Anti-Corruption Demands and Government's Defense: the Case
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Anti-Corruption Demands and Government’s Defense: The Case of Peru, 2000-2014 A Dissertation Submitted to the University of Tsukuba In Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy in Political Science POZSGAI ALVAREZ JOSEPH 2015 i CONTENTS Chapter I. Introduction ................................................................................................. 1 Chapter II. Literature Review .................................................................................... 22 1. The International Anti-Corruption Movement ............................................... 22 2. Anti-Corruption Reform: A Literature Review ............................................. 28 Chapter III. Theoretical Framework I: Systems Model of Corruption and Anti- Corruption Reform .............................................................................................. 45 1. The Anti-Corruption Dilemma and the Nature of Government ..................... 45 2. Dynamic Response Model of a Political System ........................................... 50 3. A Systems Model of Corruption and Anti-Corruption Reform ..................... 58 Chapter IV. Theoretical Framework II: Coping Mechanisms and Types of Pressure ................................................................................................ 71 1. Coping Mechanisms ....................................................................................... 71 2. Types of Environmental Pressure .................................................................. 92 3. Final Considerations regarding Coping Mechanisms and Environmental Activities ..................................................................................................... 101 4. Real Anti-Corruption Activities and Reform ............................................... 105 Chapter V. End of the Fujimori Regime and the Transitional Government ............ 108 1. Preface: Fraud in the 2000 Presidential Elections ....................................... 108 2. Road to Change: July-September, 2000 ....................................................... 112 3. The First Vladivideo and the Collapse of Fujimori’s Government .............. 118 4. The New National Anti-Corruption Standards ............................................ 129 Chapter VI. Alejandro Toledo (2001-2006): Stabilization of the New National Anti-Corruption Standards ........................................................................... 143 1. The Political System on July 28, 2001 ......................................................... 143 2. The National Commission to Fight Against Corruption .............................. 146 3. The Anti-Corruption Subsystem .................................................................. 164 4. Corruption Scandals ..................................................................................... 182 ii 5. International Pressure Activities .................................................................. 193 Chapter VII. Alan García (2006-2011): Countermeasures and Coping Mechanisms ..................................................................................... 200 1. The National Anti-Corruption Office .......................................................... 202 2. Petrogate ...................................................................................................... 220 3. The International Anti-Corruption Movement ............................................. 225 4. The End of the Anti-Corruption Subsystem ................................................ 246 Chapter VIII. Ollanta Humala (2011~): Frail Recovery of the National Anti-Corruption Standards ........................................................................... 258 1. The Anti-Corruption High Level Commission ............................................ 259 2. The Open Government Partnership ............................................................. 268 3. Recovery of the Anti-Corruption Procurator’s Office ................................. 276 Chapter IX. Reflections on the Theoretical Model ................................................. 282 Chapter X. Conclusions: Possible Ways Out of the Deadlock and towards a Status Upgrade ............................................................................. 299 A. References .......................................................................................................... 310 B. Newspaper, Magazine and Webpage Articles ..................................................... 342 C. List of Interviews ................................................................................................. 354 iii FIGURES Figure 1. Dynamic Response Model of a Political System ....................................... 56 Figure 2. Coping Points in the Systems Model of Corruption and Anti-Corruption Reform .............................................................................. 72 Figure 3. Routes Available for Environmental Pressure ........................................... 95 Figure 4. Branches, Networks, and Links of Corruption, 1990-2000. ..................... 130 Figure 5. Presidential Approval of Valentín Paniagua ............................................ 141 Figure 6. Days La República Reported Corruption Involving Opposition Groups—Paniagua/Toledo ........................................................................ 165 Figure 7. Funds Transferred to the FEDADOI Per Year (in $US Millions) ............ 170 Figure 8. Resources Allocated to the Subsystem 2002-2006 (in $US Millions) ..... 172 Figure 9. Annual Distribution of Funds to the Anti-Corruption Subsystem 2002-2006 (from Total Allocations from the FEDADOI) ........................ 172 Figure 10. Evolution of the Corruption Perception Index in Peru ........................... 201 Figure 11. Annual Growth of GDP Per Capita ........................................................ 295 iv LIST OF ABBREVIATIONS AAT Autonomous Authority on Transparency ACT Anti-Corruption and Transparency Task Force APEC Asia-Pacific Economic Cooperation APRA American Popular Revolutionary Alliance ATP Anti-Corruption Threshold Program CAN Anti-Corruption High Level Commission CERIAJUS Special Commission for the Integral Reform of the Justice Administration CJDS Council of Judicial Defense of the State CNA National Commission to Fight Against Corruption CNI National Council of Intelligence CNM National Council of the Judiciary CONFIEP National Confederation of Private Business Institutions CPC Criminal Procedural Code CPI Corruption Perception Index EOM Electoral Observation Mission FBI Federal Bureau of Investigation FCPA Foreign Corrupt Practices Act FEDADOI Special Fund of Administration of the Money Illegally Obtained FIM Frente Independiente Moralizador FONCODES National Fund of Compensation and Social Development GAC Governance and Anticorruption GDP Gross domestic product GIZ German Corporation for International Cooperation GTCC Task Force Against Corruption IACAC Inter-American Convention Against Corruption ICT Information and communication technologies IDL Instituto de Defensa Legal INA National Anti-Corruption Initiative IRM Independent Reporting Mechanism JDSS Judicial Defense System of the State JNE National Electoral Jury v MESICIC Mechanism for Follow-up on Implementation of the Inter-American Convention Against Corruption MCC Millennium Challenge Corporation NACS National Anti-Corruption Standards NGO Non-governmental organization OCG Office of the Comptroller General OECD Organisation for Economic Co-operation and Development ONA National Anti-Corruption Office ONPE National Office of Electoral Processes OAS Organization of American States OGP Open Government Partnership PCM Presidency of the Council of Ministers PNP Peruvian Nationalist Party PROMUDEH Ministry of Promotion of Women and Human Development PRONAA National Programme of Food Aid RENIEC National Registry of Identification and Marital Status SPM-PCM Secretariat of Public Management of the Presidency of the Council of Ministers SUNAT National Superintendent Agency for Tax Administration TI Transparency International UIF Financial Intelligence Unit UNCAC United Nations Convention Against Corruption UNDP United Nations Development Programme UNODC United Nations Office on Drugs and Crime USAID United States Agency for International Development 1 Chapter I Introduction The history of Latin America, and more specifically that of its political system as seen from the perspective of political science, denotes a series of constants easily accessible from the intellectual repertoire of even the common citizen. Some of those constants are a product of its colonial background, a sort of intuitive path dependence, such as the political and economic dominance of European descendants, or the role of the Catholic Church in national debates. Other constants are a consequence of the international politics of primarily the 20th century, specifically the relationship between the United States of America and nations of this hemisphere, with all the implications it had (and continues having): markets structured around the export of agricultural commodities and other natural resources; or the reliance on United States as a source of both financial aid in the form of remittance from expatriates, and of political and military intervention during periods of national or international conflict. But the largest group of constants in Latin American history, although not exclusive to this region, represents those factors that have been domestically