IF-352

 (Rev. 03/10)

ADMINISTRATIVE OFFICE OF THE

UNITED STATES COURTS

WASHINGTON, D. C. 20544 Date: 4/2/13

GUIDE TO JUDICIARY POLICY

TRANSMITTAL 07-006 VOLUME/PART 7A CHAPTER(S) 2–4, 6

TO: Judges, United States Courts of Appeals

Judges, United States District Courts

United States Magistrate Judges

Circuit Executives

Federal Public/Community Defenders

District Court Executives

Clerks, United States Courts of Appeals

Clerks, United States District Courts

Chief Probation Officers

Chief Pretrial Services Officers

Senior Staff Attorneys

Chief Preargument/Conference Attorneys

Circuit Librarians

FROM: Judge Thomas F. Hogan 

RE: DEFENDER SERVICES

This transmittal provides notice of changes to the Guide to Judiciary Policy, Vol. 7 (Defender Services),

Pt. A (Guidelines for Administering the CJA and Related Statutes):

Chapter 2 – Appointment and Payment of Counsel

Chapter 3 – Authorization and Payment for Investigative, Expert, or Other Services

Appendix 4A – Community Defender Organizations: Grants and Conditions

Chapter 6 – Federal Death Penalty and Capital Habeas Corpus Representations

Engaging a Relative for Compensable Services under the CJA: Policy guidance approved by the Judicial

Conference of the United States at its September 2012 session on engaging a relative for compensable

service has been codified in §§ 220.18, 310.20.05, and 620.15. The new guidelines require appointed

counsel: (1) prior to engaging any relative (as the term is defined for anti-nepotism purposes in 5 U.S.C.

§ 3110) to perform CJA compensable services, other than as associate counsel in the same law firm, to

provide notification of the relationship and potential services to the presiding judicial authority; and (2) to

notify the judge when it is learned that the judge intends to appoint or has appointed a relative of counsel as

co-counsel on a representation. The notification requirement does not apply to using a relative as a service

provider if the relative is working pro bono and will not be compensated with CJA funds. The notification

requirement also does not apply to engaging relatives who are associates in the same law firm as appointed

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IF-352

 (Rev. 03/10)

Guide Transmittal 07-006 – Defender Services

counsel. This is true for two reasons: (1) the use of associate counsel, at a reduced hourly rate, has long

been recognized as an effective cost-containment measure (see CJA Guidelines (Guide, Volume 7A,

§§ 230.53.10 and 620.10.10(c))); and (2) historically, relatives have joined together in private practice law

firms and often have been utilized as associate counsel in each other's cases.

Grant and Conditions for Community Defender Organizations (CDOs): Technical updates have been made

to the Grant and Conditions codified in Appendix 4A. The Grant and Conditions is the document

memorializing agreement entered into between the Administrative Office and CDOs. 

Attorney Compensation for Travel Time (§ 230.60): In 2009-10, as part of the Guide to Judiciary Policy’s

redesign, the phrasing of § 230.60 was altered in response to general publication style guidance. Although

no change in the meaning or implementation of the guideline was intended, the Office of Defender Services

received numerous calls from court units either misinterpreting the guideline or requesting an explanation of

the revised wording. For this reason, the original language has now been restored. The policy on attorney

compensation for travel time as approved by the Judicial Conference is as follows: “Compensation must be

approved for time spent in necessary and reasonable travel.”

Replacement of “Shall”: Consistent with style requirements instituted by the Editorial Board of the Guide to

Judiciary Policy, the term “shall” has been changed to “must” or “may” throughout these materials except

when part of quoted text.

The significant changes are detailed in the Redline Comparison below. Questions regarding this transmittal

may be directed to the AO Office of Defender Services, Legal and Policy Branch Duty Day Attorney, at

202-502-3030.

REDLINE COMPARISON REFLECTING CHANGES

[Significant changes in Chapter 2 (Appointment and Payment of Counsel) follow:]

§ 220 Appointment of Counsel

[. . .]

§ 220.18 Notification of Relationship

Prior to appointment, counsel should notify the presiding judicial authority if counsel is aware that he or she

is related (as the term is defined in 5 U.S.C. § 3110) to any attorney on the same representation, or any

attorney being considered for appointment. If appointment of related counsel is made prior to notification,

counsel should provide notification as soon as practicable.

§ 230 Compensation and Expenses of Appointed Counsel

[. . .]

§ 230.60 Attorney Compensation for Travel Time

(a) TCompensation must be approved for time spent in necessary and reasonable travel is

compensable.

[. . .]

2
REDLINE COMPARISON REFLECTING CHANGES

[Significant changes in Chapter 3 (Authorization and Payment for Investigative, Expert, or Other Services)

follow:]

§ 310 In General

[. . .]

§ 310.20 Limitations

§ 310.20.05 Engaging Relatives for Compensable Services

(a) Prior to engaging any relative (as the term is defined in 5 U.S.C. § 3110) to perform CJA

compensable services, other than as associate counsel in the same law firm (see: Guide,

Vol 7A, § 230.53.10), counsel should first provide notification of the relationship and potential

services to the presiding judicial authority.

(b) The court may, in the interest of justice, and upon finding that timely procurement of

necessary services could not await prior notification, approve payment for such services up to

the dollar threshold for obtaining services without prior authorization under 18 U.S.C.

§ 3006A(e)(2) and the CJA Guidelines (Guide, Vol 7A, § 310.20.30).

[. . .]

[Significant changes in Appendix 4A (Community Defender Organizations: Grants and Conditions) follow:]

Appx 4A: Community Defender Organizations: Grants and Conditions

JUDICIAL CONFERENCE

OF THE UNITED STATES OF AMERICA

AND

COMMUNITY DEFENDER ORGANIZATION

FOR __________________

FISCAL YEAR _______

GRANT AND CONDITIONS

[. . .]

Pursuant to the authority delegated to it by the Conference, the Judicial Conference Committee on

Defender Services (Defender Services Committee) has approved, subject to the availability of appropriated

funds, a grant of up to ______________ for fiscal year _______, commencing on October 1, ______ and

terminating on September 30, _______________ as further detailed by budget categories contained in

Attachment 1your budget chart previously provided by the AO; and

[. . .]

Once executed, this agreement shallmust be returned to the AO Office of Defender Services

together with a current list of the names, addresses, email addresses, and telephone numbers of all officers

and directors of the organizationboard members.

[. . .]

6. ANNUAL REPORTS: In compliance with subsection (g)(2)(B) of the CJA, the grantee must submit

reports each year setting forth its activities and financial position and the anticipated caseload and expenses

for the next fiscal year. The grantee shallmust also submit a report of operations for the prior year, and a

current roster of attorneys and other personnel employed by the grantee. Instructions for completing and

submitting the annual reports will be provided to the grantee by the AO at least thirty (30) days prior to the

submission date.

[. . .]

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REDLINE COMPARISON REFLECTING CHANGES

Appx 4A [cont’d]

14. TRAVEL, MEALS, AND LODGING: [. . .]

Grantee must follow the policies outlined in the attached memos of April 7 and June 23,

2009Federal Defenders Operations Manual, Chapter 8, policy memoranda from the AO Office of Defender

Services, and Volume 19, Chapter 4 of the Guide to Judiciary Policy, with regard to administrative, travel

inside and outside the district served by the Grantee.

[. . .]

15. PERSONNEL: [. . .]

No personnel vacancy shallmay be filled without prior notice to the AO. Such notice shallmust

include all relevant data concerning the employee candidate, including his or her name, position, starting

salary (including grade and step for graded employees), education, experience and compensation history

and any annual leave credit for prior experience. Information regarding attorneys must indicate the month

and year they received their law degree, the month and year they first became a member of a bar, and their

prior relevant work experience.

[. . .]

22. CODE OF CONDUCT: The grantee must adopt the Model CDO Code of Conduct. The grantee may

seek a variance of one or more of the provisions from the AO’s Office of Defender Services.

A copy of the grantee’s code of conduct and any subsequent revisions must be filed with the AO.

The grantee must inform the AO of significant violations of the code of conduct and, upon request, must

provide a written report to the AO.

223. CHANGES OR MODIFICATIONS: [. . .]

[Significant changes in Chapter 6 (Federal Death Penalty and Capital Habeas Corpus Representations)

follow:]

§ 620 Appointment of Counsel in Capital Cases

[. . .]

§ 620.15 Notification of Relationship

Prior to appointment, counsel should notify the presiding judicial authority if counsel is aware that he or she

is related (as the term is defined in 5 U.S.C. § 3110) to any attorney on the same representation, or any

attorney being considered for appointment. If appointment of related counsel is made prior to notification,

counsel should provide notification as soon as practicable.

§ 660 Authorization and Payment for Investigative, Expert, and Other Services in Capital Cases

[. . .]

§ 660.20 Limitations On Payment for Investigative, Expert, and Other Services

[. . .]

§ 660.20.15 Engaging Relatives for Compensable Services

(a) Prior to engaging any relative (as the term is defined in 5 U.S.C. § 3110) to perform CJA

compensable services, other than as associate counsel in the same law firm (see: Guide,

Vol 7A, § 620.10.10(c)), counsel should first provide notification of the relationship and

potential services to the presiding judicial authority.

(b) The court may, in the interest of justice, and upon finding that timely procurement of

necessary services could not await prior notification, approve payment for such services up to

the dollar threshold for obtaining services without prior authorization under 18 U.S.C.

§ 3006A(e)(2) and the CJA Guidelines (Guide, Vol 7A, § 310.20.30).

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