Lead Opinion
BOYCE F. MARTIN, Jr., J., delivered the opinion of the court, in which RYAN, J., joined. RALPH B. GUY, Jr., J. (pp. 738-40), delivered a separate dissenting opinion.
The State of Tennessee appeals the district court’s grant of a writ of habeas corpus in connection with Leonard Riggins’ conviction for second degree murder in a Tennessee state court. The district court held that Riggins was denied his right to equal protection under the law because, prior to Riggins’ third trial, the State refused to provide defense counsel with transcripts of Riggins’ two prior trials, each of which ended in a mistrial. In doing so, the district court rejected the State’s claim that providing defense counsel with access to tapes of Riggins’ two prior trials was a constitutionally adequate, substantially equivalent substitute to a transcript, as required by Britt v. North Carolina,
Riggins was indicted in March of 1980 on a charge of second degree murder in connection with the shooting death of Harvey Lee Chapman. Riggins is indigent, and counsel was appointed by the Tennessee state court. The case proceeded to trial in June of 1980, and on the second day of trial the court declared a mistrial due to prejudicial remarks made by a prosecution "witness before the jury. Riggins was tried again in August of 1980, and, after a three day trial, the court declared a mistrial due to a hung jury. Finally, in November of 1980 Riggins was tried a third time and was convicted of second degree murder after a three day trial. During the course of that trial, the State presented the testimony of eleven witnesses, six of whom testified at all three trials.
Prior to the third trial, Riggins’ counsel requested transcripts of the previous two trials. The State denied counsel’s requests, reasoning that counsel had heard all of the testimony from the prior trials and that the court reporter’s tapes were a sufficient alternative to a written transcript. In compliance with the state court’s ruling, and prior to the third trial, Riggins’ counsel listened to the court reporter’s tapes on three occasions, twice at the courthouse, and once at the court reporter’s home, for at least sixteen hours.
After Riggins’ conviction, transcripts of all three trials were made available to defense counsel for purposes of appeal. Counsel then sought a reversal of Riggins’ conviction on direct appeal and subsequent collateral proceedings in state court, arguing in part that the state court’s denial of transcripts from the two mistrials violated Riggins’ equal protection rights. Riggins’ equal protection claim was denied by every state court that addressed the issue.
Riggins then sought habeas corpus relief pursuant to 28 U.S.C. § 2254, filing an amended petition for a writ of habeas corpus on December 10, 1993, in the United States District Court for the Middle District of Tennessee. The State of Tennessee answered the amended petition, and the district court referred the case to a magistrate judge for an evidentiary hearing on the merits of Rig-gins’ equal protection claim, dismissing all other claims in Riggins’ habeas petition. After conducting an evidentiary hearing, the magistrate recommended that a writ should issue in Riggins’ favor, finding that the State’s failure to provide Riggins with transcripts of his two prior trials before Riggins’ third trial violated his equal protection rights.
The district court conducted a de novo review and, after agreeing with the magistrate’s decision, entered an order on April 17, 1995, vacating Riggins’ conviction and directing that a writ of habeas corpus issue unless the State retried Riggins within ninety days. The district court grounded its decision in the belief that providing Riggins’ counsel with free access to the court reporter’s tapes of the two previous trials was not a substantially equivalent alternative to a transcript as required under the Supreme Court’s decision in Britt. The district court subsequently granted the State’s motion for a stay of its order and this appeal followed.
The facts of this case are essentially undisputed. Riggins’ counsel listened to tapes of the two prior trials at least twice in the courthouse for a few hours and once at the court reporter’s home for twelve hours. Rig-gins’ counsel did not remember being denied access to the tapes at any time prior to the third trial. However, Riggins’ counsel did state that he would have been able to cross-examine several of the witnesses more effectively if he had had access to( the transcript of the first two trials during Riggins’ third trial. Riggins’ third trial was somewhat complicated and took three days to complete, with the State introducing testimony from eleven witnesses.
After receiving transcripts of all three trials for the purposes of appeal, Riggins’ counsel identified discrepancies in the testimony of six different witnesses that he would have been able to pursue during cross-examination if he had had transcripts from the first two
In Griffin v. Illinois,
In prior cases involving an indigent defendant’s claim of right to a free transcript, this Court has identified two factors that are relevant to the determination of need: (1) the value of the transcript to the defendant in connection with the appeal or trial for which it is sought, and (2) the availability of alternative devices that would fulfill the same functions as a transcript.
Id. (footnote omitted). As to the first factor, the Court explained further that “[o]ur cases have consistently recognized the value to a defendant of a transcript of prior proceedings, without requiring a showing of need tailored to the facts of the particular case.” Id. at 228,
This Circuit has interpreted Britt as creating a “narrow exception” to the requirement that a State provide a free transcript of a prior mistrial to indigent criminal defendants. United States v. Young,
In Young, this Court held that the trial court erred in refusing to provide a transcript of the defendant’s first trial where the cases occurred two weeks apart and three separate witnesses testified at both trials. We observed that “[t]rial lawyers and trial judges have long recognized that a transcript of prior testimony is a very useful tool in mounting an attack upon the credibility of witnesses.” Young,
In Martin v. Rose, the defendant had been convicted in a Tennessee state court for bank robbery.
[W]e can think of no more valuable document for defense counsel approaching a contested trial than the record of the previous trial of his client for the exact same crime with which he is charged again before the court of another sovereign. We cannot conceive of a competent lawyer for an affluent client who would not order a trial transcript under such circumstances.
Id. at 113. Similarly, here there can be no question that transcripts from Riggins’ first two trials were extremely important to Rig-gins’ counsel in preparing for Riggins’ third trial. That Riggins’ counsel believed it necessary to listen to the court reporter’s tapes from Riggins’ first two trials for at least sixteen hours demonstrates this fact.
Nonetheless, we can assume the value of the transcripts in this case, in light of Britt’s holding that a defendant need not demonstrate the value of a transcript of prior proceedings “tailored to the facts of a particular ease.” Britt,
[I]t can ordinarily be assumed that a transcript of a prior mistrial would be valuable to the defendant in at least two ways: as a*737 discovery device in preparation for trial, and as a tool at the trial itself for the impeachment of prosecution witnesses.
Id. Accordingly, we must assess whether the state’s alternative approach is “substantially equivalent” to a transcript in light of the use for which a transcript is requested. Here, Riggins makes no claim that a transcript would have aided his discovery efforts. Instead, Riggins claims that, in this case, a transcript was necessary for impeachment of the six prosecution witnesses who testified at both of his prior trials.
For purposes of impeachment on cross-examination, the complexity of a defendant’s trial and the time between trials are important factors when assessing whether a state’s alternative procedure is substantially equivalent to a transcript in a given case. See United States v. Mullen,
While the Supreme Court in Britt held that access to the court reporter’s tapes was an adequate substitute to a transcript under the facts of that case, Britt,
Unlike the situation presented in Britt, and as explained above, this case involves two prior mistrials, with the third and final trial coming some five months after the original trial. The trial was fairly extensive, with at least six witnesses who testified at each of the three trials. Riggins’ counsel identified inconsistencies in all six of the witnesses’ testimony that he would have been able to bring out on cross-examination if he had had a transcript available to him.
In sum, on the facts of this case, we hold that the state’s failure to provide Riggins with transcripts from his two previous trials violated his equal protection rights. Given the complexity of this case, and the five
Finally, the denial of the transcript in this case is not harmless error. See generally Chapman v. California,
The district court correctly concluded that the state’s failure to provide Riggins with transcripts of his prior two trials violated the principles enunciated in Britt v. North Carolina. In addition, the failure to provide the transcripts was not harmless error. We AFFIRM the district court’s order issuing the writ of habeas corpus.
Notes
. Although Britt remains good law, the Supreme Court has moved away from relying on equal protection and instead has used the language of due process in deciding whether a state must provide certain kinds of defense services to indigent criminal defendants. Britt itself contains language signalling an increased reliance on due process, stating that Griffin and equal protection command that the state provide "the basic tools of an adequate defense or appeal, when those tools are available for a price to other prisoners.” Britt,
. In Britt, the Supreme Court noted that the defendant's counsel conceded that he could have called the court reporter at any time to have part or all of the prior record read back to him. In Young, this Court noted that, contrary to Britt, the defendant's counsel had "not conceded that he had such [an] 'informal alternative'.” Young,
. As the dissent points out, Riggins’ counsel did testify at the evidentiary hearing that he was able to confront several of the witnesses about possible discrepancies in their testimony at Riggins' third trial. However, counsel also has consistently stated that his cross-examination would have been much more effective had he been able to obtain a transcript prior to trial, and that, after receiving transcripts for the purposes of appeal, he found discrepancies that he did not remember from his review of the tapes during cross-examination. The dissent chooses to judge for itself whether these discrepancies are major or minor. We decline to do so. The effect of even inconsequential discrepancies in a witness' testimony may in some cases be enough to sway a jury. On the other hand, in some cases a major discrepancy in a witness' testimony may later be explained such that the jury finds the witness’ testimony credible despite the inconsistency. It is not for us to say whether these inconsistencies were major or minor in this case, especially when we note that Riggins' second trial ended in a hung jury.
Dissenting Opinion
dissenting.
Because I believe the result in this case is controlled by the Supreme Court’s decision in Britt v. North Carolina,
Britt involved, as does the case at bar, a retrial after a mistrial due to a hung jury. Petitioner requested a free transcript of his first trial and the request was denied. The second trial resulted in a conviction, and on appeal the conviction was affirmed. The Supreme Court granted certiorari and also affirmed.
In affirming, the Court made it clear that it was not retreating from its holding in Griffin v. Illinois,
Notwithstanding the foregoing, the Court did allow for an exception to furnishing a “free transcript.” If “alternative devices” were available that would fulfill the same functions as a transcript, the refusal to provide a transcript would not be an error requiring reversal. Indeed, in Britt, the Court based its affirmance on the fact that “the reporter would at any time have read back to counsel his notes of the mistrial, well in advance of the second trial, if counsel had simply made an informal request.” Id. at 229,
Since Britt sets the standard by which what occurred here is measured, Riggins attempts to distinguish Britt. Petitioner first argues that the interval between his trials was longer than the one month interval in Britt. Although this is factually correct, I do not find it a significant distinction. Riggins was involved in two prior trials and the span of time encompassing all three trials was only five months. As was the case in Britt, the defense counsel and the reporter were the same in all three cases. Furthermore, the witness, deemed key by the defendant, testified in all three trials.
The petitioner next argues that in Britt the Court noted that petitioner “conceded that he had available an informal alternative which appears to be substantially equivalent to a transcript.” Id. at 230,
The facts here would appear to be much stronger in favor of respondent than was true in Britt. In Britt, the mere availability of the alternative was deemed adequate. Here, with the aid of a most cooperative and willing court reporter, counsel actually availed himself of the alternative of listening to the tapes of the earlier trial and taking notes.
Petitioner’s final attempt to distinguish Britt sets forth his best argument. After Riggins was convicted in his third trial, he did get a free transcript of all three trials for purposes of appeal. Counsel now argues that when he compared the three transcripts, he saw discrepancies in the testimony of certain witnesses, which he either did not note initially in his review of the tapes or did not remember at the third trial.
Riggins’ defense counsel testified at the evidentiary hearing conducted in the district court, but, due to the long passage of time, he had virtually no helpful memory. Petitioner relies upon the appellate brief filed in the state court that sets forth the alleged discrepancies.
My reaction to this line of argument is twofold. First, defense counsel, having heard all of the witnesses testify on two previous occasions, did challenge witnesses in the third trial and attempted to impeach them by referencing their prior testimony. Whether the failure to make additional challenges was trial strategy or an impediment imposed by not having a written transcript, no one will ever know. It is clear from defense counsel’s testimony at the evidentia-ry hearing, however, that he enjoyed some success in his impeachment efforts.
Q. And you were able to hear their testimony at the earlier trials?
A. Uh-huh, yes.
Q. Did you need to go back and listen to any of those at any time?
A. I think I made the decision to rely upon my notes from taking the tapes in order to make it a — make the proceeding flow. In other words, they were making a statement at the third trial, and I — and I just simply made the observation that they were under oath on three — on three different occasions, and did you not say this on one occasion, and this on the second occasion, and now you’re saying this. And I think in almost — in most of the situations, the witness somewhat admitted that the story had changed a little bit, their memory had gotten clearer with the passage of time.
Q. And so — so you were indeed able to confront them with discrepancies in their testimony?
A. Yes, ma’am.
Q. Did you ever ask at any time if a limited portion of the record could be transcribed based on your — your notes selecting short portions of the record.
A. I don’t believe I did, no.
Second, defense counsel never asked to have any portions of an earlier tape played or verbatim testimony read back by the court reporter during the third trial.
Petitioner further argues that in Britt the defense counsel never availed himself of the opportunity to have the reporter read back the testimony of the first trial, so the court just presumed this would have been an acceptable alternative. Riggins, in effect, argues that he has rebutted any such presumption because his counsel did hear the earlier tapes, and then did secure a transcript and found the latter to be superior to the former. I have no doubt that having the written transcript would have been better, and authorizing the furnishing of earlier transcripts would be the better practice. But, in Britt, the Court did not require that the alternative be equal, but only “substantially equivalent.”
Nonetheless, taking petitioner’s argument at face value, I have reviewed the discrepancies relied upon in his appellate brief filed in the state court as did the state court. I find none of them to have been significant enough to have changed the outcome of the trial if pointed out to the jury during the trial. For the most part, the alleged discrepancies involve the type of minor variances in testimony that one would expect from witnesses testifying a considerable period of time after the murder took place. For example, one of
Particular attention was paid to the testimony of Erskine Moore, since his was accomplice testimony, and he was the only witness with a possible motivation to lie. The discrepancies pointed out in Moore’s testimony, however, are all relatively insignificant. For example, at the first trial, “Mr. Moore testified that he arrived at the Lincoln County Fair between 6:30 and 7:00 p.m. on September 14,1977. The defendant, two others and he left there between 7:30 and 8:00 p.m.”
At the second trial, Moore testified, “he got with the defendant and two others between 7:00 and 8:00 p.m. on September 14, 1977. All four rode to the vicinity of Chapman residence between 9:00 and 10:00 p.m.”
At the third trial, Moore testified that “all four met at the Lincoln County Fairgrounds between 6:30 and 7:00 p.m. on September 14, 1977, and that they left there between 7:00 and 7:45 p.m.”
Given that it was established that the murder took place close to 9:30 p.m., these variances in arrival and departure time appear to be the normal lapses in memory that one might expect in recalling a past event. Indeed, if Moore had intended to falsely implicate the defendant, the likelihood is his version of what occurred would have had the consistency that comes with contrived testimony.
Although petitioner cites to cases from other circuits giving at least superficial support to his arguments, I find the cases relied upon distinguishable. For example, the magistrate judge and the petitioner both place heavy reliance on United States v. Jonas,
Unlike Jonas, the facts in our case track Britt. We have the same cast of characters in all three trials and the court reporter went to great lengths to make herself available, including a 12-hour Saturday session at her house during which she served lunch to defense counsel.
It is clear that the court in Jonas did not like the result reached in Britt and relied “primarily on [its] language rather than its narrow holding.” Id. at 571. Judge Cummings dissented on the grounds that he could not distinguish Britt. It is significant that Jonas involved a federal prosecution and the court was, in part, interpreting a federal statute, 18 U.S.C. § 3006A(e)(1), which indicates the type of services to be made available without charge to an indigent defendant.
Whether the Britt holding is a good one or a bad one is, of course, a question on which reasonable minds might differ. I am unable, however, to find any significant factual distinctions in the case at bar that would mandate a departure from Britt’s holding and analysis.
