OPINION OF THE COURT
BRADSHAW V. STUMPF
545 U. S. ____ (2005)
SUPREME COURT OF THE UNITED STATES
NO. 04-637
MARGARET BRADSHAW, WARDEN, PETITIONER
v.
JOHN DAVID STUMPF
on writ of certiorari to the united states court of
appeals for the sixth circuit
[June 13, 2005]
Justice O’Connor delivered the
opinion of the Court.
This case concerns respondent
John David Stumpf ’s conviction and death sentence for the
murder of Mary Jane Stout. In adjudicating Stumpf ’s petition
for a writ of habeas corpus, the United States Court of Appeals for
the Sixth Circuit granted him relief on two grounds: that his
guilty plea was not knowing, voluntary, and intelligent, and that
his conviction and sentence could not stand because the State, in a
later trial of Stumpf ’s accomplice, pursued a theory of the
case inconsistent with the theory it had advanced in Stumpf ’s
case. We granted certiorari to review both holdings. 543 U. S. ___
(2005).
I
On May 14, 1984, Stumpf and two
other men, Clyde Daniel Wesley and Norman Leroy Edmonds, were
traveling in Edmonds’ car along Interstate 70 through Guernsey
County, Ohio. Needing money for gas, the men stopped the car along
the highway. While Edmonds waited in the car, Stumpf and Wesley
walked to the home of Norman and Mary Jane Stout, about 100 yards
away. Stumpf and Wesley, each concealing a gun, talked their way
into the home by telling the Stouts they needed to use the phone.
Their real object, however, was robbery: Once inside, Stumpf held
the Stouts at gunpoint, while Wesley ransacked the house. When Mr.
Stout moved toward Stumpf, Stumpf shot him twice in the head,
causing Mr. Stout to black out. After he regained consciousness,
Mr. Stout heard two male voices coming from another room, and then
four gunshots—the shots that killed his wife. Edmonds was arrested
shortly afterward, and his statements led the police to issue
arrest warrants for Stumpf and Wesley. Stumpf, who surrendered to
the police, at first denied any knowledge of the crimes. After he
was told that Mr. Stout had survived, however, Stumpf admitted to
participating in the robbery and to shooting Mr. Stumpf. But he
claimed not to have shot Mrs. Stout, and he has maintained that
position ever since.
The proceedings against Stumpf
occurred while Wesley, who had been arrested in Texas, was still
resisting extradition to Ohio. Stumpf was indicted for aggravated
murder, attempted aggravated murder, aggravated robbery, and two
counts of grand theft. With respect to the aggravated murder
charge, the indictment listed four statutory “specifications”—three
of them aggravating circumstances making Stumpf eligible for the
death penalty. See App. 117–118; Ohio Rev. Code Ann. §2929.03
(Anderson 1982).* The case was assigned to a three-judge panel in
the Court of Common Pleas.
Rather than proceed to trial, however, Stumpf
and the State worked out a plea agreement: Stumpf would plead
guilty to aggravated murder and attempted aggravated murder, and
the State would drop most of the other charges; with respect to the
aggravated murder charge, Stumpf would plead guilty to one of the
three capital specifications, with the State dropping the other
two. The plea was accepted after a colloquy with the presiding
judge, and after a hearing in which the panel satisfied itself as
to the factual basis for the plea.
Because the capital specification to which
Stumpf pleaded guilty left him eligible for the death penalty, a
contested penalty hearing was held before the same three-judge
panel. Stumpf ’s mitigation case was based in part on his
difficult childhood, limited education, dependable work history,
youth, and lack of prior serious offenses. Stumpf ’s principal
argument, however, was that he had participated in the plot only at
the urging and under the influence of Wesley, that it was Wesley
who had fired the fatal shots at Mrs. Stout, and that
Stumpf ’s assertedly minor role in the murder counseled
against the death sentence. See §2929.04(B)(6) (directing the
sentencer to consider as a potential mitigating circumstance, “[i]f
the offender was a participant in the offense but not the principal
offender, the degree of the offender’s participation in the
offense”). The State, on the other hand, argued that Stumpf had
indeed shot Mrs. Stout. Still, while the prosecutor claimed
Stumpf ’s allegedly primary role in the shooting as a special
reason to reject Stumpf ’s mitigation argument, the prosecutor
also noted that Ohio law did not restrict the death penalty to
those who commit murder by their own hands—an accomplice to murder
could also receive the death penalty, so long as he acted with the
specific intent to cause death. As a result, the State argued,
Stumpf deserved death even if he had not personally shot Mrs.
Stout, because the circumstances of the robbery provided a basis
from which to infer Stumpf ’s intent to cause death. The
three-judge panel, agreeing with the State’s first contention,
specifically found that Stumpf “was the principal offender” in the
aggravated murder of Mrs. Stout. App. 196. Determining that the
aggravating factors in Stumpf ’s case outweighed any
mitigating factors, the panel sentenced Stumpf to death.
Afterward, Wesley was successfully extradited
to Ohio to stand trial. His case was tried to a jury, before the
same judge who had presided over the panel overseeing
Stumpf ’s proceedings, and with the same prosecutor. This
time, however, the prosecutor had new evidence: James Eastman,
Wesley’s cellmate after his extradition, testified that
Wesley had admitted to firing the shots that killed Mrs.
Stout. The prosecutor introduced Eastman’s testimony in Wesley’s
trial, and in his closing argument he argued for Wesley’s
credibility and lack of motive to lie. The prosecutor claimed that
Eastman’s testimony, combined with certain circumstantial evidence
and with the implausibility of Wesley’s own account of events,
proved that Wesley was the principal offender in Mrs. Stout’s
murder—and that Wesley therefore deserved to be put to death. One
way Wesley countered this argument was by noting that the
prosecutor had taken a contrary position in Stumpf ’s trial,
and that Stumpf had already been sentenced to death for the crime.
Wesley also took the stand in his own defense, and testified that
Stumpf had shot Mrs. Stout. In the end, the jury sentenced Wesley
to life imprisonment with the possibility of parole after 20
years.
After the Wesley trial, Stumpf, whose direct
appeal was still pending in the Ohio Court of Appeals, returned to
the Court of Common Pleas with a motion to withdraw his guilty plea
or vacate his death sentence. Stumpf argued that Eastman’s
testimony, and the prosecution’s endorsement of that testimony in
Wesley’s trial, cast doubt upon Stumpf ’s conviction and
sentence. The State (represented again by the same prosecutor who
had tried both Wesley’s case and Stumpf ’s original case)
disagreed. According to the prosecutor, the court’s first task was
to decide whether the Eastman testimony was sufficient to alter the
court’s prior determination that Stumpf had been the shooter.
Id., at 210. Contrary to the argument he had presented in
the Wesley trial, however, the prosecutor now noted that Eastman’s
testimony was belied by certain other evidence (ballistics evidence
and Wesley’s testimony in his own defense) confirming Stumpf to
have been the primary shooter. In the alternative, the State noted
as it had before that an aider-and-abettor theory might allow the
death sentence to be imposed against Stumpf even if he had not shot
Mrs. Stout.
Although one judge speculated during oral
argument that the court’s earlier conclusion about Stumpf ’s
principal role in the killing “may very well have had an effect
upon” the prior sentencing determination,
ibid., the Court
of Common Pleas denied Stumpf ’s motion in a brief summary
order without explanation. That order was appealed together with
the original judgment in Stumpf ’s case, and the Ohio Court of
Appeals affirmed, as did the Ohio Supreme Court.
State v.
Stumpf, 32 Ohio St. 3d 95, 512 N. E. 2d 598 (1987),
cert. denied,
484
U. S. 1079 (1988).
After a subsequent request for state
postconviction relief was denied by the state courts, Stumpf filed
this federal habeas petition in the United States District Court
for the Southern District of Ohio in November 1995. The District
Court denied Stumpf relief, but granted permission to appeal on
four claims, including the two at issue here. The United States
Court of Appeals for the Sixth Circuit reversed, concluding that
habeas relief was warranted on “either or both” of “two alternative
grounds.”
Stumpf v.
Mitchell, 367 F. 3d 594,
596 (2004). First, the court determined that Stumpf ’s guilty
plea was invalid because it had not been entered knowingly and
intelligently. More precisely, the court concluded that Stumpf had
pleaded guilty to aggravated murder without understanding that
specific intent to cause death was a necessary element of the
charge under Ohio law. See Ohio Rev. Code Ann. §§2903.01(B) and
(D). Noting that Stumpf had all along denied shooting Mrs. Stout,
and considering those denials inconsistent with an informed choice
to plead guilty to aggravated murder, the Court of Appeals
concluded that Stumpf must have entered his plea out of ignorance.
Second, the court concluded that “Stumpf ’s due process rights
were violated by the state’s deliberate action in securing
convictions of both Stumpf and Wesley for the same crime, using
inconsistent theories.” 367 F. 3d, at 596. This violation, the
court held, required setting aside “both Stumpf ’s plea and
his sentence.”
Id., at 616. One member of the panel
dissented.
II
Because Stumpf filed his habeas
petition before enactment of the Antiterrorism and Effective Death
Penalty Act of 1996 (AEDPA), we review his claims under the
standards of the pre-AEDPA habeas statute. See
Lindh v.
Murphy, 521
U. S. 320 (1997). Moreover, because petitioner has not argued
that Stumpf ’s habeas claims were barred as requiring
announcement of a new rule, we do not apply the rule of
Teague v.
Lane, 489 U. S. 288 (1989), to
this case. See
Schiro v.
Farley, 510 U. S. 222, 229
(1994);
Godinez v.
Moran, 509 U. S. 389, 397, n. 8
(1993).
A
The Court of Appeals concluded
that Stumpf ’s plea of guilty to aggravated murder was invalid
because he was not aware of the specific intent element of the
charge—a determination we find unsupportable.
Stumpf ’s guilty plea would
indeed be invalid if he had not been aware of the nature of the
charges against him, including the elements of the aggravated
murder charge to which he pleaded guilty. A guilty plea operates as
a waiver of important rights, and is valid only if done
voluntarily, knowingly, and intelligently, “with sufficient
awareness of the relevant circumstances and likely consequences.”
Brady v.
United States, 397 U. S. 742, 748
(1970). Where a defendant pleads guilty to a crime without having
been informed of the crime’s elements, this standard is not met and
the plea is invalid.
Henderson v.
Morgan,
426 U. S. 637
(1976).
But the Court of Appeals erred in finding that
Stumpf had not been properly informed before pleading guilty. In
Stumpf ’s plea hearing, his attorneys represented on the
record that they had explained to their client the elements of the
aggravated murder charge; Stumpf himself then confirmed that this
representation was true. See App. 135, 137–138. While the court
taking a defendant’s plea is responsible for ensuring “a record
adequate for any review that may be later sought,”
Boykin
v.
Alabama, 395 U. S. 238, 244
(1969), we have never held that the judge must himself explain the
elements of each charge to the defendant on the record. Rather, the
constitutional prerequisites of a valid plea may be satisfied where
the record accurately reflects that the nature of the charge and
the elements of the crime were explained to the defendant by his
own, competent counsel. Cf.
Henderson,
supra, at
647 (granting relief to a defendant unaware of the elements of his
crime, but distinguishing that case from others where “the record
contains either an explanation of the charge by the trial judge, or
at least a representation by defense counsel that the nature of the
offense has been explained to the accused”). Where a defendant is
represented by competent counsel, the court usually may rely on
that counsel’s assurance that the defendant has been properly
informed of the nature and elements of the charge to which he is
pleading guilty.
Seeking to counter this natural inference,
Stumpf argues, in essence, that his choice to plead guilty to the
aggravated murder charge was so inconsistent with his denial of
having shot the victim that he could only have pleaded guilty out
of ignorance of the charge’s specific intent requirement. But
Stumpf ’s asserted inconsistency is illusory. The aggravated
murder charge’s intent element did not require any showing that
Stumpf had himself shot Mrs. Stout. Rather, Ohio law considers
aiders and abettors equally in violation of the aggravated murder
statute, so long as the aiding and abetting is done with the
specific intent to cause death. See
In re Washington,
81 Ohio St. 3d 337, 691 N. E. 2d 285 (1998);
State v.
Scott, 61 Ohio St. 2d 155, 165, 400 N. E. 2d 375, 382
(1980). As a result, Stumpf ’s steadfast assertion that he had
not shot Mrs. Stout would not necessarily have precluded him from
admitting his specific intent under the statute.
That is particularly so given the other
evidence in this case. Stumpf and Wesley had gone to the Stouts’
home together, carrying guns and intending to commit armed robbery.
Stumpf, by his own admission, shot
Mr. Stout in the head
at close range. Taken together, these facts could show that Wesley
and Stumpf had together agreed to kill both of the Stouts in order
to leave no witnesses to the crime. And that, in turn, could make
both men guilty of aggravated murder regardless of who actually
killed Mrs. Stout. See
ibid., at 165, 400 N. E. 2d,
at 382.
Stumpf also points to aspects of the plea
hearing transcript which he says show that both he and his
attorneys were confused about the relevance and timing of defenses
Stumpf and his attorneys had planned to make. First, at one point
during the hearing, the presiding judge stated that by pleading
guilty Stumpf would waive his trial rights and his right to testify
in his own behalf. Stumpf ’s attorney answered that Stumpf
“was going to respond but we have informed him that there is, after
the plea, a hearing or trial relative to the underlying facts so
that he is of the belief that there will be a presentation of
evidence.” App. 140. The presiding judge responded that “[o]f
course in the sentencing portion of this trial you do have those
rights to speak in your own behalf [and] to present evidence and
testimony on your own behalf.”
Ibid. A few moments later,
there was another exchange along similar lines, after the judge
asked Stumpf whether he was “in fact guilty of” the aggravated
murder charge and its capital specification:
“[DEFENSE COUNSEL]: … Your Honor, the defendant has
asked me to explain his answer. His answer is yes. He will recite
that with obviously his understanding of his right to present
evidence at a later time relative to his conduct, but he’ll respond
to that.
“JUDGE HENDERSON: At no time am I implying that the defendant
will not have the right to present evidence in [the] mitigation
hearing … . And I’m going to ask that the defendant,
himself, respond to the question that I asked with that
understanding that he has the right to present evidence in
mitigation. I’m going to ask the defendant if he is in fact guilty
of the charge set forth in Count one, including specification
one … ?
“THE DEFENDANT: Yes, sir.”
Id., at 142.
Reviewing this exchange, the Court of Appeals
concluded that Stumpf “obviously … was reiterating his desire to
challenge the [S]tate’s account of his actions”—that is, to show
that he did not intend to kill Mrs. Stout. 367 F. 3d, at 607.
But the desire to contest the State’s version of events would not
necessarily entail the desire to contest the aggravated murder
charge or any of its elements. Rather, Stumpf ’s desire to put
on evidence “relative to the underlying facts” and “relative to his
conduct” could equally have meant that Stumpf was eager to make his
mitigation case—an interpretation bolstered by the attorney’s and
Stumpf ’s approving answers after the presiding judge
confirmed that the defense could put on evidence “in mitigation”
and in “the sentencing” phase. While Stumpf ’s mitigation case
was premised on the argument that Stumpf had not shot Mrs. Stout,
that was fully consistent with his plea of guilty to aggravated
murder. See
supra, at 7–8.
Finally, Stumpf, like the Court of Appeals,
relies on the perception that he obtained a bad bargain by his
plea—that the State’s dropping several non-murder charges and two
of the three capital murder specifications was a bad tradeoff for
Stumpf ’s guilty plea. But a plea’s validity may not be
collaterally attacked merely because the defendant made what turned
out, in retrospect, to be a poor deal. See
Brady, 397 U.
S., at 757;
Mabry v.
Johnson, 467 U. S. 504, 508
(1984). Rather, the shortcomings of the deal Stumpf obtained cast
doubt on the validity of his plea only if they show either that he
made the unfavorable plea on the constitutionally defective advice
of counsel, see
Tollett v.
Henderson, 411 U. S. 258, 267
(1973), or that he could not have understood the terms of the
bargain he and Ohio agreed to. Though Stumpf did bring an
independent claim asserting ineffective assistance of counsel, that
claim is not before us in this case. And in evaluating the validity
of Stumpf ’s plea, we are reluctant to accord much weight to
his
post hoc reevaluation of the wisdom of the bargain.
Stumpf pleaded guilty knowing that the State had copious evidence
against him, including the testimony of Mr. Stout; the plea
eliminated two of the three capital specifications the State could
rely on in seeking the death penalty; and the plea allowed Stumpf
to assert his acceptance of responsibility as an argument in
mitigation. Under these circumstances, the plea may well have been
a knowing, voluntary, and intelligent reaction to a litigation
situation that was difficult, to say the least. The Court of
Appeals erred in concluding that Stumpf was uninformed about the
nature of the charge he pleaded guilty to, and we reverse that
portion of the judgment below.
B
The Court of Appeals was also
wrong to hold that prosecutorial inconsistencies between the Stumpf
and Wesley cases required voiding Stumpf ’s guilty plea.
Stumpf ’s assertions of inconsistency relate entirely to the
prosecutor’s arguments about which of the two men, Wesley or
Stumpf, shot Mrs. Stout. For the reasons given above, see
supra, at 7–8, the precise identity of the triggerman was
immaterial to Stumpf ’s conviction for aggravated murder.
Moreover, Stumpf has never provided an explanation of how the
prosecution’s postplea use of inconsistent arguments could have
affected the knowing, voluntary, and intelligent nature of his
plea.
The prosecutor’s use of allegedly
inconsistent theories may have a more direct effect on
Stumpf ’s sentence, however, for it is at least arguable that
the sentencing panel’s conclusion about Stumpf ’s principal
role in the offense was material to its sentencing determination.
The opinion below leaves some ambiguity as to the overlap between
how the lower court resolved Stumpf ’s due process challenge
to his conviction, and how it resolved Stumpf ’s challenge to
his sentence. It is not clear whether the Court of Appeals would
have concluded that Stumpf was entitled to resentencing had the
court not also considered the conviction invalid. Likewise, the
parties’ briefing to this Court, and the question on which we
granted certiorari, largely focused on the lower court’s
determination about Stumpf ’s conviction. See,
e.g.,
Pet. for Cert. ii (requesting review of Stumpf ’s
conviction, not sentence); Reply Brief for Petitioner 3
(challenge to Court of Appeals’ decision is focused on issue of
conviction); Brief for Respondent 15, n. 3 (“arguments
regarding Stumpf ’s death sentence are not before this
Court”). In these circumstances, it would be premature for this
Court to resolve the merits of Stumpf ’s sentencing claim, and
we therefore express no opinion on whether the prosecutor’s actions
amounted to a due process violation, or whether any such violation
would have been prejudicial. The Court of Appeals should have the
opportunity to consider, in the first instance, the question of how
Eastman’s testimony and the prosecutor’s conduct in the Stumpf and
Wesley cases relate to Stumpf ’s death sentence in particular.
Accordingly, we vacate the portion of the judgment below relating
to Stumpf ’s prosecutorial inconsistency claim, and we remand
the case for further proceedings consistent with this opinion.
It is so ordered.
* Unless otherwise noted, all citations to
Ohio statutes refer to the versions of those statutes in effect in
1984, at the time of the crime and trial.
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