Opinion ID: 742997
Heading Depth: 2
Heading Rank: 1

Heading: Use of Transcripts and Replaying of Tapes During Jury Deliberations

Text: 10 A transcript repeating in written form a conversation recorded on tape may help a juror listening to the tape follow the conversation when the tape is of questionable clarity, see United States v. West, 948 F.2d 1042, 1044 n. 1 (6th Cir.1991); United States v. Slade, 627 F.2d 293, 302 (D.C.Cir.1980), or contains the voices of multiple speakers who talk over each other or speak in quick succession. See Slade, 627 F.2d at 302. Ironically, the same circumstances that make a transcript helpful to a juror may prejudice the defendant if it is presented without proper safeguards, for the only transcripts worth fighting about are those on which important words may be susceptible to different interpretations. After all, the jurors are likely to notice a clear discrepancy between a tape and a transcript. 11 The principal risk of indiscriminately permitting the use of transcripts by jurors is that in the case of a poor quality or unintelligible recording, the jurors may substitute the contents of the more accessible, printed dialogue for the sounds they cannot readily hear or distinguish on the tape and, in so doing, transform the transcript into independent evidence of the recorded statements. See United States v. Howard, 80 F.3d 1194, 1198 (7th Cir.1996); United States v. Strothers, 77 F.3d 1389, 1392-93 (D.C.Cir.), cert. denied, --- U.S. ----, 117 S.Ct. 374, 136 L.Ed.2d 263 (1996). A related risk arises when a transcript attributes incriminating statements to a defendant that the defendant does not admit making. See Howard, 80 F.3d at 1200 (possibility of prejudice when transcript attributes statements to defendants who do not testify and there is no evidentiary basis for the attribution); see [325 U.S.App.D.C. 365] United States v. Berry, 92 F.3d 597, 600-01 (7th Cir.1996) (possibility of prejudice when identification is central issue in case and transcript identifies defendant as speaker). Placing a transcript in the jury room during deliberations--after the completion of the supervised, adversarial portion of the trial--opens up the possibility that jurors will see the transcript as a neutral exhibit placed before them by the court and increases the chance that the document will be read without the tape recording playing alongside for the purpose of comparison. See Strothers, 77 F.3d at 1392-93 (error to admit transcript of tape into evidence because of the risk that the jury might rely on the government's version of the conversations during deliberations without simultaneously listening to the authenticated tapes to verify the transcript's accuracy). 12 These risks can be markedly decreased when certain precautions are taken. Thus, we have upheld the practice of giving the jury a transcript to help follow a tape recording played during trial so long as procedures are followed to ensure that the jury does not rely on one party's version of the transcript instead of the tape recording. See Slade, 627 F.2d at 302 (citing United States v. McMillan, 508 F.2d 101, 105 (8th Cir.1974)). We have approved of two alternative methods to ensure that a transcript is a sufficiently accurate rendition of the conversation recorded on tape to be used by the jury as a listening aid during trial and a third procedure to be used when the accuracy of the transcript has not been verified. Id. In a criminal case, the preferred approach is for the prosecution and defense to stipulate as to the accuracy of a transcript. If the parties cannot agree, however, the trial court can make a pretrial determination of accuracy after comparing the proposed transcript against the tapes or provide the jury with one transcript reflecting the prosecution's interpretation of the recording and one version reflecting the defendant's interpretation. Id. With respect to any one of the three procedures, we require the district court to instruct the jurors that their personal understanding of the tape supersedes the text in a transcript. Id. The transcript then may be used in conjunction with the playing of the tape. 13 We have not previously adopted any rule regarding the use of the transcript by the jury during its deliberations or indeed for the admission of a transcript into evidence so that, like any other piece of evidence, it can be brought into the jury deliberations. See Dallago v. United States, 427 F.2d 546, 552-54 (D.C.Cir.1969) (jurors ordinarily are entitled to see any exhibits entered into evidence). In Slade, we upheld the district court's discretion to allow the jury to use an accurate transcript to assist them in listening to a tape, but it is not clear from the opinion whether use of the transcript in that case was limited to trial; the tapes were played both during trial and deliberations and the jury's use of the transcripts as a guide was cited in the opinion as a basis for finding that the tapes were not so marred by background noise so as to render them unintelligible. Slade, 627 F.2d at 302. In Strothers, we found error when government-prepared transcripts were admitted into evidence and could be read by the jurors without listening to the tapes, but we did not rule out the admission of a transcript into evidence altogether. Certainly a transcript can be helpful when the jury listens to replays of tape recordings during deliberations as well as during trial. Indeed, it might well confuse the jurors to permit them to use transcripts as a guide during trial, but not during deliberations. Moreover, without a transcript to guide them, the jury could find itself involved in repetitious and time consuming replaying of unintelligible recordings. Thus, we agree with the other circuits that have held it is within the district court's discretion to permit the jury to use transcripts during deliberations. See, e.g., United States v. Young, 105 F.3d 1, 10-11 (1st Cir.1997); United States v. Delpit, 94 F.3d 1134 (8th Cir.1996); United States v. Elder, 90 F.3d 1110, 1129 (6th Cir.), cert. denied, --- U.S. ----, 117 S.Ct. 529, 136 L.Ed.2d 415 (1996). 14 Our survey of the practices of other circuits indicates that permissible procedures regarding transcripts vary widely. Some circuits have permitted transcripts to be brought into deliberations without requiring [325 U.S.App.D.C. 366] that they be formally admitted into evidence. See, e.g., United States v. Capers, 61 F.3d 1100, 1107 (4th Cir.1995), cert. denied, --- U.S. ----, 116 S.Ct. 1830, 134 L.Ed.2d 935 (1996); United States v. Bryant, 480 F.2d 785, 791 (2d Cir.1973). Other circuits specifically have held that a transcript, disputed or not, may be admitted into evidence. See United States v. Onori, 535 F.2d 938 (5th Cir.1976) (transcript used as a guide is analogous to the use of expert testimony as a device aiding the jury in understanding other types of real evidence); United States v. Hall, 342 F.2d 849 (4th Cir.1965) (transcript similar to photograph, drawing, or mechanical model used by a witness to amplify testimony). Every circuit agrees, however, that, while a jury may draw inferences of guilt from testimony or from a tape recording, it should not draw such inferences from a transcript. The transcript is viewed by our circuit and others as an illustration of a witness's interpretation of the recording. The Advisory Committee Notes to Rule 401 of the Federal Rules of Evidence explain that relevant evidence permits the use of evidence that is admitted as an aid to understanding. FED.R.EVID. 401 advisory committee's note. In addition, the court has the power to exercise reasonable control over the mode and order of ... presenting evidence so as to (1) make the interrogation and presentation effective for ascertainment of the truth, [and] (2) avoid needless consumption of time.... FED.R.EVID. 611(a). Transcripts admitted for the limited purpose of being used as a jury aid can help prevent jury confusion and wasted time as a tape is being played. Appellants argue that providing transcripts to the jury during deliberations always is prejudicial because it unduly emphasizes those pieces of evidence. Although double exposure to transcripts of crucial evidence, i.e., during the trial and in the jury room, can be prejudicial to a defendant, United States v. Rengifo, 789 F.2d 975, 982 (1st Cir.1986), the district court retains ample discretion to exclude transcripts in circumstances where the prejudice might outweigh their usefulness as an aid. Id.; see also Fountain v. United States, 384 F.2d 624 (5th Cir.1967); see FED.R.EVID. 403. Moreover, Federal Rule of Evidence 611 would permit a judge broad discretion to exclude a transcript, particularly if it will not add anything to a juror's understanding of a tape recording. 15 To protect jury deliberations from improper influence, we ordinarily restrict the jury's access only to exhibits that have been accepted into evidence and consideration by the jury of documents not in evidence is error.... United States v. Treadwell, 760 F.2d 327, 339 (D.C.Cir.1985) (citing Dallago, 427 F.2d at 553). Although it makes little practical difference if a transcript is formally admitted into evidence, so long as its transmission to the jury is accompanied by appropriate instructions limiting its use to that of an aid, we believe that it is the better practice to require formal admission into evidence during the trial so that parties objecting to the transcript will be apprised of the possibility that the document could be given to the jury during deliberations and so that the judge will be sure to provide the jury with appropriate instructions as to its limited use on admission. Formal admission would reduce the risk of surprising counsel by a last minute decision to send the transcript into the jury room if the jury requests a replaying of the tapes. 16 Our precedents indicate that it is permissible to present the jury either with an accurate transcript or two alternative transcripts. We believe that the best practice remains for the parties to devise a stipulated transcript. See Onori, 535 F.2d at 948. On many occasions a defendant may object to the accuracy of a transcript and argue that the underlying tape recording is too unintelligible to be effectively challenged. If there is a general objection to the accuracy of the transcript, but no alternative transcript is offered, then the judge may review the transcript against the tape and whatever other evidence is presented and certify the transcript's accuracy, but the jury must be informed that the transcript is only one party's version. If a party makes specific objections to the transcript, or offers an alternative transcript, then the jury is entitled to consider the divergence in two transcripts of the same conversation, with the recording of it, as a problem of fact to be resolved in the traditional manner. Howard, 80 F.3d at [325 U.S.App.D.C. 367] 1199. The jury may be given one transcript containing both versions of the disputed portions or two separate transcripts. The parties should each be given an opportunity to put on evidence supporting the accuracy of its version or challenging the accuracy of the other side's version. Id. No matter which of these procedures is utilized, the jury should be instructed that the tape recording constitutes evidence of the recorded conversations and the transcript is an interpretation of the tape. The jury must be instructed that they should disregard anything in the transcript that they do not hear on the recording itself. Moreover, the court must ensure that the transcript is used only in conjunction with the tape recording. 17 To sum up: The district court, in the exercise of its discretion, should decide whether transcripts should be admitted into evidence as an aid to the jury. It is within the district court's discretion to decide whether, upon request of the jury to hear tape replays, it will permit the jury to use the transcripts during deliberations. The court should reach a decision in this respect sufficiently early in the trial to allow defense counsel an opportunity to challenge the accuracy of any government-prepared transcript, to support the accuracy of any alternative transcript that the defendant wishes to introduce, to raise objections, and to request appropriate jury instructions. Upon an objection of one of the parties, and failing agreement between the parties on a stipulated transcript, each party should be permitted an opportunity to introduce its own transcript or the parties should create a single transcript that shows both versions at the points of disagreement. When the jury receives two transcripts of the same recording, it should be instructed that there is a difference of opinion as to the accuracy of the transcripts and that it is up to them to decide which, if any, version to accept. The jurors also should be instructed that they should disregard any portion of the transcript or transcripts that they think differs from what they hear on the tape recording. Further limiting instructions will depend on the circumstances of the case. 18 Although we recognize that the district court could not have anticipated the rule we lay down today, we find that the court failed to meet the standards previously set forth in Slade for the use of a transcript during trial. A careful reading of the transcript reveals that the trial judge acknowledged that the tapes were sufficiently audible and intelligible to be played to the jury and that the transcripts would aid the jury in listening to the tapes, but that he never explicitly found that the transcripts accurately reflected statements recorded on the tapes or that the attributions in the transcripts were accurate. 19 The trial judge did indeed listen to each tape recording while he read the government-prepared transcripts. After playing the October 4, 1991 tape for the judge, the government stated I would suggest that the court can now find that not only are the excerpts that the government intends to play audible and intelligible, but that the material on the tape that the government intends to play is highly probative.... After making two changes to the transcript of the October 4, 1991 tape, the government stated that it stands by its transcript 100 percent. The court ruled I am satisfied and make essentially the findings that are articulated by [the government] with respect to the October 4th transcript. Because the only proposed findings articulated by the government related to the quality of the tape, not the transcript, we are unable to conclude that the judge verified the accuracy of the transcript. After playing the October 16, 1991 tape, the government stated its belief that its transcript is the appropriate transcript to aid the jury in playing these tapes. The court agreed but did not state that the transcript was accurate. The court appears to have made the same finding with respect to the transcript of the October 23, 1991 recording and the transcript of the October 30, 1991, recording. The court never ruled on any of the specific objections that were raised by defense counsel. 20 Despite our skepticism, it is possible that the court's findings could be interpreted as verifying the accuracy of the transcripts. There was no way, however, for the judge to know whether the attribution of certain voices to certain defendants was accurate; Detective Quander had not yet testified as to [325 U.S.App.D.C. 368] the identity of the speakers and the defendants had not testified. Nor did the district judge condition his accuracy finding on subsequent proof that the attributions were correct or ever revisit the issue. We must conclude, therefore, that the district judge did not follow any of the procedures described in Slade that must precede the jurors being given the transcripts. 21 The immediate question then is whether the court's error in placing the transcripts before the jury during deliberations requires reversal of the convictions. As we discussed above, we restrict the jury's access to information in order to protect the jury's deliberations from improper influence. If there was an intrusion in the jury room that did not result in harm, then reversal would be pointless. See United States v. Olano, 507 U.S. 725, 738, 113 S.Ct. 1770, 1780, 123 L.Ed.2d 508 (1993). In examining the possibility of prejudice, we consider whether we can reasonably conclude that the judgment was not substantially swayed by the error. Treadwell, 760 F.2d at 339. 22 The facts of this case do not suggest that the court should presume prejudice or that there is a reasonable probability that the jury was prejudiced by the transcripts. The record provides substantial support for the relative accuracy of the transcripts. Slade, 627 F.2d at 303. During trial, Detective Quander, a party to the taped conversations, corroborated the identity of the parties who had been recorded. Officer Curtis, who observed the October 23rd and 30th transactions, corroborated Detective Quander's testimony as to the identity of the participants on those particular days. See Dallago, 427 F.2d at 559. In addition, the information on the tapes was only a portion of a larger set of facts that the prosecution put before the jury through proper means. Cf. Treadwell, 760 F.2d at 340. That evidence included testimony that appellant Davis attempted to flee from the bathroom of a house at 1361 Stevens Road when police executed a search warrant at that location; the recovery of ziploc bags containing nearly 32 grams of crack cocaine from the toilet in that bathroom; a plate and razor blade next to the sink in the bathroom; the recovery of narcotics packaging paraphernalia from the house; the recovery from Davis of $3000 in prerecorded funds that Detective Quander had earlier used to pay for a purchase of cocaine; the arrest of Holton beside the open driver's door of an Acura automobile in which a cellular telephone used in the drug transactions was found; and the recovery of $559 from Holton. 23 Appellants insist that the court's about-face with respect to the jury having the transcripts during deliberations compromised defense counsel's ability to highlight alleged inaccuracies or present alternative transcripts, but the facts simply do not bear out such a claim. Defense counsel seized the opportunity to challenge the preparation and accuracy of the government-prepared transcripts during their cross-examination of Detective Quander and during their closing arguments. Thus, the jury was made aware that the transcripts offered only the government's interpretations of the tape recordings, Slade, 627 F.2d at 303, and that it had to resolve an issue as to the identity of the speakers on the tape in light of the evidence introduced at trial. See Strothers, 77 F.3d at 1393. 24 The district court's frequent limiting instructions also served to avert the possibility of prejudice. The court instructed the jury prior to the distribution of each transcript and at the close of trial that the transcripts were not to be considered independent evidence and that only the tape recordings constituted evidence of the conversations recorded therein. 1 The jury was [325 U.S.App.D.C. 369] also provided with a written instruction as to the limited use to be made of the transcripts and was referred to that instruction by the judge when he informed the jury that arrangements had been made for them to hear the tapes. 2 See United States v. Crowder, 36 F.3d 691, 697 (7th Cir.1994), cert. denied, 513 U.S. 1171, 115 S.Ct. 1146, 130 L.Ed.2d 1105 (1995). The court may presume that the jury followed the trial court's instructions. Olano, 507 U.S. at 740-41, 113 S.Ct. at 1781-82. 25 Finally, it is clear that the jury did not use the transcripts as a substitute for listening to the tapes in deliberations. The record indicates that the transcripts were made available only in conjunction with the relevant tape recordings and the record suggests that the jury did listen to the tapes being replayed during deliberations. Cf. United States v. Collazo, 732 F.2d 1200, 1204 (4th Cir.1984). For all these reasons, we conclude that, although the trial court erred when it permitted the jury to consider the government-prepared transcripts without verifying their accuracy or, alternatively, admitting a defense version, there was no reasonable probability that the jury substituted the transcripts for the evidence in the record or that prejudice resulted. 26 Appellants argue that by allowing the transcripts to be seen and read by the jury, the district court violated the best evidence rule, which requires the production of an original recording, when available, to prove its contents. FED.R.EVID. 1002. We note that the best evidence rule would not be implicated in circumstances in which the district court follows the proper procedure. The elementary wisdom of the best evidence rule rests on the fact that the [recording itself] is a more reliable, complete and accurate source of information as to its contents and meaning than anyone's description [of it]. Gordon v. United States, 344 U.S. 414, 420, 73 S.Ct. 369, 374, 97 L.Ed. 447 (1953). Thus, the rule is a mechanism to prevent fraud or mistransmission of information, i.e., to ensure accuracy. When the original tape is available and presented to the jury and the accuracy of the transcript has been stipulated or is made an issue for the jury to decide, concerns addressed by the best evidence rule are not at issue.
27 Appellants also challenge the trial court's decision to replay the tapes for the jury during deliberations when neither they nor their attorneys were present. They argue that they were denied their Sixth Amendment right to confront the evidence against them and their Fifth Amendment right to due process. The government asserts that defendants' counsel agreed with the district court's proposal that only his law clerk be present, but the trial transcript is decidedly vague on that point, probably because there were prior discussions off the record between the lawyers and the judge which are not a matter of record. 28 First, appellants speculate about problems that might have occurred during the replaying, which was conducted in the courtroom by the judge's law clerk according to procedures of which both parties were informed beforehand. But, there is in fact no evidence suggesting that the law clerk either made independent decisions about whether or how to replay tapes or remained [325 U.S.App.D.C. 370] in the courtroom while the jury was deliberating, except for the actual playing of the tapes. Under these circumstances, there is no reason to presume harm. See United States v. Sobamowo, 892 F.2d 90, 96 (D.C.Cir.1989) (citing United States v. Kupau, 781 F.2d 740, 743 (9th Cir.1986) (even where tape-playing government agent and jury were alone in the courtroom, error found harmless beyond reasonable doubt given the obvious efforts of the court, by clearing the courtroom, to prevent any outside influences, and the absence of any suggestion that extraneous matters came before the jury)); see United States v. Florea, 541 F.2d 568, 570-71 (6th Cir.1976); cf. Riley v. Deeds, 56 F.3d 1117, 1119-20 (9th Cir.1995) (complete abdication of judicial control where law clerk independently granted jury's readback request and control over what was read to jury was in hands of jurors and clerk). 29 Second, appellants assert that Sobamowo requires supervision by defense counsel during the replaying of tapes. In that case, the court reasoned that the district court's procedure requiring the presence of the prosecution and at least one defense attorney rendered any potential error harmless. In that same case, however, we held that tape replaying [for the jury during deliberations is] not a stage of trial implicating the confrontation clause or Rule 43(a). Sobamowo, 892 F.2d at 96 (citing Dallago, 427 F.2d at 552-53 (defendant's presence not required when exhibits are submitted to the jury during deliberations)); but see United States v. Felix-Rodriguez, 22 F.3d 964, 967 (9th Cir.1994) (defendant has a right under Rule 43 to be present when a tape-recorded conversation is replayed to a jury during its deliberations). 3 The Sobamowo court also held that a defendant's absence during replaying does not violate the due process clause because the absence has no  'relation ... to the fulness of [the defendant's] opportunity to defend'  himself. Id. (quoting United States v. Gagnon, 470 U.S. 522, 526, 105 S.Ct. 1482, 1484, 84 L.Ed.2d 486 (1985)). Accordingly, we reject appellants' constitutional arguments.