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Coup Agency and Prospects For Democracy
Coup Agency and Prospects For Democracy
HOLGER ALBRECHT
University of Alabama
KEVIN KOEHLER
AUSTIN SCHUTZ
University of Alabama
This research note introduces new global data on military coups. Conventional aggregate data so far have conflated two distinct
types of coups. Military interventions by leading officers are coups “from above,” characterized by political power struggles
within authoritarian elite coalitions where officers move against civilian elites, executive incumbents, and their loyal security
personnel. By contrast, power grabs by officers from the lower and middle ranks are coups “from below,” where military
personnel outside of the political elite challenge sitting incumbents, their loyalists, and the regime itself. Disaggregating coup
types offers leverage to revise important questions about the causes and consequences of military intervention in politics.
This research note illustrates that coup attempts from the top of the military hierarchy are much more likely to be successful
than coups from the lower and middle ranks of the military hierarchy. Moreover, coups from the top recalibrate authoritarian
elite coalitions and serve to sustain autocratic rule; they rarely produce an opening for a democratic transition. Successful
coups from below, by contrast, can result in the breakdown of authoritarian regimes and generate an opening for democratic
transitions.
Esta nota de investigación presenta nuevos datos globales sobre los golpes militares. Hasta el momento, los datos agregados
convencionales han combinado dos tipos distintos de golpes de Estado. Las intervenciones militares de los principales oficiales
son golpes “desde arriba,” caracterizados por luchas de poder político dentro de coaliciones de élite autoritarias donde los
oficiales actúan contra las élites civiles, los jefes del poder ejecutivo y su personal de seguridad leal. Por el contrario, las tomas
de poder por parte de los oficiales de los rangos inferiores y medios son golpes “desde abajo,” en los que el personal militar
ajeno a la élite política desafía a los titulares en ejercicio, a sus leales y al propio régimen. El desglose de los tipos de golpe
ofrece una ventaja para analizar cuestiones importantes sobre las causas y las consecuencias de la intervención militar en la
política. Esta nota de investigación ilustra que los intentos de golpe de Estado desde la cúspide de la jerarquía militar tienen
muchas más probabilidades de éxito que los golpes desde los rangos inferiores y medios. Además, los golpes de Estado desde
la cúspide recalibran las coaliciones autoritarias de la élite y sirven para sostener un gobierno autocrático; rara vez, producen
una apertura para una transición democrática. Por el contrario, los golpes de Estado “desde abajo” pueden provocar el colapso
de los regímenes autoritarios y generar una apertura para las transiciones democráticas.
Cet exposé de recherche introduit de nouvelles données mondiales sur les coups d’État militaires. Les données agrégées con-
ventionnelles faisaient jusqu’ici un amalgame entre deux types distincts de coups d’État. Les interventions militaires menées
par des officiers de haut rang sont des coups d’État « par le haut », qui sont caractérisés par des luttes de pouvoir politique au
sein de coalitions d’élites autoritaires où les officiers agissent contre les élites civiles, les dirigeants en place et le personnel de
sécurité qui leur est loyal. En revanche, les prises de pouvoir par des officiers des rangs inférieurs et intermédiaires sont des
coups d’État « par le bas » dans le cadre desquels des militaires n’appartenant pas à l’élite politique, s’opposent aux personnes
en place, à celles qui leur sont loyales et au régime en lui-même. La désagrégation de ces différents types de coups d’État
offre l’avantage de pouvoir réétudier d’importantes questions sur les causes et les conséquences de l’intervention militaire
en politique. Cet exposé de recherche illustre le fait que les tentatives de coup d’État par les hauts rangs de la hiérarchie
militaire sont bien plus susceptibles de réussir que les tentatives de coup d’État par les rangs inférieurs et intermédiaires de
cette hiérarchie. De plus, les coups d’État par le haut recalibrent les coalitions d’élites autoritaires et contribuent à maintenir
le régime autocratique; ils produisent rarement d’ouverture pour une transition démocratique. À l’inverse, les tentatives de
coup d’État par le bas qui réussissent peuvent entraîner l’effondrement du régime autoritaire et générer une ouverture pour
des transitions démocratiques.
Africa, including the politics of military institutions and stability and change in
Holger Albrecht is professor in Political Science at the University of Alabama. elite alignments.
His research focuses on civil-military relations, authoritarian regimes, and conflict Austin Schutz is a PhD candidate in Political Science at the University of Al-
in the Middle East and North Africa. abama. He researches civil conflict, human rights, and group representation in
Kevin Koehler is assistant professor of Comparative Politics at Leiden Uni- global politics.
versity. His research focuses on authoritarian rule in the Middle East and North Author’s note: Funding for this project came from the University of Alabama
and Leiden University. We thank the editors and anonymous reviewers for insight-
Albrecht, Holger et al. (2021) Coup Agency and Prospects for Democracy. International Studies Quarterly, https://doi.org/10.1093/isq/sqab079
© The Author(s) (2021). Published by Oxford University Press on behalf of the International Studies Association. This is an Open Access article distributed under the terms of the
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2 Coup Agency and Prospects for Democracy
The past decade has seen a substantial surge in research their recalibration. This may lead to the establishment of a
on military coups d’état. This lively research agenda focuses new authoritarian regime coalition but might also generate
primarily on the causes and consequences of military in- an opening for a democratic transition.
tervention in politics. Systematic studies have been made The remainder of this research note is organized in three
possible by major advances in cross-national data collection parts. We first introduce the CAM dataset and discuss our
that have expanded the empirical playing field across time coding strategies, differences with existing datasets, and
and beyond regional clusters of countries. This research some illustrative observations. The subsequent section pro-
note introduces new data on military coups. Building on vides the background against which we develop our argu-
prior data collection efforts, the Coup Agency and Mecha- ment and advances our expectations about the relationship
nisms (CAM) dataset covers all countries in the period 1950– between coup agency and the prospects of democratization.
2017.1 In addition to cross-validating the overall universe of In the third part, we test these propositions by modelling
Table 1. Coup Datasets Compared5 all numbers disguise some differences. Taken together, our
coding process led us to exclude 34 coups from the PT11
CAM (1950–2017) list and to include 37 other events not contained in the data
Coups 477 (see table A1 in the appendix).8
Combat officer 286 Variation in coding decisions between CAM and PT11
Success 229
stems from several factors. For one, we added several coup
Powell and Thyne (1950–2017) episodes where we had enough evidence to suggest they
Coups 475 met our operating definition of military coups d’état as un-
Success 235 constitutional and overt attempts by military officers to replace sit-
Marshall and Marshall (1950–2017) ting executive incumbents.9 For another, we dismissed a small
Coups 530 number of coup events coded in PT11 owing to the lack of
was led by Colonel Nasser to marginalize General Naguib). 0 50 100 150 200
We code the first as a combat officer coup (despite the pres-
ence of a general), and the second as an elite officer coup
Any coup Combat officer coups Successful coups
(despite being led by a colonel) because Nasser in 1954 was
a member of the military junta despite his lower rank in the
military hierarchy.10 Figure 1. Coups by Region.
Our rationale to depart from exclusively rank-based dif-
ferences between officers is straightforward. Empirically, tempts) than combat officers (29 percent). Another obser-
many developing countries have experienced inflationary vation from our data is that, despite meager success rates,
tendencies in promotion patterns, with military apparatuses the share of combat-officer coups among all coups has in-
featuring a large number of senior officers in higher ranks. creased in the past two decades. Since 2000, combat officers
Yet, we remain ultimately interested in distinguishing be- have attempted 36 of 54 coups (66.7 percent), compared to
tween coup attempts by officers from within political elites a share of 59.9 percent of all coups.
and coup plots by officers for whom military service is pri- These findings remind us that elite officers have superior
marily a job, defined by a monthly salary rather than a stake capacities to coordinate for coup plots compared to their
in political power. This is the distinction reflected in our junior colleagues (Albrecht and Eibl 2018). In that same
coding of coup agents. Elite officer coups are staged by mil- vein, Singh (2014) has argued before that coups attempted
itary officers who are simultaneously part of the political by low-ranking officers are less successful because they lack
elite, while combat officer coups are executed by members the “soft power” to make a coup appear a fait accompli. The
of the military who remain excluded from political power. differences in success rates support these suggestions about
Figure 1 illustrates the geographic distribution of military the mechanisms of military coups and encourage us to re-
coup attempts across the globe. Not surprisingly, our data view accounts about the causes and driving forces of mili-
corroborate previous findings that coups have been most tary coup attempts, but also our understanding of the con-
prevalent in Sub-Sahara Africa and Latin America, while sequences of military coups for political change.
Asia and the Middle East and North Africa have also expe-
rienced a substantial number of coups. Europe has experi- The Effects of Coup Agency on Regime Trajectories
enced comparatively fewer coups after World War II. The Does coup agency matter in terms of the consequences
data also reveal some interesting similarities and differences of military intervention? Are coups plotted and executed
across world regions. While success rates of coup attempts by combat officers different from those perpetrated by
are remarkably similar, world regions show significant dif- elite officers? In this section, we explore our data to show
ferences regarding coup agents. Chances of coups by com- that coup agency does indeed make a difference empir-
bat officers are particularly high in sub-Sahara Africa (65.7 ically. We illustrate the effects of coup agency by draw-
percent) followed by the MENA region (61.5 percent) and ing on a central discussion in the extant literature on
the Americas and Caribbean (57.8 percent). In turn, Asian military coups, namely the debate on the regime-level out-
countries appear to be at a higher risk of coups from within comes of military intervention in terms of democratization
the political elite, with a mere 45.2 percent of coup attempts and regime change more generally (Marinov and Goemans
originating from within the lower ranks. 2014; Derpanopoulos et al. 2016; Miller 2016; Thyne and
Figure 2 illustrates success rates of coup attempts across Powell 2016). We show that, while successful combat officer
time and agency. The data reveal intriguing insights into coups are sometimes associated with democratization, elite
the chance that coups will lead to the ousting of political officer coups promote adverse regime change. These initial
incumbents. Aggregate success rates give rise to the expec- findings strongly suggest that taking agency systematically
tation that coup plotters have a roughly 50 percent chance into account will have a major impact on the direction of
to succeed (Lachapelle 2020). Yet, success in coup plots is ongoing discussions in the study of military coups.
not random. As our data show, elite officers are significantly
more likely to prove victorious (in 76.4 percent of coup at-
Coup Agency and Regime Change
10
In total, De Bruin’s (2020) data contain information on 381 of our 477 The research program on military coups has generated
coups. Table A2 in the appendix lists the coding differences between CAM and distinct perspectives on coups’ likely outcomes for po-
De Bruin when it comes to coup agency. litical regimes. Case-study research has produced mixed
HOLGER ALBRECHT ET AL. 5
1950−1954 7 2 5 5
1955−1959 12 3 5 20
1960−1964 15 5 12 24
1965−1969 23 5 13 19
1970−1974 19 5 4 19
1975−1979 19 3 10 22
1985−1989 10 3 8 19
1990−1994 8 7 3 23
1995−1999 9 3 3 7
2000−2004 2 2 3 17
2005−2009 5 21
2010−2014 5 2 3 8
2014−2017 11 2
0 20 40 60
results on the question whether coups serve as “midwives” or ity, economic development, and democratic consolidation.
“gravediggers” of democratic transition and consolidation Albert Trithart (2013) hints at the erosion of democratic
(Kuehn 2017; see also Bou Nassif 2017). Some scholars have procedures and institutions as a precursor of coups. Oisín
been inspired by the simultaneous occurrence of coups and Tansey (2016) most forcefully argues that successful coup
popular mass uprisings, exemplified in historical examples, plotters may in fact respond to international calls for democ-
such as the 1974 “Carnation Revolution” in Portugal, and racy to establish democratic elections, only to reemerge as
more recent events during the 2011 Arab Spring uprising in authoritarian leaders in the long run.
Egypt (Varol 2012), or the 2019 protests in Algeria and Su- Systematic studies drawing on large-N coup event data
dan. In this argument, military restraint in the face of mass have also produced somewhat inconclusive findings. Paul
mobilization is a necessary condition for the success of rev- Collier (2009) established the contention that “coups and
olutions (Pion-Berlin, Esparza, and Grisham 2012; Barany the threat of coups can be a significant weapon in fostering
2016; Koehler 2017). The argument also often rests, at least democracy.” Empirically examining this contention, Clayton
implicitly, on the premise of “military-opposition alliances” Thyne and Jonathan Powell show that coups can present
(Nepstad 2011, 485) and hence a congruence of prefer- a “window of opportunity for the promotion of democra-
ences among pro-democracy protestors and coup plotters, tization” (Thyne and Powell 2016, 194; see also Chacha and
rendering the latter a force for pro-democracy regime tra- Powell 2017), even though they are careful to highlight the
jectories. negative consequences of coups in terms of democratic sta-
Other scholars, however, have emphasized the unruly, bility. Nikolay Marinov and Hein Goemans (2014) hint at
unconstitutional nature of military power grabs. Marcos a possible mechanism linking coups to democracy by evok-
Degaut (2019) cautions that, in revolutionary situations, the ing increased Western pressure to comply with the strong
interests of revolutionaries and officers do not necessar- democracy norm in the post-Cold War international order.
ily align. Similarly, Amy Austin Holmes and Kevin Koehler At the same time, their study introduces a caveat to the
(2020) use public opinion data to show that even in cases proposition that coups promote democracy. They find sup-
where the military overthrows an unpopular ruler in the port for the period after 1991, while coups during the Cold
context of wide-spread opposition against the regime, re- War era do not appear to generate democracy-promoting
jection of the status quo does not necessarily imply popu- effects.11
lar support for military intervention. Andrew Miller (2010)
argued that coups in sub-Sahara Africa may have led to a 11
It is difficult to compare the findings of Marinov and Goemans (2014) di-
phase of political opening immediately after the take-over by rectly to the arguments advanced by others in the literature since their definition
military officers; yet, they failed to produce political stabil- of a coup diverges substantially. In particular, Marinov and Goemans find that
6 Coup Agency and Prospects for Democracy
Somewhat counterintuitively, however, Grewal and combat officers are political outsiders, their interventions
Kureshi (2019) find that successful coup plotters against in domestic politics are likely to aim at a reconfiguration of
democratically elected incumbents are less likely to justify elite coalitions and the underlying recruitment processes.
their power grabs through democratic elections, echoing Even if democratization might not be their actual purpose,
Nancy Bermeo’s finding that “promissory coups”—where such attempts at triggering fundamental political change
plotters promise to defend democracy—rarely ever lead are more likely to prompt periods of protracted uncertainty
to democracy (Bermeo 2016). Michael Miller (2012) also and open avenues for democratization than more status-quo
reaches beyond simplistic explanations by arguing that oriented interventions by elite officers. A successful combat
coups can make democratization more likely, in particular officer coup by definition implies the rise to power of elite
if they were preceded by a period of economic develop- outsiders.
ment. Derpanopoulos et al. (2016) most directly dismiss the The logic of elite officer coups is quite different. They
and 4). The dependent variables are drawn from the same finally, control for different forms of temporal
data, follow the operationalization there, and capture a total dependence.
of 116 instances of democratization and 114 episodes of The results clearly show that elite and combat officer
adverse regime change (Geddes, Wright, and Frantz 2014). coups have different effects for prospects of regime change.
We report results for all coups, attempted and successful, in Model 1 shows the positive effect of coups on the likelihood
table 2. We also ran the analysis separately for success- of democratic transitions which has been reported in prior
ful coups only and report these results in the appendix research (Thyne and Powell 2016); Model 2, however, makes
(table A3). In all models, we cluster standard errors in clear that this effect is exclusively due to a specific type of
regime spells to correct for potential within-cluster depen- coups: while combat officer coups increase the likelihood
dence of the residuals. The substantive results, however, are of a democratic transition by about 105 percent, elite offi-
not sensitive to this modeling choice. cer coups do not exert a significant effect. Turning to ad-
For each dependent variable, we first display a model verse regime change, both combat and elite officer coups
including a general coup variable (Models 1 and 3) and significantly increase the likelihood of a transition from one
then a model differentiating between combat and elite authoritarian regime to another. The probability of adverse
officer coups (Models 2 and 4). In all models we also regime change increases seven-fold if a combat officer coup
include regime type controls and (logged) leader duration took place in the same year or the two years prior and even
to account for potential effects of prior autocratic regime more than ten-fold if an elite officer coup occurred.
characteristics; variables measuring a country’s democratic To further test the robustness of our findings on the
history and the global proportion of democracies help differential effects of discrete coup types on the likeli-
control for the impact of democratic experience and hood of democratization, we also reproduced the most
potential diffusion effects; (logged) per capita GDP and prominent analyses on this question in the existing lit-
annual change in GDP per capita account for the effect erature (namely the models by Thyne and Powell 2016;
of economic development; a Cold War dummy and sim- Derpanopoulos et al. 2016; and Marinov and Goemans
ple, squared, and cubed versions of regime duration, 2014). Across these different specifications, we consistently
8 Coup Agency and Prospects for Democracy
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Appendix
Table A1. Coding Differences between Powell and Thyne (2011) and CAM
Country PT11 CAM
Country Date Type Date Type Reason
* The 18 December 1966 event in Sudan is identical with the 28 December 1966 event; we removed the earlier instance.
HOLGER ALBRECHT ET AL. 11
Table A3. Coup Agency and Regime Change (successful coups only)