Bradshaw v. Stumpf, 545 U.S. 175 (2005)
SYLLABUS
OCTOBER TERM, 2004
BRADSHAW V. STUMPF
SUPREME COURT OF THE UNITED STATES
BRADSHAW, WARDEN v. STUMPF
certiorari to the united states court of appeals for the sixth circuit
No. 04–637.Argued April 19, 2005—Decided June 13, 2005
Respondent Stumpf and his accomplice Wesley committed an armed robbery that left Mr. Stout wounded and Mrs. Stout dead. Stumpf admitted shooting Mr. Stout but has always denied killing Mrs. Stout. In Ohio state court proceedings, Stumpf pleaded guilty to, among other things, aggravated murder and one of three capital murder specifications charged in his indictment. This left Stumpf eligible for the death penalty. In a contested penalty hearing before a three-judge panel, Stumpf ’s principal mitigation arguments were that he had participated in the robbery at Wesley’s urging, that Wesley had killed Mrs. Stout, and that Stumpf ’s minor role in the murder counseled against the death sentence. The State, however, claimed that Stumpf had shot Mrs. Stout, and that he therefore was the principal offender in her murder. In the alternative, the State noted that even an accomplice can be sentenced to death under Ohio law if he acted with the specific intent to cause death, and the State argued that such intent could be inferred from the circumstances of the robbery regardless of who actually shot Mrs. Stout. The panel concluded that Stumpf was the principal offender and sentenced him to death. At Wesley’s subsequent jury trial, however, the State presented evidence that Wesley had admitted to shooting Mrs. Stout. But Wesley argued that the prosecutor had taken a contrary position in Stumpf ’s trial, and Wesley was sentenced to life in prison with the possibility of parole. After Wesley’s trial, Stumpf moved to withdraw his own plea or vacate his death sentence, arguing that the evidence endorsed by the State in Wesley’s trial cast doubt on Stumpf ’s conviction and sentence. This time, however, the prosecutor emphasized other evidence confirming Stumpf as the shooter and again raised, in the alternative, the aider-and-abettor theory. The court denied Stumpf ’s motion, and Ohio’s appellate courts affirmed. Subsequently, the Federal District Court denied Stumpf habeas relief, but the Sixth Circuit reversed on two grounds. First, the Sixth Circuit found that Stumpf had not understood that specific intent to cause death was a necessary element of the aggravated murder charge, and that his guilty plea therefore had not been knowing, voluntary, and intelligent. Second, the court found that the conviction and sentence could not stand because the State had secured convictions of both Stumpf and Wesley for the same crime, using inconsistent theories.
Held:
1. The Sixth Circuit erred in concluding that Stumpf was uninformed of the aggravated murder charge’s specific intent element. While a guilty plea is invalid if the defendant has not been informed of the crime’s elements, Stumpf ’s attorneys represented at his plea hearing that they had explained the elements to their client, and Stumpf confirmed that the representation was true. This Court has never held that the judge must himself explain a crime’s elements to the defendant. Rather, constitutional requirements may be satisfied where the record accurately reflects that the charge’s nature and the crime’s elements were explained to the defendant by his own, competent counsel. Stumpf argues that his plea was so inconsistent with his denial of having shot Mrs. Stout that he could only have pleaded guilty out of ignorance of the aggravated murder charge’s specific intent element. But that argument fails because Stumpf ’s conviction did not require a showing that Stumpf had shot Mrs. Stout. Ohio law also considers aiders and abettors who act with specific intent to cause death liable for aggravated murder. Stumpf and Wesley entered the Stout home with guns, intending to commit armed robbery, and Stumpf admitted shooting Mr. Stout. Taken together, these facts could show that the two men had agreed to kill both Stouts, which in turn could make both men guilty of aggravated murder regardless of who shot Mrs. Stout. Stumpf ’s claim that he and his attorneys were confused about the relevance and timing of defenses that they planned to make is not supported by the record. Finally, the plea’s validity may not be collaterally attacked on the ground that Stumpf made what he now claims was a bad deal. Pp. 6–10.
2. The Sixth Circuit was also wrong to hold that prosecutorial inconsistencies between the Stumpf and Wesley cases required voiding Stumpf ’s guilty plea. The precise identity of the triggerman was immaterial to Stumpf ’s aggravated murder conviction, and Stumpf has never explained how the prosecution’s postplea use of inconsistent arguments could have affected the knowing, voluntary, and intelligent nature of his plea. P. 11.
3. The prosecutor’s use of allegedly inconsistent theories may have a more direct effect on Stumpf ’s sentence, however, for it is arguable that the sentencing panel’s conclusion about his role 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 his challenge to his sentence. It is not clear whether the Court of Appeals would have found Stumpf entitled to resentencing had it not also considered the conviction invalid. Likewise, the parties’ briefing here, and the question on which this Court granted certiorari, largely focused on the conviction. In these circumstances, it would be premature for this Court to resolve the merits of Stumpf ’s sentencing claim before giving the Sixth Circuit the opportunity to consider in the first instance the question of how the prosecutor’s conduct in the Stumpf and Wesley cases related to Stumpf ’s death sentence in particular. Pp. 11–12.
367 F. 3d 594, reversed in part, vacated in part, and remanded.
O’Connor, J., delivered the opinion for a unanimous Court. Souter, J., filed a concurring opinion in which Ginsburg, J., joined. Thomas, J., filed a concurring opinion, in which Scalia, J., joined.
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).*
SOUTER, J., CONCURRING
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 Souter, joined by Justice Ginsburg, concurring. I join the opinion of the Court and add this word to explain the issue that I understand we are remanding for further consideration. As the Court notes in its opinion, although respondent John Stumpf challenged both his conviction and his death sentence, his attack on the sentence was not always distinct from the issue raised about the conviction. I understand Stumpf to claim that it violates the basic due process standard, barring fundamentally unfair procedure, to allow his death sentence to stand in the aftermath of three positions taken by the State: (1) at Stumpf ’s sentencing hearing; (2) at the trial of Stumpf ’s codefendant, Clyde Wesley; and (3) in response to Stumpf ’s motion to withdraw his guilty plea in light of the State’s position at the Wesley trial. At the hearing on Stumpf ’s sentence, the State argued that he was the triggerman, and it urged consideration of that fact as a reason to impose a death sentence. App. 186, 188–189. The trial court found that Stumpf had pulled the trigger and did sentence him to death, though it did not state that finding Stumpf to be the shooter was dispositive in determining the sentence. App. to Pet. for Cert. 219a. After the sentencing proceeding was over, the State tried the codefendant, Wesley, and on the basis of testimony from a new witness argued that Wesley was in fact the triggerman, App. 282, and should be sentenced to death. The new witness was apparently unconvincing to the jury, which in any event was informed that Stumpf had already been sentenced to death for the crime; the jury rejected the specification that named Wesley as the triggerman, and it recommended a sentence of life, not death. Stumpf then challenged his death sentence (along with his conviction) on the basis of the prosecution’s position in the Wesley case. In response, the State did not repudiate the position it had taken in the codefendant’s case, or explain that it had made a mistake there. Instead, it merely dismissed the testimony of the witness it had vouched for at Wesley’s trial, id., at 125, and maintained that Stumpf ’s death sentence should stand for some or all of the reasons it originally argued for its imposition. At the end of the day, the State was on record as maintaining that Stumpf and Wesley should both be executed on the ground that each was the trigger-man, when it was undisputed that only one of them could have been. Stumpf ’s claim as I understand it is not a challenge to the evidentiary basis for arguing for the death penalty in either case; nor is it a claim that the prosecution deliberately deceived or attempted to deceive either trial court, as in Mooney v. Holohan, 294 U. S. 103 (1935) (per curiam); nor does it implicate the rule that inconsistent jury verdicts may be enforced, United States v. Powell, 469 U. S. 57 (1984); Dunn v. United States, 284 U. S. 390 (1932). As I see it, Stumpf ’s argument is simply that a death sentence may not be allowed to stand when it was imposed in response to a factual claim that the State necessarily contradicted in subsequently arguing for a death sentence in the case of a codefendant. Stumpf ’s position was anticipated by Justice Stevens’s observation 10 years ago that “serious questions are raised when the sovereign itself takes inconsistent positions in two separate criminal proceedings against two of its citizens,” and that “the heightened need for reliability in capital cases only underscores the gravity of those questions … .” Jacobs v. Scott, 513 U. S. 1067, 1070 (1995) (citation and internal quotation marks omitted). Justice Stevens’s statement in turn echoed the more general one expressed by Justice Sutherland in Berger v. United States, 295 U. S. 78, 88 (1935), that the State’s interest in winning some point in a given case is transcended by its interest “that justice shall be done.” Ultimately, Stumpf ’s argument appears to be that sustaining a death sentence in circumstances like those here results in a sentencing system that invites the death penalty “to be … wantonly and … freakishly imposed.” Lewis v. Jeffers, 497 U. S. 764, 774 (1990) (quoting Gregg v. Georgia, 428 U. S. 153, 188 (1976) (joint opinion of Stewart, Powell, and Stevens, JJ.) (internal quotation marks omitted)). If a due process violation is found in the State’s maintenance of such inconsistent positions, there will be remedial questions. May the death sentence stand if the State declines to repudiate its inconsistent position in the codefendant’s case? Would it be sufficient simply to reexamine the original sentence and if so, which party should have the burden of persuasion? If more would be required, would a de novo sentencing hearing suffice?
545 U. S. ____ (2005)
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 Thomas, with whom Justice Scalia joins, concurring. I join the Court’s opinion. As the Court notes, the State has not argued that Teague v. Lane, 489 U. S. 288 (1989), forecloses Stumpf ’s claim that the prosecution’s presentation of inconsistent theories violated his right to due process. Ante, at 6. With certain narrow exceptions, Teague precludes federal courts from granting habeas petitioners relief on the basis of “new” rules of constitutional law established after their convictions become final. 489 U. S., at 310 (plurality opinion). This Court has never hinted, much less held, that the Due Process Clause prevents a State from prosecuting defendants based on inconsistent theories. Moreover, it is “[a] threshold question in every habeas case … whether the court is obligated to apply the Teague rule to the defendant’s claim,” and “if the State does argue that the defendant seeks the benefit of a new rule of constitutional law, the court must apply Teague before considering the merits of the claim.” Horn v. Banks, 536 U. S. 266, 271 (2002) (per curiam) (internal quotation marks omitted). The State also has not argued that Stumpf procedurally defaulted his due process claim, even though it appears that Stumpf never presented this argument to the Ohio courts. Stumpf did not even raise the inconsistent-theories claim in his first federal habeas filings. See App. to Pet. for Cert. 134a–140a. Instead, the District Court raised the issue for Stumpf sU. S.onte, and ordered supplemental briefing on the point. See App. 97–98. The Court’s opinion does not preclude the State from advancing either of these procedural defenses on remand in support of Stumpf’s death sentence. Moreover, I agree with the Court that “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.” Ante, at 11. Similar reasoning applies to Stumpf ’s sentence. Stumpf equally has never explained how the prosecution’s use of postsentence inconsistent arguments—which were based on evidence unavailable until after Stumpf was sentenced—could have affected the reliability or procedural fairness of his death sentence. At most, the evidence and purportedly inconsistent theory presented at Wesley’s trial would constitute newly discovered evidence casting doubt on the reliability of Stumpf ’s death sentence, a sort of claim that our precedents and this Nation’s traditions have long foreclosed, see Herrera v. Collins, 506 U. S. 390, 408–417 (1993); id., at 427–428 (Scalia, J., concurring). The Bill of Rights guarantees vigorous adversarial testing of guilt and innocence and conviction only by proof beyond a reasonable doubt. These guarantees are more than sufficient to deter the State from taking inconsistent positions; a prosecutor who argues inconsistently risks undermining his case, for opposing counsel will bring the conflict to the factfinder’s attention. See ante, at 2 (Souter, J., concurring) (noting that Wesley’s jury was informed that Stumpf had already been sentenced to death for the crime).