Justice JIM RICE delivered the Opinion of the Court.
¶ 1 A jury convicted Peter Earl Caswell (Caswell) of sexual intercourse without consent and partner/family member assault in the Nineteenth Judicial District Court, Lincoln County. Caswell argues that his due process rights were violated when a portion of the trial was not recorded during the State's case in chief and effective appellate review is now unavailable. Caswell also argues that the District Court erred by admitting evidence of Caswell's prior assault on the victim. We affirm.
¶ 2 We consider the following issues:
¶ 3 1. Was the defendant's right to due process violated by the failure to record a portion of the State's case in chief?
¶ 4 2. Did the District Court abuse its discretion by admitting evidence of the defendant's prior assault of the victim?
¶ 5 Caswell and Beth Caswell (Beth) were married for more than 40 years and had five children together, all of whom are now adults. Caswell and Beth have lived separately since March 26, 2009, when an argument between Caswell and Beth escalated into an altercation in which Caswell punched Beth several times in the face. Beth sustained injuries, including a black eye and a swollen face. Caswell was arrested by Captain Bo Pitman of the Lincoln County Sheriff's Office and was ultimately convicted of one count of misdemeanor partner/family member assault arising from the incident.
¶ 6 Caswell left the Lincoln County area for about a year after this assault but returned in the spring of 2010, renting a house in Eureka. Although separated, Caswell and Beth had occasional contact. Beth lived in a small cabin on 12.5 acres of land owned by her son, Ian, who also lived on the property, in an isolated area approximately 30 miles from Eureka. Beth occasionally took care of Caswell's dog. Caswell knew that he was expected to call before going to Beth's cabin, and Ian was usually present for those visits. Caswell took an extended trip to the eastern United States in the summer of 2010. During his return trip he called Beth frequently and told her he was returning to Eureka and did not want a divorce. Beth expressed her disfavor with his return and his intentions about the marriage. Caswell became stranded on the trip and Beth sent him money. Caswell returned on August 11, 2010, and, with Beth's permission, drove to Beth's cabin that night to drop off his dog. Ian was there, and they ate dinner. Caswell tried to convince Beth to reconcile and became agitated when she disagreed, leaving angrily. Beth was afraid Caswell would return and Ian slept on her couch that night. Caswell called Beth the next day and apologized. He then made further arrangements with her to take care of his dog.
¶ 7 On August 14, 2010, Beth and Ian had dinner again in Beth's cabin and Ian returned to his cabin for the night. At about 10:00 p.m., Beth was in her pajamas, sitting and watching television. Her door was not locked. She had not seen anyone drive up her driveway. She felt a hand on her shoulder. Startled, she stood up and saw Caswell. She asked him what he was doing there. He sat down on the loveseat and told Beth to do the same. She moved toward the dining area and asked him to leave. Caswell ignored Beth, threatened to kill himself, and
¶ 8 When Caswell left, Beth immediately locked the door and called 911 to report Caswell's assault. Ian came to the cabin to wait with Beth for an officer. Captain Pitman arrived at Beth's cabin in the early morning hours of August 15, 2010, and transported Beth to another son's house in Eureka. Detective Rhoades, assigned to investigate sex crimes, was contacted and took over the investigation. Ian stayed at Beth's cabin in case Caswell returned, which he did. Captain Pitman returned to Beth's cabin and arrested Caswell without incident. Caswell was charged with one count of felony burglary, in violation of § 45-6-204, MCA, one count of felony sexual intercourse without consent, in violation of § 45-5-503, MCA, and one count of misdemeanor partner/family member assault, in violation of § 45-5-206, MCA.
¶ 9 Caswell filed a pre-trial motion in limine requesting the court, among other things, to exclude all evidence relating to the prior assault on March 26, 2009. The State resisted, arguing that this evidence "goes directly to the critical question as to whether or not there was consent to the sexual intercourse, and whether or not the victim was compelled to submit by force." After conducting a hearing on the motion, the court orally ruled:
The District Court further clarified: "I think a fair reading of [State v. Eighteenth Jud. Dist. Ct., 2010 MT 263, 358 Mont. 325, 246 P.3d 415] is that so long as it goes to the issue of whether there was consent, and not simply to show — I mean, the Rule 404B restrictions are still in place because it is clear the State isn't offering it as to show that he was acting in conformity with that character."
¶ 10 Trial was held March 1-3, 2011. Caswell defended against the charges by asserting that he and Beth were on good terms, maintained frequent contact, and engaged in consensual sex on the night in question. Beth testified about the 2009 incident, describing the argument she and Caswell had at that time and the injuries she sustained during the assault. The District Court issued limiting instructions under M.R. Evid. 105, instructing the jury:
When the State referenced the 2009 incident during closing argument, the court interrupted to add: "[t]he instruction I gave you was that the earlier act by the Defendant was to be used only to show the basis of the complaining witness's acts, or state of mind at the time of this offense, not against the Defendant."
¶ 11 The jury found Caswell guilty of sexual intercourse without consent and partner/family member assault, and not guilty of burglary. After sentencing,
¶ 12 On January 9, 2012, the District Court issued its Order Adopting Statement of Unavailable Evidence under M.R.App. P. 8(7)(d), in which the court stated it had "examined the State's Statement of Unavailable Evidence, the Defendant's Response, the partial transcript of the available recorded testimony of Captain Bo Pitman, the recording log, and the exhibits introduced into evidence at the trial." Caswell filed an objection to the order, which was denied by the District Court. Caswell appeals.
¶ 13 "Whether a reconstructed record is of sufficient completeness to accord effective appellate review is a question which may be determined by this Court." State v. Deschon, 2004 MT 32, ¶ 16, 320 Mont. 1, 85 P.3d 756 (Deschon II).
¶ 14 A district court has broad discretion in determining whether evidence is relevant and admissible. State v. Derbyshire, 2009 MT 27, ¶ 19, 349 Mont. 114, 201 P.3d 811.
¶ 16 Caswell argues that crucial portions of Pitman's testimony were not recorded, that "all that remains is, at best, a summary based on recollections cobbled together nine months after the testimony occurred," and that "[w]ithout a complete record of this testimony — both direct and cross-examinations, effective appellate review is unavailable for know[n] errors and objections during trial." Caswell argues that Pitman's role in the present case as well as his testimony regarding the 2009 incident establishes prejudice because the current state of the record diminishes his ability to pursue his appeal.
¶ 17 The State argues that Caswell has not identified a tenable theory on appeal and Pitman did not provide any testimony that the State did not also present through other means. The State maintains that the testimony was adequately reconstructed and, based upon the entirety of the record, Caswell's due process has not been violated.
¶ 18 Due process of law is guaranteed by the Fifth Amendment to the United States Constitution and Article II, Section 17 of the Constitution of the State of Montana. To determine when a court's failure to record a portion of a criminal trial violates a defendant's right to due process, we review two criteria: "(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." State v. Deschon, 2002 MT 16, ¶ 26, 308 Mont. 175, 40 P.3d 391 (Deschon I) (quoting Britt v. North Carolina, 404 U.S. 226, 227, 92 S.Ct. 431, 434, 30 L.Ed.2d 400 (1971); Madera v. Risley, 885 F.2d 646, 648 (9th Cir. 1989)).
¶ 19 Under the first prong of the Britt test, the "value of the transcript to the defendant," the defendant must identify a "tenable theory as to what the [recording] error might have involved." Deschon I, ¶ 28; Madera, 885 F.2d at 648. In Deschon I, the defendant argued he needed a record of voir dire "to determine whether any of the jurors were prejudiced by pre-trial publicity," which we determined was a "tenable theory" that satisfied the first prong of the Britt test. Deschon I, ¶ 28. In Madera, the Montana state district court "did not record the voir dire, opening statements, closing arguments, bench conferences, jury charge, or the jury poll." Madera, 885 F.2d at 647. The Ninth Circuit Court of Appeals concluded that the defendant satisfied the first prong of the Britt test by his claim that he needed a complete record to determine whether his codefendant's alibi defense provided him an appealable issue. Madera, 885 F.2d at 648.
¶ 20 Here, we likewise conclude that Caswell presents a "tenable theory" that he was prejudiced by lack of a record in light of Pitman's testimony about the events at issue on the night in question, and about the 2009 incident between Caswell and Beth. This theory is directly related to Caswell's second issue on appeal, in which Caswell argues that the District Court erred by permitting Pitman to testify regarding the 2009 incident. Caswell thus satisfies the first prong of the Britt test, "the value of the transcript to the defendant."
Draper v. Washington, 372 U.S. 487, 495, 83 S.Ct. 774, 779, 9 L.Ed.2d 899 (1963); Madera, 885 F.2d at 649. As we have likewise explained, "[a] reconstructed record, as opposed to a verbatim transcript, can afford effective appellate review, particularly where appellate rules have established a procedure for reconstruction of the trial record." Deschon II, ¶ 13; Cashwell, 950 F.2d at 703.
¶ 22 M.R.App. P. 8 provides a method for reconstruction of the trial record in the event the transcript is unavailable.
M.R.App. P. 8(6) (emphasis added). Supplementing this procedure, M.R.App. P. 8(7) provides that "a statement of the evidence of the trial, proceeding, or unavailable transcript may be prepared" by the parties filing "a statement of the unavailable evidence from the best available means including the party's recollections.... This statement must specify the source or sources of the parties' statements of evidence." M.R.App. P. 8(7)(b). After examination of the parties' statements, the district court must enter an order "adopting or rejecting, in whole or in part, the statement of unavailable evidence such that any statement adopted by the district court most accurately reflects the unavailable evidence." M.R.App. P. 8(7)(d). If the unavailable evidence related to the missing portion of the record presents a "fair and accurate picture" when "taken as a whole," the reconstructed transcript creates a record of sufficient completeness to assure that the defendant's right to due process is not violated. Deschon II, ¶ 29.
¶ 23 The District Court invoked the procedure provided by these rules and the parties provided submissions about the missing record. In its order, the District Court cited "the State's Statement of Unavailable Evidence, the Defendant's Response, the partial transcript of the available recorded testimony of Captain Bo Pitman, the recording log, and the exhibits introduced into evidence at the trial" in determining that the portion of the trial omitted from the transcript had been adequately reconstructed. After review, we likewise conclude that the reconstructed record, when "taken as a whole," presents a "fair and accurate picture" of what occurred during the portion of Pitman's testimony omitted from the trial transcript. The record is of sufficient completeness to afford effective appellate review, particularly of the admission of evidence regarding the 2009 incident. We thus conclude that Caswell's right to due process was not compromised. Deschon II, ¶¶ 16, 29.
¶ 26 The State replies that the District Court did not err in admitting the evidence, citing Guill, ¶ 34, for the position that a defendant's prior acts against a victim are relevant for the issue of consent where lack of consent is a necessary element of sexual intercourse without consent. The State also argues that evidence of the 2009 incident was relevant to show that Beth had a reasonable apprehension of bodily injury for purposes of the partner/family member assault charge.
¶ 27 Generally, evidence of a defendant's prior acts or crimes "is not admissible to prove the character of a person in order to show action in conformity therewith. It may, however, be admissible for other purposes, such as proof of motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident." M.R. Evid. 404(b). Even if admissible for such purposes, such evidence "may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice." M.R. Evid. 403 (see i.e. State v. Skinner, 163 Mont. 58, 64, 515 P.2d 81, 84 (1973)). Clarifying the procedure to be followed when admission of such evidence is an issue, we have instructed:
Eighteenth Jud. Dist. Ct., ¶ 49.
¶ 28 Caswell admitted to having sexual relations with Beth but claimed the relations were consensual, making Beth's consent the central issue of the trial. The parties were married at the time and Caswell claimed they were getting along well and seeing each other often. Then, during the incident itself, Beth complied with Caswell's demands to a limited degree because of her apprehension about what Caswell might do. The District Court did not abuse its discretion in determining that this was an appropriate case for introduction of evidence of a previous assault on the issue of consent, and that the relevance of the evidence was not outweighed by unfair prejudice. Although Caswell argues the evidence was used beyond its stated purpose, the District Court limited the scope of the evidence about the 2009 incident, gave a limiting instruction to the jury under M.R. Evid. 105, and even interrupted the prosecutor's closing argument to again advise the jury that the evidence could "be used only to show the basis of the complaining witness's acts, or state of mind at the time of this offense, not against the Defendant." The evidence was carefully limited in this case.
¶ 29 Procedurally, the District Court held a hearing on this issue but did not enter written findings of fact or conclusions of law. The better policy would be to adhere to the procedure suggested in Eighteenth Jud. Dist. Ct. and follow the hearing with "a written decision with appropriate findings of fact and
¶ 30 Affirmed.
We concur: PATRICIA COTTER, MICHAEL E. WHEAT, BETH BAKER and BRIAN MORRIS, JJ.