Can Theories of Natural Law or Utilitarianism Justify the Use of Capital Punishment?


This question will be addressed in two natural parts, firstly with reference to Natural Law and secondly discussing a utilitarian approach. This paper will consider capital punishment in the context of the common good, retribution and conflict with sanctity of life. Utilitarian justifications of deterrence, mistake, incapacitation, and societal demand will then be discussed.  The analysis of these arguments will be based on the teachings of Aquinas, Bentham, and Mill in order to assess their compliance with their respective theories. It will be shown that neither Natural Law nor utilitarianism is able to justify the usage of capital punishment.

I

In a Natural Law assessment of punishment, Aquinas states, presuming an individual person ‘stands in relation to a whole’,[1] it is justified on that basis, to execute that person if it were to protect and maintain the common good.[2] He qualifies this by saying that those who sin  deviate from rational order, surrendering their human worthiness in doing so, and it is therefore justified to kill that person just as it is justified to kill a beast. For an evil man is worse than a beast and more harmful.[3] A difficulty with this argument is that capital punishment is not necessarily required to preserve the common good. Alternatives such as banishment or imprisonment may be equally effective in doing this.[4] If a primary objective is to preserve the common good, it does not denote what kind of punishment is required to achieve that preservation, only that preservation itself is needed. If capital punishment is not required, it follows that a less severe punishment might be preferred if it is just as effective.


Finnis develops this by stating legal sanctions constitute punishment, and are ‘required in reason to avoid injustice, to maintain a rational order or proportionate equality, or fairness’ for society.[5] He goes on to say that punishment ‘rectifies a disturbed pattern’[6] and therefore it is justified to rectify that by creating a proportionate disturbance onto the original offender. However, this position strongly resembles one of restitution, to which Grisez responds by saying that it is obvious that the death penalty does not accomplish this. Victims of crime do not gain anything when a criminal is executed.[7] If anything, capital punishment limits restitution, as the criminal ceases to be able to perform rectifying measures when he is put to death; where capital punishment is framed in this sense, it is perhaps unwarranted.


An assessment of capital punishment is not complete without an examination of retributive justice.[8] Calvert submitted that is was beyond doubt that retributive features of punishment were a part of Natural Law theory.[9] In a state of nature, injured individuals seek this against one another in accordance with Natural Law, and in a state of government, this is enforced through law.[10] Kant’s description of retributivism is perhaps the ‘most influential’[11] where he submits that ‘if…he has committed a murder, he must die’ and they must be executed ‘so that each has done to him what his deeds deserve’.[12] Kant went as far as to say retribution was the only justification for punishment,[13] but rejected the teleological arguments of Aquinas.[14] Kant’s ‘stringent’[15] version of this justification is seldom used to defend punishment with retribution alone.[16] What this suggests is that certain punishments might need to find other validations, other than retribution, if it is to be justified. Nevertheless, Calvert finds that this interpretation of Thomistic retributivism enjoys an important status within Natural Law and thus its examination is necessitated.[17] Bedau splits the retributive argument into two principles. Firstly, that crimes ought to be punished, and secondly that the severity of the punishment ought to be proportional to the offence.[18]


An examination of this first argument surfaces no assistance in determining what methods crimes should be punished,[19] only that crime per se should be punished. If the lex talionis principle of an ‘eye for an eye’ is used to justify capital punishment for murder, it sits rather uncomfortably within justice systems that could not permit the same application for all crimes.[20] As Bix states, what is the proposed punishment for tax fraud under lex talionis?[21] Furthermore, this doctrine fails in another respect, as it supposed that all murderers are to be executed, without qualification. Equally, why do those who inflict heinous disfigurement or torture to their victims escape a harsher penalty, whereas a mercy killer would not? Additionally, if a punishment is to be a mirror of its crime, an incredibly small number of murders resemble anything like that of an execution.[22] As Camus explains, the death penalty could only give equal punishment to those who had warned their victim of their scheduled death, kept them captive for months prior, then killed them.[23] Consequently, lex talionis cannot account for varying degrees of severity within the crime of murder, and cannot apply universally to all criminal offences. Therefore, it is perhaps inappropriate as a moral justification of capital punishment.


Abandoning lex talionis, a secondary retributive argument maintains that as murder is the most severe of crimes, it should receive a proportionally severe punishment.[24] Again, this argument does not justify the death penalty in itself, as it leaves the following question unanswered: what is proportionally severe? This question is unhelpful as it leaves ‘ample room for controversy’.[25] Yet this principle need not be rejected as it is compatible with systems of imprisonment. Bedau argues that it is quite possible for this doctrine to be accepted by a Natural Law theorist but that it does not justify capital punishment any more than it justifies maiming or torture.[26] Finnis concurs, and states that there is no ‘absolute measure of due punishment’, such as lex talionis, for it incorrectly focuses on the consequences of a criminal act rather than its ‘formal wrongfulness’.[27] Seemingly, retributive arguments, although strong in substance when justifying punishment generally, fail in justifying specific penalties.


Where Natural Law maintains retributive features, it perhaps does not follow if capital punishment is to be rejected one need not reject a general Natural Law theory too. If retributive is a form of vengeance, as Schwed accepts it is,[28] then it is perhaps a primitive concept which society has progressed to condemn. It follows that we should reject it in a civilised society.[29] Where Aquinas clearly found support for capital punishment within Natural Law, the question then becomes: can Natural Law change? Although primary precepts of Natural Law are unchangeable, capital punishment is a secondary precept,[30] as it is a remote conclusion[31] from the sustaining of the good of human life.[32] As secondary precepts can change when additional sources of moral obligation are discovered,[33] it follows that if Schwed’s above assertion is accepted, approval of Natural Law may no longer denote approval of capital punishment. Consequently, Aquinas’ theory may survive even in a climate that denounces the death penalty.


Furthermore, it is argued that the notion that crimes ought to be punished by death is perhaps in immediate conflict with the primary Natural Law precept of the sanctity of human life.[34] If accepted, it is argued that the death penalty becomes morally indefensible ab initio.[35] Locke however views this primary precept as a right to life, and argues it is forfeited when a person has violated that right in another, or commits an act deserving death.[36] Yet this doctrine of forfeiture encounters the same problem as Aquinas’ theory of the common good, it applies the death penalty ‘sweepingly’, and equally justifies application to relatively minor offences.[37] It is further flawed as it does not determine to whom such right is forfeited, nor does it stipulate whether it can be restored.[38] Furthermore, it is submitted that there is a difference between forfeiting one’s right to life, and forfeiting one’s life. It does not suppose that there is a duty on whoever that right is forfeited to, that they must destroy it.[39] Locke’s theory is drawn from the presumptions that punishment must be retributive. Yet Locke fails to consider alternative punishment as being equally retributive in nature, and that ‘there is no intrinsic feature of any natural right…that makes it subject to loss through forfeiture.’[40] It is seen perhaps that Natural Law is unable to deduce the customs of punishment, and is therefore ill equipped to provide justification for the death penalty.[41]

II


            Turning to a utilitarian assessment, the foundation of the theory states that the test for judging social arrangement is whether they maximise utility, or, whether they achieve the greatest happiness of the greatest number.[42] This is termed the ‘felicific calculus’. This paper adopts a ‘rule-utilitarian’ stance, supposing that a standard of moral rules that are publically accepted will produce the best utilitarian consequences.[43] Deterrence is a primary consideration to the utility of capital punishment.[44] Bentham judged deterrence as a chief utility of punishment,[45] and considered it to be the ‘real justification’.[46] Therefore, if deterrence is absent, utilitarianist justifications greatly diminish. The argument is put that criminals who are executed deter potential wrong doers from carrying out crimes of their own.[47] If the deterrent effect of the punishment were to result in the greater net good, capital punishment would be permissible.[48] Utilitarianists propose that the death penalty would be ‘justified if the number of lives saved exceeded the number of executions.’[49] Presuming the guilty are to be executed, deterrent effects of capital punishment must be justified in practical terms. It has been found that there is no conclusive evidence to demonstrate a deterrent effect of capital punishment,[50] which was accepted by the US Supreme Court.[51] These findings are echoed worldwide,[52] and somewhat overwhelmingly, 88% of criminologists concur that capital punishment does not have a deterrent effect greater than life imprisonment.[53] Yet Passell claims that a deterrent effect is incapable of empirical measurement,[54] and that Bentham’s paramount utility can only be tested intuitively. A modern interpretation of this reasons that the more severe the punishment, the greater utility in deterrence.[55] However it is submitted that ‘common-sense’ arguments fail with equal measure, for it is extremely unlikely that there are potential murderers ‘straining at the leash’ waiting to commit murders at the point of the death penalty’s abolition.[56] It is perhaps even more unlikely that murderers calculate their crimes on the likelihood of capture or execution.[57]


            On a further utilitarianist inspection, one finds the possibility of error to be a concern to the greater good. Put simply, this is the inherent risk that capital punishment carries the ability to execute innocent lives due to factual error. This problem is clearly universal to all punishment, but whereas compensation can be sought for those falsely imprisoned, no such remedy is available to the deceased. Cases such as Derek Bentley[58] and Timothy Evans[59] are but a few prominent examples where innocent lives have been executed due to factual mistake. The Council of Europe has determined that it is ‘presumed or established’ that 27 innocent people have been put to death from 1853 to 1953.[60] A great social cost is incurred through such miscarriages of justice, and the problem, when viewed on a global scale, is significantly magnified. Yet as the families of those who have had their relatives executed have little gain from seeking posthumous pardons, it is suggest that the true number of miscarriages of justice is far greater than currently established.[61] Considering this assertion, the cost to society may outweigh the benefit in utilitarian terms. As legal errors are far more common than factual mistakes, Amsterdam suggests that many more innocent lives have been taken at the hands of capital punishment.[62]


            Amsterdam continues, with particular reference to the US, to say that there have been many occasions where misinterpretations of the law have led to miscarriages of justice.[63] It was held that capital punishment was illegal for the mentally ill,[64] those under 18,[65] and as punishment for rape.[66] For the miscarriages of justice that preceded these decisions, the hundreds executed who fell into the aforementioned categories had been illegally put to death at the hands of the state. From this, it is evident that great social cost is shouldered by the possibility of mistake in both legal and factual form. The less severe punishment of imprisonment is perhaps less costly, and in turn, contributes to the greatest happiness. It provides an avenue of reversibility, and compensation where the offender can be made reasonably whole for his lost liberty,[67] whereas the death penalty is unable to do so. The risk of killing the innocent is perhaps too high to justify the death penalty.[68] 


            Despite the cost borne from error, it is argued a utility of capital punishment is served in the form of incapacitation. Mill specifically referred to a central principle that punishment in purpose is to ‘prevent harm to…others’.[69] As a criminal is executed, he is no longer able to commit crimes in public or when incarcerated, and a preventative utility is, in theory, served.[70] Yet Sellin argues that this is ‘not a feasible policy’, as judges or juries cannot predict the future behaviour of convicted criminals.[71] Where the issue of killings in prison arises, Bedau argues that such murders are almost always committed by criminals who are imprisoned for crimes that are disproportionate to apply the death penalty to.[72] Those convicted of murder are statistically the least likely to commit another murder,[73] whereas armed robbers are the most likely.[74] So, implementing the death penalty solely for the crime of murder would not fulfil an incapacitative utility. A utilitarian theory might therefore justify the execution of armed robbers but not murderers. Clearly this is unacceptable to the rule-utilitarian, and fails to take adequate account of the proportionality of punishment. Although a slight utility may be found for the execution of armed robbers, it might come at too great a cost to society considering the inherent unfairness of an inordinate application.


            Beccaria posited a far narrower incapacitative justification to capital punishment; where to not execute an influential individual would produce a dangerous revolution due to their power and connections. He qualifies to say that conditions of anarchism and disorder must have replaced the rule of law to justify such an execution.[75] Beccaria’s justification sits uncomfortably with Bentham’s view that capital punishment is ‘more susceptible (to) abuse than any other mode of punishment’.[76] In a state of anarchy, accepting a justification for an execution in exceptionally narrow circumstances amplifies the risk of abuse. Furthermore, such an execution is likely to invite the re-introduction of the death penalty where legislation had previously abolished it.[77] It could be argued the danger of permitting an execution, especially where society is at its most fragile, would cause far greater societal pain than it could possibly prevent.[78]   


Hart stresses that utilitarianism, with reference to punishment, is not limited to considering the harm of particular crimes punished, but should also account for the wider costs of societal injury.[79] A further argument to justify the death penalty is thus found in the form of satisfying a popular demand. Hart entertains this argument by saying that the death penalty may be justified by a public lust for revenge, for to not do so may cause societal disorder.[80] Such disorder could be considered a great social cost, and it follows that the detriments the death penalty carries my be offset by a wider implication of societal demand. Justice Stewart in Furman v Georgia stated that ‘the seeds of anarchy, of self-help, vigilante justice, and lynch law’ are sown where organised society is unable to impose capital punishment.[81] Public support for the death penalty in most western societies has consistently remained in favour of its use.[82] As there is no evidence imprisonment rather than death ‘encourages private blood feuds and other disorders’,[83] it would be highly improbable in modern western societies to see true vigilante justice in lieu of abolition. There is, however, a prevailing presumption this may not be the case for the rest of the world.[84]


Use of capital punishment is most prevalent in Middle Eastern countries,[85] perhaps due to strong religious justifications from Islamic scripture.[86] When viewing this argument in the context of the deeply rooted cultural approval in the Middle East, quelling public disorder might become a far more realistic utility. In 2016, at least 87% of worldwide executions were confined to Iran, Saudi Arabia, Iraq and Pakistan.[87] Within these countries, it is typical for 99% of the population to be of Muslim faith,[88] suggesting that justice might be taken into the hands of those societies to enforce Sharia if the state refused. This argument could be persuasive if the death penalty was applied with uniformity in the Middle East, yet this is not the case. Prior to the Arab spring, executions in the Middle East were ‘not the norm’,[89] whilst last year, 10 of 18 Middle Eastern countries with majority Muslim populations did not carry out any executions.[90] With no examples of the anarchy in those abolitionist states, it seems there is ‘nothing inherently Islamic’ about capital punishment.[91]


A more prominent flaw is that a satisfaction of the public demand to avert anarchy ignores factual innocence.[92] Regardless of the accused’s guilt or innocence, his death is required to avoid the spiral of citizen violence. This argument not only readily accepts that the public is correct in its assumption of guilt, but fails to account for where society is wrong and still justifies the death of an innocent individual. McBride argues the condemned are then not more than ‘sacrificial lambs’,[93] serving as scapegoats to please the public. Justifying capital punishment on this basis would be incompatible with utilitarianism, as a legal system which arbitrarily punishes its society would result in an anxious and fearful public uncertain of when a court would require their death.[94]  It would seem the utility of executing the innocent could not outweigh preventing disorder when considering the greater good.


As well as failing to consider mistake, the argument also fails to consider that an anarchical, vigilante public mentality is often transient. Whilst the death sentence for former Egyptian president Hosni Mubarak was called for by tens of thousands protesting in 2011, his acquittal in 2017 stirred a nonchalant public response, and nothing that resembled anarchy.[95] Where public lust is temporary, death, however, is not. The lack of examples to support Justice Stewart’s argument, combined with the availability of the more reversible alternative of life imprisonment, appears to show an absence of real utility for the death penalty concerning vigilante justice.


            In conclusion, this paper finds that arguments spawned from retribution and secondary precepts of Natural Law do not necessarily justify capital punishment per se. These philosophies are merely assistive in justifying punishment and its proportionality, but to submit that these automatically justify the use of the most severe punishment can be answered simply depending on what is subjectively defined as most severe. As shown, lex talionis is no more assistive. On a utilitarian examination, this paper finds that although there is perhaps some benefit in the use of the death penalty, it is too small to offset the benefits of alternative punishments such as life imprisonment. Furthermore, arguments pertaining to deterrence and incapacitation as utilities of punishment do not have the empirical evidence to determine them overwhelming in a felicific calculation. Utilities of vigilante justice appear to lack example to support the hypothesis and seem to be unable to offset issues of miscarriages of justice, and the failings of deterrence and incapacitation. Ultimately, neither natural law nor utilitarianism justifies the use of capital punishment.







[1] Brian Calvert, ‘Aquinas on Punishment and the Death Penalty’, (1992) 37 Am.J.Juris, 259, 265.
[2] St. Thomas Aquinas, Summa Theologiae, (Ava Maria Press, 2000) II-II, q.64, a. 2 and 3.
[3] Ibid a. 2.
[4] Germain Grisez, ‘Towards A Consistent Natural-Law Ethics of Killing’, (1970) 15 Am.J.Juris, 64, 67.
[5] John Finnis, Natural Law and Natural Rights (OUP, 2011) 262.
[6] Ibid 263.
[7] Grisez (n 4) 70.
[8] Hugo Bedau, ‘Capital Punishment’ in Tom Regan (ed) Matters of Life and Death (Random House, 1980) 185.
[9] Calvert (n 1) 273.
[10] Philip Hamburger, ‘Natural Rights, Natural Law, and American Constitutions’, (1993) 102(4) Y.L.J. 907, 950.
[11] Ted Honderich, Punishment (Hutchinson & Co, 1969) 11.
[12] Immanuel Kant, The Metaphsics of Morals (Mary Gregor (tr), CUP, 1996) 104-110.
[13] John Salmond, Jurisprudence (Sweet & Maxwell, 1937) 148.
[14] Calvert (n 1) 274.
[15] Brian Bix, Jurisprudence: Theory & Context (Sweet & Maxwell, 2012) 125.
[16] Ben Wortley, Jurisprudence (Manchester University Press, 1967) 436.
[17] Calvert (n 1) 276.
[18] Bedau (n 8) 185.
[19] Claire Finkelstein, ‘Death and Retribution’, (2002) Crim.Just.Ethics, 12, 16.
[20] Finkelstein (n 19) 13.
[21] Bix (n 15) 124.
[22] Ibid 188.
[23] Albert Camus, Resistance, Rebellion, and Death, (Knopf, 1961) 199.
[24] H.L.A. Hart, Punishment and Responsibility; Essays in the Philosophy of Law (OUP, 1968) 233-234.
[25] Bix (n 15) 125.
[26] Bedau (n 8) 188.
[27] Finnis (n 5) 264.
[28] Roger E. Schwed, Abolition and Capital Punishment (AMS Press, 1983) 43.
[29] Arthur Koestler, Reflections on Hanging (AMS Press, 1997) 106.
[30] Peter Black, ‘Do Circumstances Ever Justify Capital Punishment’, (1999) 60 Theological Studies 338, 345.
[31] Ross Armstrong, Primary and Secondary Precepts in Thomistic Law Teaching (Martinus Nihoff Publishers, 1966) 111.
[32] Aquinas (n 2) I-II, q.94 a. 2c.
[33] Black (n 30) 344.
[34] Aquinas (n 2) I-II, q. 94 a. 2c.
[35] Bedau (n 8) 161.
[36] John Locke, Second Treatise of Government (Whitmore and Fenn, 1821) 338.
[37] Bedau (n 15) 163.
[38] Ibid.
[39] Ibid 165.
[40] Bedau (n 15) 163.
[41] James Penner et al, Jurisprudence & Legal Theory (Reed Elsevier, 2002) 42.
[42] Ibid.
[43] Kent Greenawalt, ‘Punishment’ (1983) 74 The Journal of Law and Criminology 343, 354.
[44] Thorsten Sellin, The Penalty of Death (Safe Publications, 1980) 3.
[45] Eric Reitan, ‘Why the Deterrence Argument for Capital Punishment Fails’ (1993) 12(1) Crim.Jus.Ethics 26, 28.
[46] Ted Honderich, Punishment (Hutchinson, 1969) 40.
[47] Glen D. King, ‘On Behalf of the Death Penalty’, in Hugo Bedau (ed), The Death Penalty in America (OUP, 1980) 308.
[48] Grisez (n 4) 64.
[49] Jonathan Glover, Causing Death and Saving Lives (Penguin, 1990) 233.
[50] Sellin (n 44) 20-29.
[51] Gregg v Georgia 408 U.S. 153 [1972] 185.
[52] Brian P. Blcok & John Hostettler, Hanging in the Balance: A History of Capital Punishment in Britain (Columbia University Press, 1983) 262.
[53] Michael Radelet & Traci Lacock, ‘Do Executions Lower Homicide Rates?’ (2009) 99 J.Crim.L & Criminology 489, 501.
[54] Peter Passell, ‘The Deterrent Effect of the Death Penalty: A Statistical Test’, In Bedau & Pearce (eds), Capital Punishment in the United States (AMS Press, 1976) 410.
[55] Ernest Van Den Haag & John P. Conrad, The Death Penalty: A Debate (Plenum Press, 1983) 57.
[56] Hart (n 24) 84.
[57] Van Den Haag (n 55) 65.
[58] R v Bentley [1998] EWCA Crim 2516.
[59] Westlake v CCRC [2004] EWHC 2779 (Admin)
[60] Glover (n 49) 234.
[61] Van Den Haag (n 55) 60.
[62] Anthony G. Amsterdam, ‘Capital Punishment’ in Hugo Bedau (ed), The Death Penalty in America (OUP, 1980) 349-350.
[63] Amsterdam (n 62) 349.
[64] Ford v Wainwright 477 U.S. 399 [1986].
[65] Roper v Simmons 543 U.S. 551 [2005].
[66] Coker v Georgia 433 U.S. 584 [1977].
[67] James Michael Martinez, The Levaithan’s Choice (Rowman & Littlefield Publishers, 2002) 264.
[68] Bedau (n 8) 182.
[69] John Stuart Mill, On Liberty in Mary Warnock (Ed), Utilitarianism (Word Publishing, 1962) 135.
[70] Sellin (n 44) 354.
[71] Ibid.
[72] Amsterdam (n 62) 354.
[73] Richard A. McGee, ‘Capital Punishment as Seen by a Correctional Administrator’, in James McCafferty (ed), Capital Punishment (Aldine-Atherton, 2009) 163.
[74] Amsterdam (n 62) 354.
[75] John Hostettler, Cesare Beccaria – The Genius of ‘On Crimes and Punishments’ (Waterside Press, 2010) 53-54
[76] Hugo Adam Bedau, ‘Bentham’s Utilitarian Critique of the Death Penalty’, (1983) 74 Journal of Criminal Law and Criminology 1033, 1054.
[77] Ibid.
[78] Werner J. Einstadter, Criminological Theory: An Analysis of its Underlying Assumptions (2nd Edn, Rowman & Littlefield Publishers, 2006) 66.
[79] Hart (n 25) 72.
[80] Ibid.
[81] Furman v Georgia 408 U.S. 238 [1972] 308 (not correct)
[82] Roger Hood, The Death Penalty (OUP, 2002) 26.
[83] Gregg v Georgia 408 U.S. 153 [1972] 428.
[84] Oxford Human Rights Hub, ‘The Death Penalty in the Middle East and North Africa’ (10th February 2017) < https://soundcloud.com/oxhrh/rightsup-rightnow-the-death-penalty-in-the-middle-east-and-north-africa> Accessed 30th November 2017.
[85] Benjamin Haas ‘Amnesty Criticises ‘rogue state’ China as Global Death Penalty Falls’ (Guardian, April 11th 2017) <https://www.theguardian.com/world/2017/apr/11/amnesty-criticises-rogue-state-china-as-global-death-penalty-toll-falls> accessed 16th Nov 2017
[86] Rita James Simon & Dagny Blaskovich, A Comparative Analysis of Capital Punishment (Lexington Books, 2007) 10.
[87] ‘The Death Penalty in 2016: Facts and Figures’ (Amnesty, April 11th 2017) <https://www.amnesty.org/en/latest/news/2017/04/death-penalty-2016-facts-and-figures/> Accessed 14th Nov 2017
[88] ‘The Future of the Global Muslim Population’ (Pew Research Centre, January 2011) <http://features.pewforum.org/muslim-population/> Accessed 9th Nov 2017
[89] Brian Whitaker ‘Death Penalty is not the Norm in the Middle East’ (Guardian, October 11th 2010) < https://www.theguardian.com/commentisfree/2010/oct/11/death-penalty-middle-east> accessed 10th Nov 2017
[90] The Death Penalty in 2016 (n 87)
[91] Oxford Human Rights Hub (n 84)
[92] James McBride, ‘Capital Punishment as the Unconstitutional Establishment of Religion: A Girardian Reading of the Death Penalty’, (1995) 37 J.Church & State 263, 265
[93] McBride (n 92) 273.
[94] Manuel Velasquez, Philosophy: A Text with Readings (10th edn, Cengage Learning, 2007) 467.
[95] Declan Walsh, ‘Egypt Roared as Mubarak Fell. It’s Mute as He’s Freed’ (The New York Times, March 24th 2017) < https://www.nytimes.com/2017/03/24/world/africa/hosni-mubarak-egypt.html> Accessed 30th November 2017.