Iowa Admin. Code r. 493-12.2 - Submission and payment of attorney claims
(1)
Required claim documents. Court-appointed attorneys shall
submit electronic indigent defense fee claims to the state public defender for
review, approval and payment. These claims shall include the following:
a. The completion of the appropriate claim
type on the online submission website of the state public defender,
spdclaims.iowa.gov.
(1) Adult fee claims,
including all trial-level criminal and postconviction relief proceedings,
misdemeanor appeals to district court, and applications for discretionary
review or applications for interlocutory appeals to the Iowa supreme court,
must be submitted on an Adult form. Juvenile fee claims, including petitions on
appeal and applications for interlocutory appeals, must be submitted on a
Juvenile form. Appellate fee claims, including claims for all criminal and
postconviction relief appeals, work performed after the granting of an
application for discretionary review or for interlocutory appeal, and work
performed after full briefing is ordered following a juvenile petition on
appeal, must be submitted on an Appellate form.
(2) The state public defender, at the state
public defender's sole discretion, may grant limited exceptions to the
requirement that claims be submitted electronically via the online claims
website.
b. A copy of
all orders appointing the attorney to the case.
(1) The appointment order must be signed by
the court and either dated by the court or have a legible file-stamp.
(2) If, at the time of appointment, the
attorney does not have a contract to represent indigent persons in the type of
case and the county in which the action is pending, the appointment order must
include either a finding that no attorney with a contract to represent indigent
persons in that specific type of case and that county is available or a finding
that the state public defender was consulted and consented to the
appointment.
(3) Claims for
probation or parole violations and contempt actions are considered new cases,
and the attorney must submit a copy of an appointment order for these cases.
Appointment orders in parole violation cases must also contain the following
findings:
1. The alleged parole violator
requests appointment of counsel;
2.
The alleged parole violator is indigent as defined in Iowa Code section
815.9;
3. The alleged parole
violator, because of lack of skill or education, would have difficulty in
presenting the alleged violator's version of a disputed set of facts,
particularly when presentation requires the examining or cross-examining of
witnesses or the offering or dissecting of complex documentary evidence;
and
4. The alleged parole violator
has a colorable claim that the alleged violation has not been committed, or
there are substantial reasons which justify or mitigate the violation and make
revocation inappropriate.
(4) If the venue is changed in a juvenile
case, an order appointing the attorney in the new county must be
submitted.
(5) A new appointment
order is not necessary for trial counsel to request or resist an interlocutory
appeal or an application for discretionary review.
(6) A new appointment order is not necessary
to pursue or respond to a juvenile petition on appeal if the attorney was
properly appointed to represent the client in juvenile court. If the original
trial counsel withdraws or is removed from the case, the new appellate counsel
must attach an order appointing the attorney for the appeal.
(7) An appointment order is not necessary if
the state public defender determines the appointment order is
unnecessary.
c. A copy
of any application and court order authorizing the attorney to exceed the
attorney fee limitations.
d. A copy
of any court order that affects the amount to be paid or the client's right to
counsel.
e. A copy of the
dispositional order, the order granting a motion to withdraw prior to
disposition, procedendo, or other court order documenting the "date of service"
for the claim.
f. An itemization
detailing all work performed on the case for which the attorney seeks
compensation and all expenses incurred for which the attorney seeks
reimbursement.
(1) The itemization must state
the date and amount of time spent on each activity. Time must be reported in
tenths of an hour. Time shall be rounded to the nearest tenth of an hour. For
example, an attorney spending ten minutes performing an activity shall bill 0.2
hours, while an attorney spending seven minutes performing an activity shall
bill 0.1 hours. The time spent on each activity must be separately itemized,
except that one or more activities on the same day, each taking less than 0.1
hours, must be aggregated together with other activities so that the aggregate
amount billed is at least 0.1 hours. If an attorney performs only a single
activity taking less than 0.1 hours for a client on a day, the attorney may
bill 0.1 hours regardless of the precise length of time spent on the activity.
If an attorney performs multiple related activities on the same day, such as
multiple email or telephone exchanges, the activities must be aggregated
together if separately itemizing the activities would result in claiming more
time than the attorney actually spent performing the activities.
(2) The itemization shall separately
designate time claimed for in-court time, out-of-court time, paralegal time and
travel time.
(3) If another
attorney performed any of the work, the itemization shall specify the name of
the attorney performing each activity and the named attorney's AT
number.
(4) The itemization must be
in chronological order.
(5) If the
attorney seeks reimbursement for expenses incurred, the itemization must
separately state each expense incurred, including any specific information
required by rule 493-12.8 (13B).
(6)
The itemization shall be submitted electronically via the Attorney Hours grid
on the appropriate claims submission page on the online claims website.
Separate electronic attachments of itemizations will not be accepted.
g. If the attorney was privately
retained to represent the client prior to appointment, a copy of any
representation agreement, written notice of the dollar amount paid to the
attorney, and an itemization of services performed and how any funds provided
were spent during the period prior to the court appointment. The state public
defender will review the amount paid and hours spent before and after the court
appointment in determining the appropriate attorney compensation on the
claim.
(2)
Failure to submit required documents. Submitted claims for
which the entire claim form has not been properly completed or which do not
include the documents required by subrule 12.2(1) may be returned to the
attorney for additional information and resubmission within the time required
by paragraph 12.2(3)"d." If the attorney fails to submit all
the required documentation to support a claim, the state public defender may
request additional information or may deny all or a portion of the
claim.
(3)
Timely claims
required. Claims submitted prior to the date of service shall be
returned to the claimant unpaid and may be resubmitted to the state public
defender after the date of service. Claims that are not submitted within 45
days of the date of service as defined in this subrule may be denied, in whole
or in part, as untimely unless the delay in submitting the claim is excused by
paragraph 12.2(3)"f." Attorney fees and expenses that are
submitted on a claim denied as untimely under this subrule may be resubmitted
on a subsequent claim that is timely submitted with respect to a subsequent
date of service in the same case. For purposes of this subrule, a probation,
parole, or contempt proceeding is not the "same case" as the underlying
proceeding.
a.
Adult claims.
For adult claims, "date of service" means the date of filing of an order
indicating that the case was dismissed or the client was acquitted or
sentenced, the date of filing of an order granting a deferred judgment or
prosecution, the date of filing of a final order in a postconviction relief
case, the date of mistrial, the date on which a warrant was issued for the
client, or the date of filing of a court order authorizing the attorney's
withdrawal from a case prior to the date of a dismissal, acquittal, sentencing,
or mistrial. The filing of a notice of appeal is not a date of service. If a
motion for reconsideration is filed, either the date of filing of the motion or
the date on which the court rules on that motion is the date of service. In a
probation, parole or contempt proceeding, the date of service is the date of
filing of the disposition order or an order granting a continued disposition.
In a subsequent review or compliance proceeding under the same appointment, a
new date of service is created if the new proceeding generates an order. In a
probation revocation proceeding that results in the revocation of a deferred
judgment, a judgment of conviction is entered and the date of service is the
date of the judgment. For interim adult claims authorized by subrule 12.3(3) or
12.3(4), the date of service is the last day on which the attorney claimed time
on the itemization of services.
b.
Juvenile claims. For juvenile claims, "date of service" means
the date of filing of an order as a result of the dispositional hearing or most
recent postdispositional hearing that occurs while the client is still an
active party in the case, the date on which the client ceased to be a party,
the date of a court order authorizing the attorney's withdrawal from a case
prior to the filing of the final ruling with respect to the client, the date
jurisdiction is waived to adult court, the date on which the venue is changed,
the date of dismissal, or the file-stamped date of a procedendo resulting from
a petition on appeal. The date of a family drug court meeting, family team
meeting, staffing, or foster care review board hearing is not a date of
service.
c.
Appellate
claims. For appellate claims, "date of service" means the date of a
court order authorizing the attorney's withdrawal prior to the filing of the
proof brief, the date on which the proof brief was filed, or the date on which
the procedendo was issued.
d.
Notices of action and returned claims. For claims of any type
that are filed as a result of a notice of action letter or a returned fee claim
letter, "date of service" means the date of the notice of action letter or
returned fee claim letter. But a claim that is denied as untimely does not
become timely merely because it was resubmitted within 45 days of a returned
fee claim letter. A timely claim returned to the attorney for additional
information shall continue to be deemed timely only if resubmitted with the
required information within 45 days of being returned by the state public
defender.
e.
Court
orders. For claims of any type that are filed as a result of a court
order after hearing for review of the fee claim, "date of service" means the
file-stamped date of the order.
f.
Exceptions to the 45-day rule. The state public defender may
in the state public defender's sole discretion approve a claim that was not
submitted within 45 days of the date of service only if the delay in submitting
the claim was caused by one of the following circumstances:
(1) The death of the attorney;
(2) The death of the spouse of the attorney,
a child of the attorney, or an employee of the attorney who was responsible for
assisting in the preparation of the attorney's fee claims;
(3) A serious illness, injury, or other
medical condition that prevents the attorney from working for more than 3
consecutive days and occurs in the last 5 days before the expiration of the
45-day period for timely claims;
(4) The attorney's need to care for the
attorney's spouse or child with a serious illness, injury, or other medical
condition that prevents the spouse or child from working, attending school, or
performing other regular daily activities for more than 3 consecutive days and
occurs in the last 5 days before the expiration of the 45-day period for timely
claims.
(5) Other circumstances in
which the state public defender determines, in the sole discretion of the state
public defender, that enforcement of the 45-day rule would impose an undue
burden and that payment of the claim should in fairness be made, in whole or in
part. The state public defender, in the exercise of such discretion, may
consider factors including, but not limited to:
1. The extent to which the 45-day rule was
violated;
2. The justification
provided by the attorney;
3. The
attorney's claim history;
4. The
extent of prejudice likely to be experienced by the attorney, the state public
defender, and any party to the proceeding, including the attorney's client.
Any claim submitted pursuant to subparagraph (1) must be submitted within 45 days of the death of the attorney. Any claim submitted pursuant to subparagraph (2) must be submitted within 30 days of the death that caused the delay. Any claim submitted pursuant to subparagraph (3) or (4) must be submitted within 15 days of the end of the illness, injury, or medical condition that caused the delay. An attorney claiming an exception to the 45-day rule shall submit with the claim a letter explaining the applicable exception and written documentation supporting the exception.
(4)
Valid appointment required. Claims for compensation from an
attorney appointed as counsel or guardian ad litem may be denied if the
attorney was appointed contrary to Iowa Code section 814.11 or 815.10. Claims
for which court-appointed counsel at state expense is not statutorily
authorized or which are not payable from the indigent defense fund created by
Iowa Code section 815.11 shall be denied.
a.
Appellate appointments. Claims for compensation from an
attorney whose appointment as counsel or guardian ad litem at the appellate
level does not comply with Iowa Code section 814.11 may be denied in whole or
in part.
b.
Trial-level
designations. Claims by an attorney whose appointment in a case as
counsel or guardian ad litem at the trial level was made on or after July 1,
2009, may be denied in whole or in part if the state public defender filed a
designation effective at the time of the appointment designating a local public
defender, nonprofit corporation, or attorney to represent indigent persons in
that type of case in the county in which the case was filed, unless the
appointment order and any supporting documentation submitted with the claim
demonstrate that:
(1) The state public
defender's designee and any successor designee have withdrawn from the case or
have been offered and declined to take the case; or
(2) The state public defender's designee and
any successor designee would have withdrawn from or would have declined to take
the case had the appointment been offered.
c.
Trial-level contract attorney
preference. Claims by an attorney whose appointment in a case as
counsel or guardian ad litem at the trial level was made on or after February
1, 2012, may be denied in whole or in part unless:
(1) At the time of the appointment, the
attorney had a contract with the state public defender to represent indigent
persons in that specific type of case and that county in which the action was
pending; or
(2) The appointment
order includes a specific finding that no attorney with a contract to represent
indigent persons in that specific type of case and that county in which the
action was pending is available or a finding that the state public defender was
consulted and consented to the appointment; or
(3) After the appointment, the attorney
entered into a contract with the state public defender, or amended the
attorney's existing contract, to represent indigent persons in the specific
type of case and the county in which the action was pending, in which case only
the portion of the claim for the services performed prior to the effective date
of the contract shall be denied.
(5)
Scope of appointment.
Claims shall only be paid for services rendered and expenses incurred within
the scope of the attorney's court appointment. Any other fees or expenses
claimed shall be denied.
a.
Services
prior to appointment. Claims for services rendered or expenses
incurred prior to the effective date of the attorney's appointment are not
payable within the scope of the attorney's appointment and shall be
denied.
b.
Representation
of parents after termination of parental rights. Claims for services
rendered or expenses incurred by an attorney for representing a parent in a
child in need of assistance case or termination of parental rights case for
work performed after the date on which the termination of that parent's
parental rights becomes final, either on appeal or because no appeal was taken,
are not payable within the scope of the attorney's appointment and shall be
denied.
c.
Guardian ad
litem for children over the age of 18. Claims for services rendered or
expenses incurred by a guardian ad litem for a child who is aged 18 or older
and involved in a juvenile court proceeding are only within the scope of
appointment if the court enters an order appointing the guardian ad litem for
the limited purposes of continuing a relationship with the child and to provide
advice to the child relating to the child's transition plan under Iowa Code
section 232.2 beyond the child's eighteenth birthday. The appointment shall end
on the date a court order relieving the guardian ad litem of further duties or
the date of a court order closing the juvenile case, whichever occurs first,
and claims for services rendered or expenses incurred after such date shall be
denied. Neither a parent nor guardian of the child in interest is entitled to
court-appointed counsel during the post-age 18 transition period.
(6)
Rate of
compensation. Claims for compensation in excess of the applicable rate
of compensation established by rule 493-12.4 (13B,815) or in the attorney's
contract with the state public defender are not payable and shall be reduced to
the applicable rate of compensation.
(7)
Excessive claims. The
amount of a claim for services provided or expenses incurred that is excessive
shall be reduced by the state public defender to an amount which is not
excessive. Only reasonable and necessary compensation and expenses will be
approved for payment.
(8)
Review of claims after contract termination for improper billing
practices. A claim submitted by an attorney whose contract with the
state public defender is terminated for improper billing practice shall be paid
only to the extent that the claim is supported by authentic, independent,
written documentation originating from sources other than the attorney, even if
such a claim would otherwise be payable under this chapter. Any portion of a
claim for a service performed or expense incurred that is not independently
verified by such documentation is not payable under the contract and shall be
denied.
a.
Acceptable
documentation. Independent, written documentation that may support a
claim for services performed or expenses incurred by the attorney includes, but
is not limited to:
(1) Affidavits of clients,
witnesses, prosecutors, service providers, department of human services staff,
court staff, or other persons who can verify that the attorney performed a
service for a specific length of time on a specific day. Affidavits from
employees of the attorney or the attorney's firm, family members of the
attorney, or other attorneys within the same law firm as the attorney are not
independent documentation and are insufficient to confirm a claim for a service
performed or expense incurred.
(2)
Court orders or other documents in the court file that verify the attorney's
attendance at a court proceeding, as well as the date, time, duration, and
location of the proceeding.
(3)
Deposition transcripts and other records of the certified shorthand reporter
that verify the attorney's attendance at a deposition, as well as the date,
time, duration, and location of the deposition.
(4) Records of a jail or correctional
facility that document the date, time, and duration of visits, telephone calls,
or videoconferencing sessions with clients or witnesses in custody in the
facility.
(5) Records of a
telecommunication provider that verify the length of telephone calls,
long-distance expenses, or fax expenses.
(6) Records of an online legal research
service that document the date, time, duration, and nature of legal research
performed.
(7) Calculations from
mapping software, such as Map Quest or Google Maps, of the distance traveled to
a location where a verified service was provided.
(8) Original printed receipts for expenses
incurred.
b.
Pending claims. Any claims submitted by an attorney that have
not yet been approved by the state public defender when the attorney's contract
with the state public defender is terminated for improper billing practices
shall be returned to the attorney. The attorney may resubmit any claim returned
in its entirety, or a portion thereof, within the time required by paragraph
12.2(3)"d," with the additional documentation required by this
subrule confirming all time and expenses claimed on the itemization. The
resubmitted claim shall be reviewed consistent with the requirements of this
subrule. Any claim not resubmitted within the time required by paragraph
12.2(3)"d" shall be denied.
c.
Court review. An attorney
whose claim is denied or reduced pursuant to this subrule may seek court review
of the state public defender's action on that claim by filing a motion for
court review as provided for by rule 493-12.9 (13B,815). But if the attorney has
sought review of the state public defender's decision to terminate the
attorney's contract for improper billing practices, the court shall stay
proceedings on the attorney's motion until the attorney has exhausted all
administrative remedies, final judgment has been entered in any judicial review
action under Iowa Code chapter 17A, and any appeal of such judgment is decided.
The final judgment of any judicial review action under Iowa Code chapter 17A
regarding the termination of the attorney's contract conclusively determines
the applicability of this subrule. If the attorney fails to seek judicial
review of the state public defender's decision to terminate the attorney's
contract, the state public defender's notice to the attorney that the state
public defender is terminating the attorney's contract for improper billing
practices is conclusive evidence that this subrule applies, and the attorney
may not challenge the termination decision or the applicability of this subrule
in the motion for review of the state public defender's action on the fee claim
under rule 493-12.9 (13B,815).
(9)
Approval of claims.
Claims shall be forwarded to the department for final processing and payment
only after the state public defender has determined that payment of the claim
is appropriate under this chapter and under Iowa law. No payments shall be made
from the indigent defense fund except with the authorization of the state
public defender.
Notes
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.