Opinion ID: 931960
Heading Depth: 3
Heading Rank: 2

Heading: Guilty Plea in the Bribery Case

Text: Tien argues that the district court did not adequately inquire into whether he understood the proceedings during his 9 first guilty plea. The Government maintains that because the district court ascertained that Tien’s medications affected only his nerves, and advised Tien to let the interpreter know if he was “having a problem,” no further inquiry was required. In this case we believe that the district court should have inquired further into Tien’s ability to offer his plea before it could proceed. Many of the answers that the Appellant provided at the outset of the plea should have caused the district court to conduct further investigation into whether Tien understood the proceedings. As an initial matter, Tien had difficulty even providing his age; he first said he was 80-years-old, and provided two more answers, the first of which was his correct age (60). (A-96.) Next, he told the judge that he understood only fifty percent of what was happening. When Tien’s counsel attempted to clarify the situation, asking Tien whether his medications affected his ability to “hear or think,” Tien responded, “[y]eah.” (A-97.) Upon being asked again whether Tien understands the court, Tien said “No.” (A-98.) Without an on-the-record statement from the defendant that he understood the proceedings, the district court should not have continued with the plea. 10 This does not appear to be merely a language barrier that was ameliorated by using an interpreter during the plea. The record below does not reflect that the interpreter helped Tien comprehend the proceedings or the consequences of his guilty plea. The district court inquired only into whether Tien could understand the interpreter, which is entirely different from whether Tien understood the proceedings. Moreover, once the district court learned that Tien was on a series of medications, there should have been further inquiry into the specific medicines and their side effects. In United States v. Rossillo, 853 F.2d 1062 (2d Cir. 1988), the district court was informed that the defendant took drugs for a heart condition, yet conducted no further inquiry. In vacating the defendant’s guilty plea, this Court held, the district court’s failure to further question defendant about any medication he was taking for his heart condition, the possible effects that that medication might have on his decision to plead guilty, and his ability to understand the plea proceedings, dictates, consistent with our prior holdings . . . that we once again reaffirm our commitment to strict compliance with Rule 11. We believe that if there is any indication, as there was in this case, that defendant is under the influence of any medication, drug or intoxicant, it is incumbent upon the district court to explore on the record defendant’s ability to understand the nature and consequences of his decision to plead guilty. We know of no other way to ensure both that defendant understands the constitutional rights that he is relinquishing by pleading guilty and that the plea is truly voluntary. Id. at 1066 (emphasis in original). 11 Here, the district court learned that Tien took medications, yet did not make an on-the-record finding as to the side effects of the medications and whether they interfered with his understanding of the proceedings. Indeed, there is no indication that after the district court learned that Tien took medications, it endeavored to ascertain whether they could impact his ability to proceed. See id.; see also United States v. Parra-Ibanez, 936 F.2d 588 (1st Cir. 1991) (vacating sentence where district court learned that defendant was taking medications that affected his nerves but failed to probe deeper into the medications, even though the judge received assurances from the Appellant that he understood the proceedings). This critical omission precludes a finding that Tien’s plea in the bribery case was knowing and voluntary, and dictates that the plea be vacated.