WIENER, Circuit Judge:
Cong Van Pham ("Pham") appeals the denial of his § 2255 motion in which he asserted ineffective assistance of counsel based on his lawyer's failure to consult with him about filing a direct appeal of his sentence. We conclude that Pham reasonably expressed an interest in an appeal immediately after he was sentenced, which triggered counsel's duty to consult. We reverse and remand to give Pham an opportunity to file a direct appeal.
Pham is a refugee from Vietnam, speaks no English, and, until the events leading to this appeal, had no criminal record. When his wife was diagnosed with a brain tumor, Pham began cultivating marijuana to raise money for her medical treatment. The government found over seven hundred marijuana plants in Pham's "grow house" and charged him with one count of manufacturing a controlled substance. Because of the large number of his marijuana plants, Pham faced a mandatory minimum sentence of five years. At all times, Pham communicated with counsel and the district court through a translator.
Pham pleaded guilty pursuant to a plea agreement. The agreement (1) contained an appeal waiver, (2) disclaimed any agreement "concerning any possible sentence," and (3) authorized the government to file a § 5K1.1 motion for a downward departure if it concluded that Pham had provided substantial assistance. Before Pham signed the plea agreement, his counsel explained its terms to him, including the appeal waiver. Counsel also informed Pham that he would likely receive the mandatory minimum sentence unless he fully cooperated with the government. Counsel knew that, despite his admonitions, Pham continued to hope for a sentence of probation so that he could care for his wife.
The probation office calculated Pham's Guidelines range to be 30 to 37 months but recommended the five-year statutory mandatory minimum. It declined to recommend eligibility for the § 5C1.2 safety valve, which, if accepted by the court, would have nullified the mandatory minimum, because the government did not believe Pham's claims that he had acted alone, thus negating § 5C1.2(a)(5)'s requirement of full disclosure. Pham met all other requirements of the safety-valve provision.
At sentencing, Pham's counsel argued for application of the safety valve to bypass the mandatory minimum sentence and for a departure downward to a term of probation only because Pham's wife and children needed his care. The government reiterated that it did not believe Pham had been truthful about acting alone and therefore did not move for a § 5K1.1 downward departure. The district court concluded
Through an interpreter, Pham spoke with his counsel immediately after sentencing. We recite the nature and content of that conversation in light of the district court's credibility findings, which are supported by the record and which Pham does not challenge on appeal. When sentenced, Pham was visibly upset at receiving a prison sentence instead of probation; he said that a prison sentence would kill his wife, who relied on his care; and, while his wife cried nearby, Pham spoke with his counsel and "brought up that he was concerned about getting 60 months and wanted to do something to get less time." Counsel responded to Pham that if he would cooperate with the government, he might receive a reduced sentence pursuant to Federal Rule of Criminal Procedure 35. At no point after sentencing, however, did counsel mention or discuss the possibility of a direct appeal, and no notice of appeal was filed.
Pham later filed a § 2255 habeas corpus petition to vacate his sentence, contending that counsel was constitutionally ineffective because he failed to consult with Pham about an appeal after he was sentenced. The magistrate judge held an evidentiary hearing, assessed witness credibility, and recommended denying the petition. The district court overruled Pham's objections to that recommendation, denied his petition, and denied a certificate of appealability. We granted such a certificate on "whether the district court was correct in determining that Pham's counsel was not ineffective because counsel did not consult with him about filing a direct appeal."
We review de novo a district court's conclusions on a § 2255 petition based on ineffective assistance of counsel.
The Sixth Amendment guarantees "reasonably effective" legal assistance.
Under Flores-Ortega, the first Strickland prong begins with the question whether counsel "consulted" with the defendant regarding an appeal.
If, however, counsel failed to consult with the defendant about an appeal, then the question is whether that failure was unreasonable because it breached the duty to consult. "[C]ounsel has a constitutionally imposed duty to consult with the defendant about an appeal when there is reason to think either (1) that a rational defendant would want to appeal (for example, because there are non-frivolous grounds for appeal), or (2) that this particular defendant reasonably demonstrated to counsel that he was interested in appealing."
Finally, under Flores-Ortega, a defendant satisfies the second Strickland prong if he shows "that there is a reasonable probability that, but for counsel's deficient failure to consult with him about an appeal, he would have timely appealed."
The result of the first step in the Flores-Ortega reasonableness analysis is clear on these facts: Pham's counsel did not sufficiently consult with him about filing an appeal. At most, Pham's counsel discussed an appeal in the abstract and even then did so only before the sentence was pronounced. But after sentencing, when the sentence actually imposed became known and the time period for filing a notice of appeal began to run, counsel neither mentioned the possibility of an appeal at all nor made any effort to discover Pham's wishes in that regard.
With that established, we next assess whether counsel's failure to consult
With those cases in mind, we turn to the discrete facts of this appeal. Pham's counsel knew that Pham had hoped to receive a sentence of probation only. When that hope did not materialize, a visibly upset Pham "brought up that he was concerned about getting 60 months and wanted to do something to get less time." This was ample demonstration of Pham's interest in doing something to change the outcome of his sentencing through additional proceedings. We hold that this statement to counsel, when viewed in context, was enough to trigger counsel's constitutional duty to consult with Pham about an appeal.
In concluding otherwise, the district court misconstrued the facts and placed too much weight on marginally relevant factors. The district court erred first when it concluded that Pham's post-sentencing statement demonstrated interest in a Rule 35 sentence reduction but not in an appeal. We disagree that a lay defendant, particularly one who speaks no English, must incant the magic word "appeal" to trigger counsel's duty to advise him about one.
Third, the district court drew a number of incorrect legal conclusions and factual inferences. For example, the court erroneously stated that "Pham received the 60-month sentence he bargained for as part of the plea agreement." Sixty months was the statutory minimum, and, perhaps Pham should even have expected that sentence, but he did not bargain for it with the government.
The district court also found significant that Pham's reason for wanting a shorter sentence was because his children are young and his wife is ill, not because he perceived any legal or factual error in the sentence imposed. This might be highly relevant as to whether a rational defendant with a non-frivolous basis would want to appeal, but it is minimally relevant to what this particular defendant actually demonstrated to counsel.
In sum, Pham's post-sentencing statement to counsel and his demeanor when uttering it reasonably demonstrated his interest in appealing his sentence, such that counsel had a duty to consult with Pham about an appeal. We can identify no factors that take this case out of the "vast majority" in which counsel has a duty to consult.
The second Strickland prong — prejudice — is even more easily resolved. The district court made no findings as to prejudice and the government did not brief prejudice on appeal. In the absence of any self-evident reason why Pham would not have filed a direct appeal, and without any regard to the potential merits of such an appeal, we conclude that he has established prejudice under Flores-Ortega.
Pham has shown that he was prejudiced by his counsel's constitutionally ineffective failure to consult with him about an appeal. Accordingly, we REVERSE the district court's denial of Pham's § 2255 motion and REMAND to the district court "with instructions to dismiss without prejudice that part of the § 2255 motion for which the out-of-time appeal was granted, to grant an out-of-time appeal, and to reinstate the criminal judgment on the docket."