A settled statement on appeal in California is a written narrative summary of what happened in the trial court, used as the official record when no reporter’s transcript is available. It is governed by California Rules of Court, Rule 8.137, and the appellant prepares it, the respondent gets a chance to amend it, and the trial judge certifies it before it goes up to the appellate court.1Judicial Branch of California. California Rules of Court – Rule 8.137 Settled Statement The deadlines are short and the content requirements are specific. Mistakes can cost you the appeal.
Who Can Use One
Rule 8.137 lets you elect a settled statement without a separate motion in two situations: no court reporter recorded the proceedings you want to appeal, or you have a court fee waiver order. In either case, you simply check the settled-statement option on your notice designating the record on appeal.1Judicial Branch of California. California Rules of Court – Rule 8.137 Settled Statement
If a court reporter was present and you still want to use a settled statement, you have to file a motion. The rule recognizes three grounds: the proceedings cannot be transcribed (notes lost, reporter deceased, recording unusable); you cannot afford the transcript and the state’s Transcript Reimbursement Fund cannot cover it; or a settled statement will produce substantial cost savings without overburdening the other side or the court.1Judicial Branch of California. California Rules of Court – Rule 8.137 Settled Statement
The affordability point matters for self-represented litigants in particular. A fee waiver does not pay for a reporter’s transcript, because those fees are paid to the reporter, not the court.2California Courts. Ask for a Fee Waiver For many appellants, a settled statement is the only realistic route to appellate review.
Deadlines You Cannot Miss
You have 10 days after filing your notice of appeal to file and serve your notice designating the record on appeal, and your election (or motion) for a settled statement goes in that same notice. Miss the window and you may lose the option entirely.1Judicial Branch of California. California Rules of Court – Rule 8.137 Settled Statement
After the election, you have 30 days to prepare and serve your proposed settled statement. That is where most of the work lives. You are reconstructing a hearing or trial from memory, personal notes, and whatever unofficial materials you can gather, and shaping it into something a judge can verify. Thirty days moves quickly.
What the Proposed Statement Must Contain
Rule 8.137 requires three components: a list of the legal points you intend to raise on appeal, a condensed narrative of the oral proceedings, and a copy of the judgment or order you are appealing.1Judicial Branch of California. California Rules of Court – Rule 8.137 Settled Statement
The condensed narrative is the core of the document. It must include a factual summary of the evidence and each witness’s testimony, limited to what is relevant to the legal points you identified. You can present some or all of the testimony in question-and-answer form, subject to the judge’s approval. If you are challenging a jury instruction, the narrative must include any instructions given orally rather than in writing and identify which party requested them.1Judicial Branch of California. California Rules of Court – Rule 8.137 Settled Statement
Reference any exhibits that were introduced. You can attach copies of exhibits or documents filed in the superior court case. If an exhibit influenced a ruling you plan to challenge, describe how it was used and what it showed.
California provides official forms. For unlimited civil cases, use form APP-014 for the proposed settled statement and APP-003 for the notice designating the record.3California Courts. Appellant’s Proposed Settled Statement (Unlimited Civil Case)4California Courts. Appellant’s Notice Designating Record on Appeal (Unlimited Civil Case) (APP-003) For limited civil cases, the notice form is APP-103.5California Courts. Appellant’s Notice Designating Record on Appeal (Limited Civil Case) (APP-103)
Keep It Neutral
Write the draft as a factual account, not a brief. If you characterize testimony as false or editorialize about the judge’s reasoning, the court will likely reject or rewrite it. Report who said what, which documents came in, and how the judge ruled. Save the argument for your appellate briefs.
Where the Content Comes From
Because the whole point is that no transcript exists, you build the narrative from the sources you have. Personal notes taken during the hearing are the most common. Declarations from your attorney recounting testimony and rulings can fill gaps. Any unofficial audio or video, if it exists, can refresh your memory. The more concrete your sources, the harder it is for the other side or the judge to dispute your version.
The Respondent’s 20-Day Window
After you file and serve, the respondent has 20 days to respond. They can file proposed amendments identifying what they believe is inaccurate or missing, or, if a reporter actually recorded the proceedings, file a notice electing to provide a reporter’s transcript instead.1Judicial Branch of California. California Rules of Court – Rule 8.137 Settled Statement
Expect the amendments to focus on testimony or evidence you left out, especially material that supports the trial court’s ruling. A respondent who ignores the 20-day window loses the chance to shape the record, so most engaged opponents file something.
How the Judge Reviews and Certifies It
Once amendments are filed or the 20-day window closes, either party has 10 days to request a hearing. The judge will schedule one only if there is a genuine factual dispute about something material. Most settled statements are resolved on the papers.1Judicial Branch of California. California Rules of Court – Rule 8.137 Settled Statement
If no hearing is requested, the judge has 10 days after the hearing-request deadline expires to act. The judge reviews the proposed statement and any amendments, then either corrects the statement, orders you to rewrite it with specific corrections, or, if required content is missing, orders you to prepare a new proposed statement under a new deadline. Failing to file a court-ordered new statement puts you in default and your appeal at risk of dismissal.1Judicial Branch of California. California Rules of Court – Rule 8.137 Settled Statement
If a hearing takes place, the judge has 10 days after it to make corrections or order you to incorporate them. Once the judge is satisfied, the statement is certified. Certification turns your draft into an official court record, and the clerk transmits it with the clerk’s transcript to the appellate court.
When the Judge Cannot Recall the Proceedings
A settled statement depends on the trial judge being able to verify what happened, which creates a problem when the judge has little memory of the hearing. Courts look at three factors: whether the judge took detailed notes, whether the judge can actually remember the portions at issue, and whether trial counsel can meaningfully help reconstruct the record.
When all three fail, the consequences escalate. Appellate courts have vacated settled statements and sent cases back for the trial court to determine whether counsel can assist. If counsel cannot help either, the trial court may be required to grant a new trial. In some cases, reviewing courts have vacated the judgment outright when the settled statement was too unreliable to support appellate review.
The Biggest Risk: What You Leave Out
Rule 8.137 states it directly. Any evidence or portion of a proceeding not included in the settled statement will be presumed to support the judgment you are appealing.1Judicial Branch of California. California Rules of Court – Rule 8.137 Settled Statement If your narrative covers only part of the oral proceedings, your appeal is limited to the specific legal points you identified unless the appellate court determines the record supports considering other issues.
California appellate courts begin with a presumption that the trial court got it right. When the record is silent, every inference favors the judgment. You have to affirmatively demonstrate error; the appellate court will not speculate about what might have happened based on gaps in your summary. The settled statement reconstructs what actually occurred. It does not let you insert objections you failed to raise at trial.
The practical lesson: include more than you think you need. If testimony or a ruling might bear on any point on appeal, put it in. Leaving something out because it seemed minor is one of the fastest ways to lose a viable appeal.
Criminal, Juvenile, and Federal Cases
Settled statements are not limited to civil appeals. In noncapital felony appeals, California Rules of Court, Rule 8.346 requires permission from the court before proceeding and then directs the parties to follow the same Rule 8.137 procedures and deadlines. Juvenile dependency and delinquency appeals follow the same framework.
Federal appeals have a parallel but simpler process. Under Federal Rule of Appellate Procedure 10(c), when no transcript is available, the appellant prepares a statement of the evidence or proceedings from the best available means, including personal recollection, and serves it on the appellee, who has 14 days to serve objections or proposed amendments. The statement and any objections then go to the district court for settlement and approval, after which the clerk includes the approved statement in the record on appeal.6Legal Information Institute. Rule 10 The Record on Appeal The federal rule does not require the appellant to list specific points on appeal within the statement itself, and it does not set the same multi-step judicial review deadlines, but the same core risk applies: gaps are construed against the appellant.