few general figures were

obtained even after repeated requests were made through the

mail. As a result, the financial information for the city of

Abancay is incomplete.

Personnel information was also difficult to obtain as

it was not readily available in useable form in many of the

cities. Other statistical information was also difficult to

procure as the national statistical department was in the

process of analyzing and publishing much of the 1961 census

data. Some data were not available in December of 1966 and

have not subsequently been forwarded to the author in spite

of numerous requests for it.

Various mechanical problems were encountered with

respect to the interviews. In the first place, mayors and

councilmen are not full time local officials, but must per-

form their duties without pay on their own time. Many lived

on small farms around the city or were employed within the

city. If those living outside the city did not come into





42

town while the researcher was there, lack of transportation

made it impossible to contact them. In many cases it was

even difficult to contact those who lived and worked within

the city. On numerous occasions, the interviews had to be

held at the councilman's place of employment. Interviews

were held in doctor's, lawyer's, and dentist's offices; in

bakeries, in carpenter shops, in stores, and in many other

unusual situations. Some validity may have been lost in

this context, due to the presence of extraneous persons in

these interview situations. In some cases interviews had to

be terminated prematurely due to the exigencies and require-

ments.of the councilman's employment. Even those held at

the municipal offices were interrupted by the presence of

others and in some cases, ended prematurely.

On a few occasions councilmen refused to answer some

of the questions on the questionnaire, This was especially

true of the attitude questions, and those that pertained to

perceived outside pressures.

Nevertheless, the interview portion of the study was

quite successful. Over sixty-five councilmen and mayors were

interviewed in thirteen of the fourteen councils. Lince, in

the district of Lima, is excluded here as only two inter-

views were obtained there. Much of the information in this

study was derived from the interviews and only a small por-

tion from the literature. This accounts in part, for the

lack of cited material, especially in the latter chapters

of this study.





43

The cities studied serve more as examples of conditions

involving the independent variables rather than a complete

sample of all of the cities and towns in Peru. Care was

taken in choosing the towns to be studied to be certain that

there was an example representing each division of the

variables. The author realizes that these cities may be

unique and have little in common with other cities within the

same classification, but until a complete sample is taken,

these examples may serve as guides to develop better under-

standing and better projects for the study of local govern-

ment in Peru.

He also is aware that the variables chosen may not

really represent those that have the most effect and influence

on the variations found between cities, but he considers them

to represent the most important factors that influence the

differences in style and structure that may exist.

Having discussed the scope and methods of this study,

a brief view of the Peruvian scene is needed to further

describe and examine the independent variables considered

germane to this study.













CHAPTER II


THE PERUVIAN SCENE


Before beginning a more complete discussion of local

government in Peru, it is necessary to examine in more detail

the environment in which this government works. This chapter

describes the elements of geography, economy, demography,

culture, and politics as they relate to this study.

The section on geography will include the definition

and explanation of the major geographic divisions or regions

in Peru and their relative populations. The overall national

economic situation since 1960 will be explored. The major

economic activities and the relationship of national government

expenditures and revenues will also be examined. The section

on demography, the most inclusive in this chapter, will treat

the numerous aspects of population relative to the variables

used in this study. The following section is a small one on

culture and socio-economic class. The last part briefly

describes Peruvian politics on the local scene. The main

purpose of this chapter is to amplify understanding of some of

the major variables that act upon local governments in Peru.


Geography


Peru is located on the western coast of South America,

44





45

a few degrees south of the equator. Because of its location

and its geography, travel to it from other parts of Latin

America and Spain during the colonial and early republican

periods was very difficult. This partial isolation, and the

fact that it was the seat of Spanish colonial power in South

America combined to make it the last area in South America

to become independent from Spain. In spite of this difficult

access, Peru has maintained contact and trade with Europe and

the rest of the Western Hemisphere throughout its history

since the Conquest. Much of Peru's income has been and is

presently derived from exports of various high income items to

the United States, Europe and other American nations.

In the first half of the 20th century, Peru was still

delineating its territory and settling frontier problems.

Conflicts over borders with Chile, Colombia,and Bolivia were

settled during this period. In spite of the Rio agreement

with Equador in 1942, disputes continue between these two

countries over the delineation of some of their common border

areas. Today Peru encompasses an area of 496,222 square

miles (1,285,216 square kilometers), or is about the size of

the states of Texas, California,and Oregon combined.l

Since the time of its discovery, Peru has been known

as a land of great diversity, a land of contrast, a land of

great variations. Geographically speaking, Peru is naturally

divided into at least three north-south lateral regions that


1David A. Robinson, Peru in Four Dimensions (Lima:
American Studies Press S. A., 1964), p. 153.





46

extend the length of the country. These regions are known

as the coast, the sierra, and the third is called variously

the montana, selva or rain forest.

Following these natural divisions, The Bureau of the

Census divides the nation into north-south parallel regions

also. This geographic classification is also used by the

Institute GeogrAfico Milltar, the Socledad Geografica de Lima,

and the Unlversidad Agraria. The classification is determined

by elevation as much as geography and is derived from C.

Litter and Alexander Humbolt's classification as modified by

Hermann Wagner and sustained by Preston James in Outline of

Geozraohy.1 This classification relates elevation conditions

with vertical climatic and botanical zones. The categories

are: coast, sea level to 2,000 meters (6,100 feet); sierra,

2,000 to 5.500 meters (6,100 to 16,000 feet); and selva, 2,000

meters to sea level.


TABLE 2.1

POPULATION, AREA, AND DENSITY


Region

Coast
Sierra
Rain Forest

Totals


Inhabitants

3,906,595
5,129,318
870,833

9,906,746


39.4
51.8
8.P

100.0


Area
Square miles

62,007
149,P75
2P4,341

4h6,222


12.5
30.2


100.0


Inhabitants
per square
mile

63
34.2
3.06


Preston James, Outline of GeozraDhy (New York: Ginn &
Co., 1035).

2Perd, Direcci6n Nacional de Estadistica y Censos,
Sexto Censo I!acional de Poblaci6n-lo61, Vol. I, No.l (196h4
pp. V-VI.




47

The preceding table reveals the relative size of each

region and its respective degree of settlement. As can read-

ily be seen, the coast is the most heavily populated area,

followed by the sierra and the relatively uninhabited selva.

The coastal concentration of people is largely composed of

urban populations, whereas the sierra population is more

scattered and rural in nature. The table is somewhat mis-

leading as it does not indicate the land pressure that exists,

which results from large areas of the coast and the sierra

being unsuitable for settlement or for agricultural use.

Although the general impression gained from this

geographic division into these three regions might lead one

to conclude that the regions are somewhat homogeneous within

themselves, this is far from true. The coastal area can be

broken into four to six zones, the sierra into at least

three, and the selva into at least two.

The coastal region extends the length of Peru but

varies greatly in width from nearly nothing to eighty miles.

It is generally very dry and according to the Koppen system,

it is classified as a Bwhn (warm, tropical, desert, foggy)

climate.1

The majority of the coastal inhabitants live in forty of

the some fifty-two river valleys thatstain an otherwise dull,

dry landscape with slices of green. Itis here in these valleys

that the most modern agricultural techniques used in Peru are

implemented. Irrigation, which has been used since pre-Inca


J. Alden Mason, The Ancient Civilizations of Peru
(Edinburg, England: Penguin Books Ltd., 1957), P. 3.





48

times, is the key to agricultural success. Modern machinery,

fertilizers, and the best seeds available are combined with

technological skill to produce Peru's major agricultural

export crops of sugar cane, cotton, and rice.

The sierra region of Peru is the Peru of the Indian.

It is the ancient Peru, the Peru that contrasts greatly in

customs, language, economic activity, and life with that of

coastal Peru. According to Mariategui, the sierra not only

unites the factors necessary for a region, but also those

required for a nation.1 Here the great majority of Peru's

three million plus Quechua and Aymara speaking Indians live.2

In the deep intermountain valleys and on the high plains of

the altiDlano the Indian cultivates his crops and raises his

sheep, llamas, and other livestock much as he has done for

centuries. These valleys and plains extend from 8,000 to

15,000 feet in elevation, and some are quite fertile. In

the lower elevations, land is partially wooded with grassy

fields and pastures, The more intensive agriculture is done

on the mountain slopes. In the altiplano, that extends

from 12,000 to 15,000 feet, some potatoes are grown, but

the major activity is pastoral, as the Indians graze their

llamas, alpacas, sheep, goats,and some cattle.

The tropical forest lands of the east, as the table

indicates, comprise 57 per cent of Peru's land area but are


1Josd Carlos Mariategui, Siete Ensayos de Interore-
taci6n de la Realidad Peruana (Lima: Empresa Editorial Amauta
S. A., 1957), p. 178.

2Raymond E. Crist, "Peru," Focus, XI, No. 10
(June, 1961), p. 2.




49

settled by only 870,000 people, or 8.8 per cent of the

population. Much of this area is still inaccessible, and

there are many sections that have not yet been explored.

Although there is exploitation in this region of some forest

products, such as hardwoods, pulpwoods, tannin, and vegetable

oils; it is not of great economic significance.


Economy


Peru is principally an agricultural country. In 1961

over one half of the economically active population was in-

volved in agricultural pursuits. In spite of this high per-

centage thus engaged, they only produced 17.6 per cent of the

gross national product in 1964.1 The reason for this is

that many of these people are only subsistence farmers and

produce nothing for local or national markets or for export.

The great majority of these subsistence farmers live in the

sierra farming small plots of land on the hillsides. As Dr.

Crist has stated, ". . they cultivate carefully terraced

plots of ground perched on the seemingly unscalable mountain

slopes. With admirable patience and industry they climb the

mountains to till these tiny patches that yield little yet

require enormous outlays of labor to produce at all."2

The foregoing statement points out two of Peru's

three major agricultural problems: 1) the low yield of small


1Perd, Banco Central de Reserva del Perd, Cuentas
Nacionales del Perd: 1950-1965 (Lima: Banco Central de la
Reserva, 1966), p. 32.

2Crist, loc. cit.





50

farmers, 2) the scarcity of good farm land, 3) it also

implies that of disproportionate ownership of available good

land.1

Modern day Peru continues as in the past to be a pro-

ducer of raw materials and primary goods for the world market.

Over the centuries it has depended a great deal on its

mineral wealth and agricultural production for foreign exchange.

The Spanish began shipping out gold as soon as the conquest

of Peru began, and mineral wealth has been leaving Peruvian

ports ever since with only a few interruptions. The following

table gives evidence of Peru's diversified agricultural and

mineral production for export.


TABLE 2.2

PERUVIAN EXPORTS: 1950,


1960, 1965a


Product

Cotton
Sugar
Coffee
Wool
Agricultural Products
Total

Fish and Fish Products

Petroleum and Derivates

Copper
Iron
Silver
Lead
Zinc
Mineral Products Total

Others


1950
10 Value

35 68.0
15 29.7
1 1.0
4 7.9

55 106.6

3 5.7

13 25.3

6 10.2

4 8.0
6 12.3
5 10.3
21 401.8

8 15.2


1960
S Value

17 73.1
11 47.5
4 18.5
2 7.1

34 146.2

12 50.0

4 177.9

22 94.7
8 32.7
5 24.2
5 21.7
4 16.7
4W 219.0

6 29.0


1965
Value

13.11 87.5
5.62 37.5
4.35 29.0
1.36 9.1

24.44 163.1

27.98 186.7

1.39 9.3

18.16 121.2
7.04 47.0
5.86 39.1
5.56 37.1
5.36 35.8
41.98 308.2

4.20 28.0


1Robinson, op. cit.,p. 117.





51

TABLE 2.2 CONTINUED



1950 1960 1965
Products U7 Value Value Value

Total Exports 100 193.6 100 433.1 100 667.3


Key: 4 = percentage of total exports; Value = value in
millions of dollars

aBanco Central de Reserva del Perd: Memoria 1965 (Lima, Perd,
1966), p. 106 and Robinson, op. cit. p. 382.



For the past fifteen years, the Peruvian economy has

shown significant growth. The gross national product has

more than doubled even if prices are held constant to elimin-

ate inflationary influences. This results in an annual rate

of GICP growth of 5.6 per cent. When population increase is

also taken into consideration, a real annual growth of 3.0

per cent results. Personal per capital income also increased

by 3.3 per cent annually during this same period.l Growth

has been fairly constant over this period, except for a small

reduction between 1956 and 1959. These growth rates, which
2
are among the highest in all of Latin America, are a result

of two circumstances; favorable investments and an extra-

ordinary growth in exports.

The Peruvian monetary unit has remained relatively

lIbid., p. 7.

Ibid., p. 8.

3lbid.





52

stable during this fifteen year period. From 1950 to 1959

the sol, the name of the Peruvian money, has gone from 15.43

soles per dollar to 26.82 soles per dollar, where it has

remained since.1 This indicates some degree of stability

when compared with nearby Chile, Argentina,or Brazil. The

cost of living index does not reveal the same degree of

stability. Using an index of 1960 = 100; the cost of living

index in 1962 was 113; in 1963, it was 119.8; in 1964, it

was 131.6: and in 1965, it rose to 153.2.2 This problem has

not been restrained as the cost of living rose by 4.8 per

cent in the first seven months of 1966.3 The tendency towards

inflation is attributed to an excessive expansion of bank

credit which principally is due to credit extended by the

Banco Central de Reserva to cover six successive years of

central government deficits.

Central government expenditures during the past five

years have increased by over 600 per cent, while local govern-

ment expenditures have increased at almost the same rate. The

total local government expenditures amounted to only a

fraction of total government expenditures, revealing the small

roles that local government plays in the total governmental

situation in Peru.


1Banco Central de Reserva del Perd, Memoria (Lima, Perd,
1965). p. 86.
2Ibid., p. 96.

3Ernest Keller and Associates, Monthly Business Renort
(August, 1966), p. 7. (Mineographed.)

4Banco Central de Reserva del Perd, Cuentas Nacionales
del Perd: 1950-1965, p. 8.








Demography


The 1961 census figures show the population of Peru

has grown by 59.6 per cent over the 1940 census figures.

This is a reasonably high annual growth rate of 2.25 per cent,

which is considerably higher than the 1.34 per cent annual

rate recorded from 1876 to 1940.1 Much of the spectacular

growth has taken place in the coastal cities and departments.

Some growth rates are also high for the selva region, but as

this area had very little population in 1940, the use of a

percentage growth rate is somewhat misleading. The following

table indicates that the departments in the sierra region had

a growth rate lower than that of the national average, and

much lower than that of the Lima-Callao area.

The table is arranged in descending order of per-

centage of population increase on a departmental level.


TABLE 2.3

PERCENTAGE OF POPULATION INCREASE FROM 1940-1961
BY POLITICAL DIVISIONa


Political Division

Dept. of Madre de Dios
Constitutional Province
of Callao
Dept. of Lima
Dept. of Tumbes
Dept. of Loreto
Dept. of Amazonas
Dept. of Ica
Dept. of Tacna


Region of Majority Percentage
of Dept's Population of increase

Selva 200.8

Coast 159.5
Coast 145.2
Coast 117.1
Selva 99.9
Selva 81.8
Coast 81.6
Coast 81.6


1Perd, Direcci6n Nacional de Estadisticas y Censos,
op. cit., p. X.





54

TABLE 2.3 CONTINTJED


Political Division

Dept. of Lambayaque
Dept. of San Martin
Dept. of Piura
Republic of Peru
Dept. of Junfn
Dept. of Pasco
Dept. of La Libertad
Dept. of Moquequa
Dept. of Cajamarca
Dept. of Arequipa
Dept. of Huanuco
Dept. of Ancash
Dept. of Cuzco
Dept. of Puno
Dept. of Huancavalica
Dept. of Ayacucho
Dept. of Apurimac


Region of Majority Percentage
of Dent's Population of increase

Ccast 77.5
Selva 70.6
Coast 63.6
- 59.6
Sierra 54.0
Sierra 53.1
Sierra and Coast 51.9
Sierra 51.1
Sierra 51.1
Sierra 47.8
Sierra L0.6
Sierra 37.1
Sierra 25.8
Sierra 25.2
Sierra 23.8
Sierra 14.4
Sierra 11.7


aperd, Direcci6n Nacional de Estadisticas y
p. X.


Censos, on. cit.,


By census figures, Peru has thirteen cities that have

more than 30,000 inhabitants, but Caraballo, which is found

very near to Lima, also has a population of over 30,000 thus

making the fourteen cities listed on the following table. In

reality, the Lima-Callao area should be considered as one

metropolitan area including Lima, Callao, Caraballo, and

Vitarte, making one metropolis and only ten cities over 30,000

instead of the fourteen as the table indicates. The concen-

tration of population in the Lima-Callao area becomes more

evident when only the Peruvian urban population is considered.

Lima alone represented nearly 31 per cent of the urban

population of Peru in 1961, and combined with Callao, contained





55

35 per cent of the urban population. This is more than double

the total urban populations of the next ten largest cities in

Peru added together.


TABLE 2.4

CITIES OF 30,000 POPULATION OR MOREa


City

Lima
Callao
Arequipa
Trujillo
Chiclayo
Cuzco
Huancayo
Vitarte
Chimbote
Iquitos
Ica
Piura
Caraballo
Sullana


Department or City Population
Province Canital (in thousands)

D 1,436.2
D 205.0
D 135.4
D 100.1
D 95.7
D 79.9
D 64.2
63.0
P 60.0
D 57.8
D 48.1
D 42.6
37.8
P 34.5


Percent Increase
since 1940

176
125
76
171
203
86
140
2,668
1,314
82
135
124

124


asherman Lewis, Caracteristicas Demograficas del Gobierno
Local del Perd (Lima: ONRAP, 1965), p. ll.(mimeographed.)


Much of the excessive growth on the coast is due to

internal migration. This migration is generally downward,

that is, the majority of the people move down from the sierra

to coastal towns and cities. Some few, the more adventurous

ones, go eastward down into the selva or the high rain forest

to seek their fortunes. People are drawn to the west by

success stories from friends and family, and they fear the

east because of unknown diseases, plagues, unfamiliar

agricultural techniques, the hot, wet climate, and the isolation

from the bright lights and excitement of the modern city.





56

The average per capital income, by region on the fol-

lowing table, clearly indicates that salaries on the coast are

nearly three times as great as they are in the sierra. Thus

a person moving to the coast at least has the opportunity

of improving his economic lot. On the other hand, if the

figures on the table are a good indication, the person going

to the jungle has the possibility of making even less than he

did in the sierra. From the general impression of this table,

it is easy to see why the majority of the migrant population

of Peru tend to move to the coast instead of to the rain

forest. This impression is supported by the results of a

study made in 1956, by Matos Mar and later substantiated by

one conducted by the daily newspaper El Comercio in 1965 and

1966.1

These studies show that economic reasons are the major

ones for lower class migration.


TABLE 2.5

POPULATION AND NATIONAL INCOME BY
DEPARTMENTS AND REGIONS 1960a


Population


Income per Capita
in Soles


DeDartment Coast Sierra Jungle Coast Sierra Jungle

Amazonas 137,819 836
Ancash 94,689 564,244 5,959 1,890
Apurimac 381,076 1,780
Arequipa 72,594 338,004 5,795 4,686


1Josd Matos Mar, "Migration and Urbanization," Urbani-
zation in Latin America, ed. Philip M. Hauser, op.cit., pp.182-
185, and El Comerico (Lima, Perd), "Plan Lima," January 25,
1966, p. 7.





57

TABLE 2.5 COrNTIITUED

Income per Capita
Population in Soles
Department Coast Sierra Jungle Coast Sierra Jungle

Ayacucho 486,983 66,931 2,166 1,400
Cajamarca 705,860 115,672 1,499 956
Callao 207,743 7,120
Cuzco 624,677 126,950 2,201 2,008
Huancavelica 340,847 10,578 2,117 1,845
Huanuco 294,247 110,383 1,533 1,123
Ica 235,253 5,778
Junin 500,201 58,371 2,045 1,448
La Libertad 279,489 247,794 72,994 5,243 3,922 2,796
Lambayeque 322,398 597 4,974 2,010
Lima 1,866,790 189,146 8,312 5,091
Loreto 491,036 1,155
Madre de Dios 38,343 676
Moquegua 13,517 42,640 4,585 3,311
Pasco 128,978 35,535 5,559 2,013
Piura 497,778 176,907 5,990 5,351 3,622 1,941
Puno 815,883 33,730 1,740 1,446
San Martin 183,300 966
Tacna 42,101 20,849 4,643 4,825
Tumbes 46 083 3,697

Total 3,678,435 5,858,933 1,487,632 6,932 2,385 1.238

aRobinson, op. cit., p. 110.


Another reason for internal migration is a search for

better educational opportunities. Urban education is more

available and is superior to that found in rural areas. The

city is where parents can progress, but more important they

can provide their children with an education, and thereby

they hope, provide them with the ability to obtain a better

way of life.

Education is a key problem in modern Peru which it

has been unable to solve, as the literacy figures partially
indicates. In the urban areas, 66.6 per cent of the people

are literate compared with only 33.4 per cent of those who





58

live in rural areas. Overall, 60 per cent of Peru's popu-

lation is literate.1 This leaves a great deal to be done in

the field of education in the country.


TABLE 2.6

LEVEL OF EDUCATION: 9 YEARS OF AGE AND OVERa


1940 1961
Level of Education (percent) (percent)

No formal schooling 56.5 36.1
Some Primary education 38.6 49.7
Some High School education 3.7 9.8
Some University education 0.7 1.5
Some other type of education 0.4 0.4
Not specified 0.1 2.5

Totals 100.0 100.0

aPerd, Direcci6n Nacional de Estadisticas y Censos, op. cit.,
No. 3, P. XVI.


The economically active population is somewhat better

educated than the population as a whole, but it is far from

high. Over 30 per cent of the working population has no

education at all, and another 27 per cent has only three

elementary years or less. Thus over 50 per cent of the

employed are illiterate or barely literate.2

Of the economically active, the majority of the

poorly educated people are probably employed in primary

activities such as agriculture and fishing, where a great

1Perd, Direcci6n Nacional de Estadisticas y Censos,
op. cit., No.3 11965), p. 148.
Ibid., No. 4, p. XV.





59

deal of education is not required. According to census

data, 52 per cent of employed persons work in agriculture,

fishing, forestry, hunting, and mining and quarry work, with

the majority being occupied in agriculture. These activities

are classified as primary. Only 17 per cent of those econo-

mically active are employed in secondary activities, which

include manufacturing, construction, production of electricity,

gas, water, and sanitary services. Tertiary activities,

which include commerce, transportation and storage, com-

munications, and services, employ 27 per cent of this group.

The following table gives a more complete breakdown of oc-

cupational activity.


TABLE 2.7

OCCUPATIONAL ACTIVITYa


Activity

Agriculture, Forestry
Hunting and Fishing
Mining and Quarries
Manufacturing
Construction
Electricity, Gas, Water
and Sanitary Services
Commerce
Transportation and Stor-
age Communications
Services
Not Specified


"I en


1,340,4583
64,614
294,983
103,712

8,187
202,998

89,385
242,368
98,697


Women


215,077
1,799
115,997
984

397
78,849

4,586
234,346
27,117


Total


1,555,560
66,413
410.980
104,696

8,584
281.847

93.971
476.714
125,814


Per cent


49.78
2.-1
13.1'
9.35

0.27
9.02

3.01
15.26
4.03


aperd, Direcci6n Naclonal de Estadisticas y Censos, op. cit.,
No. 3, P. XVI.



lIbid., p. XVII.


1-1 e n !-]omen Total








Culture and Socio-Economic Class


Just as Peru is divided into three geographic worlds,

it is also divided into two cultural or ethnic worlds: 1)

the world of the Spanish and the mestizo and, 2) the world

of the Indian. Lima and the modern coastal area represent

the former, while the Indian is represented by the sierra and

the glory and history of the past that emanates from the old

Inca capital of Cuzco.

The Indian lives in a separate world maintaining his

language, his dress,and his traditional way of life. There

are many villages and communities that reveal little of the

modern western world. The Indian wears his poncho, chews

his coca, drinks his chicha, works his land, associates with

his neighbors, and celebrates his fiestas in much the same

fashion as he has done for centuries.

His relationship with the white man has been one of

parasitical exploitation. The white man and the mestizo

have oppressed him, made worse than slaves of him, taken his

land, and left him with little. The Indian, on the other

hand, has practiced passive resistance for over four hundred

years, and has not yet given in nor ever really been conquered.

The effect has not been without negative consequences, as he

has lost much in the process. Dr. Crist has aptly stated,

"Nobility of heart, the desire to improve his lot, initiative

1Raymond E. Crist, "The Indian In Andean America,"
reprinted from American Journal of Economics and Sociology,
XXIII, Nos. 2-3 (1964), 12.





61

in every line all have been smothered under the violence of

the slavery to which he has been subjected. His passive-

ness and the destruction of much of his creative spirit are

the fruits of his psychological castration."'

Indians are identified more by customs than by race.

According to a study by Rowe, the best single indicator of

this ethnic group is language, as it probably indicates the

social position of the Indian with greater exactness than
2
would a classification by races. Thus the Indian still

suffers greatly, economically and socially, and is still ex-

ploited by those occupying the classes above him because of

his customs and traditions more than his race. He still

remains in the lowest rural class which is the lowest socio-

economic class in the country.3

The urban lower class usually consists of wage laborers

and workers in very basic and small commercial activities.

They still have many of the customs of the Indian, but in

many cases they are bilingual. The member of this class is

the Indian, who has adopted some of the mestizo customs and

norms, after he moved into the urban area. He has had little

or no education and has learned Spanish mainly in order to

work in the mestizo-white world. The women still wear Indian

lIbid. p. 14.

2Rowe, op. cit., p. 214.

31deas on socio-economic class were taken from Eugene
A. Hammel, Wealth, Authority, and Prestige in the Ica Valley,
Peru (Albequerque, New Mexico: University of New Mexico Press,
I~5), pp. 53-55., Adams, op. cit., p. 89, and Plan Regional
Para . ., op. cit.,





62

dress to a large extent, but the men wear "western" style

pants, shirts,and coats. His house is small and is con-

structed of bamboo mats or adobe, and in the larger cities

he lives in the barriadas or the callejones.2

The rural lower-middle class are generally small

property owners who in many cases employ the lower class

members as laborers. They are literate, speak Spanish, and

wear western clothes. Many are of Indian or of recent Indian

mixture descent.

The urban lower-middle class is similar to its rural

counterpart, but its members work as small businessmen, white

collar workers, public employees and teachers. They have

little economic power or savings and little political in-

fluence, although they may participate in local political

activities and even hold various formal positions in the

local governments or in other organizations.

The rural upper-middle class is actually the top

class in rural areas and in the smaller cities. Most of the

members of this class have moved into the larger cities,

however, leaving the administration of their lands to others.

Many now commute to their lands in the rural areas with the

aid of modern transportation facilities, instead of living

there.

The urban upper-middle class is made up of this once

1
Hammel, loc.cit.
9
"See footnotes on pages 76 and 78 for definition of
barriades and callejones.




63

rural gentry, the businessmen of medium income, engineers,

lawyers, and other professions. This group consists of

well entrenched mestizos or whites who dress in western cloth-

ing and speak Spanish. These are they who hold political and

economic dominance in most towns and cities outside of Lima,

Arequipa, or Trujillo. All members of this class speak

Spanish and are literate.

The upper class, whose membership is quite small,

consists of wealthy creoles and immigrants who have been

successful in accumulating a great deal of wealth. Most of

the members of this class live in the Lima metropolitan area

or in foreign countries. This group is not homogeneous, as

it is made of many types of people who have gained wealth.

Many of the members of this class have received higher educa-

tion in foreign countries and are polyglot.


Politics


Like many other factors in Peruvian society, politics

and political parties are in a state of transition and are

not easily understood. Old loyalties are changing and sup-

port of particular parties by specific groups may also be in

a state of flux. For the purposes of this paper, the pre-

sent situation will be described without a great amount of

analysis in order to give the reader an idea of the functions

that these parties perform in local elections and on munici-

pal councils.


Hammel, op. cit., pp. 53-55.




64

In the last four elections, June 1962, June 1963,

December 1963, and November 1966, only four political parties

have obtained any continuing electoral importance. The

parties are: the Alianza Popular Revoluncionaria Amdrica,

APRA, led by the venerable and world famous Vfctor Radl Haya

de la Torre; the Accidn Popular, AP, led by the current

Peruvian President, Fernando Beladnde Terry; the Uni6n

Nacional Ordriista, UNO, led by ex-President (1950-56) and

ex-Dictator (1948-50) General Manuel E. Odria; and the

Dem6crata Cristiano, DC, led by Hector Cornejo Chavez.

In the 1962 presidential election, all of these parties

ran their respective leaders for the office of president

while three smaller parties also ran their candidates for

president. Because no one candidate received the constitution-

ally required one-third of the popular vote, the election

was to be decided by Congress. Due to subsequent political

infighting, suspected election fraud, and other factors, the

military staged a coup on July 18, 1962, cancelled the elec-

tion results, and set up a military junta to govern the coun-

try just a few days before President Manuel Prado's term ended.

The military junta ruled until June 1963, when another presi-

dential election was held under the guidance and vigilance of

the military junta.

It is important to note, that under the new election

laws established by the military junta, new requirements for

party inscription were established in order to eliminate

small parties. The most important among these is the rule




65

that requires a petition by each party signed by 20,000

registered, qualified voters before it can run a candidate

in presidential elections. The results of this rule have

had an important impact thus far on Peruvian politics. The

most important of which was the reduction of the number of

candidates for president from seven in 1962 to four in 1963,

enabling two candidates to receive over one-third of the

popular vote in 1963, which no candidate had been able to do

in 1962. Another result of this rule was that it forced

the small Christian Democratic Party to align itself with

Acci6n Popular after the 1962 election in order to survive,

which in turn aided Fernando Belaunde Terry in successfully

capturing the presidency in the 1963 elections. Because of

this victory, another consequence was consumated when APRA

joined with UNO to form a legislative coalition which gave

them majority power in Congress.

These two political coalitions remained united as

such in the municipal elections held in Decembel 1961 and

in November, 1966, thereby extending the two national

political coalitions to the local level. In these elections,

both coalitions showed almost equal electoral strength. In

1963 the AP-DC coalition obtained 46.54 per cent of the total

national popular vote while the APRA-UNO coalition obtained

44.33 per cent of the total. The remaining 9.13 per cent in-
2
cludes the various independent groups that obtained votes.

1Jurado Nacional do Elecciones, Elecciones Politicas,
Decreto-Ley 14250, Art. 60 (1963), p. 2.

2Unpublished data from Jurado Nacional de Elecclones.





66

The unofficial returns for the 1966 elections published in

late November,l are nearly a mirror of the 1963 returns for

the nation as a whole. Both major coalitions gained about

one percentage point increasing the AP-DC per cent to 47.01

and the APRA-UNO to 45.75 per cent while only 7.24 per cer.t

went to the independent parties.

In 1966. the Presidential coalition, AP-DC, wanted to

add another factor to the local election and make the election

a plebiscite, to indicate popular support for the President's

legislative programs. The APRA-UNO coalition rejected this

concept and held that the elections were local in nature,

and that they should not be used as a national plebiscite.

The indications of the elections seem to be, that public

opinion accepted the local nature of the elections rejecting

a national plebiscite. Candidates won or lost on the basis

,of local issues and personalities rather than on national

issues.

Political power shifted from one party to another

in some key cities in 1966. The major set-backs for the AP-

DC came from the "solid south" in the cities of Arequipa and

Cuzco. At the same time, APRA control and influence in the

north was weakened greatly, especially in the cities of

Chiclayo and Cajamarca, and to a lesser extent in Trujillo.

These highly partisan elections are indicative of one

of the major elements of the Peruvian society, a high degree


1El Comercio, Dominical (Lima, Perd). "Las Cifras de
Las Elecciones del Domingo 13." 20 Noviembre 1966. p. 4.





67

of politicization at all levels of association. The society

is charged with political attitudes, behavior, and associa-

tions. This partisan conflict is evident in many of the local

councils throughout the country. In some cases, this conflict

has lent itself to obtain more responsible government, while

in other, it has prevented council action on numerous pro-

grams and activities.

Many informed people in Lima have postulated that the

factor of political conflict may be one of the major factors

determining differences on a local level. The newspapers

also have printed numerous articles indicating that politi-

cal differences were causing many varied problems which local
2
councils were unable to resolve.

This problem of conflict is quite obvious in Lima.

Its position as the largest city in the nation and the nation's

capital undoubtedly magnifies and compounds factors that may

have less influence in other parts of the country. We shall

now turn to Lima and examine some of its unique features.












Interviews held in Lima with a number of governmental
officials August through December, 1965.

2La Prensa (Lima, Perd), 8 Enero 1966, p. 1, 19 Noviem-
bre 1965, p. 6, and 11 Diciembre 1965, p. 1, and El Comercio
(Lima, Perd), 28 Enero 1966, p. 2, and 5 Setiembre 1966, p. 1.













CHAPTER III


LIMA, BARRIADAS. AND INDIAN COMMUNITIES


Within the field of local government in Peru, there

are three very important units that fall outside the scope

of this study. Because of their importance, however, they

cannot be ignored as over one-third of the total population

of Peru can be associated with one of these units. To avoid

a serious gap in the study, this chapter will examine the

metropolitan area of Lima; the barrida, which is a low-class

housing area associated with peripheral growth in urban

areas; and lastly the Indian community, which is at the op-

posite pole lacking almost everything related to the modern

world and completely divorced from the urban areas. The

particular aspects of each unit will be briefly described

with the main emphasis upon the structure and organization of

local agencies, offices, or councils that perform local

government-type functions within their respective units.

Lima will be described with respect to the concentra-

tion of economic and political factors located there, and the

political structure of the local councils. The proportion

of local government revenues collected by the Lima metropoli-

tan area will be compared to other local governments in Peru.

The barriada will be defined and the Barriada Association




69

with its organization and purposes will be discussed. In

addition, the Barriada Association's relations with govern-

ment agencies will also be included. The Indian communities

will be described from the point of view of legal recogni-

tion and non-recognition and two types of local leader

systems will be examined.


Lima


The city of Lima forms the only real metropolitan

complex in Peru. Peru's second city, Callao, is sufficiently

close to Lima that for all practical purposes it forms part

of the Lima metropolitan area. Arequipa is the next city in

size and only contained around 200,000 people in 1965. In

contrast, Lima-Callao contained over 2,250,000 inhabitants.

Because of this great difference in size, and because Lima is

also the nation's capital, it unites a great many complexi-

ties and problems that do not confront other cities in Peru.

Lima, therefore, deserves separate and individual treatment.

There is a concentration of commerce, industry, and

political units as well as population in Peru's capital. The

following chart reveals that 77.4 per cent of the industrial

establishments in Peru are located in the Lima-Callao area,

that 65.6 per cent of industrial employees in the fields of

labor, that are listed, work in this area, and that 56.4

per cent of the production value is found in Lima. Three

main industries; food production and processing, mining, and

petroleum are decentralized because they need to be near the

source of raw materials. If the production from these





70

industries is subtracted from the total, then 78.7 per cent

of the production of the remaining industries is located in

the Lima area.

In Lima the greatest proportion of professional skill

and capability are concentrated. For example, the relative

number of doctors, dentists, lawyers, and teachers in pro-

portion to the number of the population to be served or

treated by them is much higher than in the rest of the nation.

Whereas the Lima area is said to have an excess of teachers

and lawyers, the remainder of the country suffers from a

scarcity of these professionals. In a similar fashion Lima

also has a high percentage of Peru's voting population. Al-

though about 22 per cent of the population live there, the

metropolitan area has nearly 43 per cent of the nation's

voting population.1 This indicates a higher literacy rate,

as well as greater interest in voting in Lima as compared to

the rest of Peru. Besides this, nearly all national govern-

ment agencies have their headquarters in Lima, and many have

their only offices there. Most important political decisions

are made in Lima, and if local agencies, national field of-

fices, .or local governments want aid, support, or assis-

tance on a project or problem, a representative usually travels

to Lima for that purpose.

The political structure of the local government of the

Lima metropolitan area includes two provincial councils,


Compiled by the author from unpublished data of the
Jurado Nacional de Eleciones.
















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72

those of Lima and Callao, and thirty-nine district councils

of which six are new districts which obtained councils for

the first time in the 1966 elections. Three of the district

councils are located in the Constitutional Province of Callao

including the Callao cercado.1 The rest of these districts

are located in the Lima Province including the district of

the Lima cercado.

This proliferation of councils makes it more diffi-

cult for the local governments of Lima to coordinate necessary

services and functions, such as street cleaning, garbage

collection, street repair, new street construction, pro-

vision of food and control of its quality, and inspection and

control of food vendors. Not only must the provincial council

of Lima coordinate its activities with all of these districts

and the Callao provincial council, it also must do it with

various private companies, as well as with national govern-

ment agencies and corporations, in order to carry out its

functions. District councils are somewhat reluctant to al-

low the provincial council to do very much within their juris-

dictions, as they fear that the province might assume more

than its share of power and authority. The districts work

with the Lima council on extensive projects, but on those

that the district council can accomplish alone, it does so.

They want to maintain their autonomy and do not want the Lima

Provincial Council to make their decisions for them, to do


1The definition of cercado is the district that is the
seat of a provincial capital.







their work, or to receive the credit for all public works

in the metropolitan area.

The district councils are important in situations of

a very local nature. Many of the districts represent real

differences of economy, social class, culture, and education

in the city that might otherwise go unrecognized. Respective

district councils have distinct problems that in turn must

be met in different ways. For example in a working class

district the problems of providing a market place, control of

street vendors, and paving of principal streets might be the

major concerns of the council, whereas, an upper class dis-

trict council might concern itself with gardens, parks, and

good paved roads throughout the whole district. In contrast,

to these two, the newly created district that might consist

mainly of working class housing constructed over an old

barriada and new barriada areas would have to concern itself

with water and sewage systems and public lighting before at-

tacking other problems. The district system serves the worth-

while purpose of recognizing these differences and giving the

inhabitants of each district more voice and representation

in their local affairs, than they would have if the pro-

vincial council did everything and was the only local govern-

ment for all the two million plus inhabitants.

Voting patterns in the 1963 and 1966 elections reveal

important differences in attitude and political preference

on the district level. In 1963, in the Lima cercado, the

majority of the electorate voted for the AP-DC coalition





74

candidates for mayor and a majority of the councilmen. Six-

teen districts including Miraflores, San Isidro, and Lince

also elected AP-DC mayors. The districts of La Victoria,

Comas, and San Martin de Porras on the other hand elected

APRA-UNO coalition mayors and majorities in their councils

along with ten other districts. At least two districts re-

jected both of the preceding coalitions and elected inde-
1
pendants.

Further proliferation of districts however, should be

discouraged. There are now too many districts and further

sub-division would tend to complicate the situation even more.

It would even be wise to consolidate like, contingent dis-

tricts which have similar characteristics and problems.

Financially, Lima is more solvent than the other cities

of Peru. In 1960, the Provincial Council of Lima collected

and spent 37 per cent of all the money received and spent

in Peru by provincial councils. In 1962, it amounted to 43

per cent and in 1965, to 49 per cent. With all councils con-

sidered, district as well as provincial, Lima still has a

lion's share of the money. In 1960, the revenues of Lima

represented 24 per cent of the total in 1962, 29 per cent;

and in 1965, 27 per cent of the monies collected by all
2
Peruvian local governments. When the Lima district councils

and the Provincial Council of Callao are considered, the

revenues for the whole metropolitan area represent over 60


1Compiled unpublished data of the Jurado Nacional de
Elecclones.
2Compiled from unpublished data of the Banco Central de
La Reserva.





75

per cent of all local government revenues collected for 1960,

1961 and 1962 (the only years for which data were available

for all levels).


TABLE 3.2

REVENUES OF PERUVIAN LOCAL


GOVERNMENTSa


All Provincial Councils

Provincial Council of
Lima

Provincial Council of
Callao

All Districts of Lima
Area

Total Metropolitan
Area of Lima

All Local Governments

Per cent of Metropoli-
tan Lima to all Local
Governments


1960

250b


1961

283


94 111 148


123 141 161


231

381


269

436


326

515


60.6% 61.7% 63.3%


1962 1963 1964

345 376 433


1965
c
* *


C c 218

c c c


c c c


c c c

583 701 805


c c c
S..


aCompiled by the author from
Banco Central de la Reserva
bIn millions of soles

cFigures not available


unpublished figures of the


This situation could have been changing over the past

three years as the important revenues from property taxes

have been returned to all provincial councils since 1963. As

the table shows,ti1me data from the Banco Centralare available

only to 1962. Many councils have improved their tax collec-

tion practices and administration which has also helped to





76

increase revenues. Although Lima has received the benefits

from these same changes, the author believes that the in-

creases effected by the changes will be greater outside of

Lima than within the metropolitan area.

In many other ways, Lima is a leader and an example

to the rest of the nations. Lima represents a model to the

other local councils in its actions, administration, public

works, training, and law. The organizational rules and pro-

cedures established by the Provincial Council of Lima are

used as models by other councils. Most cities have no such

rules and therefore must refer to the Lima law when problems

or confusion they are not sure how to meet or solve, arise.

Many of the innovations in Peruvian local government in the

near future will undoubtedly come from Lima.

One of these problems concerns the growth and expan-

sion of barriadas. The barriada is sometimes associated

mainly with the Lima metropolitan area, but this is mis-

leading, as many of the cities with over 30,000 people are

faced with this same problem.


Barriadas


A barriada is a community of people who have illegal-

ly invaded unoccupied land surrounding or near an urban center

and have established houses and streets, usually without

planning or control. Groups are organ7ied, and invasion


1The official definition of a barriada taken from the
Lev Orzanica de Barrios Marginales, Articulo 4. trans. by
Allan Austin, is "the territorial zone of fiscal, municipal




77

plans are elaborated. On a given night at a predetermined

hour, the invasion is executed and within a few hours a new

barrlada has come into existence. The dwellings, at the

beginning, are small one or two room constructions made of

bamboo mats with dirt floors and may even remain roofless

for a time. As the population becomes more settled and feels

more secure on the land, these temporary dwellings are re-

placed by adobe and brick constructions. As families grow

and settlement continues, new rooms and even second stories

are added. In some cases third stories are also added.

Why do people move to a barriada? According to a

study done by Pablo Berckholts Salinas, 57 per cent go there

from the central city to obtain free land on which to build

their houses, 33.5 per cent go because they could not afford

the high rents and costs in the core city, 3 per cent move

there due to recent raises in their rents, and 6 per cent

go because they were evicted from their place of abode.1 Al-

though to the outsider, the living conditions in the barriada

might seem unbearable,2 they fulfill certain basic needs

of their inhabitants, who are not as discontented as might


communal, or private property that is found on the outskirts
of the populated centers of the political-administrative
capitals or in their surrounding suburban areas, in which by
invasion and in spite of legal dispositions on property, with
municipal authorization or without it, on lots distributed
without regard to officially approved plans, groupings of
dwellings have been constructed in haphazard manner, lacking
one or more of the following services: drinking water, sew-
age, public lighting, sidewalks, vehicle routes, etc."
1Pablo Berckholts Salinas, Barrios Marginales: Aber-
raci6n Social (Lima, Perd, 1963), p. 43.
21bid., pp. 27-29.





78

be imagined. The inhabitants have de facto ownership of the

land and their house. They cannot be evicted at a moment's

notice by their landlord, nor can their rents be raised.as

they pay no rent. They have some privacy, security, and

shelter; and they can enlarge their house as their family

grows and their economic means Improve.1 They have to dis-

pense with running water and must purchase it by the can

from trucks that come daily to the barriada, and must do

without sanitary systems and public lighting. But in most

cases, they never had those conveniences in either their

home in the sierra or in their living quarters in the core

city which was usually a callej6n.2 Thus their situation

is much improved, as they pay little for housing expenses

and are more secure. For those coming from the sierra,

they now have access to the labor market of the city. Thus

land invasions are usually organized and executed by inhabi-

tants of the core city who are seeking cheaper, more secure

housing facilities, and then the area settled is later en-

larged by migrants coming in from other regions of the

country.

Because of the number of people involved in a barriada

land invasion, because there is no other place to send them,


1Unpublished data compiled by Sherman Lewis, Research
Consultant of IPA to ONRAP, 1966.
2
A calle.jn is a group of dwellings that usually con-
sist of one or two rooms each, opening to a common hall or al-
ley-way within the core city. They share common sanitary
facilitiess and usually lack running water. Rooms serve
combined dormitories, kitchens, and living rooms. Rent is
relatively high.





79

and because of the political and social consequences of

forceful eviction, which would undoubtedly result in numerous

casualties, there is generally no attempt made to legally

remove the invaders from the land by force.

The instigators of'such a land invasion are usually

chosen by the community invaders as their representatives in

a barriada association. This association has the primary task

of defending the population from eviction and secondly to

legally represent the barriada before the various government

agencies involved with it. The association, more or less,be-

comes the government of the barriada; organizing it, acknow-

ledging and aggregating its needs and wants, and articulating

them to the indicated government agencies--mainly the National

Housing Board which has primary jurisdiction concerning the bar-

riadas. The associations attempt to obtain land titles, which

the Housing Board is authorized to give them when specified re-

quirements are met.2 At the same time, they appeal to the

Housing Board, as well as to the municipality of the district

in which they are located, to be provided with the basic ser-

vices of drinking water, sewers, and public lighting. At

later dates paved streets, sidewalks, schools, plazas, and

other important construction will be sought for and built.

In the sense that this association represents the

people, because it is established by the members of the com-

munity, and it aggregates and articulates the community's


1Matos Mar in Hauser, op. cit., p. 180.

2Perd, Ley Organica de Barrios Marginales, No. 13517


(1961).


---I~





80

needs, it resembles a local government. But in a narrow

sense, it more closely resembles an interest group.1 These

associations are important for the first few years of the

barrlada's existence and generally provide the only legal

officials of the district. But as time goes by, and they

are generally able to produce little, they usually lose in

prestige and power. Separate associations are later formed

for specific purposes, such as the construction of a school,

to obtain public lighting, or to obtain a through access

road, or for other specific reasons. As these groups pro-

liferate, the barriada association loses its influence in

the sub-division.

Core towns and cities around which the barriadas are

constructed had jurisdiction over the barridas within their

boundaries, but they generally ignored the barriadas and

failed to supply them with the necessary services of water

and sewage. The local officials looked upon the barriadas

as a transitory eye-sore that would disappear as soon as the

inhabitants were evicted, or the officials closed their eyes

and pretended that these sub-divisions did not exist. During

the 1950's however, barriadas multiplied greatly. More and

more people moved into them as internal migration continued.

By 1957, 9.5 per cent of the population of Lima lived in

barriadas, 9 per cent of Arequipa's population also was housed

in similar areas, and In Chimbote 20 per cent lived in barriadas.


Almond and Coleman, op. cit., pp. 33-35.

2Matos Mar in Hauser, op. cit., p. 181.





81

This condition continued to worsen and by 1961, the Chimbote

barriada population had risen to 67.5 per cent of the city's

population, Arequipa's to 39 per cent, and Lima's to a per

cent of 24.6.1 The situation had reached a point where it

could no longer be ignored. In 1961, the Congress passed the

"Barriada Law."2

This law marked the change in governmental attitude

towards the existence of the barriada. It recognized,of-

ficially, the existence of barriadas and some of the pro-

blems with which they are faced. The law has two major

purposes; the first is to transform existing barriadas into

"popular" (low class) housing sub-divisions, and the second

is to prevent the formation of new barriadas by making them
3
inelliggble to receive benefits under this law. The National

Housing Corporation, now the National Housing Board (Junta

Nacional de la Vivienda, JVN), was given jurisdiction over

the nation's barriadas to carry out the provisions of this

law.

This law has thus far failed to accomplish these two

main purposes. Barriadas continue to spring forth and the

number of city inhabitants living in barriadas continues to

grow. (There were nearly a million people in 1965 in

barriadas.) Some barriadas have been relocated in low class

Walter Harris and Hans A. Hosse, Housing in Peru
(Wash., D. C.: Pan American Union, 1963), p. 502.

2perd, Ley de Barrios Marginales, No. 13517 (1961).

3Ibid., Articulos 1 & 2.

Compiled from unpublished figures of the JVN.





82

housing and others have been improved but the majority are

following a natural evolution process in which the owners add

on and remodel their own houses without JNV supervision or

help. The JNV has also failed to adequately cope with other

situations. Many barriadas are still without basic services

of water, sewage disposal, and lighting, and most home owners

still lack title to the land on which they live. The lesser

provisions of the law also fall short of execution in many

areas.

The barriada itself is not recognized as a separate

municipality or community in this study for four major

reasons. First of all, it is not legally recognized as such

by the Peruvian government but is recognized only as a special

housing sub-division, a squatter settlement. Secondly, it

has no organized government body that carries out any of

the services and functions with which this study is concerned.

Thirdly, the barriada has no taxing power, no revenues of any

consequence, and no organized financial control or adminis-

tration. Lastly, it represents a sub-district level, one

step below the scope of this study.

Many of the inhabitants of the barriadas are migrants

from another cultural and social world, the Indian community.

Although the originators of the land invasions are usually

from the core city, they originally migrated from small vil-

lages and Indian communities in rural areas and many of the

migrants into the established barriadas come directly from

these rural communities. Thus the discussion of the Indian




83

community does not unnaturally follow that of the barriada.


Indian Communities

Like barriadas the Indian communities will not be

studied in the scope of this project as a local government

entity. Although it might be argued that the Indian com-

munitieunite more of the characteristics of a local govern-

ment than the barriada, they do not represent local govern-

ments or organization in a modern sense.1 Beyond this, as

sub-districts,2 they are located one step below the level

to be studied in the administrative hierarchical system of

local government in Peru.

In legal terms there are two types of Indian com-

munities, the recognized and the unrecognized. In order

to become recognized, a community must fulfill certain re-

quirements such as proof of land titles before 1821, the

election of a legal representative, personero legal, and have

an agreement among the members of the community to become

recognized. The main purpose for which an Indian community

seeks legal and constitutional recognition is to obtain

recognition of the community's property rights and receive

protections and aid from the central government concerning

this property. The unrecognized community, on the other

hand, neither receives this legal recognition of communal

lands, nor the protection from sale and alienation of

1
Alderfer, Local Government in Developing Countries,
pp. 14-16.

2These communities might also be called anexos, par-
cialidades, pagos, estancias, pueblos, or caserios.





84

property that the recognized community receives. Because

of the legal problems and complication involved, end the need

for good lawyers in order to obtain recognition, the para-

doxical situation results that the more mestizo the community,

the more likely it is to be recognized.

In spite of overwhelming difficulties during the

Spanish colonization and since. Indian communities have re-

mained important in Peru. The community at present as in

the ayllu of the Inca Empire, consists of families, clans,

or groups united by economic activity or region. One of the

essential elements is the collective possession and exploita-

tion of pasture and crop lands. Other characteristics in-

clude the collective use of water, woods, and untilled lands;

mutual cooperative labor on public buildings, roads, bridges,

and even private homes; and division of the harvests among

the members of the community.

Indian communities remained as administrative units

under the early Spanish colonists. After 1720, however,

many Indians were pressed into personal service for the

Spanish and many received treatment worse than the Spaniard's

Negro slaves. Independence brought no help to the Indian

community, as Bolivar dissolved their legality by supreme

decree with the idea of assimilating the Indian into

the whole society. Instead, it merely made it possible for

Conversation with Paul Doughty of the Cornell Peru
Project in Lima, July, 1966.
Jose Pareja Paz-Sold4n, Deracho Constitucional
Peruano (Lima, Perid Ediciones de Sol, 1963), p. 362.





85

the Spanish and the mestizo to take more of the Indian's

lands.1

The Constitution of 1933 finally reestablished legal

recognition to the Indian community and granted governmental
2
protection of their lands. Indian communal land again became

unsaleable and unalienable, as it had been before 1824, when

Boliver dissolved the communities. In 1936, legislation was

enacted that further prohibited alienation of Indian lands

and made it obligatory that they be surveyed and registered.

The Indian community retains its own system of local

officers, elections, and customs, although it is subject to

the local government of the province and the district in

which it is located, and upon the central government through

the prefectural system and the Bureau of Indian Affairs in

the Ministry of Labor. The district local government can-

not interfere with revenues of the communities or levy taxes

on their property. In many communities, the form of govern-

ment is similar to that introduced during Spanish colonial

times, in others, it has undergone numerous changes and

modifications. Two of these systems will be described.

The system of Varayoc was introduced into Peru between

Ibid., pp. 363-366.

2Perd, Constitucion (1933), Acticulos 201-208.

3"The term varayoc means in Quechua, with vara, or
staff of office." William W. Stein, Hualcan: Life in the
Highlands of Peru (Ithaca, N.Y.: Cornell University Press,
1961), p. 186. Each official carries a staff about a yard
long which is the symbol of his office and authority. This
staff (vara) itself is respected and venerated along with the
office and the authority it represents.





86

1554 and 1580 under the name of "Mayor of Indians." The

Spanish using this system were able to strengthen their power

over the Indian and protect their own interests. Basically,

the varayos, the leaders of the system consist of a head

mayor, the alcalde pedaneo, a sub mayor, a controller, a

treasurer, and varing numbers of councilmen. These men may

be chosen for these offices in an election-type ceremony, or

in some cases the alcalde pedaneo is appointed by the dis-

trict mayor while the lower officers may be elected or ap-

pointed by the alcalde pedaneo. Those who are nominated or

appointed are usually men of some power, prestige, and wealth

in the community. They usually have some seniority and ex-

perience in the system, as they normally start at the bottom

and work upwards. These officers organize and direct com-

munity endeavors; public works and projects; organize, execute,

and in most cases finance, religious fiestas and events; and

settle small disputes among members of the community.2

Externally the varayos stand between the district town of-

ficials and the members of their communities or in the case

of hacienda communities, between the peons and the patron

(owner).3

The Varayoc system is also an avenue of social

climbing as a person who rises to the top becomes prominent

and well known in surrounding communities as well as in his


Mario C. Vasquez, The Varayoc System in Vicos (Ithaca,
N. Y.: Cornell University Press, Jan.. 1964), p. 2.

2Stein, op. cit., p. 184.

3Ibid., also Vasquez, op. cit.,'p. 3.





87

own. Only the relatively rich can afford to rise very high

in the system, however, because a person in such a position

must finance many religious fiestas and activities; the expense
1
increases with the importance of the position.

Another system that is common among the communities is

The Junta Comunal (Communal Committee or Board). This board

is made of a president, vice-president, secretary, treasurer,

a fiscal (similar to a public prosecutor), and a personero

legal (a legal representative). The latter officer is also

an ex-officio member of the district council in whose juris-

diction the Indian community is located. This position, at

least, gives the Indian community some voice in the mestizo

government. The system of a communal board is common among

many of the recognized Indian communities. Depending on the

individual situation, either the president of the board or

the personero might be the most important officer in this

system.

The main responsibility of the communal board is the

control and administration of the uses and disposition of the

communally owned and worked lands. The board is also res-

ponsible for assembling voluntary labor for public works

projects that are to be executed through mutual cooperation

of the pueblo.

The personero legal has the responsibility of repre-

senting the community before agencies of the central and

local governments. He also has the task, in unrecognized


Stein, op. cit., p. 192.




88

communities, of making sure that correct procedures are fol-

lowed, that necessary requirements are fulfilled, and that

pressure is applied in order that the community might become

a recognized one.

It must be remembered at this point that an Indian

community may at the same time be a district capital. In

other words, the community might have two groups of officers

representing the people; the local government officials, and

the Indian community officials. Which group might be most

important in community affairs and have ability to complete

public works projects depends on the individual community.

In legal matters however, the mestizo2 local government of-

ficials hold the greatest degree of formal power, but its

use is again dependent on each individual case. Stein points

out in his study of Hualcan that the Indian and his officials

are always subject to the local government or central govern-

ment officials that represent the mestizo world.3

Because the Indian community lies at a sub-district

level, because its major functions and activities lie outside

the scope of this study, and because ultimately the Indian

community is subject to the other local government officials

as well as to the officials of the central government; the

Indian community will not be studied as such in the confines

Ibid.

Most authors feel that local government officials
always represent the mestizo or white elements of the com-
munity and not the Indian segment. Ibid., p. 197, and Hammel,
op. cit., p. 54.
3Stein, a2. cit., pp. 233-234.





89

of this pro.lect. It is however, a very important element in

the Peruvian political and social system and merits more

comparative analysis and classification to supplement the case

studies that are currently completed, and that are done by

anthropologists and sociologists. There are over .h500 recog-

nized and unrecognized Indian communities in Peru containing

over 2,000,000 people.1 Because of the number of people

involved and the living conditions in which they must abide,

this sector is not and cannot be ignored by the Peruvian

government and by the local governments, or by the intellectual

world.

The Indian communities and their organization, func-

tions, and concepts of communal work have had an impact on

the history of local government and its development in Peru.

We now turn to a more detailed history of local government

in Peru and an examination of the major stages through which

it has evolved.


1In the 1,586 recognized communities alone, there are
over 1,367,000 inhabitants. El Comdrcio (Lima, Perd), 15
Diciembre 1965, p. 8.




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