Roe v. Flores-Ortega

528 U.S. 470, 120 S. Ct. 1029, 145 L. Ed. 2d 985, 2000 U.S. LEXIS 1539
CourtSupreme Court of the United States
DecidedFebruary 23, 2000
Docket98-1441
StatusPublished
Cited by2,755 cases

This text of 528 U.S. 470 (Roe v. Flores-Ortega) is published on Counsel Stack Legal Research, covering Supreme Court of the United States primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Roe v. Flores-Ortega, 528 U.S. 470, 120 S. Ct. 1029, 145 L. Ed. 2d 985, 2000 U.S. LEXIS 1539 (2000).

Opinions

Justice O’Connor

delivered the opinion of the Gourt.

In this case we must decide the proper framework for evaluating an ineffective assistance of counsel claim, based on counsel’s failure to file a notice of appeal without respondent’s consent.

I

The State of California charged respondent, Lucio Flores-Ortega, with one count of murder, two counts of assault, and a personal use of a deadly weapon enhancement allegation. In October 1993, respondent appeared in Superior Court with his court-appointed public defender, Nancy Kops, and a Spanish language interpreter, and pleaded guilty to second-degree murder. The plea was entered pursuant to a California rule permitting a defendant both to deny committing a crime and to admit that there is sufficient evidence to convict him. See People v. West, 3 Cal. 3d 595, 477 P. 2d 409 (1970). In exchange for the guilty plea, the state prosecutor moved to strike the allegation of personal use of a deadly weapon and to dismiss both assault charges. On November 10, 1993, [474]*474respondent was sentenced to 15 years to life in state prison. After pronouncing sentence, the trial judge informed respondent, “You may file an appeal within 60 days from today’s date with this Court. If you do not have money for Counsel, Counsel will be appointed for you to represent you on your appeal.” App. 40.

Although Ms. Kops wrote “bring appeal papers” in her file, no notice of appeal was filed within the 60 days allowed by state law. See Cal. Penal Code Ann. § 1239(a) (West Supp. 2000); Cal. App. Rule 31(d). (A notice of appeal is generally a one-sentence document stating that the defendant wishes to appeal from the judgment. See Rule 31(b); Judicial Council of California, Approved Form CR-120 (Notice of Appeal-Felony) (Jan. 5, 2000), http://www.courtinfo.ca.gov/forms/ documents/er120.pdf.) Filing such a notice is a purely ministerial task that imposes no great burden on counsel. During the first 90 days after sentencing, respondent was apparently in lockup, undergoing evaluation, and unable to communicate with counsel. About four months after sentencing, on March 24, 1994, respondent tried to file a notice of appeal, which the Superior Court Clerk rejected as untimely. Respondent sought habeas relief from California’s appellate courts, challenging the validity of both his plea and conviction, and (before the California Supreme Court) alleging that Ms. Kops had not filed a notice of appeal as she had promised. These efforts were uniformly unsuccessful.

Respondent then filed a federal habeas petition pursuant to 28 U. S. C. §2254, alleging constitutionally ineffective assistance of counsel based on Ms. Kops’ failure to file a notice of appeal on his behalf after promising to do so. The United States District Court for the Eastern District of California referred the matter to a Magistrate Judge, who in turn ordered an evidentiary hearing on the limited issue of whether Ms. Kops promised to file a notice of appeal on respondent’s behalf. At the conclusion of the hearing, the Magistrate Judge found:

[475]*475“The evidence in this ease is, I think, quite clear that there was no consent to a failure to file [a notice of appeal].
“It’s clear to me that Mr. Ortega had little or no understanding of what the process was, what the appeal process was, or what appeal meant at that stage of the game.
“I think there was a conversation [between Ortega and Kops] in the jail. Mr. Ortega testified, and I’m sure he’s testifying as to the best of his belief, that there was a conversation after the pronouncement of judgment at the sentencing hearing where it’s his understanding that Ms. Kops was going to file a notice of appeal.
“She has no specific recollection of that. However, she is obviously an extremely experienced defense counsel. She’s obviously a very meticulous person. And I think had Mr. Ortega requested that she file a notice of appeal, she would have done so.
“But, I cannot find that he has carried his burden of showing by a preponderance of the evidence that she made that promise.” App. 132-138.

The Magistrate Judge acknowledged that under precedent from the Court of Appeals for the Ninth Circuit, United States v. Stearns, 68 F. 3d 328 (1995), a defendant need only show that he did not consent to counsel’s failure to file a notice of appeal to be entitled to relief. The judge concluded, however, that Stearns announced a new rule that could not be applied retroactively on collateral review to respondent’s case. See Teague v. Lane, 489 U. S. 288 (1989). Thus, the Magistrate Judge recommended that the habeas petition be denied. App. 161. The District Court adopted the Magistrate’s findings and recommendation, and denied relief. Id., at 162-163.

The Court of Appeals for the Ninth Circuit reversed, reasoning that the rule it applied in Stearns — that a habeas petitioner need only show that his counsel’s failure to file a [476]*476notice of appeal was without the petitioner’s consent— tracked its earlier opinion in Lozada v. Deeds, 964 F. 2d 956 (1992), which predated respondent’s conviction. 160 F. 3d 584 (1998). Because respondent did not consent to the failure to file a notice of appeal—and thus qualified for relief under Stearns—the court remanded the case to the District Court with instructions to issue a conditional habeas writ unless the state court allowed respondent a new appeal. We granted certiorari, 526 U. S. 1097 (1999), to resolve a conflict in the lower courts regarding counsel’s obligations to file a notice of appeal. Compare United States v. Tajeddini, 945 F. 2d 458, 468 (CA1 1991) (per curiam) (counsel’s failure to file a notice of appeal, allegedly without the defendant’s knowledge or consent, constitutes deficient performance); Morales v. United States, 143 F. 3d 94, 97 (CA2 1998) (counsel has no duty to file a notice of appeal unless requested by the defendant); Ludwig v. United States, 162 F. 3d 456, 459 (CA6 1998) (Constitution implicated only when defendant actually requests an appeal and counsel disregards the request); Castellanos v. United States, 26 F. 3d 717, 719-720 (CA7 1994) (same); Romero v. Tansy, 46 F. 3d 1024, 1030-1031 (CA10 1995) (defendant does not need to express to counsel his intent to appeal for counsel to be constitutionally obligated to perfect defendant’s appeal; unless defendant waived right, counsel was deficient for failing to advise defendant about appeal right); United States v. Stearns, supra, (counsel’s failure to file a notice of appeal is deficient unless the defendant consents to the abandonment of his appeal).

II

In Strickland v. Washington, 466 U. S. 668 (1984), we held that criminal defendants have a Sixth Amendment right to “reasonably effective” legal assistance, id., at 687, and announced a now-familiar test: A defendant claiming ineffective assistance of counsel must show (1) that counsel’s representation “fell below an objective standard of reasonableness,” [477]*477

Free access — add to your briefcase to read the full text and ask questions with AI

Related

State v. Harlan
Nebraska Court of Appeals, 2025
People v. Bueso (Wilmer)
77 Misc. 3d 137(A) (Appellate Terms of the Supreme Court of New York, 2022)
Eric Straub v. Commonwealth of Kentucky
Court of Appeals of Kentucky, 2022
(HC) Harris v. Frauenheim
E.D. California, 2019
People v. Grimes
32 N.Y.3d 302 (New York Court of Appeals, 2018)
Com. v. Knight, L.
Superior Court of Pennsylvania, 2017
Com. v. Hill, D.
Superior Court of Pennsylvania, 2017
Jesse Andrews v. Kevin Chappell
866 F.3d 994 (Ninth Circuit, 2017)
United States v. Yonas Eshetu
863 F.3d 946 (D.C. Circuit, 2017)
Lester Laural Jones v. State
Idaho Court of Appeals, 2017
Joletta Summers v. State of Tennessee
Court of Criminal Appeals of Tennessee, 2017
State of Washington v. Zachary R. Roy
Court of Appeals of Washington, 2017
State Of Washington v. Dale Russell Lieschner
Court of Appeals of Washington, 2017
People v. Cervantes
California Court of Appeal, 2017
State of New Jersey v. Marcus Perkins
157 A.3d 471 (New Jersey Superior Court App Division, 2017)
People v. Valdez
2016 IL 119860 (Illinois Supreme Court, 2017)

Cite This Page — Counsel Stack

Bluebook (online)
528 U.S. 470, 120 S. Ct. 1029, 145 L. Ed. 2d 985, 2000 U.S. LEXIS 1539, Counsel Stack Legal Research, https://law.counselstack.com/opinion/roe-v-flores-ortega-scotus-2000.