Opinion ID: 2315178
Heading Depth: 1
Heading Rank: 3

Heading: D.C.APP.R. 10(j): THE USE OF A SUBSTITUTE STATEMENT OF EVIDENCE AND PROCEEDINGS TO SUPPLEMENT AN INCOMPLETE RECORD ON APPEAL

Text: In both criminal and civil appeals, the appellant bears the burden of presenting this court with a record sufficient to show that error occurred at trial. Cobb v. Standard Drug Co., 453 A.2d 110, 111 (D.C.1982); see In re Gregory, 387 A.2d 720, 723 (D.C.1978); Dulles v. Dulles, 302 A.2d 59, 60 (D.C.1973) (per curiam); United States v. Mills, 597 F.2d 693, 698 (9th Cir. 1979). This burden of perfecting the record is ordinarily met by filing pertinent portions of a verbatim trial transcript. D.C.App.R. 10(c)-(g). The rules of this court do, however, permit supplementation ofor substitution fora verbatim trial transcript in three situations: (1) where some portion of the verbatim transcript is physically unavailable, either because a proceeding was not recorded or because the record was lost, stolen, or otherwise rendered impossible to transcribe, D.C. App.R. 10(j); (2) where both parties agree to submit a joint statement of the facts essential to a review of the issues presented on appeal, in lieu of filing the transcript, D.C.App.R. 10(k); and (3) where the transcript is inaccurate in some respect and changes or additions are necessary to make the record conform to the truth, D.C. App.R. 10( l ). [5] Because this case reflects the first situationit was impossible to produce a transcript of appellant's trialthis court properly remanded the case and ordered preparation of a statement of evidence and proceedings pursuant to D.C.App.R. 10(j). [6] Rule 10(j), like its analogue in the Federal Rules of Appellate Procedure, FED.R.APP.P. 10(c), prescribes a three-step process for supplementing the record on review. First, the appellant may prepare a statement of the evidence or proceedings from the best available means, including his recollection. D.C.App.R. 10(j). The fact that the language used in this provision is permissive does not mean that the appellant is completely free to refuse to prepare a substitute statement. To the contrary, the appellant has the option either to prepare a substitute statement or to forfeit any claim that he or she has been prejudiced by the absence of a transcript. When an appellant refuses to make reasonable efforts to prepare a 10(j) statement from the best available means, this court will not entertain a claim that the record on appeal is insufficient to permit meaningful review. Herndon v. City of Massillon, 638 F.2d 963, 965 (6th Cir.1981) (per curiam) (a new trial is not appropriate where the lack of a record is the only error charged and where the appellant made no effort to reconstruct the missing record nor to give any cause for that failing); see United States v. First National Bank of Mitchell, 691 F.2d 386, 387 (8th Cir.1982) (per curiam); see generally 9 J. MOORE, MOORE'S FEDERAL PRACTICE ¶ 210.06[1] (1983). [7] Moreover, in cases where there is an incomplete transcript and appellant claims that a specific trial court error merits reversal, this court will not consider the substance of the appellant's representations about the alleged error, unless the transcript supports those representations or the appellant has made efforts to supplement the record pursuant to Rule 10(j). See Cobb, supra, 453 A.2d at 111-12; United States v. Beliard, 618 F.2d 886, 888 (1st Cir.1980); Mills, supra, 597 F.2d at 698. [8] Second, once the appellant has formulated a proposed statement, the appellee may file objections or propose amendments to it. D.C.App.R. 10(j). Although the primary duty for preparing the 10(j) statement rests squarely with the appellant, an appellee also has a duty to ensure an adequate record ... and may not abdicate this responsibility. Dulles, supra, 302 A.2d at 60; see Voight & McMakin Air Conditioning v. Property Redevelopment Corp., 276 A.2d 239, 241 n. 2 (D.C.1971). When an appellee fails to object or add to the appellant's proposed statement, he or she will be deemed to have approved the statement as an accurate reconstruction of the relevant portions of the trial, drawn from the best available sources. Finally, the statement must be settled and approved by the trial court. [S]ince ... in the final analysis approval of the Statement of Proceedings and Evidence lies with the trial court, it is that court's ultimate responsibility to bring about an adequate record for review. Dulles, supra, 302 A.2d at 60; see United States v. Perkins, 162 U.S.App.D.C. 321, 325, 498 F.2d 1054, 1058 (1973). The trial court must resolve any dispute between the parties as to the contents of the statement. Moreover, if the trial court is not satisfied that the agreed upon statement is accurate or as complete as possible, the court should take appropriate measures to modify it. [9] In accomplishing these tasks, the trial court may rely on its own recollection or notes from trial, see United States v. Krynicki, 689 F.2d 289, 291 n. 3 (1st Cir. 1982); United States v. Dean, 667 F.2d 729, 731 n. 3 (8th Cir.), cert. denied, 456 U.S. 1006, 102 S.Ct. 2296, 73 L.Ed.2d 1300 (1982), or may conduct hearings and consult with counsel and other sources. See, e.g., Dulles, supra, 302 A.2d at 60; United States v. Selva, 546 F.2d 1173, 1174 (5th Cir.1977); Robinson, supra, 148 U.S.App. D.C. at 146 n. 14, 459 F.2d at 1170 n. 14. After settling the statement to the best of its ability, the trial court then must decide whether to approve the statement and certify it as part of the record on appeal. If, in a criminal case, the trial court is unable to reconcile a material disagreement between the parties or to certify that the statement is an accurate reconstruction of the events of trial, sufficient to permit appellate review, the court should set aside the judgment and order a new trial. Cross v. District of Columbia, 292 A.2d 794, 795 (D.C.1972) (per curiam); see United States v. Selva, supra, 546 F.2d at 1174-75 (the trial judge shall have the authority to grant a new trial if he deems it to be in the interests of justice). To the extent the trial court is satisfied that the Rule 10(j) statement reflects an accurate reconstruction prepared by the best available means, the statement will be added to the record on appeal. We accept the trial judge's certification of the 10(j) statement in this case as a determination that the statement was prepared by the best available means and is as complete as possible. Although the appellant was not able to participate in the preparation of the statement, there is no indication in the record, and no reason to believe, that this in any way was appellant's fault. Appellant completed her obligations with the probation department more than a year before the need for a 10(j) statement was discovered, and more than two and one-half years before preparation of the statement was begun. We would, of course, have a different case if appellant's failure to participate in reconstructing her trial record resulted from an unwillingness to cooperate in such an endeavor. Under the circumstances of this case, we accept the 10(j) statement as the best available supplementation of the record. [10]