Espirales. Revista multidisciplinaria de investigación científica, Vol. 7, No. 44
January - March 2023. e-ISSN 2550-6862. pp 17-28
DOI https://doi.org/10.31876/er.v6i 44.833
Risk management in rural development and land use
planning: the case of San Lorenzo, Esmeraldas – Ecuador
Gestión de riesgo en el desarrollo y ordenamiento territorial rural: caso San
Lorenzo, Esmeraldas – Ecuador
Álex Gabriel Quispe Mera*
Mónica Tatiana Tonato Velasco*
Fidel Patricio Quispe Mera*
Víctor Eduardo Quispe Mera*
Received: July 13, 20212
Approved: September 12, 2022
* Msc. Luis Vargas Torres Technical University of
Esmeraldas. Esmeraldas, Ecuador. 080151.
alex.quispe@utelvt.edu.ec ORCID: 0000-0001-
9209-2034
* Msc. Luis Vargas Torres Technical University of
Esmeraldas. Esmeraldas, Ecuador. 080151.
monica.tonato@utelvt.edu.ec ORCID: 0000-
0002-8881-9752
* Msc. Quevedo State Technical University.
Esmeraldas, Ecuador. 080151.
fquispem@uteq.edu.ec ORCID: 0000-0001-
7411-0905
* Msc. Luis Vargas Torres Technical University of
Esmeraldas. Esmeraldas, Ecuador.
victor.quispe.mera@utelvt.edu.ec ORCID:
0000-0001-9010-4791
Abstract
The present investigation was carried out with the objective of
evaluating the risk management strategies established by the
decentralized autonomous parish governments, through the
development and territorial planning plans, considering the objectives
of sustainable development. For this case, nine rural parishes in the
canton of San Lorenzo, Esmeraldas, Ecuador were taken as the
territorial scope of the analysis. A review of the Ecuadorian legislation
that regulates rural territorial planning was carried out, as well as
interviews with key actors of the communities located in the parish
capitals, to evaluate their knowledge of strategies, programs and
projects focused on disaster risk management and citizen contribution
in the construction of development plans and land use planning. One
of the findings found in this study is that the participation of the
community in the construction of development plans and land use
planning is very low, since only 32.22% of them state that they have
contributed to the development of these tools of planning of the
parochial decentralized autonomous governments.
Keyword:
land use planning; risk management; sustainable
development goals.
Cite this:
Quispe, A., Tonato, M., Quispe, F.,
Quispe, V. (2023). Risk management
in rural development and land use
planning: the case of San Lorenzo,
Esmeraldas - Ecuador. Espirales.
Revista Multidisciplinaria de
investigación científica, 7 (44), 17-28
Álex Gabriel Quispe Mera, Mónica Tatiana Tonato Velasco, Fidel Patricio Quispe Mera, Víctor Eduardo Quispe Mera
Espirales. Revista multidisciplinaria de investigación científica, Vol. 6, No. 40
January - March - 2022. e-ISSN 2550-6862. pp 17-28
19
Introduction
The United Nations General Assembly adopted in September 2015 the 2030 Agenda,
which included the 17 Sustainable Development Goals (UNITED NATIONS, 2015),
under criteria of economic, social and environmental sustainability, (Arzeno, 2019)
considering risk management as an international policy to limit, mitigate, reduce,
prevent and control the negative effects generated by adverse events, whether natural
or anthropogenic (Mora, 2020).
In 2018, Ecuador reiterated this commitment, so it urged and provided the institution
that governs state planning and development, the articulation of public policies on land
use planning with the 2030 Agenda for sustainable development (PLANIFICA
ECUADOR, 2019). Land use planning is constituted as a legal technical instrument that
allows planning (Carrión, Vieyra, Arena, & Alvarado, 2020) at the regional, provincial,
cantonal and parish levels; in which the decentralized autonomous governments are
responsible for its formulation and execution for the development of their jurisdiction
(Benavent & Vivanco, 2019).
The Sustainable Development Goals (SDGs), also known as global goals, were adopted
by all Member States in 2015 (Alonso, 2021) as a universal call to end poverty, protect
the planet and ensure that all people enjoy peace and prosperity by 2030 (UNDP, 2021).
Risk management is conceived as an integral process (Sandoval, 2020), which seeks to
identify, analyze and quantify the probabilities of losses and effects generated by the
presence of adverse natural or anthropogenic events (Bernabé, Baile, Carreón, & Cerca,
2015). In this sense, disaster risk management in planning and land use planning
processes is seen as a prospective strategy with a holistic approach (Padrón, 2018).
Resumen
La presente investigación se realizó con el objetivo de evaluar las
estrategias de gestión de riesgo que establecen los gobiernos
autónomos descentralizados parroquiales, a través de los planes de
desarrollo y ordenamiento territorial, considerando los objetivos de
desarrollo sostenible. Para este caso, se tomó como ámbito territorial
análisis, nueve parroquias rurales del cantón San Lorenzo, Esmeraldas,
Ecuador. Se realizó una revisión de la legislación ecuatoriana que norma
el ordenamiento territorial rural, así como entrevistas a actores claves de
las comunidades situadas en las cabeceras parroquiales, para evaluar su
conocimiento frente a estrategias, programas y proyectos enfocados a la
gestión de riesgo de desastre y el aporte ciudadano en la construcción
de los planes de desarrollo y ordenamiento territorial. Uno de los
hallazgos encontrados en este estudio es que la participación de la
comunidad en la construcción de los planes de desarrollo y
ordenamiento territorial, es muy baja, ya que solo el 32,22% de ellos
manifiesta haber aportado en la elaboración de estas herramientas de
planificación de los gobiernos autónomos descentralizados parroquiales.
Palabras clave:
ordenamiento territorial; gestión de riesgo; objetivos de
desarrollo sostenible.
Risk management in rural development and land use planning: the case of San Lorenzo, Esmeraldas - Ecuador
Espirales. Revista multidisciplinaria de investigación científica, Vol. 7, No. 44
January - March 2023. e-ISSN 2550-6862. pp 17-28
20
According to Rosero and Medina (2018), they indicate that the Sendai Framework for
Action should be understood as the result of a series of contributions and
systematization of technical recommendations, product of a historical evolution that was
chronologically fed back worldwide; A result that began with the declaration of the
"international decade for disaster risk reduction" in the 90's; continuing with the
promulgation of the Yokohama Action Plan in 2004-2005 and the subsequent issuance
of the Hyogo Framework for Action 2005-2015 (Hardy, Cuevas, & Gallardo, 2019).
The remarkable changes and the impact of the environmental crisis in the world, result
in a global concern, which leads us to an emerging evolution of the policies established
in territorial planning (Villamil, 2022). This problem is not specific to a particular country,
but a structural problem of all Latin American countries (Villagomez, Cuesta, Sili, &
Vieyra, 2019).
In Ecuador, the planning processes for rural development according to the
competencies of the Parochial Decentralized Autonomous Governments, are
concentrated in the so-called Development and Land Management Plan, as established
from the Constitution of the Republic, to regulations such as the Organic Code of
Territorial Organization, Autonomy and Decentralization; Organic Law of Land
Management, Land Use and Management; and Organic Code of Planning and Public
Finance (Vivanco & Cordero, 2019) for which an analysis of this mentioned legislation
was carried out.
This article is a product of the findings found in the research project "Study of the social,
economic and environmental reality of Canton San Lorenzo, Esmeraldas-Ecuador",
which was approved by the Higher University Council of the Technical University Luis
Vargas Torres of Esmeraldas and has been in execution since 2018; which seeks to
analyze the current problems of rural land use planning and the implications of this in
risk management from the public administration of the Decentralized Autonomous
Parochial Governments of Ecuador, with emphasis on what is established in the
Sustainable Development Goals.
The Constitution of the Republic of Ecuador establishes that the planning strategy will
guarantee land use planning and this is mandatory at all levels of decentralized
autonomous governments (Constitution of the Republic of Ecuador, 2008, article 241),
and also indicates that the Parochial Autonomous Governments have the exclusive
competence to formulate the corresponding land use plans, with a focus on articulation
with national, provincial, cantonal and parochial planning (Constitution of the Republic
of Ecuador, 2008, article 262, numeral 1).
Regarding the Organic Code of Territorial Organization, Autonomy and
Decentralization, on the functions of the rural parish decentralized autonomous
government, it establishes the obligation to promote sustainable development with the
objective of guaranteeing good living through the implementation of parish public
policies (Organic Code of Territorial Organization, Autonomy and Decentralization,
Álex Gabriel Quispe Mera, Mónica Tatiana Tonato Velasco, Fidel Patricio Quispe Mera, Víctor Eduardo Quispe Mera
Espirales. Revista multidisciplinaria de investigación científica, Vol. 6, No. 40
January - March - 2022. e-ISSN 2550-6862. pp 17-28
21
2010, article 64, paragraph a), as well as the responsibility to elaborate the rural parish
development plan, including the land use plan; to execute actions in coordination with
cantonal and provincial planning; and to monitor and render accounts on the fulfillment
of proposed goals" (Organic Code of Territorial Organization, Autonomy and
Decentralization, 2010, article 64, paragraph b).
According to the Organic Law on Land Management, Land Use and Management,
defines land management as the process and result of spatially and functionally
organizing activities and resources in the territory, with the objective of making the
implementation and concretion of public policies viable in the scope of democracy and
participation, to facilitate the achievement of development objectives (Ley Orgánica de
Ordenamiento Territorial, Uso y Gestión del Suelo, 2016, article 9).
According to the Organic Code of Planning and Public Finance (COPFP), it establishes
that development and land use plans are planning instruments that contain the main
guidelines of the Decentralized Autonomous Governments with respect to strategic
development decisions; their objective is to organize, make compatible and harmonize
strategic development decisions regarding human settlements, economic-productive
activities and natural resource management, through the definition of guidelines for the
materialization of the desired territorial model (Organic Code of Planning and Public
Finance, 2010, article 41).
Likewise, regarding the minimum contents of the development and land use plans, it
establishes that these must contain a diagnosis, proposal and management model, in
accordance with the provisions of the Code of Territorial Organization, Autonomy and
Decentralization (Organic Code of Planning and Public Finance, 2010, article 42).
Materials and methods
For the analysis of the information, the 2015 - 2019 development and territorial planning
plans of the Autonomous Decentralized Parochial Governments of 5 de Junio, Alto
Tambo, Ancón de Sardinas, Calderón, Carondelet, Concepción, San Javier de Cachaví,
Santa Rita and Tululbí, of the San Lorenzo canton, Esmeraldas Province, Ecuador, were
reviewed with regard to the management model that includes the programs and
projects to be executed during this administration period.
To base the information on the territory, interviews and surveys with closed questions
were conducted with community leaders in each of the rural parishes that correspond
to the study area, to evaluate their knowledge of the risk management mechanisms that
are implemented in their community, as well as their participation in the construction of
development plans and land use planning. A total of 252 key actors were identified in
the 9 parishes (universe population), at a rate of 28 key actors per parish decentralized
autonomous government. With the total number of key stakeholders, the sample
calculation formula was applied to the total population, resulting in 90 individuals to be
surveyed, and finally, this number was divided by the 9 rural parishes, resulting in 10
quality informants per parish. The questions were aimed at inquiring about the
Risk management in rural development and land use planning: the case of San Lorenzo, Esmeraldas - Ecuador
Espirales. Revista multidisciplinaria de investigación científica, Vol. 7, No. 44
January - March 2023. e-ISSN 2550-6862. pp 17-28
22
knowledge of projects or activities that are or have been implemented in their
communities for risk mitigation, participation in response activities for the occurrence of
adverse events and participation in the construction of development plans.
Results
Weak or lacking risk management processes in rural areas impede the construction and
execution of true integral projects that tend to improve the quality of life of their
inhabitants. The development of towns is achieved with projects in the economic and
productive areas; however, the few or non-existent risk management strategies in land
use planning processes have generated negative impacts on our environment, which is
why it is necessary to build a participatory land use planning model that considers risk
management as the starting point for rural development.
Although the development and land use planning approach is justified in Ecuadorian
legislation, it can be said that it is not harmonized with risk and disaster management
strategies or policies, as it is only referred to in the COPFP, specifically in the diagnostic
process of development and land use planning, and is absent in the proposal and
management model.
This disparity in the normative framework between territorial planning and risk
management further increases the problems of planning and execution of projects that
improve the quality of life of the population, but at the same time promote safe
scenarios or allow the application of prevention, mitigation and recovery measures in
the presence of adverse events. To this must be added the most evident problem of
rural governments, which is the lack of resources (economic and technical) to assist in
the formulation of development plans with an integral logic, including participatory
mechanisms and disaster risk management. This weakness of the risk management
approach with the legislation that frames territorial planning is more notorious in rural
development plans; that is, those built from and for the Autonomous Decentralized
Parochial Governments.
The documentary analysis of the development and land use plans of the study area
showed that, of the nine rural parishes investigated, only five included at least one
project aimed at improving local capacities for disaster risk reduction, as shown in Table
1
Table 1.
Projects for risk and vulnerability mitigation, which were presented in the
PDyOTs of the study area, period 2015 -2019.
PROJECT
BENEFICIARIES
Disaster prevention and first aid
training project
Not included in the PDyOT
N/A
Not included in the PDyOT
N/A
Risk management training
Does not indicate
Álex Gabriel Quispe Mera, Mónica Tatiana Tonato Velasco, Fidel Patricio Quispe Mera, Víctor Eduardo Quispe Mera
Espirales. Revista multidisciplinaria de investigación científica, Vol. 6, No. 40
January - March - 2022. e-ISSN 2550-6862. pp 17-28
23
Disaster prevention training and parish
contingency plan project
Construction of retaining walls in the
populations settled on the banks of the
Santiago River.
Does not indicate
Disaster prevention training project
Not included in the PDyOT
N/A
Not included in the PDyOT
N/A
The decentralized autonomous parish governments of San Lorenzo canton show a
notable lack in the generation of projects aimed at improving disaster risk management
strategies, including the construction of infrastructure works, as well as capacity building
processes for immediate response of the population to adverse events; this is based on
the review of the development and land use plans of the parishes investigated, where
only five of a total of nine, include at least one activity focused on risk management. In
this context, four parishes did not plan activities or projects for risk mitigation due to
the presence of adverse events for the period 2014 – 2019.
With this analysis we can sustain that the solution to the weakness of the Decentralized
Autonomous Parochial Governments in Ecuador for the promotion of risk and disaster
management mechanisms in the planning of the development of their territory, goes
beyond policies and regulations, it requires will from the governments and an active
participation of the society for the effective decision making in search of an integral
development and to the benefit of all the sectors of the community.
Citizen participation is essential for the development of a society that seeks equity,
justice and governance; in the interviews we conducted, we learned that the population
of the rural parishes of San Lorenzo canton does not actively participate in the
formulation of development plans and land use planning, indicating in many cases, the
lack of convening and leadership of those who administer these local governments.
The 17 SDGs express a responsibility from the member countries to address the most
pressing problems currently facing the planet; for this reason they are related, which
means that the results obtained by one will allow the realization of others. In this context,
they seek to be a planning instrument for the progress of the states.
The legal framework in Ecuador indicates, promotes and regulates all land use planning
processes, from a regional to a rural parish perspective; however, in general terms, land
use planning that includes technical and participatory strategies is still a utopia, beyond
the issuance of standards or guidelines for its construction and monitoring, true
governance processes are needed from and towards society.
The Autonomous Decentralized Parochial Governments in Ecuador, with honorable
exceptions, are administratively weak, which has repercussions on the generation of
Risk management in rural development and land use planning: the case of San Lorenzo, Esmeraldas - Ecuador
Espirales. Revista multidisciplinaria de investigación científica, Vol. 7, No. 44
January - March 2023. e-ISSN 2550-6862. pp 17-28
24
discussion spaces for the harmonization of risk management initiatives in development
and territorial planning.
The Secretariat of Planning of Ecuador, as the governing body of risk management in
our country, should generate greater impact in rural areas; a little more is needed than
the elaboration and execution of territorial agendas, if these are only fulfilled or
articulated from the comfort of desks and event rooms to expose dubious progress in
terms of disaster risk management.
Risk management, being a global policy, is not conceived as an urgent responsibility,
due to the fact that, in the poorest states, their rulers comply with government plans
that promote the payment of social debt, focusing on health, education and
employment criteria, leaving aside the risk and vulnerability of the population.
From the aforementioned, we can point out that parish development and land use plans
should be built considering an integral approach to their geographic reality and the
evaluation of the population's vulnerabilities, in order to propitiate real risk mitigation
scenarios.
Under this argument, the National Secretariat of Risk Management has the power to
issue regulations and propose policies to mitigate, reduce, prevent and control risk and
vulnerability, but does not consider land use planning as the basis for planning the
development of society, which translates into a legal weakness that affects the non-
inclusion of risk management strategies in the Development and Land Use Plans of the
Decentralized Autonomous Governments, being the parishes by their very rural nature,
which are more vulnerable to natural phenomena and their effects.
Although Ecuador ratified its commitment to the fulfillment of the 2030 Agenda and the
Sustainable Development Goals and provided Planifica Ecuador to generate
mechanisms that respond to the fulfillment of this agenda with planning instruments, in
coordination with the different levels of government; this articulation is not noticeable
in the various projects that are implemented from the parish level of government, as
they are increasingly evident in rural areas, the ravages by phenomena of
meteorological, climatic or geological nature.
The most profound and structural changes in a society take place in long-term projects,
we know that, however, generational changes, the intervention of academia, the
cooperation of non-governmental organizations and the contribution of the various
social and productive sectors of the community must understand that the decision to
act must be made now, because the planet has given us signs of the deterioration of
the environment, the excessive use of natural resources and the passivity of us as a
society, will soon take its toll.
Álex Gabriel Quispe Mera, Mónica Tatiana Tonato Velasco, Fidel Patricio Quispe Mera, Víctor Eduardo Quispe Mera
Espirales. Revista multidisciplinaria de investigación científica, Vol. 6, No. 40
January - March - 2022. e-ISSN 2550-6862. pp 17-28
25
Conclusions
The 17 SDGs express a responsibility from the member countries to address the most
pressing problems currently facing the planet; for this reason they are related, which
means that the results obtained by one will allow the realization of others. In this context,
they seek to be a planning instrument for the progress of the states.
The legal framework in Ecuador indicates, promotes and regulates all land use planning
processes, from a regional to a rural parish perspective; however, in general terms, land
use planning that includes technical and participatory strategies is still a utopia, beyond
the issuance of standards or guidelines for its construction and monitoring, real
governance processes are needed from and towards society.
The Autonomous Decentralized Parochial Governments in Ecuador, with honorable
exceptions, are administratively weak, which has repercussions on the generation of
discussion spaces for the harmonization of risk management initiatives in development
and territorial planning.
The Secretariat of Planning of Ecuador, as the governing body of risk management in
our country, should generate greater incidence in rural areas; a little more is needed
than the elaboration and execution of territorial agendas, if these are only fulfilled or
articulated from the comfort of desks and event rooms to expose dubious advances in
terms of disaster risk management.
Risk management, being a global policy, is not conceived as an urgent responsibility,
due to the fact that, in the poorest states, their rulers comply with government plans
that promote the payment of the social debt, focusing on health, education and
employment criteria, leaving aside the risk and vulnerability of the population.
From the aforementioned, we can state that development plans and parish territorial
planning should be built considering an integral approach to its geographic reality and
evaluation of the vulnerabilities of the population, in order to propitiate real scenarios
of risk mitigation.
Under this argument, the National Secretariat for Risk Management has the power to
issue regulations and propose policies to mitigate, reduce, prevent and control risk and
vulnerability, but does not consider land use planning as the basis for planning the
development of society; which translates into a legal weakness that affects the non-
inclusion of risk management strategies in the Development and Land Use Plans of the
Decentralized Autonomous Governments; being the parishes, by their very rural nature,
the most vulnerable to natural phenomena and their effects.
Although Ecuador ratified its commitment to the fulfillment of the 2030 Agenda and the
Sustainable Development Goals and provided Planifica Ecuador to generate
mechanisms that respond to the fulfillment of this agenda with planning instruments, in
coordination with the different levels of government; this articulation is not noticeable
Risk management in rural development and land use planning: the case of San Lorenzo, Esmeraldas - Ecuador
Espirales. Revista multidisciplinaria de investigación científica, Vol. 7, No. 44
January - March 2023. e-ISSN 2550-6862. pp 17-28
26
in the various projects that are implemented from the parish level of government, as
they are increasingly evident in rural areas, the ravages by phenomena of
meteorological, climatic or geological nature.
The most profound and structural changes of a society are given in long-term projects,
we know that, however, the generational changes, the intervention of the academy, the
cooperation of non-governmental organizations and the contribution of the various
social and productive sectors of the community must understand that the decision for
action must be taken now, because the planet has given us signs of the deterioration of
the environment, the excessive use of natural resources and the passivity of us as a
society, will soon take its toll on us.
Acknowledgments
To the Universidad Técnica Luis Vargas Torres de Esmeraldas for their support in the
use of the Geographic Information Systems Laboratory for the management and
systematization of the information collected.
To the community leaders of the Autonomous Decentralized Parochial Governments of
5 de Junio, Alto Tambo, Ancón de Sardinas, Calderón, Carondelet, Concepción, San
Javier de Cachaví, Santa Rita and Tululbí, of the San Lorenzo canton, Esmeraldas
Province, Ecuador; for collaborating in the socialization of this research and assisting in
the gathering of information. There are no particular interests that could directly or
indirectly affect the results obtained from this research.
..........................................................................................................
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