Authoritarian Constitutionalism
Authoritarian Constitutionalism
Andrea Pozas-Loyo and Julio Ríos-Figueroa
The Oxford Handbook of Constitutional Law in Latin America
Edited by Conrado Hübner Mendes, Roberto Gargarella, and Sebastián Guidi
Print Publication Date: Jan 2022
Subject: Law, Constitutional and Administrative Law, Comparative Law
Online Publication Date: Jan 2022 DOI: 10.1093/oxfordhb/9780198786900.013.17
Abstract and Keywords
Authoritarian constitutionalism is a distinct phenomenon that involves an intriguing mix
ture of a regime type commonly known for its tendency to abuse power with a centuriesold lineage of theories and practices seeking precisely to place limits on how it be used.
This chapter provides a conceptual and analytical framework that addresses both dimen
sions of authoritarian constitutionalism, and in so doing, it discusses the theoretical and
empirical advantages and disadvantages of distinct conceptualizations of this term. It
then illustrates the different categories in a conceptual map with examples drawn from
Latin American countries. The chapter concludes with some promising avenues for re
search in this interesting and vibrant area.
Keywords: authoritarian constitutionalism, Latin America, constitution, constitutional history, abuse of power
16.1 Introduction
Prima facie the meaning of ‘authoritarian constitutionalism’ is by no means transparent.
Accepting that this concept is not an oxymoron implies at least a willingness, as Mark
Tushnet puts it, ‘to pluralize the idea of constitutionalism’1 taking it out of a purely liber
al-democratic framework.2 A reductionist view, one that is limited to a liberal democratic
framework, a priori cancels out the possibility of non-liberal constitutionalism, minimizing
not only its normative and scholarly interest but also the relevance of an important part
of Latin America’s long and rich constitutional history. The region’s mosaic of political
configurations has produced a large number of diverse constitutions,3 many of which
have been written under autocratic regimes.4 Of course, not all authoritarian constitu
tions are the same, nor do all play the same role in their country’s polities: Trujillo’s Do
minican Republic had little to do with Pinochet’s Chile. Authoritarian constitutionalism is
a distinct phenomenon that involves an intriguing mixture of a regime type commonly
known for its tendency to abuse power5 with a centuries-old lineage of theories and prac
tices seeking precisely to place limits on how it be used.6
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Authoritarian Constitutionalism
We provide a conceptual and analytical framework that addresses both dimensions of au
thoritarian constitutionalism, and in so doing we discuss the theoretical and empirical ad
vantages and disadvantages of distinct conceptualizations of this term. We then illustrate
(p. 341) the different categories in our conceptual map with examples drawn from Latin
American countries. We conclude with what we see as promising avenues for research in
this interesting and vibrant area.
16.2 Authoritarian Constitutionalism: A Con
ceptual Map
16.2.1 ‘Constitutionalism’ in ‘Authoritarian Constitutionalism’
We start by analytically distinguishing two conceptualizations of ‘authoritarian constitu
tionalism’ using as criterion the normative weight that the authors who have dealt with
this concept assign to the term ‘constitutionalism’, specifically, does ‘authoritarian consti
tutionalism’ imply a positive or desirable qualification over mere ‘authoritarianism’? We
consider that the conceptualizations that do have such a positive normative implication7
have an advantage over the ones that do not.8 The former group links ‘authoritarian con
stitutionalism’ with a very long well-known genealogy where ‘constitutionalism’ is under
stood as a desirable set of political (and social) principles, practices, and institutions for
the organization of governmental power. In contrast, for the latter group, ‘constitutional
ism’ when accompanied by ‘authoritarian’ refers merely to a specific relation with, or way
of using, constitutional law without any normative appeal.9 This latter group thus faces
the theoretical disadvantage of conceptual ambiguity10 since the meaning of ‘constitution
alism’ when accompanying ‘authoritarian’ has little to do with the meaning of the term it
self.
For instance, in her stimulating account of Turkey, Isiksel defines ‘authoritarian constitu
tionalism’ as a political system that practices robust constitutional discipline (that ‘takes
its constitution seriously’) without meeting basic expectations of democracy.11 Notice that
a regime that takes its authoritarian constitution seriously is not necessarily normatively
better than one that does not (where the authoritarian constitution is systemati
cally ignored). Thus it is not surprising to read in her account that ‘[t]he [Turkish] system
functions on a shared assumption that the constitution matters [the fact that the regime
is not only “authoritarian” but also an instance of “authoritarian constitutionalism”]…
which is not obviously for the better’.12 This leads to conceptual ambiguity and to para
doxes in which the presence of ‘authoritarian constitutionalism’ makes it easier for an au
thoritarian government to infringe upon ‘precisely those principles we expect constitu
tionalism to uphold’.13
(p. 342)
On the other hand, studies on ‘authoritarian constitutionalism’ where ‘constitutionalism’
takes a positive normative connotation avoid such ambiguity. This does not mean that
there is a unique understanding of ‘constitutionalism’ within this scholarship, but rather
that authors use the term in a way that is consistent with its rich normative and theoreti
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Authoritarian Constitutionalism
cal lineage. For instance, in his analysis on Pinochet’s Chile Robert Barros understands
constitutionalism as the presence of efficacious institutional limits on central government
actors (the executive for instance). As Barros puts it: ‘institutional limits imply a legal
standard, a mechanism of enforcement, a division among the authorities subject to the
standard and those who uphold it, with the result that the actors are constrained by prior
decisions in the form of rules’.14 Similarly, Mark Tushnet considers ‘authoritarian consti
tutionalism to be a variety of constitutionalism characterized by intermediate levels of
rights protection and a low (or intermediate) level of use of force and fraud in
elections’.15 Tushnet, however, doubts the efficacy of institutional constraints in enforcing
such features in authoritarian regimes.16 Rather they would be put in practice due to a
normative commitment with certain liberal freedoms by the political elite.17 In other
words, for Tushnet the ‘normative commitment to constraints on public power…might be
a truly distinguishing characteristic of authoritarian constitutionalism’.18
In sum, we have two distinct ways of understanding constitutionalism in ‘authoritarian
constitutionalism’. The first refers to a subset of practices, principles, or institutions that
constrain power in authoritarian contexts, and for which therefore ‘constitutionalism’ has
semantic equivalence when used to qualify either authoritarian or democratic settings.
The second way refers merely to the use of constitutional means for authoritarian ends;
thus, in this case ‘constitutionalism’ means something different in ‘authoritarian constitu
tionalism’ than in ‘democratic constitutionalism’.
16.2.2 ‘Authoritarian’ in ‘Authoritarian Constitutionalism’
‘Authoritarian’ also has been used to refer to different phenomena in the literature on au
thoritarian constitutionalism. Some authors refer to authoritarian practices or behaviours
related to the constitution, such as the practices captured by Landau’s abusive constitu
tionalism that is defined as the ‘use of mechanisms of constitutional change in order to
make a state significantly less democratic than it was before’.19 Other authors refer to the
abuse of (p. 343) constitutional emergency powers, such as an undue or unbound concen
tration of power on the executive branch to face a threat to the republic, as a case of au
thoritarian undermining of democracy through constitutional means.20 Notice that in the
previous examples ‘authoritarian’ refers to practices or behaviours, not to a type of
regime. In fact, strictu sensu abusive constitutionalism and abuses of emergency powers
take place under democracy, which is threatened by those authoritarian practices.
We take a different approach. Specifically, we understand ‘authoritarian constitutional
ism’ to be a distinct phenomenon that takes place under a non-democratic regime; thus,
this is the way in which we use the term ‘authoritarian’. Emphasizing regime-type as the
relevant feature for understanding ‘authoritarian’ implies that its specific definition de
pends on the definition of ‘democracy’.21 In this connection, conceptualizations of ‘author
itarian constitutionalism’ can then be classified into those that adopt a minimalist concep
tion of democracy (as Przeworski22) or those with a more substantive approach to it (as
Freedom House23). We consider that a minimalist conception has important advantages
for the development of empirical research on authoritarian constitutionalism, especially
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Authoritarian Constitutionalism
when (as is often the case) some of the substantive elements ascribed to democracy coin
cide with features linked to constitutionalism. Hence, we understand democracy as a
regime ‘in which rulers are selected by competitive elections, and in which ruling parties
lose elections’.24 Such a concept of democracy produces objective and observable criteria
for a binary classification of regime types, autocracy and democracy, and allows also for
making further distinctions within either set.25
To see the analytical advantages of our approach, consider the challenges posed by the
conceptualization of ‘authoritarianism’ in Mark Tushnet’s otherwise appealing under
standing of ‘authoritarian constitutionalism’. ‘I take as a rough definition of authoritarian
ism that all decisions can potentially be made by a single decision maker [and that] those
decisions are…unregulated by law’.26 In other words, according to this definition, ‘if the
regime is authoritarian, it faces no constraints on abandoning laws, courts, and constitu
tionalism, when doing so would serve the regime’s interests’.27 Therefore, Tushnet ex
cludes a priori the possibility of effective institutional constraints on authoritarian govern
ments since in his formulation they always have the capacity to transform the rules of the
game, the constitutional provisions, at will.28 However, Latin American constitutional his
tory provides examples of the inaccuracy of this claim. For instance, as we discuss in de
tail in the following section, Mexico’s powerful presidents under the authoritarian hege
monic-party rule could not (neither de jure nor de facto) alter art. 83 of the Constitution
that establishes a six-year presidential term without re-election, despite the fact that the
president was the (p. 344) head of the party that controlled supermajorities in both houses
of the federal congress as well as states’ executives and legislative branches.29 If we are
correct, then there might be interesting cases of effective institutional limits on power in
some authoritarian regimes, and the fact that Tushnet’s (and other substantive) conceptu
al approach(es) a priori exclude them is a disadvantage for empirical research.
In sum, we define ‘authoritarian constitutionalism’ as the presence of effective institution
al constraints-on-power in countries with an authoritarian regime. Now, it is important to
note that while some institutional constraints may be effective, others may not. Within the
same country some institutions may be instances of authoritarian constitutionalism while
others may only be parchment barriers, as we exemplify later. We believe that a more pre
cise use of the concept, targeting specific institutions or constitutional articles at particu
lar times rather than whole countries, provides enhanced analytical leverage to ultimate
ly explain the sources of constitutional enforcement and efficacy.
Our conceptual map, based on the two dimensions we have discussed is summarized in
Table 16.1, in which we include the examples for each category that we elaborate on in
the second part of this chapter (see Table 16.1). We posit that ‘authoritarian constitution
alism’ proper is to be found in autocracies where there are some effective institutional
constraints on governmental power (upper left cell) and provide three instances of this:
the role of the Constitutional Tribunal in Chile under Pinochet, the performance of courts
in the Brazilian dictatorship of 1964–1985, and the non-re-election rule in Mexico under
hegemonic-party rule. In the upper-right cell we include autocracies with weaker or none
institutional constraints on power, where constitutional mechanisms are manipulated by
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Authoritarian Constitutionalism
the government. We label these cases instances of ‘constitutional authoritarianism’ to em
phasize that while having constitutions they do not have ‘constitutionalism’: these are in
stances of constitutional (p. 345) institutions being used for authoritarian ends. The exam
ples we discuss in this category are the performance of the Supreme Courts in Argentina
and Mexico, as well as the Dominican Republic under Trujillo. In the lower-righthand cell
we find democracies in which some ‘authoritarian behaviours’ take place, such as ‘abu
sive constitutionalism’ in Venezuela under Chávez or the abuse of emergency powers in
Colombia from 1958 to 1991, which are sometimes mistakenly presented as instances of
authoritarian constitutionalism.30 Finally, the lower left-hand cell is the place for democ
ratic regimes with strong institutional limits on power, in other words constitutional
democracies.31
Table 16.1 Regime types and its institutional limits
Institutional Limits on Power
Regime
Type
Autoc
racy
Democ
racy
More
Less/None
Authoritarian
Constitutional Authori
tarianism
Constitutionalism
Chile, 1973–88
(Constitutional
Tribunal)
Brazil, 1964–1985
(Military Courts)
Mexico, 1934–
1994
(Non-re-election
clause)
Dominican Republic,
1930–1961
México, 1934–1994
(Supreme Court)
Argentina, 1930–1932
and 1943–1946
(Supreme Court)
Democratic
Constitutionalism
Abusive Constitutional
ism
Venezuela, 1999
(Abusive constitutional
ism)
Colombia, 1958–1991
(Emergency powers)
Certainly the attentive reader has noticed a couple of thorny issues raised by our exam
ples. Whereas the empirical operationalization of the regime-type dimension is well devel
oped and allows in most cases for unambiguously identifying an autocracy, it is less clear
how to capture the ‘constitutionalism’, or institutional constraints-on-power, dimension.
For starters, it is important to acknowledge that the extent to which institutions constrain
under authoritarian regimes varies greatly between countries, within countries across
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Authoritarian Constitutionalism
time, and within the same country and period across different institutions and issue-ar
eas.32 Moreover, fine-grained and reliable data is hard to obtain under authoritarian
regimes, which make it hard to make systematic comparisons and to generalize knowl
edge. We will discuss some of the issues in the next section and in the conclusion, albeit
briefly due to constraints of space.
16.3 Examples from Latin America
16.3.1 Authoritarian Constitutionalism
Perhaps the clearest example of authoritarian constitutionalism is that of the Chilean mili
tary dictatorship (1973–1990), no less so because its own demise was partly caused by in
stitutional constraints that they themselves had created. As Robert Barros puts it:
shortly after the coup, the military junta demanded rules to regulate power among
the armed forces and later introduced and sustained a constitution which set into
operation institutions (p. 346) that limited the dictatorship’s power and prevented
it from unilaterally determining the outcome of the 5 October 1988 plebiscite
which trigger the transition to democracy in 1990.33
The reason behind this demand for rules was that none of the four branches of the armed
forces, which together formed the ‘Junta de Gobierno’, wanted another to dominate the
government. Because the decisions of the ‘Junta’ had to be taken by unanimity each
branch, which had both corporatist autonomy and real power behind it, checked the oth
ers. The result was, as Przeworski eloquently puts it in the Foreword to Barros’ book,
‘that even though the “Junta” as a whole had the capacity to act at will, internal differ
ences led it to conform to the constitutional document it originated and even to decisions
of the Constitutional Tribunal it created’.34
The military regime in Chile changed many things when compared to the democratic
regime it toppled, including banning political parties and shutting down Congress. Inter
estingly, whereas the regime did not touch the courts and pledged its commitment to judi
cial independence, Chilean ordinary judges did not challenge the abuses made by the
regime, for instance in the persecution and prosecution of political opponents.35 Howev
er, the 1980 Constitution36 created by the military regime did constrain the use of power:
for one, it restricted the Military Junta’s prior capacity to unilaterally modify the constitu
tion. More importantly, the constitution included a Constitutional Tribunal that soon as
sumed autonomy even though its members were appointed by the military. All the organic
constitutional laws passed by the Junta had to be reviewed by the Tribunal and on these
and other decisions the Tribunal on various occasions ruled against the Junta.37 Of
course, the Tribunal’s most consequential decision was to force the Junta to hold a
plebiscite on the continuation of the regime in 1988 as the Constitution stipulated, with
the known results.
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Another example of authoritarian constitutionalism proper comes from Mexico. The PRI
(Partido Revolucionario Institucional) was the hegemonic party in Mexico from 1929 to
2000 when it lost the presidential election. During the PRI era, this political party had
control over the Administration, the Federal Congress, the states’ Governments and the
Judiciary. The President was the head of a very well-disciplined political system: he was
the head of the government and the head of the PRI. He had the political capacity to vio
late some provisions of the 1917 Constitution38 without political opposition. Moreover, the
PRI’s supermajoritarian control also gave him the legal capacity to alter the Constitution.
Every incoming President amended the Constitution to make it fit his political agenda: as
many as sixty-six constitutional provisions were altered during the presidential term of
Miguel de la Madrid Hurtado, 1982–1988.39 Nevertheless, this does not imply that in this
period the President could arbitrarily transform any article or, as Tushnet puts it, that
‘the authoritarian (p. 347) leader has lawful power to alter [all] constitutional provisions at
will…’.40 In particular, during this president-centred era art. 83 of the Constitution that
establishes a six-year presidential term without re-election41 was neither altered nor vio
lated, and without doubt it constituted a strong and ever effective institutional constraint
on power.
Why did presidents with extraordinary power accept to hand over political power and to
retire from public life once their term was over?42 Given the purposes of this text the first
thing to point at is that the strict enforcement of art. 83 cannot be fully accounted for as a
‘normative commitment’ to limits on power by Mexican presidents as Tushnet’s account
would imply: President Alemán attempted, and failed, to push for his re-election, and ar
guably this instance sent the clear message to his successors that art. 83 was untouch
able. While a detailed account of the enforcement mechanisms of art. 83 is not possible
here, it is important to note that the PRI was politically and socially very heterogeneous
and that the hegemonic equilibrium was arguably sustained by the following of intraparty
informal rule: as long as the rotation of presidential power among the different ideologi
cal sub-groups was possible (as long as no president sought re-election) no sub-group
would break with the party and all would respect the selection of the candidate and coop
erate with the winners.43 Hence art. 83 was ‘constitutional’ not only in a formal sense,
but also in the deeper sense of constituting the ‘rules of the political game’.
Our last example within this category comes from Brazil. The Brazilian dictatorship (that
started with a military coup in 1964 and ended with a pacted transition in 1985) created
seven Institutional Acts and the Constitution of 1967.44 Some Acts were issued after the
Constitution, including the infamous AI-5 ‘that eliminated habeas corpus in cases of na
tional security crimes, thus institutionalizing the use of confessions extracted under tor
ture as a basis for the repression and prosecution of opponents and dissidents’.45
However, the constitutional rules created by the dictatorship were consequential and did
impose limits on the authoritarian rulers. As Pereira notes:
When rulers of a state are concerned about legal procedures—even when they ma
nipulate those procedures in their own interest—defense lawyers then may have
opportunities to monitor the safety of their clients, and this can save lives.46
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Authoritarian Constitutionalism
Thus, in Brazil the autocrats’ choice to use law and courts in their ‘control’ measures,
such as carrying out political trials of enemies instead of naked repression (as in Argenti
na) may have given them some legitimacy but at the cost of a certain loss of control over
the outcome of individual trials.
For instance, in Brazil the courts could repeal or at least reduce the length of sentences
decided in military tribunals. Military courts usually accepted the charges made by mili
tary prosecutors: 88.48 per cent of the time in the Superior Military Tribunal. But when
cases (p. 348) went to the civilian Supremo Tribunal Federal (STF) in appeals, they were
handled by the civilian federal prosecutor’s office and the STF accepted the arguments of
the civilian federal prosecutor in 66.66 per cent of the cases. Interestingly, only civilians
in military courts could appeal their cases to the civilian courts. Military personnel, un
like civilians, did not have the right to appeal their cases to the STF.47 Moreover, as
Pereira notes, the courts actually mitigated the severity of repression, being more lenient
in the harshest early moments in the aftermath of the coup:
For example, at the time of the 1964 coup, the military purged its own ranks of
participants in the legalist movement that had prevented a military coup in 1961,
but over 90 per cent of the thirty-eight defendants accused of participating in the
1961 movement were acquitted.48
16.3.2 Constitutional Authoritarianism
The Dominican Republic during the ‘Era of Trujillo’, the time during which Rafael L. Tru
jillo ruled the Dominican Republic (1930–1961), is an interesting example of an authori
tarian regime in which the constitution did not limit the behaviour of the autocrat despite
the fact there might be coincidence between the constitutional text and the regime’s be
haviour. When an authoritarian government produces a constitution and laws but there
are no institutional limits on power (‘no constitutionalism’), we have an instance of ‘con
stitutional authoritarianism’. Trujillo was president from 1930 to 1938 and from 1942 to
1952, but he remained ‘the Supreme Leader of the Dominican Party’ and in fact he and
his family controlled Dominican politics until his assassination in 1961. Trujillo’s rule was
a bloody authoritarian period in Dominican history; it was also a time marked by person
ality cult. However, he had a notable ‘respect’ for legal form and constitutional technicali
ties that lead him on several occasions to amend the constitution in order for it to fit his
intended actions.49 Thus, under this legalistic dictator one can observe that the actions of
the government match what the constitution specifies, but one could hardly claim that the
constitution constrained Trujillo’s behaviour.
Trujillo’s constitution did not constrain power; its ‘legalistic’ use arguably was aimed at
providing some legitimacy to the regime. A similar legitimizing role can be found in cer
tain decisions of the Argentine Supreme Court regarding the relationship between law
and power, the legitimacy and legality of military interventions, and the acts of military
regimes. These cases involved the question of whether a military coup interrupts legal
continuity and whether the new military government has the legitimacy and authority to
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Authoritarian Constitutionalism
enact valid laws.50 (p. 349) After the coup of 4 September 1930 in which General José
Félix Uriburu deposed President Hipólito Yrigoyen, the Supreme Court legitimized the de
facto regime on the grounds of the necessity to protect the country, recognizing that the
provisional government ‘possesses the military capacity to secure the nation and its citi
zens and has publicly declared that it will defend the laws of the country and the su
premacy of its constitution’.51 A similar decision, that actually cites the previous one as a
precedent, was issued by the Supreme Court on 7 June 1943 after the coup that ended
the government of President Ramón Castillo, establishing a military dictatorship.52 The
Argentine Supreme Court, thus, shed some legitimacy on autocratic governments recog
nizing their capacity to enact valid laws based on the necessity to protect the country and
the de facto government’s capacity to do so.
As we noted before, within the same authoritarian country some institutions may be in
stances of authoritarian constitutionalism (institutional constraints on power) and also of
constitutional authoritarianism (the use of the constitutional text and interpretation for
authoritarian ends). Let us present an example of this phenomenon from Mexico. Since
constitutional term-limits played a constraining role on the executive, we therefore in
cluded this as an instance of authoritarian constitutionalism. In contrast, the Mexican
Supreme Court did not limit the government during the hegemonic party era but rather
was instrumental for the government to achieve its ends.
The Mexican Supreme Court’s decisions were in several instances a legitimizing tool for
the authoritarian government. For the Supreme Court the ‘Constitution’ was not a legal
document but rather, based on Carl Schmitt’s ideas, a series of fundamental political deci
sions that underlie the juridical order made by the actual political forces, ultimately the
President of the Republic and the governing party. Therefore, the Supreme Court could
not undermine the political will embodied in the Constitution. It could, at most, mechani
cally apply the laws and regulations that were subordinated to it.53 And this is what the
Supreme Court did: case after case the court consistently held that it had no power at all
to subvert or supplant the will of the legislature and least of all of the constitution-making
power.54 The Supreme Court actually stated in a self-effacing manner that it could not ‘in
terpret the law in any way that has any transcendental effects’.55
The Mexican Supreme Court was not an institutional constraint on the authoritarian gov
ernment56 but it did play an important role within the hegemonic party system.
(p. 350)
Specifically, the Supreme Court was a helpful actor with regard to the actual governance
of the authoritarian regime, contributing to cementing the power-sharing deal of the au
tocratic governing coalition. For instance, the Supreme Court contributed to cementing
the so-called civil-military pact that was one of the pillars of stable hegemonic party rule:
in exchange for loyalty to the hegemonic party the armed forces were given an important
degree of autonomy with regard to the military’s internal functioning, training and pro
motions, along with a high level of discretion regarding expenditure.57 The Supreme
Court helped cement the civil-military pact in different ways. First, as a way of powersharing, from 1940 to 1994 ‘the presence of at least one military officer serving as a
Supreme Court justice was a constant’.58 Second, through its jurisprudence, the Supreme
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Authoritarian Constitutionalism
Court defended a broad scope of military jurisdiction where military officers charged with
crimes were tried (and usually absolved or leniently punished) by military courts. The
Supreme Court also allowed civilians to be tried in military courts, despite art. 13 of the
Mexican Constitution,59 in cases where public safety was considered to be at risk (such as
massive strikes or guerrilla uprisings).60
The last point can be generalized, as the scholarship of institutions in authoritarian
regimes has shown. In a nutshell, institutions in authoritarian regimes even if they do not
constrain the government can play an important role in autocratic governance.61 One
strand of this literature has focused on the role of political parties, legislatures, and elec
tions in maintaining power and governing by solving information, credibility, coordination
and monitoring problems.62 Another strand of this literature deals with the many relevant
functions that institutions such as courts and judges play in authoritarian regimes, high
lighting the role of a single salient court, such as the Supreme Court or the Constitutional
Tribunal, or that of the Supreme Court and a subset of lower courts, and also institutions
such as prosecutorial organs.63 These would be instances of constitutional authoritarian
ism: cases where constitutional institutions serve authoritarian goals but do not institu
tionally constrain the autocrats.
(p. 351)
16.3.3 Abusive Constitutionalism
We add two examples of this category that are worth discussing, albeit briefly, because
they should not be conflated with authoritarian constitutionalism or even with constitu
tional authoritarianism given that they take place under democracy: ‘abusive constitution
alism’ and emergency powers. The former is the use of mechanisms of constitutional
change by incumbents who want to stay in power and thus erode the democratic order, or
‘abusive constitutionalism’.64 Landau discusses the case of Venezuela, a stable democracy
for decades, where Hugo Chávez was elected president in 1998 but faced opposition from
members of the decaying but traditional parties, who continued to control majorities in
the national Congress, the Supreme Court, and state and local governments. In this con
text, using a mixture of shrewd political tactics and arguments resorting to ‘the people’
as the ultimate constitution-maker, Chávez managed to elect a favourable constituent as
sembly which produced a constitution that allowed him and his movement to govern al
most unconstrained.65 This abusive constitutionalism eventually led to the complete ero
sion of democracy in Venezuela, and it is present in other countries as well. But for our
purposes in this chapter, we underscore that this is a phenomenon that takes place under
democracy and thus is not a case of authoritarian constitutionalism. It should be empha
sized, however, that abusive constitutionalism weakens the institutional constraints on
power and thus weakens democracy itself.
Emergency powers, and their abuse, have been pointed out as the Achilles’ heel of Latin
American constitutionalism.66 But they are a means of saving democracy from a threat,
however well or ill designed,67 not a case of authoritarian constitutionalism. Colombia is a
case in point. After a relatively brief period of military rule, Colombia returned to a ‘re
stricted democracy’ in 1958 in which the two main parties agreed to alternate in the pres
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idency and to share all positions of power equally for sixteen years (the Frente Nacional)
but that also left wide portions of Colombian society under-represented.68 The forgotten
grassroots level was prey to a dynamic of an increasingly complex spiral of violence that
had been developing for decades. To deal with threats, the declaration of a state of emer
gency became the institutionally preferred option used by Colombian governments until
1991. In fact, of the forty-two years between 1949 and 1991, Colombia spent thirty-five
(83 per cent of that time) under a ‘state of exception’.69 Presidential declarations of a
‘state of exception’, not only implied the delegation of legislative powers to the executive
but also limited the (p. 352) scope of civil rights and expanded the military jurisdiction.
The ‘tool’ of the declaration of emergency proved very flexible given that the reasons for
declaring a state of exception were not always a clear challenge to internal security, but
rather some social protests such as student or labour movements,70 and the Supreme
Court did not generally restrict the government.71 In this case, constraints on power are
weakened but to face a threat to democracy, thus our clarification that emergency powers
are not an instance of authoritarian constitutionalism.72
16.4 A Fruitful Research Agenda
To finish, using the conceptual framework that we propose, we want to point at some ar
eas of future research in this topic. The first is related to regime type. Our conceptual
map rests on the possibility of unambiguously classifying dictatorships and democracies,
which can be done most of the time, but of course there are some borderline cases and
countries and periods within countries that fall in gray areas that are difficult to classify
and where the phenomenon of authoritarian constitutionalism may be more consequen
tial. Further analysis combining insights from the literature on so-called hybrid regimes73
and constitutionalism is required.
The second issue is relative to the empirical assessment of whether authoritarian consti
tutionalism is present in a country or not. As is evident from our examples, the extent to
which the law constrains under authoritarian regimes can vary depending on the issuearea (this of course is also the case in democracies). Why certain institutions are able to
effectively constrain power in authoritarian contexts, while others are not, is a question
that needs further research. In general, we know that the more the issue-area unifies the
diverse interests and values present in the authoritarian regimes’ elite the less the
regime allows institutions to constrain it: in Mexico or Chile the Supreme Court did not
constrain the regimes but the non-re-election clause in Mexico and the Constitutional Tri
bunal in Chile did limit them. Nevertheless, more research is required on the determi
nants of the efficacy of institutional constraints in these settings. Whether constitutional
ism is present in an authoritarian country may depend on a series of observable condi
tions, such as the number and type of issue-areas where institutional constraints are, the
interests involved in those areas, the structure of the ruling network, and the like.
Thirdly, as briefly noted before, it is also important to study the regime dynamics since in
stitutional limits under authoritarianism may strengthen the regime making it last longer,
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or weaken it facilitating the transition to democracy. In other words, some institutional
constraints may be a source of stability for the authoritarian regime, such as the prohibi
tion (p. 353) of executive re-election arguably was in Mexico, while others may undermine
the regime, as the Constitutional Tribunal did in Chile. This does not imply that the for
mer did not have normative advantages since by limiting power within the authoritarian
regime may make it less prone to extreme abuses (a kind of moderate authoritarianism).
Other paths to and from other cells within Table 16.1 also invite research projects. For in
stance, as mentioned above, a worrisome trend seems to be occurring in cases where
abusive constitutionalism moves towards constitutional authoritarianism (as in the case of
Venezuela) or authoritarian constitutionalism.
The final, perhaps deeper, issue is about the role that the law or the institutions are play
ing in constraining the authoritarian regime. How can we know for sure that they are
playing a causal role in motivating a restricted behaviour on behalf of authoritarian lead
ers? What other factors are necessary for such constraints to be effective? In Chile the
autonomy and real power of each military branch within the armed forces seems to have
been the engine behind the enforcement of the rules established in the Constitution of
1980.74 In Mexico, in contrast, the hegemonic-party system of the PRI developed a mech
anism of rotation of all positions of power that was behind the enforcement of the non-reelection clause established in art. 83. The definition and sources of the efficacy of consti
tutions75 is a pending topic not only in authoritarian regimes.76
Acknowledgements
We would like to thank Susan Tomae for her careful revision of the English. Andrea Pozas
acknowledges the support of the PASPA fellowship.
Notes:
(1) Mark Tushnet, ‘Authoritarian Constitutionalism’ (2015) 100(1) Cornell Law Review
391, 420.
(2) Jeremy Waldron, ‘The Rule of Law and the Importance of Procedure’ in James Fleming
(ed), Getting to the Rule of Law (New York University Press 2011).
(3) Roberto Gargarella, Latin American Constitutionalism, 1810–2010: The Engine Room
of the Constitution (OUP 2013).
(4) Gabriel Negretto, ‘Authoritarian Constitution-Making The Role of the Military in Latin
America’ in Tom Ginsburg (ed) Constitutions in Authoritarian Regimes (CUP 2014).
(5) Juan Linz, Totalitarian and Authoritarian Regimes (Lynne Rienner 2000).
(6) Stephen Holmes, Passions and Constraint: On the Theory of Liberal Democracy
(Chicago University Press 1995); MJC Vile, Constitutionalism and the Separation of Pow
ers (Liberty Fund 1967).
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(7) Robert Barros, Constitutionalism and Dictatorship: Pinochet, the Junta, and the 1980
Constitution (CUP 2002); Tushnet, (n 1) 420.
(8) Turkuler Isiksel, ‘Between Text and Context: Turkey’s Tradition of Authoritarian Con
stitutionalism’ (2013) 11(3) ICON International Journal of Constitutional Law 702; Rober
to Niembro, ‘Desenmascarando El Constitucionalismo Autoritario’ in Roberto Gargarella
and Roberto Niembro (eds), Constitucionalismo Progresista: Retos Y Perspectivas. Un
Homenaje a Mark Tushnet (UNAM 2016); Somek, ‘Authoritarian Constitutionalism: Aus
trian Constitutional Doctrine 1933 to 1938 and Its Legacy’ in Christian Joerges and
Navraj Singh Ghaleigh (eds), Darker Legacies of Law in Europe: The Shadow of National
Socialism and Fascism over Europe and Its Legal Traditions (Hart 2003).
(9) Note that this use of ‘constitutionalism’ is also present in related constitutional discus
sions. For instance, in Landau’s ‘abusive constitutionalism’ ‘constitutionalism’ merely
means ‘the use of mechanisms of constitutional change’: David Landau, ‘Abusive Constitu
tionalism’ (2013) 47(1) University of California Davis Law Review 189, 195.
(10) Andreas Schedler, Concept Formation in Political Science (2010).
(11) Isiksel (n 8). Similarly, Somek defines authoritarian constitutionalism as the accom
modation of judicial and doctrinal discourse to a government that is undoubtedly authori
tarian: see Somek (n 8) 362. For Niembro authoritarian constitutionalism is a ‘sophisticat
ed way of exercising power by elites with an authoritarian mentality in states with an in
cipient democratic development . . . to foster authoritarian aims’: see Niembro (n 8) 224.
(12) Isiksel (n 8) 705.
(13) Ibid 711.
(14) Barros (n 7) 20.
(15) Tushnet (n 1) 396.
(16) See Section 16.3.1, below, for a discussion on Tushnet’s conception of authoritarian
ism.
(17) Tushnet (n 1) 416, n 135.
(18) Ibid 438.
(19) Landau (n 9) 195.
(20) Brian Loveman, The Constitution of Tyranny: Regimes of Exception in Spanish Ameri
ca (University of Pittsburgh Press 1993).
(21) The dependency of these two concepts is the focus of an extensive and familiar dis
cussion: see Robert Dahl, Polyarchy: Participation and Opposition (Yale University Press
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1971); Adam Przeworski, Democracy and the Market (CUP 1990); and Joseph Schum
peter, Capitalism Socialism and Democracy (Harper 1962).
(22) Przeworski (n 21).
(23) Freedom House, 2005 Freedom in the World (Freedom House 2005).
(24) Adam Przeworski, Michael E Alvarez, Jose Antonio Cheibub, and Fernando Limongi,
Democracy and Development: Political Regimes and Economic Well-Being in the World,
1950–1990 (CUP 2000) 15.
(25) José Antonio Cheibub, Jennifer Gandhi, and James Raymond Vreeland, ‘Democracy
and Dictatorship Revisited’ (2009) 143 Public Choice 67.
(26) Tushnet (n 1) 448.
(27) Tushnet (n 1) 432.
(28) Ibid 425.
(29) See Andrea Pozas-Loyo, Constitutional Efficacy Under Autocracy? Presidential Term
Limits in Mexico, 1917–2000 (Mexico City 2017). It is noteworthy that Tushnet (n 1) 393
identifies Mexico in this period as an example of ‘authoritarian constitutionalism’.
(30) Note that in this framework cases that other authors have discussed as instances of
‘authoritarian constitutionalism’ (like Turkey or Venezuela) would start out as democra
cies with instances of abusive constitutionalism. As these cases become autocracies they
can transit to constitutional authoritarianism (if there are no effective constraints on pow
er), or authoritarian constitutionalism if some institutional limits remain effective.
(31) We do not include illustrations of this category.
(32) A relatively recent scholarship on so-called ‘hybrid regimes’ and autocratic institu
tions has made progress in this regard but the debate is not yet settled. See e.g. Tom
Ginsburg and Tamir Moustafa, Rule by Law: The Politics of Courts in Authoritarian
Regimes (CUP 2008); Lagacé, Boulianne, and Gandhi, ‘Authoritarian Institutions’ in Jen
nifer Gandhi and Rubén Ruiz-Rufino (eds), Routledge Handbook of Comparative Political
Institutions (Routledge 2015); Steven Levitsky and Lucan Way, Competitive Authoritarian
ism: Hybrid Regimes After the Cold War (CUP 2010); Julio Ríos-Figueroa and Paloma
Aguilar, ‘Justice Institutions in Autocracies. A Framework for Analysis’ (2018) 25(1) De
mocratization 1; and Andreas Schedler, The Politics of Uncertainty: Sustaining and Sub
verting Electoral Authoritarianism (OUP 2013); and Milan Svolik, The Politics of Authori
tarian Rule (CUP 2012).
(33) Barros (n 7) 1.
(34) Ibid xi.
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(35) Lisa Hilbink, Judges Beyond Politics in Autocracy and Democracy: Lessons From Chile
(CUP 2007).
(36) Political Constitution of the Republic of Chile 1980 (Constitución Política de la
República de Chile).
(37) Barros (n 7) ch 7.
(38) Political Constitution of the United Mexican States 1917 (Constitución Política de los
Estados Unidos Mexicanos).
(39) Valdés Ugalde, La Regla Ausente. Democracia Y Conflicto Constitucional En México
(FLACSO 2012).
(40) Tushnet (n 1) 425.
(41) Constitution (Mexico, n 38) art 83.
(42) See Pozas-Loyo (n 29) for a discussion of the enforcement of this article and an ac
count of President Alemán’s attempt of re-election.
(43) Ibid.
(44) Constitution of the Federative Republic of Brazil 1967 (Constituição da República
Federativa do Brasil de 1967), revoked by Constitution of the Federative Republic of
Brazil 1988 (Constituição da República Federativa do Brasil de 1988).
(45) Anthony Pereira, Political (In)Justice: Authoritarianism and the Rule of Law in Ar
gentina, Brazil, and Chile (University of Pittsburgh Press 2005) 72.
(46) Ibid 6.
(47) A remarkable feature of the Brazilian political trials is their relatively high acquittal
rate. ‘One source indicates that the acquittal rate at the level of the regional military
courts was 48 per cent (Heinz 1992, 90). My sample of two hundred fifty-seven cases in
volving two thousand one hundred nine defendants he reveals an acquittal rate that is
even higher: 54 per cent in the regional military courts’: see Pereira (n 45) 76–77.
(48) Pereira (n 45) 82.
(49) Jacobo Espinal, Constitutionalism and Democracy in the Dominican Republic
(University of Virginia Press 1997).
(50) For a similar line of cases in Pakistan, see Tayyab Mahmud, ‘Pretorianism and Com
mon Law in Post-Colonial Settins: Judicial Responses to Constitutional Breakdowns in
Pakistan’ (1993) 4 Utah Law Review 1226; and Tayyab Mahmud, ‘Jurisprudence of Suc
cessful Treason: Coup d’Etat & Common Law’ (1994) 27(1) Cornell International Law
Journal 49.
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(51) See ‘Acordada sobre el reconocimiento del gobierno provisional de la nación’, 10 Sep
tiembre 1930 <www.saij.gob.ar/corte-suprema-justicia-nacion-federal-ciudad-autonomabuenos-aires-acordada-sobre-reconocimiento-gobierno-provincial-nacionfa30996876-1930-09-10/123456789-678-6990-3ots-eupmocsollaf> accessed 21 February
2017.
(52) See ‘Acordada sobre el reconocimiento del gobierno surgido de la revolución del 4 de
junio de 1943’, 7 Junio 1943 <www.saij.gob.ar/corte-suprema-justicia-nacion-federal-ciu
dad-autonoma-buenos-aires-acordada-sobre-reconocimiento-gobierno-surgido-revolu
cion-4-junio-1943-fa43996949-1943-06-07/123456789-949-6993-4ots-eupmocsollaf> ac
cessed 21 February 2017.
(53) José Ramón Cossío and Luis Raigosa, ‘Régimen Político e Interpretación Constitu
cional en México’ (1996) 5(3) Isonomía: Revista de Teoría y Filosofía del Derecho 41, 47.
(54) José Ramón Cossío, La Teoría Constitucional de La Suprema Corte de Justicia
(Fontamara 2002) 114.
(55) See ‘Apéndice al Semanario Judicial de la Federación 1917–1988, segunda parte, tesis
1337, p. 2165’, quoted by Cossío (n 54) 125.
(56) The Supreme Court very rarely served as a check on lower judges, prosecutors, gov
ernors, executive officials in issues that were important for the regime. For instance, in
one infamous decision, the Mexican Supreme Court decided that confessions extracted by
prosecutors using physical force (namely, torture) were acceptable as evidence in a trial if
there were other pieces of evidence that corroborated the confession (Tesis de Jurispru
dencia. Semanario Judicial de la Federación. Amparos Directos 151/90 y 251/90. Primera
Sala, Octava Época, tomos VII-Enero y X-Septiembre, 193 and 248).
(57) Mónica Serrano, ‘The Armed Branch of the State: Civil–Military Relations in Mexi
co’ (1995) 27(2) Journal of Latin American Studies 423, 433.
(58) José Antonio Caballero ‘Amparos y Abogánsters. La Justicia En México Entre 1940 y
1968’ in Elisa Servín (ed), Del Nacionalismo Al Neoliberalismo (1940–1994) (FCE 2010)
157–58.
(59) Constitution (Mexico, n 38) art 13.
(60) Julio Ríos-Figueroa, Constitutional Courts as Mediators: Armed Conflict, Civil–Mili
tary Relations, and the Rule of Law in Latin America (Cambridge University Press 2016),
ch 5.
(61) See Lagacé and Gandhi (n 32).
(62) Jennifer Gandhi, Political Institutions Under Dictatorship (CUP 2008); Beatriz Maga
loni, ‘Credible Power-Sharing and the Longevity of Authoritarian Rule’ (2008) 41 Compar
ative Political Studies 715; and Svolik (n 32).
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(63) See Ginsburg and Moustafa (n 32); Hilbink (n 35); and Ríos-Figueroa and Aguilar (n
32).
(64) Landau (n 9).
(65) Ibid 203–7.
(66) Loveman (n 20).
(67) John Ferejohn and Pasquale Pasquino, ‘The Law of the Exception: A Typology of
Emergency Powers’ (2004) 2(2) International Journal of Constitutional Law 210.
(68) Ana María Bejarano and Eduardo Pizarro, ‘From “Restricted” to “Besieged”: The
Changing Nature of the Limits of Democracy in Colombia’ in Frances Hagopian and Scott
Mainwaring (eds), The Third Wave of Democratization in Latin America: Advances and
Setbacks (CUP 2005).
(69) Rodrigo Uprimny, ‘Entre El Protagonismo, La Precariedad Y Las Amenazas: Las
Paradojas de La Judicatura’ in Francisco Leal Buitrago (ed), En La Encrucijada: Colombia
En El Siglo XXI (Norma 2016).
(70) Marta Patricia Perdomo, ‘La Militarización de La Justicia. Una Respuesta Estatal a La
Protesta Social (1949–1974)’ (2012) 76(2) Análisis Político 83.
(71) Ariza, Cammaert and Iturralde, Estados de Excepción Y Razón de Estado En Colom
bia (Universidad de los Andes 1997). See also Mauricio García Villegas and Rodrigo Up
rimny, ‘La Normalization de L’exceptionnel. Sur Le Contrôl Jurisdictionnel Des États
D’urgence En Colombie’ in Marie Julie Bernard and Michel Carraud (eds), Justice et Dé
mocratie En Amérique Latine (Grenoble 2005).
(72) Colombia from 1946 to 1958 offers an interesting case for studying transitions to and
from some of the categories proposed in our framework, exploring, among other things,
the gradation between categories that we present (by necessity) in a binary fashion: see
Camilo Castillo Sánchez, El Origen de La Cooptación En La Elección de La Suprema
Corte de Justicia (1949–1957) (Universidad del Rosario 2017).
(73) See Levitsky and Way (n 32); and Schedler, The Politics of Uncertainty (n 32).
(74) Barros (n 7).
(75) Andrea Pozas-Loyo, Constitutional Efficacy (New York University Press 2012).
(76) Tom Ginsburg and Aziz Huq, Assesing Constitutional Performance (CUP 2016).
Andrea Pozas-Loyo
Andrea Pozas-Loyo, Associate Professor, National University in Mexico (UNAM).
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Julio Ríos-Figueroa
Julio Ríos-Figueroa, Associate Professor, ITAM School of Law, Mexico City.
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