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Capital Punishment/Death Penalty: June 2011
Capital Punishment/Death Penalty: June 2011
Capital Punishment/Death Penalty: June 2011
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George Washington University
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1
Capital Punishment/
Death Penalty
William R. Wood
University of Auckland
T
here are many lively debates surrounding the ethics, efficacy, and
policy implications of capital punishment as they pertain to its use
within the United States. Globally, the United States is one of about
60 nations that regularly employ this type of punishment.
However, within the group of Western industrialized nations, it remains
the only country that routinely puts people to death. To the extent that the
United States shares similar legal and political systems with other Western
industrialized countries, it has not followed the trend of most European and
Western-hemisphere states that have abolished the use of capital punish-
ment within the last four decades.
Historically, what has been called the exceptionalism of the United States
is a relatively new phenomenon. While the abolition of capital punishment
was first argued by the Italian criminologist Cesare Beccaria in the late 18th
century, by the beginning of the 20th century, only a few nations had banned
this type of punishment, and it was not until the 1960s that the trend to-
ward abolition in European and Western Hemisphere countries began in
earnest. Thus, while the United States is unique among Western industrial
states in terms of the continued use of this punishment, in the long history of
1
2 Corrections
Cesare Beccaria
The first widely influential opposition to the use of capital punishment
did not occur until 1764, when the Italian criminologist Cesare Beccaria
published his treatise On Crimes and Punishments. The work was immedi-
ate popular; six editions were published within the first 18 months of its
release, and it was translated into French by Voltaire as well as into numer-
ous other languages throughout Europe, and later, in the United States. The
root of Beccaria’s work was vested in the concept of the social contract, and
like many of his intellectual peers, Beccaria believed that the most just form
Capital Punishment/Death Penalty 3
of government for the largest number of people was one in which individual
members freely gave up a small amount freedom in exchange for the benefits
of social order. Beccaria’s main interest, however, lay in the question of what
should happen when people violated this “social contract.” Beccaria recog-
nized that crime could be controlled through the brute force of absolutist
rule, yet such approaches negated any possibility of a freely chosen social
contract between individuals and their governors. He equally saw that the
lack of any restraint on individuals would lead to a system of social relations
where the strong perennially preyed on the weak—a state of affairs charac-
terized in Hobbes’s Leviathan as a “war of all against all.”
Beccaria’s solution to this problem was an elegantly simple, if ultimate-
ly flawed, proposition based in the utilitarian philosophy of social action,
which argued that people naturally seek to maximize pleasure and minimize
pain. Beccaria argued that as rational actors, individuals should be free to
act within a system of governance that upholds the requisite conditions of
the social contract, yet limits their ability to maximize pleasure at the ex-
pense of others’ pain. The only legitimate power of the state in cases where
the social contract was violated, he argued, was then in its representative
authority to deter violators through a system of gradated punishments that
mitigated the potential pleasure one might gain by violating the social con-
tract. To this end, Beccaria imagined the development of a correlate system
of punishments administered by the state—punishments that would ideally
represent only the amount of pain necessary to encourage individuals to ad-
here to the social contact, and to deter those who had violated the contract
from further crimes.
In the case of capital punishment, however, Beccaria argued against its
use for two reasons. First, he argued that life itself was a right that could not
be justly deprived by the state. Second, Beccaria argued that capital punish-
ment was a less effective form of deterrence than prolonged depravation
of liberty, insofar as he viewed the former as ultimately less concrete and
more transient than the latter. Violators and spectators, he argued, would be
more deterred by a more easily imagined threat of prolonged or “perpetual
slavery” than by the more abstract and unknowable experience of death. In
terms of his classical approach to crime control, Beccaria found many sup-
porters in his day. The implementation of the French Penal Code in 1791
and Napoleonic Penal Code of 1810 were based on his principles of rational
deterrence. Influenced by Beccaria’s work, Leopold II banned the use of cap-
ital punishment in Tuscany in 1786, and a small number of other countries
followed suit in the 19th century, including the Roman Republic (1849),
4 Corrections
increasingly shielded from public view—occurring with more and more fre-
quency behind the closed doors of the hospital. Executions similarly moved
behind the walls of the penitentiary, with the last formal public execution
in Britain in 1868, in the United States in 1936, and in France in 1939. Yet
the idea that public executions were ceased as result of changing social at-
titudes toward death is only partially borne out in the research; executions
in the latter 19th and early 20th centuries regularly drew huge crowds. The
last U.S. public execution in Kentucky in 1936 witnessed a crowd of 20,000.
The last beheading in France in 1939 was a similarly public spectacle, and
was evidently such a drunken and rancorous affair that the “hysterical be-
havior” of the crowd prompted the French government to ban any further
public executions. In this sense, contrary to their long history as a tool of
social control and deterrence, public executions had become rather an in-
creasing threat to social order, and in particular, a threat to the growing
rationalization of punishment as a bureaucratic instrument of state power.
smaller number of regions, mostly in Africa, Asia, and the United States.
Accordingly, in the last decade, roughly 90 percent of all executions have
occurred in a handful of countries—China, Iran, Iraq, Pakistan, Saudi Ara-
bia, Sudan, and the United States. The decreasing international distribu-
tion of capital punishment also represents its continued widespread use in
Islamic as well as in authoritarian states. Within Islamic states, only Turkey,
Turkmenistan, and Azerbaijan do not use capital punishment. Authoritar-
ian states include communist nations such as China, Vietnam, North Korea,
Cuba, and Laos; and other despotic or authoritarian governments such as
Burma, Zimbabwe, Belarus, and Singapore. Of these states, China by far
executes the most people; approximately 1,000 people in 2006, although
official figures from China are inaccurately low.
of the 1950s. The difference between the two decades is notable, where the
number of executions decreased by almost half, from 1,289 in the 1940s to
715 in the 1950s. By the 1960s, public support for capital punishment hit
an all-time low in the United States, where in 1964, a Gallup poll reported
that only 42 percent of Americans supported it use, and by the end of the
decade, executions had come to a virtual standstill.
The limiting of executions coincided with the landmark Supreme Court
case Furman v. Georgia in 1972, which halted the use of capital punishment
de facto on Eighth Amendment grounds in finding that its use was “arbi-
trary and capricious.” Many opponents assumed this represented the end of
capital punishment in the United States, but in 1976, the Supreme Court up-
held the constitutionality of capital punishment in Gregg v. Georgia, which
set forth capital sentencing guidelines through which states could reinstate
its use. Notably, the Court also ruled against the defendants in Gregg that
capital punishment was not unto itself “cruel and unusual,” as long as it
is applied within the use of objective criteria that allows for consideration
of the defendant’s character and record. Almost immediately, states revised
their laws in accordance with these guidelines, and the number of death
sentences began to rise, particularly as increases in crime rates and growing
social unrest in the 1970s shifted public support increasingly in favor of
capital punishment.
The election of Ronald Reagan in the 1980s was achieved in part on a
“tough on crime” platform, and in the early 1980s, both the public and state
legislatures returned en mass to supporting the use of capital punishment.
By 1984, public support for the death penalty reached an all-time high of
75 percent, and the number of people sentenced to death increased mark-
edly—although executions rose more gradually as a result of the mandatory
appeals process for capital sentences. Beginning in the 1990s, public support
for capital punishment slowly tapered to around 62 percent in 2007. How-
ever, the number of executions rose throughout the decade to a high of 98
in 1999, largely due to the exhausting of appeals from the increase in capital
sentences beginning in the 1980s, as well as to a general decrease in the use
of clemency, particularly in Texas. Since this time, the number of executions
has generally decreased, with 52 executions in 2009.
Legally, the Supreme Court has heard over 30 cases regarding specific ap-
plications of capital punishment since its reintroduction in Gregg v. Georgia
in 1976. In 1987, the Court ruled in McClesky v. Kemp that racial dispari-
ties in capital sentences, while problematic, did not constitute a violation
of “equal protection of the law.” In Atkins v. Virginia (2002), the Court
8 Corrections
deterrence. The concept of general deterrence centers on the idea that the
punishment of one person encourages other people to act in law-abiding
ways, or at the very least induces them to commit lesser crimes in the fur-
therance of their criminal activities. The argument of specific deterrence, on
the other hand, centers on the idea that punishment of an individual will
discourage them from committing further criminal acts. Support for capital
punishment takes the form of general deterrence insofar as the execution of
a specific offender can be understood not as deterrence, but as an incapaci-
tation of the offender by death.
The effectiveness of capital punishment in deterring others from commit-
ting similar crimes has remained one of the most enduring justifications for
the continued support of its use in the United States, both by policymakers
and the public. Public opinion polling data shows that until the end of the
1980s, deterrence was the most frequently cited reason for why Americans
supported its use, and since the 1990s, it has remained the second most-
popular reason, behind retribution. This has also been reflected in national
politics, where no winning presidential candidate has opposed capital pun-
ishment since Jimmy Carter, and virtually all of them have cited its deterrent
effect as a primary reason for doing so.
Yet research on the ability of capital punishment to save the lives of oth-
ers did not concur with public opinion throughout the middle of the 20th
century. Thorsten Sellin’s major study of capital punishment in 1959 found
no deterrent effect, and later studies even suggested a negative correlation
between deterrence and capital punishment in the “brutalization effect.” In
1975, however, Isaac Ehrlich published a seminal study using multivariate
regression analysis that purported to find a small but statistically signifi-
cant negative correlation between capital punishment and homicides in the
United States between 1933 and 1969, concluding that on average, each
execution saved between six and seven lives.
The effect of Ehrlich’s research was profound in its effect on policymak-
ers, as well as on setting forth a program of research for further economet-
ric studies into the link between executions and deterrence. His findings,
though controversial, were nevertheless immediately popular among propo-
nents of capital punishment. Ehrlich’s work was cited in Gregg v. Georgia
(1976) as evidence of the “inconclusive” state of research on the question
of deterrence, but his assumption of murder as a more or less rational de-
cision was itself influential within the emerging rational-choice school of
thought in criminology that included notable criminologists such as James
Q. Wilson and Charles Murray. Wilson would become an advisor to Ron-
10 Corrections
A Deserved Punishment
Yet, the idea that capital punishment saves lives is not the only primary
justification for its continued use within the United States. Perhaps ironi-
cally, as Ehrlich and other econometricians were building a case for its
deterrent effect, the 1980s also saw an important shift in why Americans
supported this type of punishment. Beginning in 1990, Americans who
supported capital punishment increasingly did so because they believed
it was deserved, regardless of whether or not it had a deterrent effect on
others.
The idea that some people deserve to die is rooted in the legal premise
of retribution. Retribution has roots in the lex talionis (“law of the same
kind” or “measure for measure”) of the Judeo-Christian and Near East re-
ligions, in the moral philosophies of Hegel and Kant, and more recently in
the contemporary work of Andrew von Hirsch and John Rawls. The word
itself stems from the Latin retribuere, meaning “to hand back” or “to rec-
ompense,” and within retributive theories of justice it is argued that crime
causes harms to victims and to society that result in an imbalance of justice.
The point of retribution, argue supporters, is thus not revenge, but rather
a return of the net balance of justice that has been upended through crime.
Thus, even where many people who support capital punishment do so for
reasons of both retribution and deterrence, theoretically, they are dissimilar.
Capital Punishment/Death Penalty 11
Critics point out that a large number of studies on the topic have found
no deterrent effect, and that the attitudes of criminologists reflect this evi-
dence. Sellin’s work on the deterrent effect in 1959 was one of the first pri-
mary studies that compared states with similar populations and crime rates,
and found that those with the death penalty had, on average, no significant
decreases in homicide rates. This work was followed by dozens of published
studies that compared states with or without the death penalty, and notably
after 1972, compared homicide rates before and after the halting of execu-
tions within specific states, and concluded there was little deterrent effect.
Beginning in the 1970s, there has also been a substantial body of work
that has focused more extensively on rebutting the methodologies and find-
ings of Ehrlich and later econometricians. In response to Ehrlich’s findings,
the National Academy of Sciences appointed a panel of experts to review
his work and concluded in 1978 that his methodology was flawed, and his
conclusions were not sustainable. Critics have pointed out that his findings
were largely dependent upon the specific variables he chose to include in his
studies, as well as the specific time frames he focused on, and even minor
changes to these inputs and parameters have resulted in radically different
outcomes. More recently, the work of Jeffery Fagan and several colleagues
has demonstrated that the use of econometric methods by researchers who
have found a link between executions and deterrence are equally susceptible
to large variances through small changes to variables or time frames.
Aside from the argument that capital punishment does not deter crime,
critics also argue that the death penalty does not in fact result in increased
justice for either victims or society. Many critics are opposed to the idea of
retribution on moral or religious grounds, and argue that for a variety of rea-
sons, the death penalty constitutes a violation of the Eighth Amendment’s ban
on cruel and unusual punishment. Another common argument against the use
of capital punishment as a morally or socially necessary form of recompense
is the fact that for centuries, modern Western societies have substituted other
forms of punishment in lieu of the specific types of offenses committed by
criminals. When a person is found guilty of rape, they are not raped in return.
Nor do arsonists have their houses burned down. In this sense, critics see
capital punishment as nothing more than a thinly veiled form of vengeance.
14 Corrections
Further Readings
Bedau, Adam Hugo, and Paul G. Cassell. Debating the Death Penalty:
Should America Have Capital Punishment? The Experts on Both Sides
Make Their Best Case. New York: Oxford University Press, 2004.
Ehrlich, Isaac. “The Deterrent Effect of Capital Punishment: A Question of
Life and Death.” The American Economic Review, v.65 (1975).
Hood, Dennis. The Death Penalty: A Worldwide Perspective, Third
Edition. New York: Oxford University Press, 2002.
Sarat, Austin. When the State Kills: Capital Punishment and the American
Condition. Princeton, NJ: Princeton University Press, 2002.
Steiker, Carol. “Capital Punishment and American Exceptionalism.”
Oregon Law Review, v.81 (2004).
Zimring, Franklin E. The Contradictions of American Capital Punishment.
New York: Oxford University Press, 2003.