10th Cir. R. 10

10.1 Tenth Circuit Record on Appeal.

In this circuit, the record on appeal is presented in one of three forms:

• When the appellant is represented by retained counsel or is an

attorney representing himself or herself, the record on appeal is

presented in an electronic appendix prepared by counsel or the

pro se attorney in accordance with 10th Cir. R. 30.1 and filed

concurrently with the opening brief.

• When the appellant is represented by counsel appointed

pursuant to 18 U.S.C. § 3006A, the district court prepares and

forwards a record on appeal comprised of district-court filings

designated by counsel in accordance with 10th Cir. R. 10.3(A)

and 11.2(A).

• When the appellant is pro se, the court prepares and dockets a

record on appeal compiled in accordance with 10th Cir. R. 10.4.

10.2 Transcripts.

(A) Appropriate transcripts.

(1) Appellant’s duty. The appellant must provide all portions

of the transcript necessary to give the court a complete

and accurate record of the proceedings related to the

issues on appeal.

(a) When sufficiency of the evidence is raised, the

entire relevant trial transcript must be provided.

(b) When sufficiency of the evidence is not raised, the

appellant should order only the relevant portions of

the transcript and enter into stipulations that will

avoid or reduce the need for transcripts.

(c) The appellant must omit the examination of jurors

unless specifically at issue on appeal.

(2) No transcript ordered. An appellant who does not intend

to order a transcript must so state on a transcript order

form filed in both the district court and in this court, within

14 days after the appeal is docketed in this court.

(B) Ordering transcripts.

(1) Ordering party’s duty. Within 14 days after the appeal is

docketed in this court, the appellant must order any

necessary transcripts using this court’s transcript order

form. To order a transcript, any party must:

(a) transmit a completed order form to the court reporter;

(b) make satisfactory payment arrangements for the

transcripts;

(c) arrange for the court reporter to complete the “Court

Reporter’s Certificate of Compliance”; and

(d) file the completed transcript order form in both the

district court and in this court.

(2) Court reporter’s duty. Upon receipt of a properly

completed transcript order form from an ordering party, the

reporter must promptly:

(a) acknowledge receipt of the order;

(b) complete the “Court Reporter’s Certificate of

Compliance”;; and

(c) return the transcript order form to the ordering party for

filing.

(C) Preparing, filing, and delivering transcripts.

(1) Preparation and filing. The Appellate Transcript

Management Plan for the Tenth Circuit governs the

preparation and filing of transcripts for cases on appeal.

See Local Appendix A.

(2) Delivery. When the transcript is complete, the court

reporter must:

(a) deliver the original to the requesting party or to

counsel later appointed;

(b) file a certified copy with the district court clerk; and

(c) notify the circuit clerk.

10.3 Designation of record (when filed).

(A) Appointed counsel. In appeals in which any appellant is

represented by appointed counsel—including companion and

consolidated appeals—a designation of record must be filed in

district court, with a copy filed with the circuit court. No Rule 30.1

appendix is required.

(1) Filing. The appellant’s designation of record must be filed

within 14 days after the appeal is docketed in this court.

(2) Appellee’s designation. The appellee may file an

additional designation within 14 days after service of the

appellant’s designation.

(B) Retained counsel. In appeals in which all appellants are

represented by retained counsel—including companion and

consolidated appeals—no designation is required and the record

will be presented in an appendix prepared by the appellant. For

requirements regarding the appendix, see 10th Cir. R. 30.1

(Appellant’s appendix), 30.2 (Supplemental appendix), and 30.3

(Appendix exemptions). Retained counsel includes counsel for

national, state, or local government entities. If the appellee’s

counsel is appointed, Rule 30.2(A) also applies.

(C) Pro se cases. In pro se cases, no designation is required. The

court will prepare a pro se record. See 10th Cir. Rule 11.2(B);

30.1.

10.4 Content of record.

(A) Essential items. Counsel must designate a record on appeal or

prepare an appendix that is sufficient for considering and

deciding the appellate issues. Only essential parts of the district

court record should be designated for the record on appeal.

(B) Inadequate record. The court need not remedy any failure by

counsel to designate an adequate record or to prepare an

adequate appendix. When the party asserting an issue fails to

provide a record or appendix sufficient for considering that issue,

the court may decline to consider it.

(C) Required contents. Every record on appeal or appendix filed

must include:

(1) the district court’s docket entries;

(2) the last amended complaint and answer, or the indictment

or information and any superseding indictment or

information;

(3) the final pretrial order;

(4) pertinent written reports and recommendations, findings

and conclusions, opinions, or orders of a district judge,

bankruptcy judge, or magistrate judge, or, if the findings

and conclusions were made orally, a copy of the transcript

pages recording those findings and conclusions;

(5) all jury instructions when an instruction is at issue on

appeal, as well as proposed instructions that were refused;

when a finding or conclusion is an issue on appeal,

proposed findings and conclusions that were refused;

(6) the decision or order from which the appeal is taken;

(7) the judgment, when one has been entered;

(8) the notice of appeal; and

(9) in a social security appeal, the entire administrative record.

(D) Additional items.

(1) Evidence; instructions. If an appeal is based on a

challenge to the admission or exclusion of evidence, the

giving or failure to give a jury instruction, or any other

ruling or order, a copy of the pages of the reporter’s

transcript must be included in the record or appendix to

show where the evidence, offer of proof, instruction, ruling

or order, and any necessary objection are recorded.

(2) Documents. When the appeal is from an order disposing

of a motion or other pleading, the motion, relevant portions

of affidavits, depositions and other supporting documents

(including any supporting briefs, memoranda, and points of

authority) filed in connection with that motion or pleading,

and any responses and replies filed in connection with that

motion or pleading, must be included in the record or

appendix.

(3) Presentence report. The presentence investigation report

must be included if the appeal is from a sentence imposed

under 18 U.S.C. § 3742. See Rule 11.3(C).

(4) Other. Other items, such as trial exhibits and transcript

excerpts, must be included when they are relevant to an

issue raised on appeal and are referred to in the brief.

(5) Trial exhibits. Copies of relevant trial exhibits released by

the district court before appeal but referred to in a party’s

brief may be presented in an appendix where one is filed,

or may be submitted via motion as a supplement to the

record on appeal in cases where the record is created via

designation.

(E) Exclusions. The following items may not be included in the

record on appeal or appendix unless they are relevant to the

issues on appeal:

• appearances;

• bills of costs;

• briefs, memoranda, and points of authority, except as

specified in Rule 10.4(D)(2);

• certificates of service;

• depositions, interrogatories, and other discovery matters,

unless used as evidence;

• lists of witnesses or exhibits;

• notices and calendars;

• procedural motions or orders;

• returns and acceptances of service;

• subpoenas;

• summonses;

• setting orders;

• unopposed motions granted by the trial court;

• nonfinal pretrial reports or orders; and

• suggestions for voir dire.