Last revised (Transmittal 07-014) January 5, 2022

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 1: Overview

§ 110 Defender Services Program

§ 110.10 Mission

§ 110.20 Goals

§ 110.30 Authority

§ 120 Purpose

§ 130 Applicability

§ 140 The eVoucher System

§ 150 Contact Information

§ 110 Defender Services Program

§ 110.10 Mission

The mission of the Defender Services program is to ensure that the right to counsel 

guaranteed by the Sixth Amendment, the Criminal Justice Act (18 U.S.C. § 3006A)

(CJA), and other congressional mandates is enforced on behalf of those who cannot 

afford to retain counsel and other necessary defense services. By fulfilling its mission, 

the Defender Services program helps to:

• maintain public confidence in the nation’s commitment to equal justice under 

law; and

• ensure the successful operation of the constitutionally based adversary 

system of justice by which both federal criminal laws and federally guaranteed 

rights are enforced.

§ 110.20 Goals

The Defender Services program has four goals:

Goal 1: Provide timely assigned counsel services to all eligible persons.

Goal 2: Provide appointed counsel services that are consistent with the best 

practices of the legal profession.
Guide to Judiciary Policy, Vol. 7A, Ch. 1 Page 2 

Goal 3: Provide cost-effective services. 

Goal 4: Protect the independence of the defense function performed by assigned 

counsel so that the rights of individual defendants are safeguarded and 

enforced. 

§ 110.30 Authority

(a) The Defender Services program operates under the statutory authority of 

the CJA and related statutes.

• Adequate Representation of Defendants (18 U.S.C. § 3006A) 

• Counsel and Witnesses in Capital Cases (18 U.S.C. § 3005) 

• Counsel for Financially Unable Defendants (18 U.S.C. § 3599) 

• General Rules for Civil Forfeiture Proceedings (18 U.S.C. § 983(b)) 

(b) Under 18 U.S.C. § 3006A(h), the Judicial Conference of the United States 

is authorized to issue rules and regulations governing the operation of 

district plans created to furnish representational services (including 

counsel and investigative, expert, and other services necessary for 

adequate representation) to financially eligible persons. Guide, Volume 

7A is a compendium of Conference policy adopted under that authority.

§ 120 Purpose

This volume sets forth Judicial Conference policy on:

• appointment of counsel under the CJA and related statutes;

• payment of private “panel” attorneys;

• authorization and payment for services other than counsel in federal criminal 

representations; and

• policies specific to federal defender organizations.

§ 130 Applicability

The guidance contained in this volume applies to the providers of services under the 

CJA and related statutes, federal courts, judiciary personnel, and all others responsible 

for the operation of any aspect of the Defender Services program.
Guide to Judiciary Policy, Vol. 7A, Ch. 1 Page 3 

§ 140 The eVoucher System

(a) The eVoucher system is the judiciary’s primary method for CJA panel 

voucher submission and processing. It enables:

• the administration of CJA panel appointments;

• attorney voucher submission, review, and payments;

• service provider authorization, voucher submission, review, and 

payments;

• local reporting on CJA panel operations; and

• the implementation of case budgets.

(b) Policies on voucher review and approval are provided in Guide, Vol. 7A, 

Ch. 2 (Appointment and Payment of Counsel). CJA forms and 

accompanying instructions contain Judicial Conference policies and 

guidance for voucher administration and should be consulted in 

conjunction with this Guide volume and eVoucher’s online help materials. 

PDF versions of the CJA forms and accompanying instructions are posted 

on the judiciary’s public website. 

§ 150 Contact Information

For inquiries on the policies in Guide, Volume 7A, contact the Legal and Policy Division 

Duty Day Attorney in the AO’s Defender Services Office at 202-502-3030 or by email at 

dso_lpd@ao.uscourts.gov. 
Last revised (Transmittal 07-016) April 2, 2024

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 2: Appointment and Payment of Counsel

§ 210 Representation under the Criminal Justice Act (CJA)

§ 210.10 District Plans

§ 210.20 Proceedings Covered by and Compensable under the CJA

§ 210.30 Composition and Management of the CJA Panel

§ 210.40 Determining Financial Eligibility for Representation Under the CJA

§ 210.50 CJA Forms

§ 220 Appointment of Counsel

§ 220.10 Timely Appointment of Counsel

§ 220.15 Forms for the Appointment of Counsel

§ 220.18 Notification of Relationship

§ 220.20 Duration of Appointment

§ 220.25 Continuity of Representation

§ 220.30 New Appointments Following Earlier Representations

§ 220.35 Federal Defender Organizations

§ 220.40 Appointment of Counsel to Represent More Than One Individual in a 

Case

§ 220.45 Appointment of Counsel in Habeas Corpus and Proceedings Under 

28 U.S.C. § 2255

§ 220.50 Waiver of Counsel

§ 220.55 Standby Counsel

§ 220.60 Termination of Appointment

§ 230 Compensation and Expenses of Appointed Counsel

§ 230.10 Forms for Compensation and Reimbursement of Expenses

§ 230.13 Time Limits

§ 230.16 Hourly Rates and Effective Dates in Non-Capital Cases

§ 230.20 Annual Increase in Hourly Rate Maximums

§ 230.23 Case Compensation Maximums

§ 230.26 Case Budgeting

§ 230.30 Supporting Memorandum Justifying Compensation Claimed

§ 230.33 Review and Approval of CJA Vouchers

§ 230.40 Payments by a Defendant

§ 230.43 Approval Authority of U.S. Magistrate Judges

§ 230.46 Prior Authorization for Appointed Counsel to Incur Expenses

§ 230.50 Proration of Claims

§ 230.53 Compensation of Co-Counsel

§ 230.56 Substitution of Counsel

§ 230.60 Attorney Compensation for Travel Time
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 2 

§ 230.63 Reimbursable Out-of-Pocket Expenses

§ 230.66 Non-Reimbursable Expenses

§ 230.70 Writ of Certiorari

§ 230.73 Interim Payments to Counsel

§ 230.76 Record Keeping

§ 230.80 Annual Report of Attorney Compensation Exceeding 1,000 Hours

Appendices

Appx. 2A Model Plan for Implementation and Administration of the Criminal Justice Act

Appx. 2C Procedures for Interim Payments to Counsel in Non-Death Penalty Cases

Appx. 2D Procedures for Interim Payments to Counsel in Death Penalty Cases

§ 210 Representation under the Criminal Justice Act (CJA)

§ 210.10 District Plans

§ 210.10.10 Overview

(a) Each district court, with the approval of the judicial council of the circuit, is 

required to have a plan for furnishing representation for any person 

financially unable to obtain adequate representation. See: 18 U.S.C.

§ 3006A(a). 

(b) “Representation under each plan shall include counsel and investigative, 

expert, and other services necessary for adequate representation.” See: 

18 U.S.C. § 3006A(a). 

(c) The CJA, 18 U.S.C. § 3006A(a), mandates that each district plan provide 

for representation in the circumstances identified in § 210.20 and specify 

how such representation will be delivered as provided in § 210.10.20. 

(d) A Model Plan for Implementation and Administration of the Criminal 

Justice Act (Model Plan) is included as Appx. 2A. 

(e) Each district court should review, and amend as appropriate, the CJA Plan 

every five years to ensure compliance with applicable statutory authorities, 

CJA Guidelines, and other relevant Judicial Conference policies. 

§ 210.10.15 Developing a CJA Plan

(a) All districts must develop, regularly review and update, and adhere to a 

CJA plan. See: § 210.10.10(e), above.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 3 

(b) A district’s CJA plan should reference the most recent model plan and 

best practices.

(c) The plan should include:

(1) Provision for appointing CJA panel attorneys to a sufficient number 

of cases per year so that these attorneys remain proficient in 

criminal defense work.

(2) A training requirement to be appointed to and then remain on the 

panel.

(3) A mentoring program to increase the pool of qualified candidates.

See: JCUS-SEP 2018, pp. 39-40. See also: Guide, Vol. 7A, Appx. 2A, §§ VIII.B.7; 

IX.B.2, IX.C; and XI.B.1-5. 

§ 210.10.20 Attorneys Who May Be Appointed Under the CJA

(a) Each district plan must include a provision for private attorneys. “Private 

attorneys shall be appointed in a substantial proportion of the cases.” 

See: 18 U.S.C. § 3006A(a)(3). 

(b) The district plan may include, in addition to a provision for private 

attorneys, either of the following or both: 

• attorneys furnished by a bar association or a legal aid agency; or

• attorneys furnished by a defender organization established according 

to the provisions of 18 U.S.C. § 3006A(g). 

See: 18 U.S.C. § 3006A(a)(3). 

§ 210.10.25 Managing the Selection, Appointment, Retention, and Removal of Panel 

Attorneys

Every district should form a committee or designate a CJA supervisory or administrative 

attorney or a defender office, to manage the selection, appointment, retention, and 

removal of panel attorneys from the district’s CJA panel. The process must incorporate 

judicial input into panel administration. See: JCUS-SEP 2018, p. 39. See also: 

Guide, Vol. 7A, Appx. 2A, § VIII.A. 

§ 210.10.30 Counsel’s Obligation to Advise the Court of Client’s Ability to Pay

Each plan should contain a provision to the effect:
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 4 

If, at any time after appointment, counsel obtains information that a client 

is financially able to make payment, in whole or in part, for legal or other 

services in connection with the client’s representation, and the source of 

the attorney’s information is not protected as a privileged communication, 

counsel will advise the court.

§ 210.20 Proceedings Covered by and Compensable under the CJA

§ 210.20.10 Mandatory Appointments

The CJA, 18 U.S.C. § 3006A(a)(1), requires that representation must be provided for 

any financially eligible person who is:

(a) charged with a felony or with a Class A misdemeanor;

(b) a juvenile alleged to have committed an act of juvenile delinquency as 

defined in 18 U.S.C. § 5031 (see: 18 U.S.C. § 5034 (on appointment of 

counsel); Guide, Vol. 7A, § 320.50 (on appointment of a guardian ad 

litem));

(c) charged with a violation of probation;

(d) under arrest, when such representation is required by law;

(e) entitled to appointment of counsel in parole proceedings;

[Note: The reference to representation at parole proceedings was deleted 

from the CJA according to the November 1, 1987 repeal of 18 U.S.C.

chapter 311. However, the savings provisions of the Sentencing Reform 

Act of 1984, as amended by the United States Parole Commission 

Extension Act of 2018 (Pub. L. No. 115-274 (October 31, 2018)), state that 

existing law pertaining to parole will remain effective for 33 years after 

November 1, 1987, with regard to persons specified in the savings 

provisions, and certain laws relating to parole will remain effective until the 

expiration of the sentence received by other persons specified in the 

savings provisions. This includes laws governing the right to counsel in 

parole proceedings.]

(f) charged with a violation of supervised release or faces modification, 

reduction, or enlargement of a condition, or extension or revocation of a 

term of supervised release (e.g., Guide to Judiciary Policy, Vol. 8G 

(Criminal Monetary Penalties (Monograph 114)), Ch. 6);

(g) subject to a mental condition hearing under 18 U.S.C. chapter 313 (see: 

Guide, Vol. 7A, § 220.30(f) and § 230.23.20(i)(5)); 

(h) in custody as a material witness;
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 5 

(i) entitled to appointment of counsel under the sixth amendment to the 

Constitution, or faces loss of liberty in a case and federal law requires the 

appointment of counsel;

[Note: This provision obviates the need for future amendments to the 

CJA each time the right to counsel is extended to new situations by 

judicial decision or federal statute.]

(j) seeking to set aside or vacate a death sentence in proceedings under 

28 U.S.C. § 2254 or § 2255; or

(k) is entitled to appointment of counsel in connection with prisoner transfer 

proceedings under 18 U.S.C. § 4109. 

For applicable case compensation limits, see: § 230.23.20. 

§ 210.20.20 Discretionary Appointments

(a) Whenever the U.S. magistrate judge or the court determines that the 

interests of justice so require, representation may be provided for any 

financially eligible person who is:

(1) charged with a petty offense (Class B or C misdemeanor, or an 

infraction) for which a sentence to confinement is authorized; or

(2) seeking relief under 28 U.S.C. §§ 2241, 2254, or 2255 (but see:

Guide, Vol. 7A, § 210.20.10(j) on the mandatory appointment of 

counsel in death penalty habeas corpus cases and § 220.45 on the 

requirement for appointment of counsel for an evidentiary hearing).

(b) Counsel may be appointed under the CJA for a person charged with civil 

or criminal contempt who faces loss of liberty.

(c) Upon application of a witness before a grand jury, a court, the Congress, 

or a federal agency or commission which has the power to compel 

testimony, counsel may be appointed where there is reason to believe, 

either prior to or during testimony, that the witness could be subject to a 

criminal prosecution, a civil or criminal contempt proceeding, or face loss 

of liberty.

(d) Counsel may be appointed for financially eligible persons proposed by the 

U.S. attorney for processing under a “pretrial diversion” program.

(e) Counsel may be appointed for persons held for international extradition 

under 18 U.S.C. chapter 209. 

(f) For appointments in civil forfeiture proceedings, see: § 210.20.40. 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 6 

For applicable case compensation limits, see: § 230.23.20. 

§ 210.20.30 Ancillary Matters

(a) Representation may be furnished for financially eligible persons in 

“ancillary matters appropriate to the proceedings” under 18 U.S.C.

§ 3006A(c). 

(b) In determining whether a matter is ancillary to the proceedings, the court 

should consider whether the matter, or the issues of law or fact in the 

matter, arose from, or are the same as or closely related to, the facts and 

circumstances surrounding the principal criminal charge.

(c) In determining whether representation in an ancillary matter is appropriate 

to the proceedings, the court should consider whether such representation 

is reasonably necessary to accomplish, among other things, one of the 

following objectives:

(1) to protect a Constitutional right;

(2) to contribute in some significant way to the defense of the principal 

criminal charge;

(3) to aid in preparation for the trial or disposition of the principal 

criminal charge;

(4) to enforce the terms of a plea agreement in the principal criminal 

charge;

(5) to preserve the claim of the CJA client to an interest in real or 

personal property subject to a civil forfeiture proceeding under 

21 U.S.C. § 881, 19 U.S.C. § 1602 or similar statutes, which 

property, if recovered by the CJA client, may be considered for 

reimbursement under 18 U.S.C. § 3006A(f) and Guide, Vol. 7A, 

§ 210.40.30; or

(6) to effectuate the return of real or personal property belonging to the 

CJA client which may be subject to a motion for return of property 

under Fed. R. Crim. P. 41(g), which property, if recovered by the 

CJA client, may be considered for reimbursement under 18 U.S.C.

§ 3006A(f) and Guide, Vol. 7A, § 210.40.30. 

(d) The scope of representation in the ancillary matter should extend only to 

the part of the ancillary matter that relates to the principal criminal charge 

and to the correlative objective sought to be achieved in providing the 

representation (e.g., a CJA defendant in a criminal stock fraud case 

should be represented by CJA counsel at the defendant’s deposition in a 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 7 

parallel civil fraud action for the limited purpose of advising the defendant 

concerning the defendant’s Fifth Amendment rights).

(e) Representation in an ancillary matter is compensable as part of the 

representation in the principal matter for which counsel has been 

appointed and is not considered a separate appointment for which a 

separate compensation maximum would be applicable under 

§ 230.23.10(g). 

(f) A private panel attorney appointed under the CJA may obtain, through an 

ex parte application to the court, a preliminary determination that the 

representation to be provided in an ancillary matter is appropriate to the 

principal criminal proceeding and compensable under 18 U.S.C.

§ 3006A(c) and this guideline. However, failure to obtain such a 

preliminary determination does not bar the court from approving 

compensation for representation in an ancillary matter provided that the

services and compensation related thereto are justified in a memorandum 

submitted by the attorney to the court at the conclusion of the principal 

criminal matter and the presiding judicial officer finds that such 

representation was appropriate.

§ 210.20.40 Civil Forfeiture Proceedings 

(a) Under 18 U.S.C. § 983(b)(1), if a person with standing to contest the 

forfeiture of property in a judicial civil forfeiture proceeding under a civil 

forfeiture statute is financially unable to obtain representation by counsel, 

and the person is represented by counsel appointed under 18 U.S.C.

§ 3006A in connection with a related criminal case, the court may 

authorize counsel to represent that person with respect to the claim.

(b) In determining whether to authorize counsel to represent a person in a 

judicial civil forfeiture proceeding under a civil forfeiture statute, the court 

must take into account such factors as:

• the person’s standing to contest the forfeiture; and

• whether the claim appears to be made in good faith.

§ 210.20.50 Proceedings Not Covered by or Compensable under the CJA

Cases or proceedings which are not covered by or compensable under the CJA include 

the following:

(a) Petty offenses (Class B or C misdemeanors or infractions), except where 

confinement is authorized by statute and the court or U.S. magistrate 

judge determines that appointment of counsel is required in the interest of 

justice. See: § 210.20.20(a)(1). 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 8 

(b) Representation of corporations or other business entities.

(c) Prisoners bringing civil rights actions under 42 U.S.C. § 1983. Care 

should be taken to ensure that a prisoner is not denied the appointment of 

counsel due to the mislabelling of the prisoner’s action as “civil rights” 

when the proceedings could also be considered as seeking relief under 

28 U.S.C. § 2254. 

(d) Administrative proceedings before the U.S. Citizenship and Immigration 

Services (USCIS), removal or deportation proceedings before the 

Immigration Court, review of the Immigration Court’s decision by the 

Board of Immigration Appeals, and judicial review by the federal courts of 

appeals of petitions for review from these administrative decisions. But 

see: § 210.20.30 (ancillary matters) and § 210.20.20(a)(2) (habeas 

corpus cases).

§ 210.20.60 Civil Actions to Protect Federal Jurors’ Employment

(a) Although not an appointment under the authority of the CJA, Congress 

has included statutory language in the annual appropriation for the federal 

judiciary’s Defender Services account to authorize “the compensation of 

attorneys appointed to represent jurors in civil actions for the protection of 

their employment, as authorized by 28 U.S.C. § 1875(d).” 

(b) In these cases, the court appoints counsel under the standard provided in 

28 U.S.C. § 1875(d)(1), which does not require a finding of financial 

eligibility.

(c) The court will appoint a private attorney, who may be a member of the 

CJA panel and should have employment law experience. A federal 

defender should not be appointed.

(d) The court should use the eVoucher system and Form CJA 20 

(Appointment of and Authority to Pay Court-Appointed Counsel) for the 

appointment and pay counsel “to the extent provided by [the CJA],” 

28 U.S.C. § 1875(d)(1), and the CJA Guidelines.

(e) The court may, as authorized by 28 U.S.C. § 1875(d)(2), order a 

defendant employer to pay the fees and expenses of counsel appointed 

under 28 U.S.C. § 1875(d)(1); in such event, the court should follow the 

reimbursement procedures in Guide, Vol. 7A, § 230.40. 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 9 

§ 210.30 Composition and Management of the CJA Panel

§ 210.30.10 Overview

(a) The CJA Panel must be designated or approved by the court. See: 

18 U.S.C. § 3006A(b). 

(b) The membership of the panel should be large enough to provide a 

sufficient number of experienced attorneys to handle the CJA caseload, 

yet small enough so that panel members receive an adequate number of 

appointments to maintain their proficiency in criminal defense work and 

thereby provide a high quality of representation.

(c) Members should serve at the pleasure of the court.

(d) The Model Plan for Implementation and Administration of the Criminal 

Justice Act is included as Appx. 2A. 

§ 210.30.20 Selection of Panel Members

In part, 18 U.S.C. § 3006A(b) provides that:

Counsel furnishing representation under the plan shall be selected from a 

panel of attorneys designated or approved by the court, or from a bar 

association, legal aid agency, or defender organization furnishing 

representation pursuant to the plan.

§ 210.30.30 Pro Hac Vice Appointments

(a) If the district judge presiding over the case, or the chief judge if a district 

judge has not yet been assigned to the case, determines that the 

appointment of an attorney, who is not a member of the CJA panel, is in 

the interest of justice, judicial economy or continuity of representation, or 

there is some other compelling circumstance warranting the attorney’s 

appointment, the attorney may be admitted to the CJA panel pro hac vice

and appointed to represent the CJA defendant.

(b) Consideration for preserving the integrity of the panel selection process 

suggests that pro hac vice appointments should be made only in 

exceptional circumstances.

(c) The attorney, who may or may not maintain an office in the district, should 

possess such qualities as would qualify the attorney for admission to the 

district’s CJA panel in the ordinary course of panel selection.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 10

§ 210.30.40 Centralization of Panel Administration and Management

Administration and management of the CJA Panel should be centralized in one 

organizational element (such as the clerk’s office or, where appropriate, the federal 

defender organization) to ensure that counsel is appointed as expeditiously as possible, 

appointments are equitably distributed, and information on availability of counsel is 

maintained.

§ 210.30.50 Distribution of Appointments

(a) Appointments should be made in a manner which results in both

• a balanced distribution of appointments and compensation among 

members of the CJA Panel, and

• quality representation for each CJA defendant.

(b) These objectives can be accomplished by making appointments on a 

rotational basis, subject to the court’s discretion to make exceptions due to 

the nature and complexity of the case, an attorney’s experience, and 

geographical considerations.

§ 210.40 Determining Financial Eligibility for Representation Under the CJA

§ 210.40.10 Timely Appointment of Counsel

A person financially eligible for representation should be provided with counsel as soon 

as feasible after being taken into custody, when first appearing before the court or U.S. 

magistrate judge, when formally charged, or when otherwise entitled to counsel under 

the CJA, whichever occurs earliest.

§ 210.40.20 Fact-Finding

(a) The determination of eligibility for representation under the CJA is a 

judicial function to be performed by the court or U.S. magistrate judge 

after making appropriate inquiries concerning the person’s financial 

condition.

(b) Unless it will result in undue delay, fact-finding concerning the person’s 

eligibility for appointment of counsel should be completed prior to the 

person’s first appearance in court.

(c) Other officers or employees of the court (e.g., clerk, deputy clerk, or 

pretrial services officer) may be designated by the court to obtain or verify 

the facts upon which such determination is to be made.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 11

(d) Relevant information bearing on the person’s financial eligibility should be 

reflected on Form CJA 23 (Financial Affidavit) and the form must be 

completed and executed before a judicial officer or employee.

(e) Employees of law enforcement agencies or U.S. attorney offices should 

not participate in the completion of the Form CJA 23 (Financial Affidavit) 

or seek to obtain information from a person requesting the appointment of 

counsel concerning the person’s eligibility.

(f) The person seeking appointment of counsel has the responsibility of 

providing the court with sufficient and accurate information upon which the 

court can make an eligibility determination. For guidance on counsel’s 

obligation to advise the court about the client’s ability to pay, see: 

§ 210.10.30. 

(g) The prosecution and other interested entities may present to the court 

information concerning the person’s eligibility, but the judicial inquiry into 

financial eligibility must not be utilized as a forum to discover whether the 

person has assets subject to forfeiture, or the ability to pay a fine, make 

restitution, or compensate another person under the Victim/Witness 

Protection Act or other purposes not related to the appointment of 

counsel. Such determinations, if appropriate, must be made at other 

stages of the proceedings in which the person seeking counsel is a party.

(h) Financial affidavits (such as Form CJA 23) seeking the appointment of 

counsel should not be included in the public case file and should not be 

made available to the public at the courthouse or via remote electronic 

access. If the financial affidavit is docketed it should be filed under 

seal. See: Privacy Policy for Electronic Case Files. 

§ 210.40.30 Standards for Eligibility

(a) A person is “financially unable to obtain counsel” within the meaning of 

18 U.S.C. § 3006A(b) if the person’s net financial resources and income 

are insufficient to obtain qualified counsel. In determining whether such 

insufficiency exists, consideration should be given to:

(1) the cost of providing the person and his dependents with the 

necessities of life, and

(2) the cost of the defendant’s bail bond if financial conditions are 

imposed, or the amount of the case deposit defendant is required to 

make to secure release on bond.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 12

(b) Any doubts as to a person’s eligibility should be resolved in the person’s 

favor; erroneous determinations of eligibility may be corrected at a later 

time.

(c) At the time of determining eligibility, the court or U.S. magistrate judge 

should inform the person of the penalties for making a false statement, 

and of the obligation to inform the court and the appointed attorney of any 

change in financial status.

(d) Prior to sentencing, the court should consider pertinent information 

contained in the presentence report, the court’s intention with respect to 

fines and restitution, and all other available data bearing on the person’s 

financial condition, in order to make a final determination concerning 

whether the person then has funds available to pay for some or all of the 

costs of representation. At the time of sentencing, in appropriate 

circumstances, it should order the person to reimburse the CJA 

appropriation for such costs. See: § 230.40. 

(e) Future earnings should not be considered or subject to a reimbursement 

order; however, other income or after-acquired assets which will be 

received within 180 days after the date of the court’s reimbursement order 

may be available as a source of reimbursement.

§ 210.40.40 Partial Eligibility

If a person’s net financial resources and income anticipated prior to trial are in excess of

the amount needed to provide the person and that person’s dependents with the 

necessities of life and to provide the defendant’s release on bond, but are insufficient to 

pay fully for retained counsel, the judicial officer should find the person eligible for the 

appointment of counsel under the CJA and should direct the person to pay the 

available excess funds to the clerk of the court at the time of such appointment or from 

time to time after that.

(a) Such funds must be held subject to the provisions of 18 U.S.C. § 3006A(f). 

(b) The judicial officer may increase or decrease the amount of such 

payments and may impose such other conditions from time to time as may 

be appropriate.

(c) With respect to the disposition of such funds, see: § 230.40. 

§ 210.40.50 Family Resources

The initial determination of eligibility should be made without regard to the financial 

ability of the person’s family unless the family indicates willingness and financial ability 

to retain counsel promptly. At or following the appointment of counsel, the judicial 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 13

officer may inquire into the financial situation of the person’s spouse (or parents, if the 

person is a juvenile) and if such spouse or parents indicate their willingness to pay all or 

part of the costs of counsel, the judicial officer may direct deposit or reimbursement.

§ 210.50 CJA Forms

The Judicial Conference of the United States, at its meeting in January 1965, approved 

the recommendation of its Committee to Implement the Criminal Justice Act of 1964 

(subsequently renamed the Committee on Defender Services), that every district 

incorporate in its plan a requirement that the standard forms, approved by the 

Conference, be used. See: JCUS-JAN 1965, p. 6. The majority of CJA forms are now 

incorporated into the eVoucher system. In addition, copies of the pertinent forms may 

be found on the public judiciary website. 

§ 220 Appointment of Counsel

§ 220.10 Timely Appointment of Counsel

As noted in § 210.40.10, a person financially eligible for representation should be 

provided with counsel as soon as feasible after being taken into custody, when first 

appearing before the court or U.S. magistrate judge, when formally charged, or when 

otherwise entitled to counsel under the CJA, whichever occurs earliest.

§ 220.15 Forms for the Appointment of Counsel

Forms for the appointment of counsel, together with instructions for their use, may be 

found on the public judiciary website. 

§ 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.

§ 220.20 Duration of Appointment

In part, 18 U.S.C. § 3006A(c) provides that: 

A person for whom counsel is appointed shall be represented at every 

stage of the proceedings from his initial appearance before the U.S. 

magistrate judge or the court through appeal, including ancillary matters 

appropriate to the proceedings.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 14

§ 220.25 Continuity of Representation

(a) If the attorney appointed by the U.S. magistrate judge is to continue to 

represent the defendant in the district court, no additional appointment by 

the district court should be made, except on appeal from a judgment 

rendered by the U.S. magistrate judge in a misdemeanor case.

(b) Counsel’s time and expenses involved in the preparation of a petition for a 

writ of certiorari are considered applicable to the case before the U.S. 

court of appeals and should be included on the voucher for services 

performed in that court.

(c) An order extending Appointment on Appeal (Form CJA 20) should be 

executed for each appellant for whom counsel was appointed by a U.S. 

district judge or magistrate judge for representation at the trial level. In a 

federal capital prosecution, or a proceeding under 28 U.S.C. § 2254 or 

§ 2255 challenging a death sentence, the appointment should be made on 

a Form CJA 30 (Death Penalty Proceedings: Appointment of and Authority 

to Pay Court-Appointed Counsel). 

(d) Absent special circumstances, whenever a case is transferred to another 

district, such as under Federal Rules of Criminal Procedure Rules 20, 21, 

and 40, appointment of counsel should be made in the transferee district.

§ 220.30 New Appointments Following Earlier Representations

A new appointment on Form CJA 20 should be made for each person represented in 

the following proceedings:

(a) new trial after motion, mistrial, reversal, or remand on appeal;

(b) probation or supervised release revocation proceedings;

(c) appeal, including interlocutory appeals;

(d) bail appeals to a court of appeals;

(e) extraordinary writs;

(f) mental condition hearings under:

(1) 18 U.S.C. § 4243 (Hospitalization of a Person Found Not Guilty 

only by Reason of Insanity);

(2) 18 U.S.C. § 4245 (Hospitalization of an Imprisoned Person 

Suffering From Mental Disease or Defect); and
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 15

(3) 18 U.S.C. § 4246 (Hospitalization of a Person Due for Release but 

Suffering From Mental Disease or Defect). See also: Guide, 

Vol. 7A, § 230.23.20. 

Note: The chart below explains when a mental condition hearing is considered a new 

appointment or part of the case in chief.

§ 220.30(f) Insanity Defense Reform Act of 1984

U.S. Code Section Type of Hearing New 

Case

Part of Case 

in Chief

18 U.S.C. § 4241(a) Motion to determine competence to stand trial. No Yes

18 U.S.C. § 4241(e) Hearing to determine whether person 

temporarily hospitalized as a result of 

incompetence to stand trial has recovered 

competence.

No Yes

18 U.S.C. § 4243(c) Hearing to determine whether release of 

person found not guilty by reason of insanity 

would create substantial risk of injury to 

person or property.

Yes No

18 U.S.C. § 4243(f) Hearing to determine whether person 

hospitalized following finding of not guilty by 

reason of insanity may be released 

conditionally or unconditionally.

Yes No

Hearing to modify or eliminate conditions of 

release.

Yes No

18 U.S.C. § 4243(g) Hearing on revocation of conditional release 

imposed under § 4243(f).

Yes No

18 U.S.C. § 4244(a) Hearing to determine present mental condition 

of convicted defendant prior to sentencing.

No Yes

18 U.S.C. § 4245(a) Hearing to determine whether imprisoned 

person suffering from mental disease or 

defect should be hospitalized.

Yes No

18 U.S.C. § 4246(a) Hearing to determine whether a hospitalized 

person due for release is presently suffering 

from a mental disease or defect so that 

release would create a substantial risk of 

injury to persons or property.

Yes No
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 16

§ 220.30(f) Insanity Defense Reform Act of 1984

U.S. Code Section Type of Hearing New 

Case

Part of Case 

in Chief

18 U.S.C. § 4246(e) Hearing to determine whether a person whose 

hospitalization was extended following a 

hearing under § 4246(a) may be released or 

conditionally released.

Yes No

18 U.S.C. § 4246(f) Hearing on revocation of conditional release 

imposed under § 4246(e).

Yes No

§ 220.35 Federal Defender Organizations

When cases are assigned to a federal public or community defender organization, the 

appointment should be made in the name of the organization (i.e., the federal public 

defender or community defender), rather than in the name of an individual staff attorney 

within the organization. See: Guide, Vol. 7A, § 440. 

§ 220.40 Appointment of Counsel to Represent More Than One Individual in 

a Case

(a) Unless good cause is shown or in the absence of a waiver on the record 

by the defendants, in a criminal prosecution involving more than one 

defendant, or where separate charges arising out of the same or similar 

transactions are concurrently pending against two or more defendants, 

separate counsel should normally be appointed for each defendant. If an 

attorney is appointed to represent more than one person, a separate order 

of appointment must be entered with respect to each person.

(b) An attorney who represents joint defendants may be compensated for 

services up to the statutory maximum for each person represented, unless 

the case involves extended or complex representation, in which case the 

attorney may be entitled to additional compensation above the statutory 

maximum rate. See: § 230.50 (Proration of Claims) and § 230.23.10(c). 

§ 220.45 Appointment of Counsel in Habeas Corpus and Proceedings 

Under 28 U.S.C. § 2255

While the Rules Governing Section 2254 Cases in the U.S. District Courts and the 

Rules Governing Section 2255 Proceedings in the U.S. District Courts mention the 

appointment of counsel only with regard to discovery and evidentiary hearings, the CJA 

in 18 U.S.C. § 3006A(a)(2)(B) permits discretionary appointment at any stage of the 

proceedings in the interest of justice. See: Guide, Vol. 7A, § 210.20.20(a)(2). Also, 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 17

18 U.S.C. § 3599(a)(1) requires the appointment of one or more attorneys in death 

penalty federal habeas corpus cases. See: Guide, Vol. 7A, § 620.10.

§ 220.50 Waiver of Counsel

A waiver of assigned counsel by a defendant should be in writing. If the defendant 

refuses to sign the waiver, the court or U.S. magistrate judge should certify thereto. No 

standard form has been prescribed for this purpose. 

§ 220.55 Standby Counsel

§ 220.55.10 Overview

(a) Criminal defendants have both a constitutional and statutory right to selfrepresentation in federal court. See: Faretta v. California, 422 U.S. 806 

(1975); 28 U.S.C. § 1654. 

(b) In some cases, however, the court or U.S. magistrate judge may find it 

necessary to appoint “standby” counsel to be available to assist a pro se 

defendant in that defendant’s defense and also to protect the integrity and 

ensure the continuity of the judicial proceedings. See: McKaskle v. 

Wiggins, 465 U.S. 168 (1984); Faretta, supra.

§ 220.55.20 Standby Counsel Services Accepted by a Pro Se Defendant

(a) The CJA provides that unless the financially eligible person waives 

representation by counsel, the court must appoint counsel to represent the 

person. 18 U.S.C. § 3006A(b). 

(b) While the court has inherent authority to appoint standby counsel, such 

appointments may not be made and counsel may not be compensated 

under the CJA unless: 

• the defendant qualifies for appointed counsel, and

• representation is actually rendered by counsel.

Therefore, if a financially eligible pro se defendant agrees to be 

represented, at least in part, by standby counsel, compensation may be 

provided under the CJA.

(c) Similarly, if at any time during the course of the proceedings the services 

of standby counsel are accepted by a financially eligible pro se defendant, 

a nunc pro tunc CJA appointment order should be effected and counsel 

may be compensated under the CJA.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 18

§ 220.55.30 Standby Counsel Appointed Under the Court’s Inherent Authority

(a) In circumstances in which standby counsel is appointed under the court’s 

inherent authority, and counsel serves exclusively on behalf of the court to 

protect the integrity and continuity of the proceedings, and does not 

represent the defendant, any compensation to be paid counsel must be in 

the capacity of an “expert or consultant” under 5 U.S.C. § 3109. 

(b) Therefore, an appointment under this section may be made regardless of 

whether the defendant is financially able to obtain adequate 

representation. In such cases, compensation will be determined by the 

judicial officer according to CJA hourly rates and case compensation 

maximums.

(c) The Administrative Office of the U.S. Courts’ (AO) Defender Services 

Office should be consulted regarding appointment and payment 

procedures. If, during the course of the proceedings, a pro se defendant 

who is financially able to retain counsel elects to do so, the court’s 

appointment of an attorney under 18 U.S.C. § 3006A(c) may be 

terminated.

§ 220.60 Termination of Appointment

In any case in which appointment of counsel has been made under the CJA and the 

court subsequently finds that the person is financially able to obtain counsel, such 

appointment should be terminated using the eVoucher system or Form CJA 7 (Order

Terminating Appointment of Counsel and/or Authorization for Distribution of Available 

Private Funds). 

§ 230 Compensation and Expenses of Appointed Counsel

§ 230.10 Forms for Compensation and Reimbursement of Expenses

The eVoucher system is the judiciary’s primary method for CJA panel voucher 

submission and processing. See: Guide, Vol. 7A, § 140. Legacy forms for the 

compensation and reimbursement of expenses to appointed counsel, together with 

instructions for their use, may be found on the public judiciary website. A copy of all 

supporting documents that itemize or expand the amounts shown on the face of Form 

CJA 20 must be attached when submitting vouchers in the eVoucher system.

§ 230.13 Time Limits

(a) Vouchers should be submitted no later than 45 days after the 

representation concludes, unless good cause is shown. The clerks or 

CJA supervisory attorneys of the concerned courts should ensure that 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 19

panel attorneys comply with the prescribed limits. Every effort should be 

made to have counsel submit the claim as soon as possible upon 

completion of services rendered. While extremely late submissions may 

impact the ability to adequately substantiate claims, voucher reductions 

based solely on submissions outside of the 45-day time limit are not 

authorized. See: § 230.33.10 (Standard for Voucher Review). 

(b) Absent extraordinary circumstances, judges should act upon panel 

attorney compensation claims within 30 days of submission.

§ 230.16 Hourly Rates and Effective Dates in Non-Capital Cases

(a) Except in federal capital prosecutions and in death penalty federal habeas 

corpus proceedings, compensation paid to appointed counsel for time 

expended in court or out of court or before a U.S. magistrate judge may 

not exceed the rates in the following table. For information on 

compensation of counsel in federal capital cases and death penalty 

federal habeas corpus proceedings, see: Guide, Vol. 7A, § 630. 

§ 230.16(a) Non-Capital Hourly Rates

If services were performed between... The maximum hourly rate is...

01/01/2024 to present $172

01/01/2023 through 12/31/2023 $164

01/01/2022 through 12/31/2022 $158

01/01/2021 through 12/31/2021 $155

01/01/2020 through 12/31/2020 $152

02/15/2019 through 12/31/2019 $148

03/23/2018 through 02/14/2019 $140

05/05/2017 through 03/22/2018 $132

01/01/2016 through 05/04/2017 $129

01/01/2015 through 12/31/2015 $127

03/01/2014 through 12/31/2014 $126

09/01/2013 through 02/28/2014 $110

01/01/2010 through 08/31/2013 $125

03/11/2009 through 12/31/2009 $110
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 20

§ 230.16(a) Non-Capital Hourly Rates

If services were performed between... The maximum hourly rate is...

01/01/2008 through 03/10/2009 $100

05/20/2007 through 12/31/2007 $94

01/01/2006 through 05/19/2007 $92

05/01/2002 through 12/31/2005 $90

(b) For rates applicable to services performed prior to May 1, 2002 for noncapital cases, please contact the AO’s Defender Services Office, Legal 

and Policy Division Duty Day Attorney, at 202-502-3030 or via email at 

DSO_LPD@ao.uscourts.gov. 

§ 230.20 Annual Increase in Hourly Rate Maximums

Under 18 U.S.C. § 3006A(d)(1), the Judicial Conference is authorized to increase 

annually all hourly rate maximums by an amount not to exceed the federal pay 

comparability raises given to federal employees. Hourly rate maximums will be 

adjusted automatically each year according to any federal pay comparability 

adjustment, contingent upon the availability of sufficient funds. The new rates will apply 

with respect to services performed on or after the effective date.

§ 230.23 Case Compensation Maximums

§ 230.23.10 Applicability and Exclusions

(a) In General

All compensation limits apply to each attorney in each case.

(b) Federal Death Penalty Cases and Federal Capital Habeas Corpus 

Proceedings

The case compensation limits are not applicable in federal death penalty 

cases and federal capital habeas corpus proceedings. See: Guide, 

Vol. 7A, § 630.10.20. 

(c) Excess Compensation Vouchers

(1) As further explained in § 230.23.40, the CJA places limitations on 

the general authority of presiding judicial officers to unilaterally 

approve attorney compensation.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 21

(2) Payments above case compensation limits referred to in 

§ 230.23.20 may be authorized when certified by the presiding 

judicial officer and approved by the chief judge of the circuit. The 

chief judge of the circuit is permitted to delegate this approval 

authority to another active or senior circuit judge.

(3) Presiding judicial officers should certify excess compensation 

payments to counsel whenever in their judgment the case involves 

extended or complex representation and the amount certified is 

necessary to provide fair compensation. See: § 230.23.40. 

(d) Limitations Inapplicable to Expense Reimbursement

Case compensation limits apply only to attorney fees. There is no limit on 

the presiding judicial officer’s authority to approve the reimbursement of 

expenses of counsel, and the chief judge of the circuit has no role in 

authorizing the payment of such expenses. For an explanation of 

reimbursable out-of-pocket expenses, see: § 230.63. But see: § 230.46 

(Prior Authorization for Appointed Counsel to Incur Expenses). 

(e) Change in Offense Classification Level

If a case is disposed of at an offense level lower than the offense originally 

charged, the compensation maximum is determined by the higher offense 

level.

(f) More than One Counsel

In difficult cases in which the court finds it necessary to appoint more than 

one attorney, the limitations apply separately to each attorney.

(g) Ancillary Matters

Representation in ancillary matters is compensable as part of the 

representation in the principal matter for which counsel has been 

appointed and is not considered a separate appointment for which a 

separate compensation maximum would apply.

(h) Increases to the Maximum Compensation Rate

Under 18 U.S.C. § 3006A(d)(2), the attorney case compensation 

maximums increase “simultaneously” with aggregate changes in the 

maximum attorney hourly compensation rate. Current case maximum 

amounts are identified below in § 230.23.20. 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 22

§ 230.23.20 Current Attorney Case Compensation Maximums

For work performed on or after January 1, 2024, the case compensation maximums are 

as follows:

§ 230.23.20 Current Attorney Case Compensation Maximums

If the case is a... the case maximum is...

(a) Felony (except federal capital prosecutions) $13,400 for trial court level

$9,600 for appeal

(b) Misdemeanors (including petty offenses (class B or 

C misdemeanors or infractions) as provided in 

18 U.S.C. § 3006A(a)(2)(A)))

$3,800 for trial court level

$9,600 for appeal

(c) Proceedings under 18 U.S.C. § 4106A (in connection 

with paroled prisoners transferred to the United 

States)

$2,900 for representation before 

the U.S. Parole Commission

$9,600 for appeal

(d) Proceedings under 18 U.S.C. § 4107 or § 4108 (for 

counsel and guardians ad litem providing services in 

connection with prisoner transfer proceedings).

Note: For information on appointment of counsel or 

guardians ad litem under 18 U.S.C. § 4109, see: Guide, 

Vol. 7B (International Prisoner Transfer Proceedings).

$3,800 for each consent 

verification proceeding

(e) Pre-Trial Diversion $13,400 if offense alleged by the 

U.S. attorney is a felony

$3,800 if offense alleged by the 

U.S. attorney is a misdemeanor

(f) Proceedings under 18 U.S.C. § 983 (for services 

provided by counsel appointed under 18 U.S.C.

§ 983(b)(1) in connection with certain judicial civil 

forfeiture proceedings)

$13,400 for trial court level

$9,600 for appeal

(g) Non-Capital Post-Conviction Proceedings under 

28 U.S.C. § 2241, § 2254 or § 2255

$13,400 for trial court level

$9,600 for appeal

(h) Proceedings to Protect Federal Jurors Employment 

under 28 U.S.C. § 1875

$13,400 for trial court level

$9,600 for appeal

(i) Other Representations Required or Authorized by 

the CJA

Note: This category includes but is not limited to the 

following representations:

$2,900 for trial court level

$2,900 for each level of appeal
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 23

§ 230.23.20 Current Attorney Case Compensation Maximums

If the case is a... the case maximum is...

(1) probation violation;

(2) supervised release hearing (for persons charged 

with a violation of supervised release or facing 

modification, reduction, or enlargement of a 

condition or extension or revocation of a term of 

supervised release);

(3) parole proceedings under 18 U.S.C. chapter 311 

(repealed) (but see: note at Guide, Vol. 7A, 

§ 210.20.10(a)(5)).

(4) material witness in custody;

(5) mental condition hearings under 18 U.S.C.

chapter 313 (except for hearings under 

18 U.S.C. § 4241 and § 4244, which are 

considered part of the case in chief with no 

separate compensation maximums applying. 

(For a chart detailing the treatment for the 

purpose of compensation of representation at 

each hearing under 18 U.S.C. chapter 313, see: 

Guide, Vol. 7A, § 220.30(f));

(6) civil or criminal contempt (where the person 

faces loss of liberty);

(7) witness (before a grand jury, a court, the 

Congress, or a federal agency or commission 

which has the power to compel testimony, where 

there is a reason to believe either before or 

during testimony, that the witness could be 

subject to a criminal prosecution, a civil or 

criminal contempt proceeding, or face loss of 

liberty); and

(8) international extradition (under 18 U.S.C.

chapter 209).

§ 230.23.30 History of Case Compensation Maximums

For work performed prior to January 1, 2024, the case compensation maximums are as 

follows:
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 24

§ 230.23.30 History of Case Compensation Maximums

The case maximum if a case 

is a...

And services were completed... 3/1/2014- 12/31/2014 1/1/2015- 12/31/2015 1/1/2016- 5/4/2017 5/5/2017- 3/22/2018 3/23/2018- 2/14/2019 2/15/2019- 12/31/2019

1/1/2020- 

12/31/2020

1/1/2021- 

12/31/2021

1/1/2022-

12/31/2022

1/1/2023-

12/31/2023

(a) Felony (including pre-trial 

diversion of alleged felony)

$9,800$9,900

$10,000$10,300$10,900$11,500$11,800$12,100$12,300$12,800

(b) Misdemeanor (including pretrial diversion of alleged 

misdemeanor)

$2,800$2,800$2,900$2,900$3,100$3,300$3,400$3,400$3,500$3,600

(c) Proceeding under 18 U.S.C.

§ 4106A

$2,100$2,100$2,100$2,200$2,300$2,500$2,500$2,600$2,

600

$2,700

(d) Proceeding under 18 U.S.C.

§ 4107 or § 4108 (for each 

verification proceeding)

$2,800$2,800$2,900$2,900$3,100$3,300$3,400$3,400$3,500$3,600

(e) Proceeding under 18 U.S.C.

§ 983

$9,800$9,900

$10,000$10,300$10,900$11,500$11,800$12,100$12,300$12,800

(f) Post-conviction proceeding 

under 28 U.S.C. § 2241, § 2254

or § 2255

$9,800$9,900

$10,000$10,300$10,900$11,500$11,800$12,100$12,300$12,800

(g) Proceeding under 28 U.S.C.

§ 1875

$9,800$9,900

$10,000$10,300$10,900$11,500$11,800$12,100$12,300$12,800
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 25

§ 230.23.30 History of Case Compensation Maximums

The case maximum if a case 

is a...

And services were completed... 3/1/2014- 12/31/2014 1/1/2015- 12/31/2015 1/1/2016- 5/4/2017 5/5/2017- 3/22/2018 3/23/2018- 2/14/2019 2/15/2019- 12/31/2019

1/1/2020- 

12/31/2020

1/1/2021- 

12/31/2021

1/1/2022-

12/31/2022

1/1/2023-

12/31/2023

(h) Appeal from felony, 

misdemeanor, proceeding 

under 18 U.S.C. § 4106A, 

18 U.S.C. § 983, post-conviction 

proceeding under 28 U.S.C.

§ 2241, § 2254 or § 2255, and 

28 U.S.C. § 1875

$7,000$7,100$7,200$7,300$7,800$8,200$8,400$8,600$8,800$9,100

(i) Other representation required 

or authorized by the CJA 

(including, but not limited to 

probation, supervised release 

hearing, material witness, grand 

jury witness)

$2,100$2,100$2,100$2,200$2,300$2,500$2,500$2,500$2,600$2,700

(j) Appeal of other 

representation

$2,100$2,100$2,100$2,200$2,300$2,500$2,500$2,500$2,600$2,700

For inquiries concerning case compensation maximums, contact the AO’s Defender 

Services Office, Legal and Policy Division Duty Day Attorney, at 202-502-3030 or via

email at DSO_LPD@ao.uscourts.gov. 

§ 230.23.40 Waiving Case Compensation Maximums

(a) Overview

Payments in excess of CJA compensation maximums may be made to 

provide fair compensation in cases involving extended or complex 

representation when so certified by the court or U.S. magistrate judge and 

approved by the chief judge of the circuit (or by an active or senior circuit 

judge to whom excess compensation approval authority has been 

delegated).

(b) Extended or Complex Cases

The approving judicial officer should first make a threshold determination 

as to whether the case is either extended or complex.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 26

(1) If the legal or factual issues in a case are unusual, thus requiring 

the expenditure of more time, skill, and effort by the lawyer than 

would normally be required in an average case, the case is 

“complex.”

(2) If more time is reasonably required for total processing than the 

average case, including pre-trial and post-trial hearings, the case is 

“extended.”

(c) Determining Fair Compensation

After establishing that a case is extended or complex, the approving 

judicial officer should determine if excess payment is necessary to provide 

fair compensation. The following criteria, among others, may be useful in 

this regard:

• responsibilities involved measured by the magnitude and importance of 

the case;

• manner in which duties were performed;

• knowledge, skill, efficiency, professionalism, and judgment required of 

and used by counsel;

• nature of counsel’s practice and injury thereto;

• any extraordinary pressure of time or other factors under which 

services were rendered; and

• any other circumstances relevant and material to a determination of a 

fair and reasonable fee.

§ 230.26 Case Budgeting

§ 230.26.10 Overview

Courts are encouraged to use case-budgeting techniques in representations that 

appear likely to become or have become extraordinary in terms of potential cost 

(ordinarily, a representation in which attorney hours are expected to exceed 300 hours 

or total expenditures are expected to exceed 300 times the prevailing CJA panel 

attorney non-capital hourly rate, rounded up to the nearest thousand, for appointed 

counsel and services other than counsel for an individual CJA defendant).

§ 230.26.15 Case-Budgeting Attorneys

(a) Every circuit should have available at least one case-budgeting attorney. 

(b) Reviewing judges should give due weight to the case-budgeting attorney’s 

recommendations in reviewing vouchers and requests for expert services,

and must articulate their reasons for departing from those 

recommendations.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 27

See: JCUS-MAR 2019, p. 19. 

§ 230.26.20 Case-Budgeting Procedures

(a) If a court determines that case budgeting is appropriate (either on its own 

or upon request of counsel), counsel should submit a proposed initial 

litigation budget for court approval, subject to modification in light of facts 

and developments that emerge as the case proceeds.

(b) Case-budgeting forms (Forms CJA 28A – CJA 28H), together with 

instructions for their use, may be found on the public judiciary website. 

(c) Case budgets should be submitted ex parte and filed and maintained 

under seal.

(d) For general information on case-budgeting principles relating to capital 

cases, see: Guide, Vol. 7A, § 640. 

§ 230.26.30 Investigative, Expert, and Other Services

(a) Recognizing that investigative, expert, and other services may be required 

before there is an opportunity for counsel to prepare a case budget or for 

the court to approve it, courts should act upon requests for services where 

prompt authorization is necessary for adequate representation.

(b) Courts, in examining the case budget, may reconsider amounts authorized 

for services before the budget’s approval; however, courts must not 

rescind prior authorization where work has already been performed.

§ 230.30 Supporting Memorandum Justifying Compensation Claimed

(a) Claim for Less than the Case Compensation Maximum

In any case in which the total compensation claimed is less than the 

statutory case compensation maximum, counsel may be required to 

submit a memorandum supporting and justifying the compensation 

claimed, when called for by local rule, standing order, or by the presiding 

judicial officer. 

(b) Claim for More than the Case Compensation Maximum

(1) In any case in which the total compensation claimed is in excess of

the statutory case compensation maximum, counsel will submit with 

the voucher a detailed memorandum supporting and justifying 

counsel’s claim that:
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 28

• the representation given was in an extended or complex case 

(see: § 230.23.40(b)), and

• the excess payment is necessary to provide fair compensation 

(see: § 230.23.40(c)). 

(2) Upon preliminary approval of such claim, the presiding judicial 

officer should furnish to the chief judge of the circuit a 

memorandum containing the recommendation and a detailed 

statement of reasons.

§ 230.33 Review and Approval of CJA Vouchers

§ 230.33.10 Standard for Voucher Review

Voucher reductions should be limited to:

(a) Mathematical errors;

(b) Instances in which work billed was not compensable;

(c) Instances in which work billed was not undertaken or completed; and

(d) Instances in which the hours billed are clearly in excess of what was 

reasonably required to complete the task.

See: JCUS-SEP 2018, p. 42. For guidance on problems related to CJA voucher 

cutting, see: 2017 Report of the Ad Hoc Committee to Review the Criminal Justice Act,

pp. 96-103.

§ 230.33.20 Impact of an Appropriation Shortfall on Voucher Review

Vouchers should not be delayed or reduced for the purpose of diminishing Defender 

Services program costs in response to adverse financial circumstances.

§ 230.33.30 Notification of Proposed Reduction of CJA Compensation Vouchers

(a) The CJA provides that the reviewing judge must fix the compensation and 

reimbursement to be paid to appointed counsel. If the court determines 

that a claim should be reduced, appointed counsel should be provided:

• prior notice of the proposed reduction with a brief statement of the 

reason(s) for it, and

• an opportunity to address the matter.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 29

(b) Notice need not be given to appointed counsel where the reduction is 

based on mathematical or technical errors.

(c) Nothing contained in this guideline should be construed as requiring a 

hearing or as discouraging the court from communicating informally with 

counsel about questions or concerns in person, telephonically, or 

electronically, as deemed appropriate or necessary.

§ 230.33.40 Independent Review Process

(a) Every district or division should implement an independent review process 

for panel attorneys who wish to challenge any reductions to vouchers that 

have been made by the presiding judge.

(b) Any challenged reduction should be subject to review consistent with this 

independent review process.

(c) All processes implemented by a district or division must be consistent with 

the statutory requirements for fixing compensation and reimbursement to 

be paid under 18 U.S.C. § 3006A(d). 

See: JCUS-MAR 2019, p. 19.

§ 230.40 Payments by a Defendant

(a) An attorney appointed under the CJA may not accept a payment from or 

on behalf of the person represented without authorization by a U.S. 

district, circuit, or magistrate judge on Form CJA 7. 

(b) If such payment is authorized, it should be deducted from the fee to be 

approved by the court under 18 U.S.C. § 3006A(d). The combined 

payment to any one attorney for compensation from both the person 

represented and the CJA is subject to applicable dollar limitations, unless 

excess compensation is approved under 18 U.S.C. § 3006A(d)(3). 

(c) When the court determines that a person who received representation 

under the CJA was financially ineligible for those services at the time they 

were rendered, and directs that the person reimburse the government, the 

payment should be made by check or money order to the clerk of court for 

deposit into the Treasury. Such funds will be credited to the Defender 

Services appropriation.

(d) Under 18 U.S.C. § 3006A(f), a judicial officer is not authorized to require 

reimbursement as a condition of probation, and the Judicial Conference 

position is that reimbursement of the cost of representation under the CJA 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 30

should not be made a condition of probation under any other authority. 

See: JCUS-MAR 1985, p. 31.

§ 230.43 Approval Authority of U.S. Magistrate Judges

Absent delegated authority, U.S. magistrate judges may only approve vouchers for 

services rendered in connection with a case disposed of entirely before the U.S. 

magistrate judge.

§ 230.46 Prior Authorization for Appointed Counsel to Incur Expenses

Court plans may require advance authorization for such items as counsel’s expenses 

over stipulated amounts or counsel’s travel in excess of stipulated distances.

§ 230.50 Proration of Claims

(a) When a defendant is charged in one indictment with severable counts, 

one voucher should be submitted and one maximum applied under 

18 U.S.C. § 3006A(d)(2), whether or not the counts are severed for trial.

(b) When a defendant is charged in two or more indictments (other than a 

superseding indictment or information), a separate voucher should be 

submitted, and a separate maximum applied under 18 U.S.C.

§ 3006A(d)(2), for each indictment, whether or not the indictments are 

consolidated for trial.

(c) Where single counsel is appointed to represent multiple defendants, 

separate vouchers should be submitted, and a separate maximum applied 

under 18 U.S.C. § 3006A(d)(2), for each defendant represented.

(d) Whenever appointed counsel submit separate vouchers, as provided by 

this section, time spent in common on more than one indictment or case 

must be prorated among the indictments or cases on which the time was 

spent, and each indictment or case must be cross-referenced on the 

supporting materials to the vouchers. Time spent exclusively on any one 

indictment or case must properly be charged on the voucher for that 

indictment or case.

(e) Time or expenses “spent in common” includes work performed 

simultaneously or within the same unit of time, or expenses incurred, for 

more than one representation (e.g., travel on behalf of more than one 

client). Double billing of time or expenses is prohibited (e.g., billing the 

same travel time or expenses to more than one representation).

(f) While time spent in common on more than one CJA representation must 

be prorated, the entire amount of travel or other expenses applicable to 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 31

more than one CJA representation must be billed to one representation. 

The supporting materials to the voucher on which the expenses are billed 

must cross-reference the other CJA representations.

(g) If the attorney is billing under the CJA for time or expenses, including 

travel, that were spent in common for a purpose other than a CJA 

representation, the attorney must report such information so that the court 

can determine whether, in fairness to counsel, the time or expenses 

should be apportioned and the attorney compensated for the time or 

expenses reasonably attributable to the CJA.

(1) The attorney should explain the rationale for billing under the CJA, 

and the court may conduct a further inquiry.

(2) In determining whether time or expenses spent in common for a 

purpose other than a CJA representation should be apportioned, 

the court should consider:

• the time or expenses reasonably expended in the performance 

of the attorney’s duties under the CJA in relation to the time or 

expenses expended furthering other purposes;

• the significance to the CJA representation of the duties 

performed or expenses incurred; and

• the likelihood that the attorney would have performed the 

services or incurred the expenses under the CJA in the absence 

of the other purposes.

(h) Proration of time among CJA representations must not result in an 

appointed counsel billing a larger amount than would have been billed if all 

the time was assigned to one representation.

§ 230.53 Compensation of Co-Counsel

§ 230.53.10 Without Separate Appointment

(a) Unless separately appointed in accordance with § 230.53.20(b) or Guide, 

Vol. 7A, § 620.10, co-counsel or associate attorneys may not be 

compensated under the CJA.

(b) However, an appointed counsel may claim compensation for services 

furnished by a partner or associate or, with prior authorization by the court, 

counsel who is not a partner or associate, within the maximum 

compensation allowed by the CJA, separately identifying the provider of 

each service.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 32

§ 230.53.20 With Appointment

(a) In an extremely difficult case where the court finds it in the interest of 

justice to appoint an additional attorney, each attorney is eligible to receive 

the maximum compensation allowable under the CJA.

(b) The finding of the court that the appointment of an additional attorney in a 

difficult case was necessary and in the interest of justice must appear on 

the Order of Appointment. For appointment of more than one attorney in 

capital cases, see: Guide, Vol. 7A, § 620.10.

§ 230.56 Substitution of Counsel

If an attorney is substituted for an attorney previously appointed for a defendant in the 

same case, the total compensation paid to both attorneys may not exceed the statutory 

maximum for one defendant, unless the case involves extended or complex 

representation. In such cases, vouchers for attorney’s services will not be approved by 

a judicial officer until the conclusion of the trial so that the judicial officer may make such 

apportionment between the attorneys as may be just.

§ 230.60 Attorney Compensation for Travel Time

(a) Compensation must be approved for time spent in necessary and 

reasonable travel.

(b) Ordinarily, compensable time for travel includes only those hours actually 

spent in or awaiting transit. Therefore, if a trip necessarily and 

reasonably requires overnight lodging, compensable travel time to the 

destination from the claimant’s office would terminate upon arrival and 

check-in at the hotel or other place of accommodation and would include 

travel time returning directly to the claimant’s office from said destination.

(c) Compensation for travel time is paid at a rate not to exceed the rate 

provided in 18 U.S.C. § 3006A(d) for “time reasonably expended out of 

court.” 

(d) Necessary and reasonable travel includes travel time to meet and confer 

in-person with clients, including when clients are remotely detained, even 

if teleconferencing or videoconferencing technology is available.

[Note: The Judicial Conference Committee on Defender Services’ 

Strategic Plan stresses the importance of CJA attorneys meeting inperson with their clients to build and maintain a relationship of trust 

necessary to provide high quality defense representation. Therefore, 

teleconferencing and videoconferencing technology should not be used as 

a substitute for in-person attorney-client meetings but may be used to 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 33

supplement in-person visits, at the sole discretion of counsel, where it 

would not diminish the quality of representation or adversely impact the 

attorney-client relationship.] 

§ 230.63 Reimbursable Out-of-Pocket Expenses

§ 230.63.10 Overview

Out-of-pocket expenses reasonably incurred may be claimed on the voucher, and must 

be itemized and reasonably documented. Expenses for investigations or other services 

under 18 U.S.C. § 3006A(e) are not considered out-of-pocket expenses.

§ 230.63.20 Reimbursement for Transcripts

(a) Generally, court reporters or reporting services which furnish court 

authorized transcripts in CJA cases claim and receive compensation for 

their services through the eVoucher system on Form CJA 24 

(Authorization and Voucher for Payment of Transcript). See: Guide, 

Vol. 7A, § 320.30. While this is the preferred method for payment of 

transcripts, if appointed counsel has elected to pay for transcripts “out-ofpocket,” the cost may be claimed in eVoucher on Form CJA 20 

(Appointment and Authority to Pay Court Appointed Counsel) as a 

reimbursable expense under 18 U.S.C. § 3006A(d)(1). 

(b) The cost of transcribing depositions in criminal cases is the responsibility 

of the Department of Justice under Rule 17(b) of Fed. R. Crim. P. 

Exception: When the witness is a defense expert, the expert is paid out 

of CJA funds (B-139703, 53 Comp. Gen. 638 (1974)). 

§ 230.63.30 Computer-Assisted Legal Research

(a) The cost of use, by appointed counsel, of computer-assisted legal 

research services, may be allowed as a reimbursable out-of-pocket 

expense, provided that the amount claimed is reasonable.

(b) Whenever appointed counsel incurs charges for computer-assisted legal 

research, counsel should attach to the compensation voucher a copy of 

the bill and receipt for the use of the legal research services or an 

explanation of the precise basis of the charge (e.g., indicating the extent to 

which it was derived by proration of monthly charges, or by charges 

identifiable to the specific research).

(c) If the amount claimed is more than $500 or if it includes costs for 

downloading or printing, counsel should include a brief statement of 

justification.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 34

§ 230.63.40 Travel Expenses

(a) Travel by privately owned automobile should be claimed at the mileage 

rate currently prescribed for federal judiciary employees who use a private 

automobile for conduct of official business. Parking fees, ferry fares, and 

bridge, road, and tunnel tolls may also be claimed. Transportation other 

than by privately owned automobile should be claimed on an actual 

expense basis.

(b) Per diem in lieu of subsistence is not allowable, since the CJA provides for 

reimbursement of expenses actually incurred. Therefore, counsel’s 

expenses for meals and lodging incurred in the representation of the 

defendant would constitute reimbursable “out-of-pocket” expenses.

(c) In determining whether actual expenses incurred are “reasonable,” 

counsel should be guided by travel and subsistence expense levels set by 

the Judiciary Staff Travel Regulations. 

(d) Federal law authorizes attorneys, experts, and other persons traveling 

primarily in connection with carrying out responsibilities under the CJA to

use government travel rates from common carriers and lodging providers. 

(See: 18 U.S.C. 3006A note; Federal Courts Administration Act of 1992, 

Pub. L. No. 102-572, title VII, § 702, 106 Stat. 4515 (Oct. 29, 1992).)

(1) Government rates may provide substantial cost reductions or increased 

flexibility over ordinary commercial rates. To obtain such rates, prior 

approval must be obtained from the appointing authority.

(2) Government contract airfares must be booked through the carrier or the 

judiciary’s contract travel agent using the court’s centrally billed account.

§ 230.63.50 Interim Reimbursement for Expenses

(a) Where it is considered necessary and appropriate in a specific case, the 

presiding judge or U.S. magistrate judge may, in consultation with the 

AO’s Defender Services Office, arrange for interim reimbursement to 

counsel of extraordinary and substantial expenses incurred in providing 

representation in a case.

(b) Interim reimbursement should be authorized when counsel’s reasonably

incurred out-of-pocket expenses for duplication of discovery materials

made available by the prosecution exceed $500.

§ 230.63.60 Reimbursement for Expenses Incurred Defending Malpractice Allegations

(a) Courts are authorized to reimburse panel attorneys for expenses 

reasonably incurred in defending actions alleging malpractice in furnishing 
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 35

representational services under the CJA. See: 18 U.S.C. § 3006A(d)(1), 

as amended by the Federal Courts Improvement Act of 2000, Pub. L. No. 

106-518, which covers expenses incurred on or after its effective date of 

Nov. 13, 2000.

(b) The total reimbursement must not exceed the deductible amount of 

counsel’s professional liability insurance policy or $5,000, whichever is 

less. Expenses qualifying for reimbursement may include, but are not 

limited to: 

• the costs of transcripts;

• witness fees and costs; and

• attorney fees.

(c) In determining reasonable attorney fees for this purpose, CJA rates are 

inapplicable.

(d) Compensation for representing oneself in defending the action alleging 

malpractice, or, if represented by counsel, for time spent assisting that 

counsel in defending the action, is not reimbursable.

(e) No reimbursement will be made if a judgment of malpractice is rendered 

against the attorney; in view of this prohibition, no reimbursement should 

be provided until the malpractice claim is resolved.

(f) Reimbursement should be claimed under the expense categories on a 

Form CJA 20 (or, where the appointment was in a capital matter, Form 

CJA 30), and supporting documentation should be attached.

§ 230.63.70 Other Reimbursable Expenses

Other reimbursable expenses include:

• telephone toll calls;

• case-related videoconferencing not covered by general office overhead;

• photographs or video duplication; and

• copying or laser printing (except commercial brief printing — see: 

§ 230.66.40). 

§ 230.66 Non-Reimbursable Expenses

§ 230.66.10 General Office Overhead

(a) General office overhead includes general office expenses that would 

normally be reflected in the fee charged to the client. The statutory fee is 

intended to include compensation for these general office expenses.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 36

(b) Except in extraordinary circumstances (see: Guide, Vol. 7A, 

§ 320.70.30), whether work is performed by counsel or other personnel, 

the following expenses associated with CJA representation are not 

reimbursable:

• personnel;

• rent;

• telephone, cell phone, or internet service; and

• secretarial.

§ 230.66.20 Items and Services of Personal Nature

(a) The cost of items of a personal nature purchased for or on behalf of the 

person represented are not reimbursable under the CJA. Such items 

include:

• purchasing new clothing or having clothing cleaned;

• getting a haircut;

• furnishing cigarettes, candy, or meals, etc.

(b) The cost of services of a personal nature and expenses incidental thereto 

which cannot be considered legal representation are not compensable 

under the CJA. Such services include:

• assisting the defendant in the disposition of the defendant’s personal 

property, unless obtaining access to the property could reasonably 

contribute to a representational purpose;

• arranging for the placement of minor children of the defendant;

• assisting the defendant in executing the conditions of probation;

• providing legal assistance in matters unrelated to the litigation of the 

case, although incidental to the defendant’s arrest, etc.

§ 230.66.30 Filing and Other Fees

Attorneys are not required to pay district or appellate filing, PACER, or miscellaneous fees in 

connection with CJA representations. See: Guide, Vol. 4, § 610.60(b). Panel attorneys and 

service providers should obtain fee-exempt PACER accounts for use in connection with CJA 

appointments. More information may be obtained from the PACER Service Center

(pacer@psc.uscourts.gov or 800-676-6856). 

Courts are encouraged to waive or reduce pro hac vice and attorney admission fees specified in 

Guide, Vol. 4, § 670(a)-(b) for appearances in CJA representations. If charged such fees in 

connection with a CJA representation, appointed attorneys may be reimbursed those payments

under the CJA as necessary out-of-pocket expenses.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 37

§ 230.66.40 Printing and Copying of Briefs

(a) The expense of specialized typesetting, layout, or binding of appellate or 

other legal briefs (including Supreme Court booklets) exceeding 

requirements for individuals represented under the CJA, regardless of the 

printing method utilized, is not reimbursable.

(b) The reasonable cost of laser printing, photocopying, or similar duplication 

expenses is reimbursable.

§ 230.66.50 Service of Process

(a) Witness fees, travel costs, and expenses for service of subpoenas on fact 

witnesses, are not payable out of the CJA appropriation but are governed 

by Fed. R. Crim. P. Rule 17 and 28 U.S.C. § 1825. 

(b) While not separately compensable, service of process incidental to a 

witness interview or other representational purpose is permissible.

(c) If the U.S. Marshals Service is unavailable to serve a fact witness in time 

for a court proceeding, the circumstances should be documented, and 

prior approval obtained from the presiding judge or CJA supervisory 

attorney before incurring expenses for service of process. However, the 

judge or CJA supervisory attorney may waive prior approval if he or she 

determines that timely service of necessary process could not await 

preauthorization.

§ 230.66.60 Taxes

Taxes paid on attorney compensation received under CJA, whether based on income, 

sales or gross receipts, are not reimbursable expenses.

§ 230.70 Writ of Certiorari

Counsel’s time and expenses involved in the preparation of a petition for a writ of 

certiorari are considered as applicable to the case before the U.S. court of appeals and 

should be included on the voucher for services performed in that court.

§ 230.73 Interim Payments to Counsel

§ 230.73.10 Non-Death Penalty Cases

(a) Where it is considered necessary and appropriate in a specific case, the 

presiding trial judge may arrange for periodic or interim payments to 

counsel.
Guide to Judiciary Policy, Vol. 7A, Ch. 2 Page 38

(b) Appx. 2C (Procedures for Interim Payments to Counsel in Non-Death 

Penalty Cases) contains instructions on the procedures for effecting 

interim payments to counsel, and a sample memorandum order on this 

subject that provides for two alternative payment methods.

(c) The payment options provided in Appx. 2C are designed to strike a 

balance between the interest in relieving court-appointed attorneys of 

financial hardships in extended or complex cases, and the practical 

application of the statutorily imposed responsibility of the chief judge of the 

circuit to provide a meaningful review of claims for excess compensation.

(d) Other interim payment arrangements which effectuate this balance may 

be devised in consultation with the AO’s Defender Services Office.

§ 230.73.20 Death Penalty Cases

Presiding judicial officers are urged to permit interim payments in death penalty cases. 

Since the Anti-Drug Abuse Act of 1988 effectively repealed the CJA hourly rates and 

case maximums with respect to death penalty cases, a separate set of procedures and 

a separate memorandum order should be used in those cases. These procedures and 

a sample memorandum order are provided in Appx. 2D (Procedures for Interim 

Payments to Counsel in Death Penalty Cases). 

§ 230.76 Record Keeping

Appointed counsel must maintain contemporaneous time and attendance records for all 

work performed, including work performed by associates, partners, and support staff, as 

well as expense records. Such records are subject to audit and must be retained for 

three years after approval of the final voucher for an appointment.

§ 230.80 Annual Report of Attorney Compensation Exceeding 1,000 Hours

Not later than three months after the end of each fiscal year, the AO’s Defender 

Services Office will prepare reports listing all attorneys who have claimed compensation 

of more than 1,000 hours of services in the preceding fiscal year. The chief judge of 

each court of appeals and each district court will receive a copy of the report regarding 

attorneys within that district or circuit.
Last revised (Transmittal 07-012) May 21, 2019

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 2: Appointment and Payment of Counsel

Appx. 2A: Model Plan for Implementation and Administration of the 

Criminal Justice Act

For use by a district with a federal public or community defender organization.1

Note: Brackets denote optional language based on the configuration of defense services in the 

district.

Defender Services Committee Comment: This “Model Plan” is intended to provide 

guidance in the implementation and administration of the Criminal Justice Act, as required 

under 18 U.S.C. § 3006A(b). This reflects the policies of the Judicial Conference of the 

United States provided in Guide to Judiciary Policy, Vol. 7A, and the Outline of the Defender 

Services Program Strategic Plan.

I. Authority ............................................................................................................... 4

II. Statement of Policy............................................................................................... 4

A. Objectives .................................................................................................. 4

B. Compliance................................................................................................ 4

III. Definitions............................................................................................................. 5

A. Representation .......................................................................................... 5

B. Appointed Attorney .................................................................................... 5

C. CJA Administrator...................................................................................... 5

IV. Determination of Eligibility for CJA Representation .............................................. 5

A. Subject Matter Eligibility............................................................................. 5

1. Mandatory ....................................................................................... 5

2. Discretionary ................................................................................... 6

3. Ancillary Matters.............................................................................. 6

B. Financial Eligibility ..................................................................................... 7

1. Presentation of Accused for Financial Eligibility Determination....... 7

1 As of January 2016, there are federal defender organizations in 91 of the 94 judicial districts. 

Unless otherwise specified, in districts without a federal defender organization, “local CJA 

resource counsel” should be substituted for “[federal public defender/community defender].”
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 2

2. Factual Determination of Financial Eligibility................................... 9

V. Timely Appointment of Counsel.......................................................................... 10

A. Timing of Appointment............................................................................. 10

B. Court’s Responsibility .............................................................................. 10

C. Pretrial Service Interview ......................................................................... 10

D. Retroactive Appointment of Counsel ....................................................... 11

VI. Provision of Representational Services .............................................................. 11

A. [Federal Public Defender/Community Defender] and Private Counsel .... 11

B. Administration .......................................................................................... 11

C. Apportionment of Cases .......................................................................... 11

D. Number of Counsel.................................................................................. 11

E. Capital Cases .......................................................................................... 11

VII. [Federal Public Defender/Community Defender] Organization........................... 12

A. Establishment .......................................................................................... 12

B. Standards ................................................................................................ 12

C. Workload.................................................................................................. 12

D. Professional Conduct............................................................................... 12

E. Private Practice of Law ............................................................................ 12

F. Supervision of Defender Organization ..................................................... 12

G. Training.................................................................................................... 13

VIII. CJA Panel of Private Attorneys .......................................................................... 13

A. Establishment of the CJA Panel Committee and/or CJA Supervisory 

Attorney ................................................................................................... 13

B. Duties of the CJA Committee and/or CJA Supervisory Attorney.............. 14

IX. Establishment of a CJA Panel ............................................................................ 16

A. Approval of CJA Panel............................................................................. 16

B. Size of CJA Panel.................................................................................... 16

C. Qualifications and Membership on the CJA Panel................................... 16

2. Equal Opportunity ......................................................................... 17

3. Eligibility ........................................................................................ 17

4. Appointment to CJA Panel ............................................................ 17

5. Terms of CJA Panel Members ...................................................... 18

6. Reappointment of CJA Panel Members ........................................ 18
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 3 

7. Removal from the CJA Panel........................................................ 18

X. CJA Panel Attorney Appointment in Non-Capital Cases .................................... 20

A. Appointment List ...................................................................................... 20

B. Appointment Procedures ......................................................................... 20

XI. Duties of CJA Panel Members............................................................................ 21

A. Standards and Professional Conduct ...................................................... 21

B. Training and Continuing Legal Education ................................................ 21

C. Facilities and Technology Requirements ................................................. 22

D. Continuing Representation ...................................................................... 22

E. Miscellaneous .......................................................................................... 22

XII. Compensation of CJA Panel Attorneys .............................................................. 23

A. Policy of the Court Regarding Compensation.......................................... 23

B. Payment Procedures ............................................................................... 23

XIII. Investigative, Expert, and Other Services........................................................... 24

A. Financial Eligibility ................................................................................... 24

B. Applications ............................................................................................. 25

C. Compliance.............................................................................................. 25

XIV. Appointment of Counsel and Case Management in CJA Capital Cases ............ 25

A. Applicable Legal Authority ....................................................................... 25

B. General Applicability and Appointment of Counsel Requirements........... 25

C. Appointment of Trial Counsel in Federal Death-Eligible Cases ............... 27

1. General Requirements .................................................................. 27

2. Qualifications of Learned Counsel ................................................ 28

3. Qualifications of Second and Additional Counsel.......................... 29

D. Appointment and Qualifications of Direct Appeal Counsel in Federal Death 

Penalty Cases.......................................................................................... 29

E. Appointment and Qualifications of Post-Conviction Counsel in Federal 

Death Penalty Cases (28 U.S.C. § 2255) ................................................ 30

F. Appointment and Qualifications of Counsel in Federal Capital Habeas 

Corpus Proceedings (28 U.S.C. § 2254).................................................. 31

XV. Effective Date ..................................................................................................... 33
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 4 

United States District Court

For the _____ District of ______

Criminal Justice Act Plan

I. Authority

Under the Criminal Justice Act (CJA) of 1964, as amended, 18 U.S.C. § 3006A, and Guide to 

Judiciary Policy (Guide), Volume 7A, the judges of the United States District Court for the 

District of adopt this Plan, as approved by the circuit, for furnishing representation in 

federal court for any person financially unable to obtain adequate representation consistent with 

the CJA.

II. Statement of Policy

A. Objectives 

The objectives of this Plan are:

1. to attain the goal of equal justice under the law for all persons; 

2. to provide all eligible persons with timely appointed counsel services that 

are consistent with the best practices of the legal profession, are costeffective, and protect the independence of the defense function so that 

the rights of individual defendants are safeguarded and enforced; and

3. to particularize the requirements of the CJA, the USA Patriot 

Improvement and Reauthorization Act of 2005 (recodified at 18 U.S.C.

§ 3599), and Guide, Vol. 7A, in a way that meets the needs of this district. 

This Plan must therefore be administered so that those accused of a crime, or 

otherwise eligible for services under the CJA, will not be deprived of the right to 

counsel, or any element of representation necessary to an effective defense, due 

to lack of financial resources.

B. Compliance

1. The court, its clerk, the [federal public/community] defender organization, 

attorneys provided by a bar association or legal aid agency, and private 

attorneys appointed under the CJA must comply with Guide, Vol. 7A, 

approved by the Judicial Conference of the United States or its 

Committee on Defender Services, and with this Plan. 

2. The court will ensure that a current copy of the CJA Plan is made 

available on the court’s website and provided to CJA counsel upon the 

attorney’s designation as a member of the CJA panel of private attorneys 

(CJA Panel).
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 5 

III. Definitions

A. Representation 

“Representation” includes counsel and investigative, expert, and other services.

B. Appointed Attorney 

“Appointed attorney” is an attorney designated to represent a financially eligible 

person under the CJA and this Plan. Such attorneys include private attorneys, 

the [federal public/community] defender and staff attorneys of the [federal 

public/community] defender organization, and attorneys provided by a bar 

association or legal aid agency. 

C. CJA Administrator

“CJA Administrator” is a person designated by the [federal public 

defender/community defender/court] to administer the CJA Panel.

IV. Determination of Eligibility for CJA Representation

A. Subject Matter Eligibility

1. Mandatory 

Representation must be provided for any financially eligible person who:

a. is charged with a felony or with a Class A misdemeanor;

b. is a juvenile alleged to have committed an act of juvenile 

delinquency as defined in 18 U.S.C. § 5031; 

c. is charged with a violation of probation, or faces a change of a 

term or condition of probation (unless the modification sought is 

favorable to the probationer and the government has not objected 

to the proposed change);

d. is under arrest, when such representation is required by law;

e. is entitled to appointment of counsel in parole proceedings;

f. is charged with a violation of supervised release or faces 

modification, reduction, or enlargement of a condition, or 

extension or revocation of a term of supervised release;

g. is subject to a mental condition hearing under 18 U.S.C. chapter 

313; 

h. is in custody as a material witness;
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 6 

i. is seeking to set aside or vacate a death sentence under 

28 U.S.C. § 2254 or § 2255;

j. is entitled to appointment of counsel in verification of consent 

proceedings in connection with a transfer of an offender to or from 

the United States for the execution of a penal sentence under 

18 U.S.C. § 4109; 

k. is entitled to appointment of counsel under the Sixth Amendment 

to the Constitution; or

l. faces loss of liberty in a case and federal law requires the 

appointment of counsel.

2. Discretionary 

Whenever a district judge or magistrate judge determines that the 

interests of justice so require, representation may be provided for any 

financially eligible person who:

a. is charged with a petty offense (Class B or C misdemeanor, or an 

infraction) for which a sentence to confinement is authorized;

b. is seeking relief under 28 U.S.C. §§ 2241, 2254, or 2255 other 

than to set aside or vacate a death sentence;

c. is charged with civil or criminal contempt and faces loss of liberty;

d. has been called as a witness before a grand jury, a court, the 

Congress, or a federal agency or commission which has the 

power to compel testimony, and there is reason to believe, either 

prior to or during testimony, that the witness could be subject to a 

criminal prosecution, a civil or criminal contempt proceeding, or 

face loss of liberty;

e. has been advised by the United States attorney or a law 

enforcement officer that they are the target of a grand jury 

investigation;

f. is proposed by the United States attorney for processing under a 

pretrial diversion program; or

g. is held for international extradition under 18 U.S.C. chapter 209. 

3. Ancillary Matters 

Representation may also be provided for financially eligible persons in 

ancillary matters appropriate to the criminal proceedings under 18 U.S.C.

§ 3006A(c). In determining whether representation in an ancillary matter 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 7 

is appropriate to the criminal proceedings, the court should consider 

whether such representation is reasonably necessary:

a. to protect a constitutional right;

b. to contribute in some significant way to the defense of the 

principal criminal charge;

c. to aid in preparation for the trial or disposition of the principal 

criminal charge;

d. to enforce the terms of a plea agreement in the principal criminal 

charge;

e. to preserve the claim of the CJA client to an interest in real or 

personal property subject to civil forfeiture proceeding under 

18 U.S.C. § 983,19 U.S.C. § 1602, 21 U.S.C. § 881, or similar 

statutes, which property, if recovered by the client, may be 

considered for reimbursement under 18. U.S.C. § 3006A(f); or

f. effectuate the return of real or personal property belonging to the

CJA client, which may be subject to a motion for return of property 

under Fed. R. Crim. P. 41(g), which property, if recovered by the 

client, may be considered for reimbursement under 18 U.S.C.

§ 3006A(f). 

B. Financial Eligibility 

1. Presentation of Accused for Financial Eligibility Determination

a. Duties of Law Enforcement

(i) Upon arrest, and where the defendant has not retained or 

waived counsel, federal law enforcement officials must 

promptly notify, telephonically or electronically, the 

appropriate court personnel, who in turn will notify the 

[federal public defender/ community defender] of the arrest 

of an individual in connection with a federal criminal 

charge.

(ii) Employees of law enforcement agencies should not 

participate in the completion of the financial affidavit or 

seek to obtain information concerning financial eligibility 

from a person requesting the appointment of counsel.

b. Duties of United States Attorney’s Office

(i) Upon the return or unsealing of an indictment or the filing 

of a criminal information, and where the defendant has not 

retained or waived counsel, the United States attorney or 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 8 

their delegate will promptly notify, telephonically or 

electronically, appropriate court personnel, who in turn will 

notify the [federal public defender/community defender]. 

(ii) Upon issuance of a target letter, and where the individual 

has not retained or waived counsel, the United States 

attorney or their delegate must promptly notify, 

telephonically or electronically, the appropriate court 

personnel, who in turn will notify the [federal public

defender/community defender], unless the United States 

Attorney’s Office is aware of an actual or potential conflict 

with the target and the [federal public defender/community 

defender], in which case they must promptly notify the 

court. 

(iii) Employees of the United States Attorney’s Office should 

not participate in the completion of the financial affidavit or 

seek to obtain information concerning financial eligibility 

from a person requesting the appointment of counsel.

c. Duties of [Federal Public Defender/Community Defender] Office

(i) In cases in which the [federal public defender/community 

defender] may be appointed, the office will: 

• immediately investigate and determine whether an 

actual or potential conflict exists; and

• in the event of an actual or potential conflict, promptly 

notify the [court/CJA administrator] to facilitate the 

timely appointment of other counsel. 

(ii) When practicable, the [federal public defender/community 

defender] will discuss with the person who indicates that 

he or she is not financially able to secure representation 

the right to appointed counsel and, if appointment of 

counsel seems likely, assist in the completion of a financial 

affidavit (Form CJA 23) and arrange to have the person 

promptly presented before a magistrate judge or district 

judge of this court for determination of financial eligibility 

and appointment of counsel. 

d. Duties of Pretrial Services Office 

(i) When practicable, the pretrial services officer will not 

conduct the pretrial service interview of a financially eligible 

defendant until counsel has been appointed, unless the 

right to counsel is waived or the defendant otherwise 

consents to a pretrial service interview without counsel. 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 9 

(ii) When counsel has been appointed, the pretrial services 

officer will provide counsel notice and a reasonable 

opportunity to attend any interview of the defendant by the 

pretrial services officer prior to the initial pretrial release or 

detention hearing. 

2. Factual Determination of Financial Eligibility

a. In every case where appointment of counsel is authorized under 

18 U.S.C. § 3006A(a) and related statutes, the court must advise 

the person that he or she has a right to be represented by counsel 

throughout the case and that, if so desired, counsel will be 

appointed to represent the person if he or she is financially unable 

to obtain counsel. 

b. The determination of eligibility for representation under the CJA is 

a judicial function to be performed by the court after making 

appropriate inquiries concerning the person’s financial eligibility. 

Other employees of the court may be designated to obtain or 

verify the facts relevant to the financial eligibility determination.

c. In determining whether a person is “financially unable to obtain 

counsel,” consideration should be given to the cost of providing 

the person and his or her dependents with the necessities of life, 

the cost of securing pretrial release, asset encumbrance, and the 

likely cost of retained counsel. 

d. The initial determination of eligibility must be made without regard 

to the financial ability of the person’s family to retain counsel 

unless their family indicates willingness and ability to do so 

promptly.

e. Any doubts about a person’s eligibility should be resolved in the 

person’s favor; erroneous determinations of eligibility may be 

corrected at a later time.

f. Relevant information bearing on the person’s financial eligibility 

should be reflected on a financial eligibility affidavit (Form CJA 

23). 

Defender Services Committee Comment: The Judicial Conference recognizes the 

importance of the advice of counsel for persons subject to proceedings under the Bail Reform 

Act, 18 U.S.C. § 3142 et seq., prior to their being interviewed by a pretrial services or 

probation officer. Therefore, the Conference encourages districts to take the steps necessary 

to permit the furnishing of appointed counsel at this stage of the proceedings to financially 

eligible defendants, having due regard for the importance of affording the pretrial services 

officer adequate time to interview the defendant and verify information prior to the bail 

hearing. JCUS-MAR 88, p. 18–19.
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 10

g. If at any time after the appointment of counsel a judge finds that a 

person provided representation is financially able to obtain 

counsel or make partial payment for the representation, the judge 

may terminate the appointment of counsel or direct that any funds 

available to the defendant be paid as provided in 18 U.S.C.

§ 3006A(f). 

h. If at any stage of the proceedings a judge finds that a person is no 

longer financially able to pay retained counsel, counsel may be 

appointed consistent with the general provisions of this Plan. 

V. Timely Appointment of Counsel

A. Timing of Appointment 

Counsel must be provided to eligible persons as soon as feasible in the following 

circumstances, whichever occurs earliest: 

1. after they are taken into custody;

2. when they appear before a magistrate or district court judge;

3. when they are formally charged or notified of charges if formal charges 

are sealed; or

4. when a magistrate or district court judge otherwise considers appointment 

of counsel appropriate under the CJA and related statutes. 

B. Court’s Responsibility 

The court, in cooperation with the [federal public defender/community defender]

and the United States attorney, will make such arrangements with federal, state, 

and local investigative and police agencies as will ensure timely appointment of 

counsel. 

C. Pretrial Service Interview 

When practicable, unless the right to counsel is waived or the defendant 

otherwise consents to a pretrial service interview without counsel, financially 

eligible defendants will be provided appointed counsel prior to being interviewed 

by a pretrial services officer.
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 11

Defender Services Committee Comment: Some courts make use of an “on call” or “duty 

day” attorney for this purpose. A CJA panel attorney or attorneys may be appointed to be on

call to advise persons who are in custody, or who otherwise may be entitled to counsel under 

the CJA, during the pretrial service interview process.

D. Retroactive Appointment of Counsel 

Appointment of counsel may be made retroactive to include representation 

provided prior to appointment.

VI. Provision of Representational Services 

A. [Federal Public Defender/Community Defender] and Private Counsel 

This Plan provides for representational services by the [federal public 

defender/community defender] organization and for the appointment and 

compensation of private counsel from a CJA Panel list maintained by the [federal 

public defender/community defender/court] in cases authorized under the CJA 

and related statutes.

B. Administration 

Administration of the CJA Panel, as provided in this Plan, is delegated and 

assigned to the [federal public defender/community defender/court]. 

C. Apportionment of Cases 

Where practical and cost effective, private attorneys from the CJA Panel will be 

appointed in a substantial proportion of the cases in which the accused is 

determined to be financially eligible for representation under the CJA. 

“Substantial” will usually be defined as a minimum of twenty-five percent (25%) of 

the annual CJA appointments.

D. Number of Counsel 

More than one attorney may be appointed in any case determined by the court to 

be extremely difficult.

E. Capital Cases 

Procedures for appointment of counsel in cases where the defendant is charged 

with a crime that may be punishable by death, or is seeking to vacate or set 

aside a death sentence in proceedings under 28 U.S.C. §§ 2254 or 2255, are in 

section XIV of this Plan. 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 12

VII. [Federal Public Defender/Community Defender] Organization

A. Establishment

The [federal public/community/defender organization] [insert name of 

organization] is established in this district under the CJA and is responsible for 

rendering defense services on appointment throughout this district.

B. Standards 

The [federal public defender/community defender] organization must provide high 

quality representation consistent with the best practices of the legal profession 

and commensurate with those services rendered when counsel is privately 

retained. See: Polk County v. Dodson, 454 U.S. 312, 318 (1981) (“‘Once a 

lawyer has undertaken the representation of an accused, the duties and 

obligations are the same whether the lawyer is privately retained, appointed, or 

serving in a legal aid or defender program.’” (quoting ABA Standards for Criminal 

Justice section 4-3.9 (2d ed. 1980))).

C. Workload

The [federal public defender/community defender] organization will continually 

monitor the workloads of its staff to ensure high quality representation for all 

clients.

D. Professional Conduct

The [federal public defender/community defender] organization must conform to 

the highest standards of professional conduct, including but not limited to the 

[American Bar Association’s Model Rules of Professional Conduct/American Bar 

Association’s Model Code of Professional Conduct/Code of Conduct for Federal 

Public Defender Employees/Model Code of Conduct for Federal Community 

Defender Employees/other standards for professional conduct adopted by the 

court].

E. Private Practice of Law

Neither the [federal public defender/community defender] nor any defender 

employee may engage in the private practice of law except as authorized by the 

[federal public defender/community defender] Code of Conduct.

F. Supervision of Defender Organization 

The [federal public defender/community defender] will be responsible for the 

supervision and management of the [federal public defender/community 

defender] organization. Therefore, the [federal public defender/community 

defender] will be appointed in all cases assigned to that organization for 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 13

subsequent assignment to staff attorneys at the discretion of the [federal public

defender/community defender]. 

G. Training 

The [federal public defender/community defender] will assess the training needs 

of [federal public defender/community defender] staff and. in coordination with 

the CJA Panel Attorney District Representative,2 the training needs of the local 

panel attorneys, and provide training opportunities and other educational 

resources. 

VIII. CJA Panel of Private Attorneys

A. Establishment of the CJA Panel Committee and/or CJA Supervisory Attorney

1. A CJA Panel Committee (“CJA Committee”) will be established by the 

[court/federal public defender/community defender] in consultation with 

the [court/federal public defender/community defender]. The CJA 

Committee will consist of one district court judge, one magistrate judge, 

the [federal public defender/community defender], the CJA Panel Attorney 

District Representative (PADR), a criminal defense attorney who 

practices regularly in the district who may be a CJA panel member, and 

an ex officio staff member employed by the [federal public

defender/community defender/clerk] who will act as administrative 

coordinator.

Defender Services Committee Comment: The composition of the CJA Panel Committee 

can be adjusted to reflect the degree of judicial, federal defender, or panel attorney 

involvement that is desired by each district court. The committee must incorporate judicial 

input into panel administration. See: JCUS-SEP 2018, p. 39. The court should make a 

diligent effort to ensure that the composition of the CJA Panel Committee reflects the racial, 

ethnic, gender, and geographic diversity of the district.

[AND/OR 1. Every district should designate a CJA supervisory or administrative 

attorney or a defender office to manage the selection, appointment, 

retention, and removal of panel attorneys from the district’s CJA panel. 

See: JCUS-SEP 2018, p. 39.] The [federal public

defender/community defender] or their representative, and the district’s 

PADR are permanent members of the CJA Committee.

2 The CJA Panel Attorney District Representative (PADR) is a member of the district’s CJA 

Panel who is selected by the local [federal public defender/community defender], with 

acquiescence from the chief judge, to serve as the representative of the district’s CJA Panel for 

the national Defender Services CJA PADR program and local CJA committees. 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 14

Membership on the CJA Committee will otherwise be for a term of three 

years and may be extended for an additional three years. Members’ 

terms will be staggered to ensure continuity on the CJA Committee. 

3. The CJA Committee will meet at least twice a year and at any time the 

court asks the Committee to consider an issue. 

B. Duties of the CJA Committee and/or CJA Supervisory Attorney

1. Membership

Examine the qualifications of applicants for membership on the CJA 

Panel and recommend to the chief judge the approval of those attorneys 

who are deemed qualified and the rejection of the applications of those 

attorneys deemed unqualified. 

2. Recruitment

Engage in recruitment efforts to establish a diverse panel and ensure that 

all qualified attorneys are encouraged to participate in the furnishing of 

representation in CJA cases. 

3. Annual Report

Review the operation and administration of the CJA Panel over the 

preceding year, and recommend any necessary or appropriate changes 

to the chief judge concerning:

a. the size of the CJA Panel;

b. the recruitment of qualified and diverse attorneys as required in 

this plan; and 

c. recurring issues or difficulties encountered by panel members or 

their CJA clients.
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 15

Defender Services Committee Comment: Recruitment efforts to establish a diverse CJA 

Panel could include the following:

• notifying bar associations comprised of racially and ethnically diverse 

populations of the availability of panel membership;

• advertising in legal journals directed towards women, people with disabilities, 

and people of color to encourage panel membership;

• informal person-to-person recruiting of women, people of color, and the 

disabled community by CJA panel committee members and panel 

administrators; and

• contacting current or former members of the panel, or other prominent local 

attorneys who have disabilities or are minorities or women for 

recommendations of potential panel members.

4. Removal

Recommend to the chief judge the removal of any CJA panel member 

who: 

a. fails to satisfactorily fulfill the requirements of CJA panel 

membership during their term of service, including the failure to 

provide high quality representation to CJA clients, or

b. has engaged in other conduct such that his or her continued 

service on the CJA Panel is inappropriate.

See also: Section IX.C.7. 

5. Training

Assist the [federal public defender/community defender] office in 

providing training for the CJA Panel on substantive and procedural legal 

matters affecting representation of CJA clients. 

6. Voucher Review

Review and make recommendations on the processing and payment of 

CJA vouchers in those cases where the court, for reasons other than 

mathematical errors, is considering authorizing payment for less than the 

amount of compensation claimed by CJA counsel. The judge will, at the 

time the voucher is submitted to the CJA Committee, provide a statement 

describing questions or concerns they have with the voucher. Counsel will 

be notified of the potential voucher reduction and given the opportunity to 

provide information or documentation relevant to the voucher and 

concerns raised by the judge. The CJA Committee will issue a written 

recommendation to the judge.

See also: Section XII.B.6. 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 16

7. Mentoring

Appoint experienced CJA panel members to serve on a subcommittee to 

create and administer a mentoring program designed to identify and help 

prepare viable candidates to qualify for consideration for appointment to 

the CJA Panel. Experienced members of the criminal defense bar who 

have practiced extensively in the federal courts will be selected to serve 

as mentors. The subcommittee will review the mentee applications, make 

recommendations concerning their participation in the mentoring 

program, identify appropriate cases for the mentoring program, evaluate 

the success of the mentoring program, and provide guidance to the 

mentors.

Defender Services Committee Comment: Mentoring programs may include compensation 

for mentees (1) under the CJA at the prevailing hourly rate when appointed as second 

counsel in cases determined by the court to be extremely difficult; (2) under the CJA at a 

reduced associate rate with prior authorization by the court; or (3) using the court’s Bar and 

Bench funds at a rate determined by the court for non-representational services, such as 

consulting with appointed counsel or attending training sessions. Questions about mentoring 

programs should be directed to the AO’s Defender Services Office, Legal and Policy Division 

Duty Attorney as 202-502-3030.

IX. Establishment of a CJA Panel

A. Approval of CJA Panel

1. The existing, previously established panel of attorneys who are eligible 

and willing to be appointed to provide representation under the CJA is 

recognized.

2. The chair of the CJA Committee and/or CJA Supervisory Attorney will 

approve attorneys for membership on the CJA Panel after receiving 

recommendations from the CJA Committee.

B. Size of CJA Panel

1. The size of the CJA Panel will be determined by the CJA Committee 

and/or CJA Supervisory Attorney based on the caseload and activity of 

the panel members, subject to review by the court. 

2. The CJA Panel must be large enough to provide a sufficient number of 

experienced attorneys to handle the CJA caseload, yet small enough so 

that CJA panel members will receive an adequate number of 

appointments to maintain their proficiency in federal criminal defense 

work enabling them to provide high quality representation consistent with 

the best practices of the legal profession and commensurate with those 

services rendered when counsel is privately retained.

C. Qualifications and Membership on the CJA Panel
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 17

1. Application

Application forms for membership on the CJA Panel are available from 

the [federal public defender/community defender/court]. 

2. Equal Opportunity

All qualified attorneys are encouraged to participate in the furnishing of 

representation in CJA cases.

3. Eligibility

a. Applicants for the CJA Panel must be members in good standing 

of the federal bar of this district and the _______ Circuit Court of 

Appeals.

b. Applicants must maintain a primary, satellite, or shared office in 

this district. 

c. Applicants must possess strong litigation skills and demonstrate 

proficiency with the federal sentencing guidelines, federal 

sentencing procedures, the Bail Reform Act, the Federal Rules of 

Criminal Procedure, and the Federal Rules of Evidence.

d. Applicants must have significant experience representing persons 

charged with serious criminal offenses and demonstrate a 

commitment to the defense of people who lack the financial 

means to hire an attorney. 

e. Attorneys who do not possess the experience above but believe 

they have equivalent other experience are encouraged to apply 

and provide in writing the details of that experience for the CJA 

Committee and/or CJA Supervisory Attorney’s consideration.

Defender Services Committee Comment: These general eligibility requirements may be 

supplemented or replaced by more detailed and specific standards, depending on the needs 

of the district. Specific eligibility requirements might include at least two (2) years in a public 

defender or prosecutor’s office, either state or federal; OR at least three (3) years in private 

practice during which time the attorney was involved in at least 20 criminal cases in either 

state or federal court, five (5) of which were state or federal felony trials; OR an applicant 

should have tried at least two (2) federal felony cases from initial appearance or arraignment 

through sentencing and have other significant litigation experience as determined by the CJA 

Committee and/or CJA Supervisory Attorney. A specific training eligibility requirement may 

be imposed prior to appointment to the panel. See: Guide, Vol. 7A, § 210.10.15(c)(2).

4. Appointment to CJA Panel

After considering the recommendations of the CJA Committee and/or 

CJA Supervisory Attorney, the chief judge will appoint or reappoint 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 18

attorneys to the CJA Panel. Due to the highly complex and demanding 

nature of capital and habeas corpus cases, special procedures will be 

followed for the eligibility and appointment of counsel in such cases. See: 

Section XIV of this Plan. 

5. Terms of CJA Panel Members

To establish staggered CJA membership terms, the current CJA Panel 

will be divided into three groups, equal in number. Initially, members will 

be assigned to one of the three groups on a random basis. Members of 

the first group will continue to serve on the CJA Panel for a term of one 

year, members of the second group will continue to serve on the CJA 

Panel for a term of two years, and members of the third group will 

continue to serve on the CJA Panel for a term of three years. Thereafter, 

attorneys admitted to membership on the CJA Panel will each serve for a 

term of three years, subject to the reappointment procedures in this plan. 

6. Reappointment of CJA Panel Members

a. The [federal public defender/community defender/court] will notify 

CJA panel members, prior to the expiration of their current term, of 

the need to apply for reappointment to the CJA Panel.

b. A member of the CJA Panel who wishes to be considered for 

reappointment must apply for appointment to an additional term at 

least three months prior to the expiration of his or her current term.

c. The CJA Committee and/or CJA Supervisory Attorney will solicit 

input concerning the quality of representation provided by lawyers 

seeking reappointment.

d. The CJA Committee and/or CJA Supervisory Attorney also will 

consider how many cases the CJA panel member has accepted 

and declined during the review period, whether the member has 

participated in training opportunities, whether the member has 

been the subject of any complaints, and whether the member 

continues to meet the prerequisites and obligations of CJA panel 

members as provided in this Plan.

7. Removal from the CJA Panel 

a. Mandatory removal

Any member of the CJA Panel who is suspended or disbarred 

from the practice of law by the state court before whom such 

member is admitted, or who is suspended or disbarred from this 

court or any federal court, will be removed from the CJA Panel 

immediately.

b. Automatic disciplinary review
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 19

The CJA Committee and/or CJA Supervisory Attorney will conduct 

an automatic disciplinary review of any CJA panel member 

against whom any licensing authority, grievance committee, or 

administrative body has taken action, or when a finding of 

probable cause, contempt, sanction, or reprimand has been 

issued against the panel member by any state or federal court.

c. Complaints

(i) Initiation 

A complaint against a panel member may be initiated by 

the CJA Committee and/or CJA Supervisory Attorney, a 

judge, another panel member, a defendant, or a member 

of the [federal public defender/community defender] office. 

A complaint need not follow any particular form, but it must 

be in writing and state the alleged deficiency with 

specificity. Any complaint should be directed to the CJA 

Committee and/or CJA Supervisory Attorney, which will 

determine whether further investigation is necessary.

(ii) Notice

When conducting an investigation, the CJA Committee 

and/or CJA Supervisory Attorney will notify the panel 

member of the specific allegations. 

(iii) Response

A panel member subject to investigation may respond in 

writing and appear, if so directed, before the CJA 

Committee and/or CJA Supervisory Attorney or its 

subcommittee. 

(iv) Protective action

Prior to disposition of any complaint, the CJA Committee 

and/or CJA Supervisory Attorney may recommend 

temporary suspension or removal of the panel member 

from any pending case, or from the panel, and may take 

any other protective action that is in the best interest of the 

client or the administration of this Plan.

(v) Review and recommendation

After investigation, the CJA Committee and/or CJA 

Supervisory Attorney may recommend dismissing the 

complaint, or recommend appropriate remedial action, 

including removing the attorney from the panel, limiting the 

attorney’s participation to particular types or categories of 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 20

cases, directing the attorney to complete specific CLE 

requirements before receiving further panel appointments, 

limiting the attorney’s participation to handling cases that 

are directly supervised or overseen by another panel 

member or other experienced practitioner, or any other 

appropriate remedial action.

(vi) Final disposition by the court

The CJA Committee and/or CJA Supervisory Attorney will 

forward its recommendation to the chief judge for 

consideration and final disposition.

(vii) Confidentiality

Unless otherwise directed by the court, any information 

acquired concerning any possible disciplinary action, 

including any complaint and any related proceeding, will be 

confidential.

(viii) None of these procedures create a property interest in 

being on or remaining on the CJA Panel.

d. Notification

The [federal public defender/community defender] will be 

immediately notified when any member of the CJA Panel is 

removed or suspended.

X. CJA Panel Attorney Appointment in Non-Capital Cases 

A. Appointment List 

The [federal public defender/community defender/court] will maintain a current 

list of all attorneys included on the CJA Panel, with current office addresses, 

email addresses, and telephone numbers, as well as a statement of qualifications 

and experience.

B. Appointment Procedures

1. The [federal public defender/community defender/court] is responsible for 

overseeing the appointment of cases to panel attorneys. The [federal 

public defender/community defender/court] will maintain a record of panel 

attorney appointments and, when appropriate, data reflecting the 

apportionment of appointments between attorneys from the [federal public

defender/community defender] office and panel attorneys.

2. Appointment of cases to CJA panel members will ordinarily be made on a 

rotational basis. In a complex or otherwise difficult case, the [federal 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 21

public defender/community defender/court] may appoint counsel outside 

of the normal rotation to ensure the defendant has sufficiently 

experienced counsel. 

3. Under special circumstances the court may appoint a member of the bar 

of the court who is not a member of the CJA Panel. Such special 

circumstances may include cases in which the court determines that the

appointment of a particular attorney is in the interests of justice, judicial 

economy, or continuity of representation, or for any other compelling 

reason. It is not anticipated that special circumstances will arise often, 

and the procedures provided in the Plan are presumed to be sufficient in 

the vast majority of cases in which counsel are to be appointed. 

Appointments made under this section will be reported to the CJA 

Committee. 

4. Unless otherwise impracticable, CJA panel attorney(s) must be available

to represent defendant(s) at the same stage of the proceedings as is the 

[federal public defender/community defender]. 

XI. Duties of CJA Panel Members

A. Standards and Professional Conduct

1. CJA panel members must provide high quality representation consistent 

with the best practices of the legal profession and commensurate with 

those services rendered when counsel is privately retained. See: 

Polk County v. Dodson, 454 U.S. 312, 318 (1981) (“‘Once a lawyer has 

undertaken the representation of an accused, the duties and obligations 

are the same whether the lawyer is privately retained, appointed, or 

serving in a legal aid or defender program.’” (quoting ABA Standards for 

Criminal Justice section 4-3.9 (2d ed. 1980))).

2. Attorneys appointed under the CJA must conform to the highest 

standards of professional conduct, including but not limited to the 

[American Bar Association’s Model Rules of Professional Conduct/ 

American Bar Association’s Model Code of Professional Conduct/ other 

standards for professional conduct adopted by the court].

3. CJA panel members must notify within 30 days the chair of the CJA 

Committee and/or CJA Supervisory Attorney when any licensing 

authority, grievance committee, or administrative body has taken action 

against them, or when a finding of contempt, sanction, or reprimand has 

been issued against the panel member by any state of federal court.

B. Training and Continuing Legal Education

1. Attorneys on the CJA Panel are expected to remain current with 

developments in federal criminal defense law, practice, and procedure, 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 22

including the Recommendation for Electronically Stored Information (ESI) 

Discovery Production in Federal Criminal Cases.

2. Attorneys on the CJA Panel are expected to attend trainings sponsored 

by the [federal public defender/community defender]. 

3. Attorneys on the CJA Panel will be guided in their practice by the Federal 

Adaptation of the National Legal Aid and Defender Association 

Performance Guidelines for Criminal Defense Representations.

4. CJA panel members must attend ____ continuing legal education hours

relevant to federal criminal practice annually.

5 Failure to comply with these training and legal education requirements 

may be grounds for removal from the CJA Panel.

C. Facilities and Technology Requirements

1. CJA panel attorneys must have facilities, resources, and technological 

capability to effectively and efficiently manage assigned cases.

2. CJA panel attorneys must comply with the requirements of electronic 

filing and eVoucher.

3. CJA panel attorneys must know and abide by procedures related to 

requests for investigative, expert, and other services.

D. Continuing Representation

Once counsel is appointed under the CJA, counsel will continue the 

representation until the matter, including appeals (unless provided otherwise by 

the ____Circuit’s CJA plan) or review by certiorari, is closed; or until substitute 

counsel has filed a notice of appearance; or until an order is entered allowing or 

requiring the person represented to proceed pro se; or until the appointment is 

terminated by court order.

Defender Services Committee Comment: While the Defender Services Committee 

recognizes there may be benefits to maintaining continuity of counsel, it also recognizes that 

trial counsel may not have the requisite skills to proceed as appellate counsel. There should 

be significant deference to the position of trial counsel regarding whether, in each matter, 

continuity is in the best interests of the client and consistent with counsel’s professional skills 

and obligations. (Good Practices for Panel Attorney Programs in the U.S. Court of Appeals, 

Vera Institute of Justice, January 2006.)

E. Miscellaneous

1. Case budgeting
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 23

In non-capital representations of unusual complexity that are likely to 

become extraordinary in terms of cost, the court may require 

development of a case budget consistent with Guide, Vol. 7A, 

§§ 230.26.10–20. 

2. No receipt of other payment

Appointed counsel may not require, request, or accept any payment or 

promise of payment or any other valuable consideration for 

representation under the CJA, unless such payment is approved by order 

of the court.

3. Redetermination of need

If at any time after appointment, counsel has reason to believe that a 

party is financially able to obtain counsel, or make partial payment for 

counsel, and the source of counsel’s information is not protected as a 

privileged communication, counsel will advise the court.

XII. Compensation of CJA Panel Attorneys

A. Policy of the Court Regarding Compensation 

1. Providing fair compensation to appointed counsel is a critical component 

of the administration of justice. CJA panel attorneys must be 

compensated for time expended in court and time reasonably expended 

out of court, and reimbursed for expenses reasonably incurred.

2. Voucher cuts should be limited to:

a. Mathematical errors;

b. Instances in which work billed was not compensable;

c. Instances in which work was not undertaken or completed; and

d. Instances in which the hours billed are clearly in excess of what

was reasonably required to complete the task. 

See: JCUS-SEP 2018, p. 42. 

B. Payment Procedures

1. Claims for compensation must be submitted on the appropriate CJA form 

through the court’s eVoucher system. 

2. Claims for compensation should be submitted no later than 45 days after 

final disposition of the case, unless good cause is shown.
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 24

3. The [federal public defender/community defender/court] or their designee 

will review the claim for mathematical and technical accuracy and for 

conformity with Guide, Vol. 7A and, if correct, will forward the claim for 

consideration and action by the presiding judge.

4. Absent extraordinary circumstances, the court should act on CJA 

compensation claims within 30 days of submission, and vouchers should 

not be delayed or reduced for the purpose of diminishing Defender 

Services program costs in response to adverse financial circumstances.

5. Except in cases involving mathematical corrections, no claim for 

compensation submitted for services provided under the CJA will be 

reduced without affording counsel notice and the opportunity to be heard.

6. The court, when contemplating reduction of a CJA voucher for other than 

mathematical reasons, may refer the voucher to the CJA Committee 

and/or CJA Supervisory Attorney for review and recommendation before 

final action on the claim is taken. See: Section VIII of this Plan. 

7. Notwithstanding the procedure described above, the court may, in the first 

instance, contact appointed counsel to inquire regarding questions or 

concerns with a claim for compensation. In the event that the matter is 

resolved to the satisfaction of the court and CJA panel member, the claim 

for compensation need not be referred to the CJA Committee and/or CJA 

Supervisory Attorney for review and recommendation.

C. Independent Review Process

1. The [district/division] must create an independent review process for 

panel attorneys who wish to challenge any reductions to vouchers that 

have been made by the presiding judge. 

2. Any challenged reduction should be subject to review consistent with this 

independent review process. 

3. All processes implemented by a district or division must be consistent 

with the statutory requirements for fixing compensation and 

reimbursement to be paid under 18 U.S.C. § 3006A(d).

XIII. Investigative, Expert, and Other Services 

A. Financial Eligibility

Counsel for a person who is financially unable to obtain investigative, expert, or 

other services necessary for an adequate defense may request such services in 

an ex parte application to the court as provided in 18 U.S.C. § 3006A(e)(1), 

regardless of whether counsel is appointed under the CJA. Upon finding that the 

services are necessary, and that the person is financially unable to obtain them, 

the court must authorize counsel to obtain the services. 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 25

Defender Services Committee Comment: A court may choose to have applications for 

investigative, expert, and other services considered by a non-presiding judge to help ensure 

appointed counsel’s ability to obtain the necessary resources in a manner that does not 

unreasonably compromise or interfere with the exercise of sound independent professional 

judgment.

B. Applications 

Requests for authorization of funds for investigative, expert, and other services 

must be submitted in an ex parte application to the court (using the court’s 

eVoucher system) and must not be disclosed except with the consent of the 

person represented or as required by law or Judicial Conference policy.

C. Compliance

Counsel must comply with Judicial Conference policies in Guide, Vol. 7A, Ch. 3. 

XIV. Appointment of Counsel and Case Management in CJA Capital Cases

A. Applicable Legal Authority

The appointment and compensation of counsel in capital cases and the 

authorization and payment of persons providing investigative, expert, and other 

services are governed by 18 U.S.C. §§ 3005, 3006A, and 3599, and Guide, Vol. 

7A, Ch. 6 [and insert local rule if any].

B. General Applicability and Appointment of Counsel Requirements 

1. Unless otherwise specified, the provisions of this section apply to all 

capital proceedings in the federal courts, whether those matters 

originated in a district court (federal capital trials) or in a state court 

(habeas proceedings under 28 U.S.C. § 2254). Such matters include 

those in which the death penalty may be or is being sought by the 

prosecution, motions for a new trial, direct appeal, applications for a writ 

of certiorari to the Supreme Court of the United States, all post-conviction 

proceedings under 28 U.S.C. §§ 2254 or 2255 seeking to vacate or set 

aside a death sentence, applications for stays of execution, competency 

proceedings, proceedings for executive or other clemency, and other 

appropriate motions and proceedings.

2. Any person charged with a crime that may be punishable by death who is 

or becomes financially unable to obtain representation is entitled to the 

assistance of appointed counsel throughout every stage of available 

judicial proceedings, including pretrial proceedings, trial, sentencing, 

motions for new trial, appeals, applications for writ of certiorari to the 

Supreme Court of the United States, and all available post-conviction 

processes, together with applications for stays of execution and other 

appropriate motions and procedures, competency proceedings, and 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 26

proceedings for executive or other clemency as may be available to the 

defendant. See: 18 U.S.C. § 3599(e). 

3. Qualified counsel must be appointed in capital cases at the earliest 

possible opportunity.

4. Given the complex and demanding nature of capital cases, where 

appropriate, the court will utilize the expert services available through the 

Administrative Office of the U.S. Courts (AO), Defender Services Death 

Penalty Resource Counsel projects (“Resource Counsel projects”), which 

include: (1) Federal Death Penalty Resource Counsel and Capital 

Resource Counsel Projects (for federal capital trials), (2) Federal Capital 

Appellate Resource Counsel Project, (3) Federal Capital Habeas § 2255 

Project, and (4) National and Regional Habeas Assistance and Training 

Counsel Projects (§ 2254). These counsel are death penalty experts who 

may be relied upon by the court for assistance with selection and 

appointment of counsel, case budgeting, and legal, practical, and other 

matters arising in federal capital cases.

5. The [federal public defender/community defender] should promptly notify 

and consult with the appropriate Resource Counsel projects about 

potential and actual federal capital trial, appellate, and habeas corpus 

cases, and consider their recommendations for appointment of counsel. 

6. In appointing counsel in capital cases, judges should consider and give 

due weight to the recommendations made by federal defenders and 

resource counsel and articulate reasons for not doing so.

7. The presiding judge may appoint an attorney furnished by a state or local 

public defender organization or legal aid agency or other private, nonprofit organization to represent a person charged with a capital crime or 

seeking federal death penalty habeas corpus relief provided that the 

attorney is fully qualified. Such appointments may be in place of, or in 

addition to, the appointment of a federal defender organization or a CJA 

panel attorney or an attorney appointed pro hac vice. See: 18 U.S.C.

§ 3006A(a)(3). 

8. All attorneys appointed in federal capital cases must be well qualified, by 

virtue of their training, commitment, and distinguished prior capital 

defense experience at the relevant stage of the proceeding, to serve as 

counsel in this highly specialized and demanding litigation. 

9. All attorneys appointed in federal capital cases must have sufficient time 

and resources to devote to the representation, taking into account their 

current caseloads and the extraordinary demands of federal capital 

cases. 

10. All attorneys appointed in federal capital cases should comply with the 

American Bar Association’s 2003 Guidelines for the Appointment and 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 27

Performance of Defense Counsel in Death Penalty Cases (Guidelines 1.1 

and 10.2 et seq.), and the 2008 Supplementary Guidelines for the 

Mitigation Function of Defense Teams in Death Penalty Cases. 

11. All attorneys appointed in federal capital cases should consult regularly 

with the appropriate Resource Counsel projects.

12. There should be no formal or informal non-statutory budgetary caps on 

capital cases, whether in a capital trial, direct appeal, or habeas matter.

13. All capital cases should be budgeted with the assistance of casebudgeting attorneys and/or resource counsel where appropriate. 

14. Questions about the appointment and compensation of counsel and the 

authorization and payment of investigative, expert, and other service 

providers in federal capital cases should be directed to the AO’s Defender 

Services Office, Legal and Policy Division Duty Attorney at 202-502-3030 

or by email at ods_lpb@ao.uscourts.gov. 

C. Appointment of Trial Counsel in Federal Death-Eligible Cases3

1. General Requirements

a. Appointment of qualified capital trial counsel must occur no later 

than when a defendant is charged with a federal criminal offense 

where the penalty of death is possible. See: 18 U.S.C. § 3005. 

b. To protect the rights of an individual who, although uncharged, is 

the subject of an investigation in a federal death-eligible case, the 

court may appoint capitally qualified counsel upon request, 

consistent with Sections C.1, 2, and 3 of these provisions.

c. At the outset of every capital case, the court must appoint two 

attorneys, at least one of whom meets the qualifications for 

“learned counsel” as described below. If necessary for adequate 

representation, more than two attorneys may be appointed to 

represent a defendant in a capital case. See: 18 U.S.C. § 3005. 

d. When appointing counsel, the judge must consider the 

recommendation of the [federal public defender/community 

defender], who will consult with Federal Death Penalty Resource 

3 The Judicial Conference adopted detailed recommendations on the appointment and 

compensation of counsel in federal death penalty cases in 1998 (JCUS-SEP 98, p. 22). In 

September 2010, the Defender Services Committee endorsed revised commentary to the 

Judicial Conference’s 1998 recommendations. CJA Guidelines, Vol. 7A, Appx. 6A 

(Recommendations and Commentary Concerning the Cost and Quality of Defense 

Representation (Updated Spencer Report, September 2010)) (“Appx. 6A”) is available on the 

judiciary’s website. 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 28

Counsel to recommend qualified counsel. [In those districts 

without a federal defender organization, the judge must, as 

required by 18 U.S.C. § 3005, consider the recommendation of 

the AO’s Defender Services Office.] See: 18 U.S.C. § 3005. 

e. In appointing counsel, judges should give due weight to the 

recommendations made by federal defenders and resource 

counsel and articulate reasons for not doing so.

f. To effectuate the intent of 18 U.S.C. § 3005 that the [federal public 

defender/community defender]’s recommendation be provided to 

the court, the judge should ensure the [federal public/ community)

defender has been notified of the need to appoint capitally

qualified counsel.

g. Reliance on a list for appointment of capital counsel is not 

recommended because selection of trial counsel should account 

for the particular needs of the case and the defendant, and be 

based on individualized recommendations from the [federal public 

defender/community defender] in conjunction with the Federal 

Death Penalty Resource Counsel and Capital Resource Counsel 

projects.

h. Out-of-district counsel, including federal defender organization 

staff, who possess the requisite expertise may be considered for 

appointment in capital trials to achieve high quality representation 

together with cost and other efficiencies.

i. In evaluating the qualifications of proposed trial counsel, 

consideration should be given to their commitment to the defense 

of capital cases, their current caseload including other capital 

cases, and their willingness to effectively represent the interests of 

the client. 

2. Qualifications of Learned Counsel 

a. Learned counsel must either be a member of this district’s bar or 

be eligible for admission pro hac vice based on his or her 

qualifications. Appointment of counsel from outside the 

jurisdiction is common in federal capital cases to achieve cost and 

other efficiencies together with high quality representation. 

b. Learned counsel must meet the minimum experience standards in

18 U.S.C. §§ 3005 and 3599. 

c. Learned counsel should have distinguished prior experience in the 

trial, appeal, or post-conviction review of federal death penalty 

cases, or distinguished prior experience in state death penalty 

trials, appeals, or post-conviction review that, in combination with 

co-counsel, will assure high quality representation.
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 29

d. “Distinguished prior experience” contemplates excellence, not 

simply prior experience. Counsel with distinguished prior 

experience should be appointed even if meeting this standard 

requires appointing counsel from outside the district where the 

matter arises. 

e. The suitability of learned counsel should be assessed with respect 

to the particular demands of the case, the stage of the litigation, 

and the defendant. 

f. Learned counsel must be willing and able to adjust other caseload 

demands to accommodate the extraordinary time required by the 

capital representation. 

g. Learned counsel should satisfy the qualification standards 

endorsed by bar associations and other legal organizations 

regarding the quality of representation in capital cases.

3. Qualifications of Second and Additional Counsel 

a. Second and additional counsel may, but are not required to, 

satisfy the qualifications for learned counsel, as provided above. 

b. Second and additional counsel must be well qualified, by virtue of 

their distinguished prior criminal defense experience, training and 

commitment, to serve as counsel in this highly specialized and 

demanding litigation. 

c. Second and additional counsel must be willing and able to adjust 

other caseload demands to accommodate the extraordinary time 

required by the capital representation. 

d. The suitability of second and additional counsel should be 

assessed with respect to the demands of the individual case, the 

stage of the litigation, and the defendant. 

D. Appointment and Qualifications of Direct Appeal Counsel in Federal Death 

Penalty Cases 

1. When appointing appellate counsel, the judge must consider the 

recommendation of the [federal public defender/community defender], 

who will consult with Federal Capital Appellate Resource Counsel to 

recommend qualified counsel. 

2. In appointing appellate counsel, judges should give due weight to the 

recommendations made by federal defenders and resource counsel and 

articulate reasons for not doing so.
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 30

3. Counsel appointed to represent a death-sentenced federal appellant 

should include at least one attorney who did not represent the appellant 

at trial. 

4. Each trial counsel who withdraws should be replaced with similarly 

qualified counsel to represent the defendant on appeal. 

5. Out-of-district counsel, including federal defender organization staff, who 

possess the requisite expertise may be considered for appointment in 

capital appeals to achieve high quality representation together with cost 

and other efficiencies.

6. Appellate counsel, between them, should have distinguished prior

experience in federal criminal appeals and capital appeals. 

7. At least one of the attorneys appointed as appellate counsel must have 

the requisite background, knowledge, and experience required by 

18 U.S.C.§ 3599(c) or (d). 

8. In evaluating the qualifications of proposed appellate counsel, 

consideration should be given to the qualification standards endorsed by 

bar associations and other legal organizations regarding the quality of 

legal representation in capital cases.

9. In evaluating the qualifications of proposed appellate counsel, 

consideration should be given to their commitment to the defense of 

capital cases, their current caseload including other capital cases, and 

their willingness to effectively represent the interests of the client. 

E. Appointment and Qualifications of Post-Conviction Counsel in Federal Death 

Penalty Cases (28 U.S.C. § 2255) 

1. A financially eligible person seeking to vacate or set aside a death 

sentence in proceedings under 28 U.S.C. § 2255 is entitled to 

appointment of fully qualified counsel. See: 18 U.S.C. § 3599(a)(2). 

2. Due to the complex, demanding, and protracted nature of death penalty 

proceedings, the court should consider appointing at least two attorneys.

3. In light of the accelerated timeline applicable to capital § 2255 

proceedings, prompt appointment of counsel is essential. Wherever 

possible, appointment should take place prior to the denial of certiorari on 

direct appeal by the United States Supreme Court. 

4. When appointing counsel in a capital § 2255 matter, the court should 

consider the recommendation of the [federal public/ community] defender, 

who will consult with the Federal Capital Habeas § 2255 Project. 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 31

5. In appointing post-conviction counsel, judges should give due weight to 

the recommendations made by federal defenders and resource counsel 

and articulate reasons for not doing so.

6. Out-of-district counsel, including federal defender organization staff, who

possess the requisite expertise may be considered for appointment in 

capital § 2255 cases to achieve high quality representation together with 

cost and other efficiencies. 

7. Local or circuit restrictions prohibiting capital habeas units (CHUs) from 

engaging in cross-district or cross-circuit representation should not be 

imposed without good cause. Every district should have access to a 

CHU.

6. Counsel in § 2255 cases should have distinguished prior experience in 

the area of federal post-conviction proceedings and in capital postconviction proceedings.

7. When possible, post-conviction counsel should have distinguished prior 

experience in capital § 2255 representations. 

8. In evaluating the qualifications of proposed post-conviction counsel, 

consideration should be given to the qualification standards endorsed by 

bar associations and other legal organizations regarding the quality of 

legal representation in capital cases. 

9. In evaluating the qualifications of proposed post-conviction § 2255 

counsel, consideration should be given to their commitment to the 

defense of capital cases, their current caseload including other capital 

cases, and their willingness to effectively represent the interests of the 

client.

F. Appointment and Qualifications of Counsel in Federal Capital Habeas Corpus 

Proceedings (28 U.S.C. § 2254) 

1. A financially eligible person seeking to vacate or set aside a death 

sentence in proceedings under 28 U.S.C. § 2254 is entitled to the 

appointment of qualified counsel. See: 18 U.S.C. § 3599(a)(2). 

2. Due to the complex, demanding, and protracted nature of death penalty 

proceedings, the court should consider appointing at least two attorneys.

3. When appointing counsel in a capital § 2254 matter, the appointing 

authority should consider the recommendation of the [federal public 

defender/community defender] who will consult with the National or 

Regional Habeas Assistance and Training Counsel projects.

[To be used in districts where the FDO has a Capital Habeas Unit (CHU) 

that specializes in the representation of death-sentenced individuals in 

post-conviction proceedings, ADD: The defender’s recommendation may 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 32

be to appoint this district’s CHU, a CHU from another district, or other 

counsel who qualify for appointment under 18 U.S.C. § 3599 and this 

Plan, or any combination of the foregoing appropriate under the 

circumstances.]

4. In appointing counsel in a capital § 2254 matter, judges should give due 

weight to the recommendations made by federal defenders and resource 

counsel and articulate reasons for not doing so. 

5. Local or circuit restrictions prohibiting Capital Habeas Units (CHUs) from 

engaging in cross-district or cross-circuit representation should not be 

imposed without good cause. Every district should have access to a 

CHU.

6. Out-of-district counsel, including federal defender organization staff, who

possess the requisite expertise may be considered for appointment in 

capital § 2254 cases to achieve cost and other efficiencies together with 

high quality representation. 

7. For federal counsel to avail themselves of the full statute of limitations 

period to prepare a petition, the court should appoint counsel and provide 

appropriate litigation resources at the earliest possible time permissible 

by law. 

8. Unless precluded by a conflict of interest, or replaced by similarly 

qualified counsel upon motion by the attorney or motion by the defendant, 

capital § 2254 counsel must represent the defendant throughout every 

subsequent stage of available judicial proceedings and all available postconviction processes, together with applications for stays of execution 

and other appropriate motions and procedures, and must also represent 

the defendant in such competency proceedings and proceedings for 

executive or other clemency as may be available to the defendant. See: 

18 U.S.C. § 3599(e). 

9. Counsel in capital § 2254 cases should have distinguished prior 

experience in the area of federal post-conviction proceedings and in 

capital post-conviction proceedings.

10. When possible, capital § 2254 counsel should have distinguished prior 

experience in capital § 2254 representations.

11. In evaluating the qualifications of proposed capital § 2254 counsel, 

consideration should be given to the qualification standards endorsed by 

bar associations and other legal organizations regarding the quality of 

legal representation in capital cases. 

12. In evaluating the qualifications of proposed capital § 2254 counsel, 

consideration should be given to proposed counsel’s commitment to the 

defense of capital cases, their current caseload including other capital 
Guide to Judiciary Policy, Vol. 7A, Appx. 2A Page 33

cases, and their willingness to represent effectively the interests of the 

client.

XV. Effective Date

This Plan will become effective when approved by the Judicial Council of the ____ Circuit.

ENTER FOR THE COURT ON (month) (day), (year).

_________________________________

CHIEF JUDGE, DISTRICT COURT 

APPROVED BY THE JUDICIAL COUNCIL OF THE ___CIRCUIT ON (month) (day), (year).

__________________________________

CHIEF JUDGE, COURT OF APPEALS
Last substantive revision (Transmittal GR-17) January 20, 2010 

Last revised (minor technical changes) February 6, 2019

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 2: Appointment and Payment of Counsel

Appx. 2C: Procedures for Interim Payments to Counsel in Non-Death 

Penalty Cases

1. The district court issues a Memorandum Order to counsel, outlining payment 

procedures and specifically addressing payment for actual expenses, travel, and 

compensation of counsel. See: Sample Memorandum Order, below.

2. If excess compensation is anticipated, written approval of the procedure must be 

obtained from the chief judge of the circuit or his or her delegate prior to issuance of the 

order.

3. Once it is issued, a copy of the Memorandum Order should be furnished to the 

CJA claims coordinator.

4. Form CJA 20 should be submitted with full documentation of all expenses 

claimed on the voucher.

5. Assign a number to each voucher processed for payment.

6. Item 19 of Form CJA 20 must be completed to indicate the time period covered 

by the voucher and whether it is for the final payment or for an interim payment.

7. If the court has selected OPTION A of the Sample Memorandum Order, the final 

voucher should:

(a) set forth in detail the time and expenses claimed for the entire case;

(b) reflect all compensation and reimbursement previously received;

(c) show the net amount remaining to be paid; and

(d) be approved by the chief judge of the circuit or his or her delegate if the 

total claim for the case is in excess of the statutory limits.
Guide to Judiciary Policy, Vol. 7A, Appx. 2C

8. If the court has selected OPTION B of the Sample Memorandum Order and 

established intervals for the submission of cumulative vouchers for the balance of 

amounts withheld from the interim vouchers, each cumulative voucher should:

(a) be labeled “Cumulative Voucher”;

(b) set forth in detail the time and expenses claimed for the pre-established 

time interval;

(c) reflect all compensation and reimbursement previously received during the 

pre-established time interval;

(d) show the net amount remaining to be paid; and

(e) be approved by the chief judge of the circuit or his or her delegate.
Guide to Judiciary Policy, Vol. 7A, Appx. 2C

Sample Memorandum Order

(To Be Used in Non-Death Penalty Cases)

Memorandum to All Counsel Appointed Under the Criminal Justice Act (CJA) in the 

Case of ______________________________________________________________

Number ______________________________________________________________

RE: Interim Payments for Representation of Counsel

Because of the expected length of the trial in this case, and the anticipated hardship on 

counsel in undertaking representation full-time for such a period without compensation, 

under Guide to Judiciary Policy (Guide), Volume 7, Part A, § 230.73.10, the following 

procedures for interim payments will apply during the course of your representation in 

this case:

1. Submission of Vouchers

Counsel should submit to the court clerk, twice each month, an interim Form CJA 20, 

Appointment of and Authority to Pay Court Appointed Counsel. Compensation earned 

and reimbursable expenses incurred from the first to the fifteenth days of each month 

should be claimed on an interim voucher submitted no later than the twentieth day of 

each month, or the first business day thereafter. Compensation earned and 

reimbursable expenses incurred from the sixteenth to the last day of each month should 

be claimed on an interim voucher submitted no later than the fifth day of the following 

month, or the first business day thereafter. The first interim voucher submitted should 

reflect all compensation claimed and reimbursable expenses incurred from the date of 

appointment to _________ and should be submitted no later than _____________; 

thereafter, the vouchers should be submitted twice each month according to the 

schedule outlined above. Counsel should complete Item 19 on the form for each interim 

voucher. Each interim voucher should be assigned a number when processed for 

payment. Interim vouchers should be submitted in accordance with this schedule even 

though little or no compensation or expenses are claimed for the respective period. All 

interim vouchers should be supported by detailed and itemized time and expense 

statements. Guide, Volume 7A, § 230 outlines the procedures and rules for claims by 

CJA attorneys and should be followed on each voucher.

I will review the interim vouchers when submitted, particularly with regard to the amount 

of time claimed, and will authorize compensation to be paid for 80 percent of the 

approved number of hours. This compensation will be determined by multiplying 80 

percent of the approved number of hours by the applicable rate. I will also authorize for 

payment all reimbursable expenses reasonably incurred.
Guide to Judiciary Policy, Vol. 7A, Appx. 2C

[Select Option A or B]

OPTION A

At the conclusion of the representation, each counsel should submit a final voucher 

seeking payment of the 20 percent balance withheld from the earlier interim vouchers, 

as well as payment for representation provided during the final interim period. The final 

voucher should set forth in detail the time and expenses claimed for the entire case, 

including all appropriate documentation. Counsel should reflect all compensation and 

reimbursement previously received on the appropriate line of the final voucher, as well 

as the net amount remaining to be paid at the conclusion of the case. After reviewing 

the final voucher, I will submit it to the chief judge of the circuit or his or her delegate for 

review and approval.

OPTION B

Every _____ months, counting from the submission date for the first interim voucher, 

until the conclusion of the representation, counsel should submit a cumulative interim 

voucher seeking payment of the outstanding 20 percent balance withheld from all earlier 

interim compensation paid out during the preceding _____-month interval, as well as 

payment for representation provided during the last interim period of the interval. The 

cumulative interim voucher should be labeled as such and should set forth in detail the 

time and expenses claimed for the entire interval, including all appropriate 

documentation. Counsel should reflect all compensation and reimbursement previously 

received on the appropriate line of the cumulative interim voucher, as well as the net 

amount remaining to be paid at the end of the interval. After reviewing the cumulative 

interim voucher, I will submit it to the chief judge of the circuit or his or her delegate, for 

review and approval. At the conclusion of the representation, each counsel should 

submit a final cumulative voucher seeking payment of the 20 percent balance withheld 

from the interim vouchers processed during the final interval, as well as payment for 

representation provided during the last interim period of the interval.

2. Reimbursable Expenses

Counsel may be reimbursed for out-of-pocket expenses reasonably incurred incident to 

the representation. While the statute and applicable rules and regulations do not place 

a monetary limit on the amount of expenses that can be incurred, counsel should incur 

no single expense item in excess of $ _______ without prior approval of the court. 

Such approval may be sought by filing an ex parte application with the clerk stating the 

nature of the expense, the estimated dollar cost and the reason the expense is 

necessary to the representation. An application seeking such approval may be filed in 

camera, if necessary. Upon finding that the expense is reasonable, I will authorize 

counsel to incur it. Recurring expenses, such as telephone toll calls, photocopying and 

photographs, which aggregate more than $ ______ on one or more interim vouchers 

are not considered single expenses requiring court approval.
Guide to Judiciary Policy, Vol. 7A, Appx. 2C

With respect to travel outside of the city/county of ________________ for the purpose

of consulting with the client or the client’s former counsel, interviewing witnesses, etc., 

the $ _____ rule should be applied in the following manner. Travel expenses, such as 

air fare, mileage, parking fees, meals and lodging, can be claimed as itemized 

expenses. Therefore, if the reimbursement for expenses relating to a single trip will 

aggregate an amount in excess of $ _______, the travel should receive prior approval of 

the court.

The following additional guidelines may be helpful to counsel:

(a) Case related travel by privately owned automobile should be claimed at 

the rate of ___ cents per mile, plus parking fees, ferry fares, and bridge, 

road and tunnel tolls. Transportation other than by privately owned 

automobile should be claimed on an actual expense basis. Air travel in 

“first class” is prohibited. Counsel and persons providing services under 

the CJA are encouraged to contact the clerk for air travel authorization at 

government rates.

(b) Actual expenses incurred for meals and lodging while traveling outside of 

the city/county of ___________ in the course of this representation must 

conform to the prevailing limitations placed upon travel and subsistence 

expenses for federal judiciary employees in accordance with existing 

government travel regulations. For specific details concerning high cost 

areas, counsel should consult the clerk.

(c) Telephone toll calls, photocopying, and photographs can all be 

reimbursable expenses if reasonably incurred. However, general office 

overhead, such as rent, secretarial help, and telephone service, is not a 

reimbursable expense, nor are items of a personal nature. In addition, 

expenses for service of subpoenas on fact witnesses are not 

reimbursable, but rather are governed by Fed. R.Crim. P. 17 and 

28 U.S.C.§ 1825. 

3. Further Guidance

Answers to questions concerning appointment under the Criminal Justice Act can 

generally be found in (1) 18 U.S.C.§ 3006A; (2) the Plan of the United States District 

Court for __________________, available through the clerk, and (3) Guide, Vol. 7A 

(Guidelines for Administering the CJA and Related Statutes), published by the 

Administrative Office of the U.S. Courts and also available through the clerk. Should 

these references fail to provide the desired clarification or direction, counsel should 

address their inquiries directly to me or my staff.
Guide to Judiciary Policy, Vol. 7A, Appx. 2C

__________________________________________________________

United States District Judge Date

Approved:

________________________________________________________

Chief Judge of the United Date

States Court of Appeals for the

___________ Circuit
Last substantive revision (Transmittal GR-17) January 20, 2010 

Last revised (minor technical changes) February 6, 2019

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 2: Appointment and Payment of Counsel

Appx. 2D: Procedures for Interim Payments to Counsel in Death 

Penalty Cases

1. The district court issues a Memorandum Order to counsel, outlining payment 

procedures and specifically addressing payment for actual expenses, travel, and 

compensation of counsel. See: Sample Memorandum Order. 

2. A copy of the Memorandum Order should be furnished to the CJA claims 

coordinator.

3. Form CJA 30 should be submitted with full documentation of all expenses 

claimed on the voucher.

4. Assign a number to each voucher processed for payment.

5. Item 18 of Form CJA 30 must be completed to indicate the time period covered 

by the voucher and whether it is for the final payment or for an interim payment.

6. The final voucher should:

(a) set forth in detail the time and expenses claimed for the final interim 

period;

(b) set forth in detail the time and expenses claimed for the entire case; and

(c) reflect all compensation and reimbursement previously received.
Guide to Judiciary Policy, Vol. 7A, Appx. 2D Page 2 

Sample Memorandum Order

(To Be Used Only In Death Penalty Cases)

Memorandum to All Counsel Appointed Under the Criminal Justice Act (CJA), 18 U.S.C. 

§ 3006A, and 18 U.S.C. § 3599, in the Case of 

Number ___________________________

RE: Interim Payments for Representation of Counsel

Because of the expected length of the trial in this case and the anticipated hardship on 

counsel in undertaking representation full-time for such a period without compensation, 

under Guide to Judiciary Policy (Guide), Volume 7, Part A, § 230.73.20, the following 

procedures for interim payments apply during the course of your representation in this 

case:

1. Submission of Vouchers

Counsel should submit to the court clerk, twice each month, an interim Form CJA 30, 

Death Penalty Proceedings: Appointment of and Authority to Pay Court Appointed 

Counsel. Compensation earned and reimbursable expenses incurred from the first to 

the fifteenth days of each month should be claimed on an interim voucher submitted no 

later than the twentieth day of each month, or the first business day thereafter. 

Compensation earned and reimbursable expenses incurred from the sixteenth to the 

last day of each month should be claimed on an interim voucher submitted no later than 

the fifth day of the following month, or the first business day thereafter. The first interim 

voucher submitted should reflect all compensation claimed and reimbursable expenses 

incurred from the date of appointment to _________ and should be submitted no later 

than _____________; thereafter, the vouchers should be submitted twice each month 

according to the schedule outlined above. Each voucher will be numbered when 

processed for payment. Counsel should complete Item 18 on the form for each interim 

voucher. Interim vouchers should be submitted in accordance with this schedule even 

though little or no compensation or expenses are claimed for the respective period. All 

interim vouchers must be supported by detailed and itemized time and expense 

statements. Guide, Volume 7A, Chapter 6 and Chapter 2, § 230 outline the procedures 

and rules for claims by CJA attorneys and should be followed on each voucher.

I will review the interim vouchers when submitted, particularly with regard to the amount 

of time claimed, and will authorize compensation to be paid for the approved number of 

hours. I will also authorize for payment all reimbursable expenses reasonably incurred.

At the conclusion of the representation, each counsel should submit a final voucher 

seeking payment for representation provided during the final interim period. The final 

voucher should also set forth in detail the time and expenses claimed for the entire 
Guide to Judiciary Policy, Vol. 7A, Appx. 2D Page 3 

case, including all documentation. Counsel should reflect all compensation and 

reimbursement previously received on the appropriate line of the final voucher.

2. Reimbursable Expenses

Counsel may be reimbursed for out-of-pocket expenses reasonably incurred incident to 

the representation. While the statute and applicable rules and regulations do not place 

a monetary limit on the amount of expenses that can be incurred, counsel should incur 

no single expense item in excess of $ without prior approval of the court. 

Such approval may be sought by filing an ex parte application with the clerk stating the 

nature of the expense, the estimated dollar cost, and the reason the expense is 

necessary to the representation. An application seeking such approval may be filed in 

camera, if necessary. Upon finding that the expense is reasonable, I will authorize 

counsel to incur it. Recurring expenses, such as telephone toll calls, photocopying and 

photographs, which aggregate more than $ ______ on one or more interim vouchers 

are not considered single expenses requiring court approval.

With respect to travel outside of the city/county of _______________ for the purpose of 

consulting with the client or his or her former counsel, interviewing witnesses, etc., the $ 

_____ rule should be applied in the following manner. Travel expenses, such as air 

fare, mileage, parking fees, meals, and lodging, can be claimed as itemized expenses. 

Therefore, if the reimbursement for expenses relating to a single trip will aggregate an 

amount in excess of $ _______, the travel should receive prior approval of the court.

The following additional guidelines may be helpful to counsel:

(a) Case related travel by privately owned automobile should be claimed at 

the rate of ___ cents per mile, plus parking fees, ferry fares, and bridge, 

road, and tunnel tolls. Transportation other than by privately owned 

automobile should be claimed on an actual expense basis. Air travel in 

“first class” is prohibited. Counsel and persons providing services under 

the CJA are encouraged to contact the clerk for air travel authorization at 

government rates.

(b) Actual expenses incurred for meals and lodging while traveling outside of 

the city/county of ___________ in the course of this representation must 

conform to the prevailing limitations placed upon travel and subsistence 

expenses for federal judiciary employees in accordance with existing 

government travel regulations. For specific details concerning high cost 

areas, counsel should consult the clerk.

(c) Telephone toll calls, telegrams, photocopying, and photographs can all be 

reimbursable expenses if reasonably incurred. However, general office 

overhead, such as rent, secretarial help, and telephone service, is not a 

reimbursable expense, nor are items of a personal nature. In addition, 
Guide to Judiciary Policy, Vol. 7A, Appx. 2D Page 4 

expenses for service of subpoenas on fact witnesses are not 

reimbursable, but rather are governed by Fed.R.Crim.P. 17 and 28 U.S.C. 

§ 1825. 

3. Further Guidance

Answers to questions concerning appointment under the CJA can generally be found in 

(1) 18 U.S.C. § 3006A; (2) the Plan of the United States District Court for 

__________________, available through the clerk; and (3) Guide, Vol. 7A (Guidelines 

for Administering the CJA and Related Statutes), published by the Administrative Office 

of the U.S. Courts, also available through the clerk. Should these references fail to 

provide the desired clarification or direction, counsel should address their inquiries 

directly to me or my staff.

__________________________________________________________

United States District Judge Date
Last revised (Transmittal 07-016) April 2, 2024

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 3: Authorization and Payment for Investigative, Expert, or 

Other Services

§ 310 In General

§ 310.10 Availability

§ 310.20 Limitations

§ 310.30 Ex Parte Applications

§ 310.40 Claims for Services Other than Counsel

§ 310.50 Forms for the Authorization and Payment for Services Other than 

Counsel

§ 310.60 Interim Payments

§ 310.65 Proration of Claims

§ 310.70 Review of Vouchers

§ 320 Authorization of Investigative, Expert, and Other Services

§ 320.10 Investigators

§ 320.15 Interpreters

§ 320.20 Psychiatrists, Psychologists

§ 320.30 Transcripts

§ 320.40 Fact Witnesses and Depositions

§ 320.50 Guardian Ad Litem

§ 320.60 Commercial Computer-Assisted Legal Research Services

§ 320.70 Other Services and Computer Hardware and Software

§ 320.80 Reimbursement of Expenses

§ 320.90 Record Keeping

§ 310 In General

§ 310.10 Availability

§ 310.10.10 Overview

(a) Investigative, expert, or other services necessary to adequate 

representation, as authorized by subsection (e) of the Criminal Justice Act 

(CJA) (18 U.S.C. § 3006A), are available to persons who are eligible 

under the CJA, including persons who have retained counsel but who are 

found by the court to be financially unable to obtain the necessary 

services.
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 2 

(b) In this connection, a person with retained counsel is financially unable to 

obtain the necessary services even if the person’s resources are in excess 

of the amount needed to provide the person and the person’s dependents 

with the necessities of life, provide defendant’s release on bond, and pay 

a reasonable fee to the person’s retained counsel, but are insufficient to

pay for the necessary services.

§ 310.10.20 Retained Counsel and Fee Arrangements

(a) In responding to requests for services under 18 U.S.C. § 3006A(e) by a 

person represented by retained counsel, the court should inquire into the 

fee arrangement between the retained attorney and the client.

(b) If the court finds the fee arrangement unreasonable in relation to fees 

customarily paid to qualified practitioners in the community for services in 

criminal matters of similar duration and complexity, or that it was made 

with a gross disregard of the defendant’s trial expenses, the court may 

order the retained attorney to pay out of such fees all or such part of the 

costs and expenses as the court may direct.

(c) The procedure outlined in Guide, Vol. 7A, § 210.40.40 applies to such 

persons who are financially able to pay some, but unable to pay all, the 

costs of necessary services.

§ 310.10.30 Pro Se Representation

(a) Persons who are eligible for representation under the CJA, but who have 

elected to proceed pro se, may, upon request, be authorized to obtain 

investigative, expert, and other services in accordance with 18 U.S.C.

§ 3006A(e). 

(b) The court should authorize subsection (e) services for pro se litigants and 

review and approve resulting claims in the same manner as is its practice 

with respect to requests made by CJA panel attorneys. However, in 

matters for which appointment of counsel is discretionary under 18 U.S.C.

§ 3006A(a)(2), the court should make a threshold determination that the 

case is one in which the interests of justice would have required the 

furnishing of representation.

(c) Although a federal defender organization may be requested to provide 

administrative assistance to pro se litigants who wish to arrange for 

subsection (e) services, the investigative, paralegal or other services or 

resources of the organization should ordinarily be employed only when the 

organization is appointed as counsel of record, responsible for the conduct 

of the litigation.
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 3 

§ 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). 

§ 310.20.10 With Prior Authorization

(a) With prior authorization, compensation for investigative, expert, and other 

services is limited to the amounts in the following table for CJAcompensable work performed on or after the effective date. For 

guidelines applicable to capital cases, see: Guide, Vol. 7A, § 660.10.40

and § 660.20. 

§ 310.20.10(a) Waivable Case Compensation Maximums for Investigative, Expert, and 

Other Services

If services were performed between... The compensation maximum is...

01/01/2024 to present $3,000

01/01/2023 to 12/31/2023 $2,800

01/01/2021 to 12/31/2022 $2,700

02/15/2019 to 12/31/2020 $2,600

01/01/16 to 02/14/2019 $2,500

05/27/10 to 12/31/15 $2,400

12/8/04 to 5/26/10 $1,600

11/14/86 to 12/7/04 $1,000

(b) The waivable case compensation maximum amounts apply per 

organization or individual, exclusive of reimbursement for expenses 

reasonably incurred, and per individual authorization to perform said 
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 4 

service, except with regard to capital cases. See: Guide, Vol. 7A, 

§ 660.20.

(c) A separate authorization should be obtained for each type of service for 

each person served, and for each defendant served, and for each case.

(d) While the service provider may be compensated separately for each 

person served, care should be taken to ensure that duplicate charges are 

not being made for the same services.

(e) If, under 18 U.S.C. § 3006A(e), such services are rendered by members 

of an organization such as a corporation, unincorporated association, or 

partnership (other than those created under 18 U.S.C. § 3006A(g)), in 

their capacities as members of that organization, compensation is deemed 

to have been earned by the organization and is paid to it only once, per 

CJA client served, in an amount not to exceed the statutory maximum, 

exclusive of reimbursement for expenses reasonably incurred.

§ 310.20.20 Waiving the Case Compensation Maximums

(a) Payment in excess of the case compensation limit for services authorized 

prior to the performance thereof may be made when certified by the court 

or U.S. magistrate judge and approved by the chief judge of the circuit (or 

an active or senior circuit judge to whom excess compensation approval 

authority has been delegated) as being necessary to provide fair 

compensation for services of an unusual character or duration.

(b) If it can be anticipated that the compensation will exceed the statutory 

maximum, advance approval should be obtained from the court and the 

chief judge of the circuit (or the active or senior circuit judge to whom 

excess compensation approval authority has been delegated). See: 

Appx. 3A (Sample Request for Advance Authorization for Investigative, 

Expert, or Other Services). 

§ 310.20.30 Without Prior Authorization

(a) 18 U.S.C. § 3006A(e)(2)(A) authorizes the obtaining of investigative, 

expert, and other services, without prior authorization but subject to 

subsequent review, providing the cost of the services obtained does not 

exceed the amounts listed in the following table, plus expenses 

reasonably incurred. For information regarding obtaining investigative, 

expert, and other services in capital cases, see: Guide, Vol. 7A, § 660. 
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 5 

§ 310.20.30(a) Limitations on Services Without Prior Authorization

If services were performed between... The compensation maximum is...

01/01/2024 to present $1,000

02/15/2019 to 12/31/2023 $900

05/27/10 to 02/14/2019 $800

12/8/04 to 05/26/10 $500

11/14/86 to 12/7/04 $300

(b) The limitation noted above in § 310.20.30(a) may be waived, however, if 

the presiding judge or U.S. magistrate judge (if the services were rendered 

in a case disposed of entirely before the U.S. magistrate judge), in the 

interest of justice, finds that timely procurement of necessary services 

could not await prior authorization. See: 18 U.S.C. § 3006A(e)(2)(B). 

§ 310.20.40 Periodic Increases to the Waivable Case Compensation Maximums

The Federal Judiciary Administrative Improvements Act of 2010, Pub. L. No. 111-174, 

enacted on May 27, 2010, amended the CJA to increase the waivable case 

compensation amounts listed in § 310.20.10 and § 310.20.30 simultaneously with any 

subsequent, cumulative adjustments under 5 U.S.C. § 5303 in the rates of pay under 

the General Schedule (currently calculated based on the determination of the annual 

Employment Cost Index adjustment), rounded to the nearest hundred dollars. The 

Administrative Office of the U.S. Courts (AO) will provide notice when new threshold 

amounts are effective under this provision.

§ 310.30 Ex Parte Applications

(a) Ex parte applications for services other than counsel under 18 U.S.C.

§ 3006A(e) must be heard in camera and must not be revealed without the 

consent of the defendant. The application must be placed under seal until 

the final disposition of the case in the trial court, subject to further order of 

the court. Maintaining the confidentiality of the application prevents the 

possibility that an open hearing may cause defendants to reveal their 

defense.

(b) Appointed counsel may not be required to submit evidence of a prior 

attempt to enter into a stipulation with the U.S. attorney as a prerequisite 

to obtaining services under 18 U.S.C. § 3006A(e). The court may 

encourage counsel to enter into stipulations, in the interest of expedition 

and economy, without, however, disclosing the contents or otherwise 

compromising the secret nature of the ex parte application.
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 6 

(c) The use of eVoucher to request and authorize services other than counsel 

supports confidentiality and enhances efficiency. Such records should be 

made available to successor counsel for representational purposes upon 

request. However, further disclosure remains subject to the court’s control 

over CJA information as provided in Guide, Vol. 7A, Ch. 5 (Disclosure of 

Information on CJA-Related Activities). 

§ 310.40 Claims for Services Other than Counsel

All claims for services other than counsel, under 18 U.S.C. § 3006A(e), must be 

submitted using the eVoucher system and should include the following:

(a) a statement as to the type of, dates of, and time expended for, the 

services provided;

(b) an explanation of the fee arrangement (e.g., hourly rate, etc.);

(c) an itemized statement of all expenses for which reimbursement is claimed; 

and

(d) supporting documentation, where practicable, for all expenses of lodgings 

and subsistence, and for any expenses in excess of $50.

§ 310.50 Forms for the Authorization and Payment for Services Other than 

Counsel

Requests for authorization and payment for services other than counsel should be 

submitted using the judiciary’s eVoucher system. Legacy forms, together with 

instructions, can be found on the judiciary’s public website. 

§ 310.60 Interim Payments

§ 310.60.10 Non-Death Penalty Cases

(a) Where it is considered necessary and appropriate in a specific case, the 

presiding trial judge may arrange for periodic or interim payments to an 

individual whose services are obtained under 18 U.S.C. § 3006A(e). For 

instructions on the procedures for effecting interim payments to persons 

other than counsel, as well as a sample memorandum order on this 

subject which provides for two alternative payment methods, see: 

Appx. 3B (Procedures for Interim Payments to Service Providers in NonDeath Penalty Cases). 

(b) The payment options provided in Appx. 3B are designed to strike a 

balance between the interest in relieving subsection (e) service providers 

of financial hardships in extended and complex cases, and the practical 
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 7 

application of the statutorily imposed responsibility of the chief judge of the 

circuit to provide a meaningful review of claims for excess compensation. 

Other interim payment arrangements which effectuate this balance may 

be devised in consultation with the AO’s Defender Services Office.

§ 310.60.20 Death Penalty Cases

Presiding judicial officers are urged to permit interim payment in death penalty cases. 

Because the CJA compensation maximums for investigative, expert, and other services 

set out in § 310.20.10(a) do not apply in capital cases, different procedures and 

memorandum orders must be used in those cases. See: Guide, Vol. 7A, § 660.20. 

These procedures and sample memorandum orders are also set forth in Appx. 3C 

(Procedures for Interim Payments to Service Providers in Capital Proceedings). 

§ 310.65 Proration of Claims

§ 310.65.10 In General

(a) If services were provided for more than one CJA representation, the time 

spent in common, including travel time, must be represented on the 

voucher forms by:

• prorating the service time among the representations on separate 

vouchers; or

• billing the entire service time on a voucher pertaining to one of the 

representations

The supporting materials to the vouchers must explain the method of 

billing and, when applicable, cross-reference the other CJA 

representations (see: § 310.65.20). 

(b) When a service provider incurs travel or other expenses applicable to 

more than one CJA representation, the entire amount of the expenses 

must be billed on one voucher.

Time or expenses “spent in common” includes work performed 

simultaneously or within the same unit of time, or expenses incurred, for 

more than one representation (e.g., travel for more than one client). 

Double billing of time or expenses is prohibited (e.g., billing the same 

travel time or expenses applicable to more than one representation on 

more than one voucher).

(c) A “CJA representation” is one in which the attorney is:

• a federal public or community defender providing representation under 

the CJA or related statutes, or
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 8 

• a CJA panel attorney or other attorney or entity authorized to obtain 

services for a particular representation under the CJA or related 

statutes.

Reference to a “voucher” in this section includes invoices submitted to a 

federal public or community defender organization for work performed for 

that entity.

For information regarding the overlap of billing time periods in the 

interpreter context specifically, see: § 320.15.30. 

§ 310.65.20 Cross-Referencing Vouchers

(a) Whenever a service provider submits a voucher, as provided by this 

section, that includes time spent in common, if the time is prorated then 

each CJA representation must be cross-referenced on the supporting 

documentation to each voucher. If the time is billed to one representation, 

the other representations must be cross-referenced on the supporting 

documentation to that voucher. However, to ensure that an appointed 

attorney does not receive inappropriate information as to another 

attorney’s use of the service provider, the CJA representations that are 

cross-referenced should not be identified by name and case number if the 

work was performed for an attorney other than the one who will be 

certifying the voucher, although the number of other representations 

should be listed.

(b) After the attorney certifies the service provider’s voucher, the service 

provider, upon the request of the court’s designated CJA voucher review 

personnel, must provide the name, case number, and any other identifying 

information for such representations.

§ 310.65.30 Prorating Time Limitation

Proration of time among CJA representations must not result in a service provider billing 

a larger amount than would have been billed if all the time was assigned to one 

voucher.

§ 310.65.40 Application of the Case Compensation Maximum

Where compensation is claimed on a voucher for time spent in common on more than 

one CJA representation, the compensation will be applied to the pre-authorized and 

case compensation maximum amounts for the representation on that voucher.

§ 310.65.50 Time Spent in Common with Non-CJA Representations

(a) If the service provider is billing under the CJA for time or expenses, 

including travel, that were spent in common for a purpose other than a 
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 9 

CJA representation, the service provider must report such information so 

that the court can determine whether, in fairness to the provider, the time 

or expenses should be apportioned and the provider compensated for the 

time or expenses reasonably attributable to the CJA.

Note: There is no apportionment between a contract court interpreter’s 

work for a court unit and the CJA, see: § 320.15.30. 

(b) The service provider should explain the rationale for billing under the CJA, 

and the court may conduct a further inquiry.

(c) In determining whether time or expenses spent in common for a purpose 

other than a CJA representation should be apportioned, the court should 

consider:

• the time or expenses reasonably expended in the performance of the 

service provider’s duties under the CJA in relation to the time and 

expenses expended furthering other purposes;

• the significance to the representation of the duties performed or 

expenses incurred; and

• the likelihood that the service provider would have performed the 

services or incurred the expenses under the CJA in the absence of the 

other purposes.

§ 310.70 Review of Vouchers

Absent extraordinary circumstances, reviewers should act upon claims for 

compensation for investigative, expert, or other services within 30 days of submission.

§ 320 Authorization of Investigative, Expert, and Other Services

§ 320.10 Investigators

When necessary to an adequate representation as described above, the court may 

authorize, under 18 U.S.C. § 3006A(e), the services of an investigator.

§ 320.15 Interpreters

§ 320.15.10 Terms of Compensation

(a) Interpreting services provided under the CJA may be compensated:

• according to the terms and conditions set forth in the court interpreter 

services contract;

• on an hourly rate basis; or
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 10

• on another appropriate basis.

(b) Interpreters should be compensated consistently throughout the district or, 

if applicable, in individual court locations.

§ 320.15.20 Reviewing the Rate of Compensation

(a) In determining the reasonableness of rates paid to interpreters under the 

CJA, courts should utilize either:

(1) the half- and full-day rates established by the Director for contract 

court interpreters performing in-court services; or

(2) an hourly rate. The half- and full-day rates (prorated hourly) or the 

hourly overtime rate should be used as a guidepost for the 

reasonableness of the hourly rate.

(b) Justification should be submitted to the presiding judicial officer if 

compensation is sought for an interpreter by a method different from or in 

an amount in excess of presumptive or maximum rates adopted by a 

court.

(c) Appointed counsel may negotiate rates with the interpreter consistent with 

the guidance contained in this section.

§ 320.15.30 Overlap of Billing Time Periods

(a) Contract court interpreters must not bill or receive funds from any other 

federal court unit, federal public defender, community defender 

organization, or other attorneys or entities obtaining interpreting services 

under the CJA or related statutes for any services rendered during the 

same half- or full-day for which the contract court interpreter is being 

compensated pursuant to the court interpreter services contract. See:

Guide, Vol. 5, § 220.30.20. Thus, an interpreter retained by the court 

under the court contract for a one-half or full-day period may not bill the 

CJA for any work performed during that same half-day or full-day period 

even if the court no longer requires the interpreter’s services.

(b) An interpreter billing on a half- or full-day rate basis, hourly basis, or other 

unit of time under the CJA must not charge any other federal court unit, 

federal public defender, community defender, CJA panel attorney, or other 

person or entity otherwise authorized by the court to obtain the services of 

an interpreter under the CJA or related statutes for any services rendered 

within the same time period.

(c) When an interpreter is invoicing under the CJA on a half-day rate basis 

and works one half-day for a court unit and another half-day for a CJA 
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 11

representation, or is invoicing two separate half-days for different CJA 

representations, then the first half-day should be billed at the half-day rate 

and the second at the difference between the half-day and full-day rates, 

unless otherwise negotiated.

(d) It is permissible to prorate compensation among more than one CJA 

representation (but expenses must be invoiced to one CJA representation) 

or to apportion compensation, including expenses, between a CJA 

representation and a non-CJA purpose (not including a federal court unit).

See: § 310.65. 

§ 320.20 Psychiatrists, Psychologists

§ 320.20.10 Type of Examinations

Chapter 313 of Title 18, as amended by the Insanity Defense Reform Act of 1984 

(Chapter IV of the Comprehensive Crime Control Act of 1984), provides for courtdirected psychiatric or psychological examination of individuals in connection with the 

various proceedings to determine mental condition authorized under that chapter. The 

functions of these separate proceedings are to determine:

(a) the mental competency of a defendant to stand trial (18 U.S.C. § 4241); 

(b) insanity at the time of the offense (18 U.S.C. § 4242); 

(c) the mental condition of an acquitted person hospitalized following a finding 

of not guilty only by reason of insanity (18 U.S.C. § 4243); 

(d) the present mental condition of a convicted defendant (18 U.S.C. § 4244); 

(e) the present mental condition of an imprisoned person who objects to 

transfer to a treatment facility (18 U.S.C. § 4245); and

(f) the present mental condition of a hospitalized person due for release 

(18 U.S.C. § 4246). 

In addition, mental condition examinations may be conducted for purposes other than 

those specified in 18 U.S.C. chapter 313, e.g., to aid the defendant in preparing a 

defense.

§ 320.20.20 Source of Payment

(a) CJA funds are used to pay for psychiatric and related services obtained in 

accordance with 18 U.S.C. § 3006A(e) upon a determination that the 

services are “necessary for an adequate defense.” These are “defense” 

services, where the defendant selects the expert and controls the 

disclosure of the expert’s report.
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 12

(b) It is important to note that psychiatrists and related experts may be used in 

many circumstances in which payment is made from a source other than 

the CJA appropriation. In these situations, the court or the government 

selects the expert and persons other than the defendant also have access 

to the expert’s report. The Department of Justice (DOJ) generally pays for 

these “non-defense” services. The chart in § 320.20.60 summarizes 

payment responsibility for the various circumstances in which psychiatric 

and related services are utilized.

(c) Court-ordered presentence examinations and reports under 18 U.S.C.

§ 3552(c) are not paid by the CJA appropriation. However, funding for 

these examinations is available from the AO. Courts should contact the 

AO’s Probation and Pretrial Services Office at 202-502-1600 for guidance.

§ 320.20.30 Limitation of Amount

The limitations contained in § 310.20 apply to compensation claims submitted by 

“defense” psychiatrists and related experts, to be paid out of the CJA appropriation. For 

information regarding “dual purpose” examinations, see: § 320.20.50. 

§ 320.20.40 Procedures for Payment

(a) CJA Appropriation – Defense Services

(1) eVoucher should be used for all payments for “defense” services in 

non-capital cases. See also: Form CJA 21 (Authorization and 

Voucher for Expert and Other Services).

(2) eVoucher should be used for all payments for “defense” services in 

death penalty cases. See also: Form CJA 31 (Death Penalty 

Proceedings: Ex Parte Request for Authorization and Voucher for 

Expert and Other Services).

(3) eVoucher submissions of form CJA 21 or CJA 31 should clearly 

describe the purpose of the expert’s service.

(4) If separate vouchers are submitted for examination and testimony, 

they should be cross-referenced by voucher number.

(b) DOJ

Compensation claims for psychiatric and related services to be paid for by 

the DOJ should be referred to the U.S. attorney or assistant U.S. attorney.
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 13

§ 320.20.50 Dual Purpose Examinations

(a) On occasion, a psychiatrist or related expert will be asked to examine an 

individual for both a “defense” purpose and a “non-defense” purpose. In 

these cases, the defense has waived the confidentiality of the “defense” 

portion of the examination. In such dual purpose examinations, for the 

convenience of the expert providing the service, the entire compensation 

claim may be submitted through eVoucher using Form CJA 21, or, in a 

death penalty proceeding, Form CJA 31. The CJA will pay the expert the 

total amount approved and obtain reimbursement to the CJA appropriation 

from the DOJ for one-half of the cost. As a result of the AO’s need to seek 

reimbursement from the DOJ, claims submitted for dual purpose 

examinations must be accompanied by separate court orders that 

indicate:

• who requested the examination;

• the specific purpose(s) of the examination;

• to whom the examination is directed; and

• to whom copies of the report are to be given.

(b) The limitation in § 320.20.30 applies to 50 percent of the claim for a dual 

purpose examination in which a portion of the examination is for “defense” 

purposes.

(c) In some “dual purpose” examinations both portions of the examination are 

chargeable to the same payment source. For instance, if the examination 

included evaluation of competency to stand trial under 18 U.S.C. § 4241

and evaluation of sanity at the time of the offense under 18 U.S.C. § 4242, 

the DOJ would be responsible for both portions of the examination and the 

entire compensation claim should be submitted to the U.S. attorney or 

assistant U.S. attorney.

§ 320.20.60 Summary Chart: Responsibility for Payment of Psychiatric and Related 

Expert Services

Type of Service CJA DOJ

(a) To determine mental competency to stand trial, under 18 U.S.C. § 4241

(1) Examination costs Yes, regardless of which party 

requests, including examination 

on court’s own motion

(2) Testimony costs for examiner if 

called at hearing

Yes, regardless of which party 

calls
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 14

§ 320.20.60 Summary Chart: Responsibility for Payment of Psychiatric and Related 

Expert Services

Type of Service CJA DOJ

(3) Testimony costs for examiner if 

called at trial

If witness 

appears 

on behalf 

of 

defense

If witness appears on behalf of 

government

(b) To determine existence of insanity at time of offense, under 18 U.S.C. § 4242

(1) Examination costs Yes

(2) Testimony costs for examiner if 

called at trial

Yes, regardless of which party 

calls

(c) To determine existence of insanity at time of offense, under CJA subsection (e)

(1) Examination costs Yes

(2) Testimony costs for examiner if 

called at trial

Yes

(d) To determine mental condition of hospitalized person found not guilty only by reason of 

insanity, under 18 U.S.C. § 4243

(1) Examination costs Yes

(2) Testimony costs for examiner if 

called at hearing

Yes, regardless of which party 

calls

(e) To determine mental condition of convicted person suffering from mental disease or 

defect, under 18 U.S.C. § 4244

(1) Examination costs Yes

(2) Testimony costs for examiner if 

called at hearing

Yes, regardless of which party 

calls

(f) To determine mental condition of imprisoned person, under 18 U.S.C. § 4245

(1) Examination costs Yes, including costs of additional 

examiner selected by imprisoned 

person in accordance with 

18 U.S.C. § 4247(b)
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 15

§ 320.20.60 Summary Chart: Responsibility for Payment of Psychiatric and Related 

Expert Services

Type of Service CJA DOJ

(2) Testimony costs for examiner if 

called at hearing

Yes, regardless of which party 

calls, including additional examiner 

selected by imprisoned person in 

accordance with 18 U.S.C.

§ 4247(b)

(g) To determine mental condition of hospitalized person due for release, under 18 U.S.C.

§ 4246

(1) Examination costs Yes, including costs of additional 

examiner selected by hospitalized 

person in accordance with 

18 U.S.C. § 4247(b)

(2) Testimony costs for examiner if 

called at hearing

Yes, regardless of which party 

calls, including additional examiner 

selected by hospitalized person in 

accordance with 18 U.S.C.

§ 4247(b)

(h) Examination of a person in custody as a 

material witness

Yes, under all circumstances

(i) Examination and testimony costs for 

expert witnesses not appointed under 

18 U.S.C. §§ 4241, 4242, 4243, 4244, 

4245, 4246 

If 

requested 

by the 

defense

If requested by the government, or 

if appointed as an independent 

expert on court’s own motion under 

Fed. R. Evid. 706

§ 320.30 Transcripts

§ 320.30.10 Authorization and Payment

(a) For panel attorneys, the preferred method for payment of transcripts 

authorized by the court is for the court reporter or reporting service to 

claim compensation directly through eVoucher’s Authorization and 

Voucher for Payment of Transcript (Form CJA 24). Alternatively, the 

panel attorney may pay for transcripts for non-federal court proceedings 

and obtain reimbursement as an “out-of-pocket expense” in the eVoucher 

system using Form CJA 20. See: Guide, Vol. 7A, § 230.63.20 and 

§ 320.30.40. Regardless of which method is used, the limitations set forth 

in § 310.20 and the $7,500 limitation set forth in Guide, Vol. 7A, Ch. 6 are 

inapplicable with regard to the cost of transcripts.
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 16

(b) In a direct appeal in a case in which counsel is assigned under the CJA, 

neither the CJA nor 28 U.S.C. § 753(f) requires the signing of a pauper’s 

oath or certification by the court that the appeal is not frivolous in order to 

obtain a transcript.

(c) For procedures regarding federal defender organization transcript 

payments, see: Guide, Vol. 7A, § 430.10. 

§ 320.30.20 Accelerated Transcript Costs

Routine apportionment of accelerated transcript costs among parties in CJA cases is 

prohibited. The following resolution was adopted by the Judicial Conference in March 

1980, and modified in September 1986:

That the furnishing of accelerated transcript services in criminal proceedings 

should be discouraged; however, recognizing that there are some circumstances 

in which such transcript services are necessary and required by either the 

prosecution or the defense, or both, accelerated transcript services may be 

provided.

That in those cases where accelerated transcript services are provided, the party 

from whom the request or order emanates shall pay for the original, and if the 

requesting or ordering party is other than defense counsel appointed under the 

Criminal Justice Act, the CJA counsel shall be entitled to a copy at the copy rate.

That the present practice, in some districts, of routinely apportioning the total cost 

of accelerated transcript services equally among the parties should be 

abandoned.

See: JCUS-SEP 1986, p. 90.

§ 320.30.30 Commercial Duplication in Multi-Defendant Cases

(a) In multi-defendant cases involving CJA defendants, no more than one 

transcript should be purchased from the court reporter on behalf of CJA 

defendants. The appointed counsel or the clerk of court should share an 

electronic copy with each of the CJA defendants for whom a transcript has 

been approved. If the transcript was provided in printed format, counsel 

should arrange for duplication at commercially competitive rates. The cost 

of such duplication will be charged to the CJA appropriation. This policy 

would not preclude the furnishing of duplication services by the court 

reporter at the commercially competitive rate.

(b) In individual cases involving requests for accelerated transcripts, the 

court may grant an exception to the policy set forth in (a) of this subsection 

based upon a finding that application of the policy will unreasonably 
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 17

impede the delivery of accelerated transcripts to persons proceeding 

under the CJA. Such finding should be reflected on the transcript 

voucher.

§ 320.30.40 Standards for Transcripts of Other than Federal Court Proceedings

In negotiating agreements and contracts for providing transcripts of other than federal 

court proceedings, including, for example, transcription or translation of wiretap 

recordings, it is recommended that the standards for the size and format of a page be 

the same as those used for transcripts of federal court proceedings.

§ 320.40 Fact Witnesses and Depositions

§ 320.40.10 Fees and Expenses of Fact Witnesses

(a) Generally speaking, fees and expenses of fact witnesses for defendants 

proceeding under the CJA are paid by the DOJ. See: Fed. R. Crim. P., 

Rule 17(b); 28 U.S.C. § 1825. 

(b) Section 1825 of 28 U.S.C. specifically provides for the payment of witness 

fees by the DOJ in all federal criminal proceedings, and in proceedings for 

a writ of habeas corpus or in proceedings under section 2255 of that title 

upon certification of a federal public defender or assistant federal public 

defender, or clerk of court upon the affidavit of other counsel appointed 

under the CJA.

(c) If advance witness travel funds are required, the court should issue the 

subpoena order, so stating, to authorize the travel advance by the 

marshal. These expenses will not be paid from CJA funds.

§ 320.40.20 Depositions

Depositions are covered by Fed. R. Crim. P., Rule 15, rather than 18 U.S.C. § 3503 

(repealed).

(a) Expenses incurred in the taking of fact witness depositions (notarial fees, 

interpreters, transcripts, etc.) are paid by the DOJ, regardless of which 

party requested the deposition.

(b) The costs of attendance of fact witnesses for either party at the deposition 

are paid by the DOJ under Rule 17 (b).

(c) The costs of attendance of expert witnesses for the defense at the 

deposition are paid under the CJA.

(d) Reasonable travel and subsistence expenses incident to attendance of 

counsel and the defendant at the deposition are paid by the DOJ (1) if the 
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 18

government is the requesting party, or (2) if the defendant is the 

requesting party and is unable to bear the deposition expenses, based on 

resources that would be used to determine financial eligibility for 

appointed counsel. However, it should be noted that the presence of the 

defendant is not essential to defense depositions since the confrontation 

clause only requires the defendant’s presence if the depositions are 

intended to be used against the defendant.

§ 320.40.30 Travel Expenses, Subsistence, and Fees of Counsel in Habeas Corpus Cases

In habeas corpus and 28 U.S.C. § 2255 cases, the court may order the state or the 

government to pay the “expenses of travel and subsistence and fees of counsel” to 

attend the taking of a deposition at the request of the state or government. See: Rules 

Governing §§ 2254 and 2255 Cases in U.S. District Courts, Rule 6. 

§ 320.50 Guardian Ad Litem

§ 320.50.10 Proceedings Involving Juveniles

(a) A guardian ad litem appointed under 18 U.S.C. § 5034 is not eligible for 

compensation under the CJA or any other appropriated source. Any 

person who is appointed as both counsel and guardian ad litem in one 

case under § 5034 should prorate time spent fulfilling the duties of these 

two offices. Only time spent as counsel on a case is compensable and 

should be reflected on the CJA claim.

(b) A guardian ad litem appointed for a child victim or witness under 18 U.S.C.

§ 3509(h) must be compensated through decentralized court funds using 

BOC 2559, not the CJA or the attorney admission fund.

§ 320.50.20 Prisoner Transfer Proceedings

A guardian ad litem appointed in proceedings to verify consent of a minor or 

incompetent prisoner to transfer from the United States to a foreign country is eligible 

for compensation under the CJA under 18 U.S.C. § 4109(b). See: Guide, Vol. 7A , 

§ 230.23.20(d) on compensation limits and Guide, Vol. 7B (International Prisoner 

Transfer Proceedings). 

§ 320.60 Commercial Computer-Assisted Legal Research Services

(a) The court may authorize counsel to obtain computer-assisted legal 

research services, where the research is performed by employees of a 

commercial legal research firm or organization rather than by appointed 

counsel, provided that the total amount charged for computer-assisted 

legal research services is reasonable. Requests by counsel for authority 

to obtain such computer-assisted legal research services should include: a 
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 19

brief explanation of the need for the research services; and an estimate of

the charges.

(b) Claims for compensation for such services should be submitted through 

eVoucher using Form CJA 21 (Authorization and Voucher for Expert and 

Other Services), or, in a death penalty proceeding, Form CJA 31 (Death 

Penalty Proceeding: Ex Parte Request for Authorization and Voucher for 

Expert and Other Services). For information concerning reimbursement 

for the cost of direct use, by appointed counsel, of computer-assisted legal 

research services, see: Guide, Vol. 7A, § 230.63.30. 

§ 320.70 Other Services and Computer Hardware and Software

§ 320.70.10 Other Services

In addition to investigators, psychiatrists, psychologists, and reporters, services other 

than counsel may include, but are not necessarily limited to:

• interpreters;

• computer systems and automation litigation support personnel and experts;

• paralegals and legal assistants, including law students;

• neurologists and other medical experts; and

• laboratory experts in such areas as ballistics, fingerprinting, and handwriting.

§ 320.70.20 Notarial and Stenographic Expenses

The use of CJA funds is authorized to pay expenses of eligible defendants for 

stenographic and notarial expenses required to perpetuate and authenticate testimony 

of expert witnesses for such defendants.

§ 320.70.30 Extraordinary Office Expenses

(a) CJA attorneys are expected to use their own office resources, including 

secretarial help, for work on CJA cases. See: Guide, Vol. 7A, 

§ 230.66.10. 

(b) However, unusual or extraordinary expenses of these types may be 

considered “other services necessary for an adequate defense” and may 

be paid from CJA funds under 18 U.S.C. § 3006A(e). 

(c) In determining whether the expense is unusual or extraordinary, 

consideration should be given to whether the circumstances from which 

the need arose would normally result in an additional charge to a feepaying client over and above that charged for overhead expenses. See: 

Decision of the Comptroller General, B-139703, Feb. 28, 1974, 53 Comp. 

Gen. 638. 
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 20

§ 320.70.40 Computer Hardware, Software, or Litigation Support Services

(a) Overview

(1) Providing an adequate defense may require CJA panel attorneys to 

utilize computer hardware, software, or litigation support services 

not typically available in a law office. In such cases, following the 

standards in § 320.70.30, counsel may apply to the court for 

authorization of CJA funds for the acquisition of such property or 

services.

(2) Before seeking court approval for any computer hardware or 

software with a cost exceeding the limitations in § 310.20.30(a), or 

for the utilization of computer systems, litigation support products, 

services, personnel, or experts with an expected combined cost 

exceeding $10,000, appointed counsel must consult the National 

Litigation Support Team in the AO’s Defender Services Office 

(phone number: 510-637-3500) for guidance. Counsel must inform 

the court in writing of the Defender Services Office’s advice and 

recommendation regarding counsel’s proposed expenditure. See 

also: Appx. 3D (Sample Order Authorizing the Acquisition of 

Computer [Hardware and/or Software] under the CJA). 

(b) Acquisition of Computer Hardware and/or Software

(1) The request for acquisition of the computer hardware and/or 

software, or for the procurement of litigation support services

should be submitted through eVoucher using Form CJA 21 

(Authorization and Voucher for Expert and Other Services), or, in a 

death penalty proceeding, Form CJA 31 (Death Penalty 

Proceedings: Ex Parte Request for Authorization and Voucher for 

Expert and Other Services). 

(2) Property purchased with CJA funds is the property of the United 

States and remains so after the case is completed.

(3) When property is purchased, counsel must provide the Defender 

Services Office with a copy of the following documents to ensure 

the property is properly accounted for: a copy of the court’s order 

approving the request; a copy of the completed Form CJA 21 (or 

Form CJA 31); the purchase order from the vendor and any 

receiving documents, such as a copy of the packing slip or the 

company’s invoice.

(4) Because computer hardware or storage devices being used by 

counsel may contain confidential or privileged information, all case-
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 21

related materials must be removed before the hardware is returned 

as described below. Unless otherwise required by the court or by 

law, counsel should retain copies, electronic or otherwise, of the 

case-related materials for the client’s file.

Note: When large amounts of electronic information are placed on 

drives or storage devices purchased with CJA funds, counsel may 

apply to the court to retain the drive or an alternative drive as the 

most cost-effective and efficient method for preserving the data.

(5) Upon the completion of the case, counsel must contact the National 

Litigation Support Team in the Office of Defender Services at (510) 

637-3500 for instructions on returning any software, and directions 

for deleting case-related material from any hardware and returning 

it to the National Litigation Support Team for the permanent 

removal of case-related material. If appointed counsel has 

acquired software, then counsel should provide all accounting 

information for the software, including any serial numbers, 

activation codes, or other identifying information, and remove the 

software from his or her machines. If appointed counsel acquired 

computer hardware, it must be returned in good condition.

§ 320.70.50 Paralegals, Legal Assistants, and Other Non-Secretarial Support

(a) For services of paralegals, legal assistants, and other non-secretarial 

professional support personnel employed by appointed counsel, the court 

will determine a reasonable hourly compensation rate that may not exceed 

the lesser of the rate paid to counsel under the CJA or the rate typically 

charged by counsel to a fee-paying client for such services.

(b) Authorizing compensation at such rates should result in greater efficiency 

and lower costs for the CJA program than would occur if counsel 

performed and charged for these services.

§ 320.80 Reimbursement of Expenses

§ 320.80.10 Determination of Reasonableness

In determining the reasonableness of expenses of persons furnishing investigative, 

expert, or other services, claimants and the court should be guided by the provisions of 

these Guidelines regarding reimbursement of expenses of counsel. See: Guide, 

Vol. 7A, § 230.63 and § 230.66. Gross receipts or other taxes levied on fees for expert 

services rendered under the CJA are not reimbursable expenses.
Guide to Judiciary Policy, Vol. 7A, Ch. 3 Page 22

§ 320.80.20 Government Travel Rates

(a) Federal law authorizes experts and other service providers traveling 

primarily in connection with carrying out responsibilities under the CJA the 

use of government travel rates from common carriers and lodging 

providers. See: 18 U.S.C. § 3006A note. 

(b) Government rates may provide substantial cost reductions or increased 

flexibility over ordinary commercial rates. To obtain such rates, service 

providers must obtain prior approval from the appointing authority. 

Government contract airfares must be booked through the carrier or a 

judiciary contract travel management center using the court’s centrally 

billed account.

§ 320.90 Record Keeping

(a) Investigative, expert, and other service providers must maintain 

contemporaneous time and attendance records for all work billed by them, 

as well as expense records.

(b) Such records are subject to audit and must be retained for three years 

after approval of the appointed counsel’s or the service provider’s final 

voucher, whichever is later, for a representation.
Last substantive revision (Transmittal GR-17) January 20, 2010 

Last revised (minor technical changes) February 6, 2019

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 3: Authorization and Payment for Investigative, Expert, or Other Services

Appx. 3A: Sample Request for Advance Authorization for 

Investigative, Expert or Other Services

TO: Chief Judge (or Delegate) __________________

 United States Court of Appeals for the __________ Circuit

DATE: ______________________________________________

FROM: ______________________________________________

SUBJECT: Advance Authorization for Investigative, Expert, or Other Services

It is requested that advance authorization be granted to obtain services in an 

amount in excess of the maximum allowed under the provisions of subsection (e)(3) of 

the Criminal Justice Act, 18 U.S.C. § 3006A, [or, for capital cases commenced, and 

appellate proceedings in which an appeal is perfected, on or after April 24, 1996, 

under 18 U.S.C. § 3599(g),] as follows:

Case Name & Designation 

Name of Expert or Investigator or Service Provider

Address ____________________________________________________________

Type of Service ______________________________________________________

Reasons for Application

_____________________________________________________________________

_____________________________________________________________________

Estimated Compensation (Non-Capital Case) $______________________________

Estimated Compensation and Expenses (Capital Case) $ _____________________
Guide to Judiciary Policy, Vol. 7A, Appx. 3A Page 2

Estimated Compensation and Expenses of All Investigative, Expert, and Other Services 

(Capital Case) $ ___________________________

I certify that the estimated compensation in excess of the maximum set forth in 

18 U.S.C. § 3006A(e)(3) [or, if applicable, the estimated compensation and expenses in 

excess of the maximum set forth in 18 U.S.C. § 3599(g),] appears necessary to provide 

fair compensation for services of an unusual character or duration and therefore 

recommend approval of this advance authorization in the amount of

$___________________________

______________________________ ___________________________

United States District Judge Date

or United States Magistrate Judge

Advance authorization is hereby approved in the amount of

$___________________________.

____________________________________ ________________________

Chief Judge, United States Court of Appeals Date

(or Delegate)
Last substantive revision (Transmittal GR-17) January 20, 2010 

Last revised (minor technical changes) February 6, 2019

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 3: Authorization and Payment for Investigative, Expert, or Other Services

Appx. 3B: Procedures for Interim Payments to Service Providers in 

Non-Death Penalty Cases

1. The district court issues a Memorandum Order to persons providing services 

under 18 U.S.C. § 3006A(e), outlining payment procedures and specifically 

addressing payment for actual expenses, travel, and compensation of persons 

providing investigative, expert, and other services under subsection (e). See:

Sample Memorandum Order, below.

2. If excess compensation is anticipated, written approval of the procedure must be 

obtained from the chief judge of the circuit or his or her delegate prior to issuance 

of the order.

3. Once it is issued, a copy of the Memorandum Order should be furnished to the 

CJA claims coordinator.

4. Form CJA 21 should be submitted with full documentation of all expenses 

claimed on the voucher.

5. Assign a number to each voucher processed for payment.

6. Item 17 of the Form CJA 21 must be completed to indicate the time period 

covered by the voucher and whether it is for the final payment or for an interim 

payment.

7. If the court has selected OPTION A of the Sample Memorandum Order, the final 

voucher should:

(a) set forth in detail the time and expenses claimed for the entire case;

(b) reflect all compensation and reimbursement previously received;

 (c) show the net amount remaining to be paid; and 

(d) be approved by the chief judge of the circuit or his or her delegate if the 

total claim for the case is in excess of the statutory limits.
Guide to Judiciary Policy, Vol. 7A, Appx. 3B Page 2

8. If the court has selected OPTION B of the Sample Memorandum Order and 

established intervals for the submission of cumulative vouchers for the balance of 

amounts withheld from the interim vouchers, each cumulative voucher should:

(a) be labeled "Cumulative Voucher";

(b) set forth in detail the time and expenses claimed for the pre-established 

time interval;

(c) reflect all compensation and reimbursement previously received during the 

pre-established time interval;

(d) show the net amount remaining to be paid; and

(e) be approved by the chief judge of the circuit or his or her delegate.
Guide to Judiciary Policy, Vol. 7A, Appx. 3B Page 3 

Sample Memorandum Order

(To Be Used in Non-Death Penalty Cases)

Memorandum to All Service Providers Under Subsection (e) of the Criminal Justice Act 

(CJA), 18 U.S.C. § 3006A, in the Case of

Number: ___________________________________

RE: Interim Payments for Services Other Than Counsel

Because of the expected length of the trial in this case, and the anticipated hardship on 

persons providing services pursuant to subsection (e) of the CJA for such a period 

without compensation, in accordance with Guide to Judiciary Policy (Guide), Vol 7A, 

§ 310.60, the following procedures for interim payments apply during the period of time 

in which you provide services in connection with this case:

1. Submission of Vouchers

Persons providing services under subsection (e) shall submit to the court clerk, twice 

each month, an interim Form CJA 21, Authorization and Voucher for Expert and Other 

Services. Compensation earned and reimbursable expenses incurred from the first to 

the fifteenth days of each month shall be claimed on an interim voucher submitted no 

later than the twentieth day of each month, or the first business day thereafter. 

Compensation earned and reimbursable expenses incurred from the sixteenth to the 

last day of each month shall be claimed on an interim voucher submitted no later than 

the fifth day of the following month, or the first business day thereafter. The first interim 

voucher submitted must reflect all compensation claimed and reimbursable expenses 

incurred from the date on which your services were first retained to _________, and 

shall be submitted no later than _______________________; thereafter, the vouchers 

shall be submitted twice each month according to the schedule outlined above. 

Claimants must complete Item 17 of each interim voucher submitted. Each voucher will 

be assigned a number when processed for payment. Interim vouchers shall be 

submitted in accordance with this schedule even though little or no compensation or 

expenses are claimed for the respective period. All interim vouchers must be supported 

by detailed and itemized time and expense statements. Guide, Volume 7A, Chapter 3

outlines the procedures and rules for claims by persons providing services pursuant to 

subsection (e) and should be followed regarding each voucher.

I will review the interim vouchers when submitted, particularly with regard to the amount 

of time claimed, and will authorize compensation to be paid for 80 percent of the 

approved number of hours. This compensation will be determined by multiplying 80 

percent of the approved number of hours by the applicable rate. I will also authorize for 

payment all reimbursable expenses reasonably incurred.
Guide to Judiciary Policy, Vol. 7A, Appx. 3B Page 4 

[Select Option A or B]

OPTION A 

At the conclusion of the period during which you provide services in this case, you shall 

submit a final voucher seeking payment of the 20 percent balance withheld from the 

earlier interim vouchers, as well as payment for services rendered during the final 

interim period. The final voucher must set forth in detail the time and expenses claimed 

for the entire case, including all appropriate documentation. A statement should be 

attached to the voucher that reflects all compensation and reimbursement previously 

received, as well as the net amount remaining to be paid at the conclusion of the case. 

After reviewing the final voucher, I will submit it to the chief judge of the circuit, or his or 

her delegate, for review and approval.

OPTION B 

Every _______ months, counting from the submission date for the first interim voucher, 

until the conclusion of the services, claimants shall submit a cumulative interim voucher 

seeking payment of the outstanding 20 percent balance withheld from all earlier interim 

compensation paid out during the preceding _______-month interval, as well as 

payment for services rendered during the last interim period of the interval. The 

cumulative interim voucher shall be labeled as such and must set forth in detail the time 

and expenses claimed for the entire interval, including all appropriate documentation. A 

statement must be attached to the cumulative interim voucher, which reflects all 

compensation and reimbursement previously received, as well as the net amount 

remaining to be paid at the end of the interval. After reviewing the cumulative interim 

voucher, I will submit it to the chief judge of the circuit, or his or her delegate, for review 

and approval. At the conclusion of the period during which you provide services in this 

case, you shall submit a final cumulative voucher seeking payment of the 20 percent 

balance withheld from the interim vouchers processed during the final interval, as well 

as payment for services rendered during the last interim period of the interval.

2. Reimbursable Expenses

Persons providing services under subsection (e) may be reimbursed for out-of-pocket 

expenses reasonably incurred incident to the rendering of services.

The following additional guidelines may be helpful:

(a) Case related travel by privately owned automobile should be claimed at 

the rate of ___ cents per mile, plus parking fees, ferry fares, and bridge, 

road, and tunnel tolls. Transportation other than by privately owned 

automobile should be claimed on an actual expense basis. Air travel in 

"first class" is prohibited. For service providers requiring air travel, counsel 
Guide to Judiciary Policy, Vol. 7A, Appx. 3B Page 5 

are encouraged to contact the clerk for air travel authorization at 

government rates.

(b) Actual expenses incurred for meals and lodging while traveling outside of 

the city/county of ___________ in the course of this representation must 

conform to the prevailing limitations placed upon travel and subsistence 

expenses for federal judiciary employees in accordance with existing 

government travel regulations. For specific details concerning high cost 

areas, counsel should consult the clerk.

 (c) Telephone toll calls, telegrams, photocopying, and photographs can all be 

reimbursable expenses if reasonably incurred. However, general office 

overhead, such as rent, secretarial help, and telephone service, is not a 

reimbursable expense, nor are items of a personal nature. In addition, 

expenses for service of subpoenas on fact witnesses are not 

reimbursable, but rather are governed by Fed.R.Crim.P. 17 and 28 U.S.C. 

§ 1825. 

3. Further Guidance

Answers to questions concerning services provided under the CJA can generally be 

found in (1) 18 U.S.C. § 3006A; (2) the Plan of the United States District Court for 

__________________, available through the clerk; and (3) Guide, Vol. 7A (Guidelines 

for Administering the CJA and Related Statutes), published by the Administrative Office 

of the U.S. Courts, also available through the clerk. Should these references fail to 

provide the desired clarification or direction, counsel should address their inquiries 

directly to me or my staff.

 __________________________________________________________

 United States District Judge Date

 Approved:

 ________________________________________________________

 Chief Judge of the United Date

 States Court of Appeals for the

 ______ Circuit
Last substantive revision (Transmittal GR-17) January 20, 2010 

Last revised (minor technical changes) February 6, 2019

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 3: Authorization and Payment for Investigative, Expert, or Other Services

Appx. 3C: Procedures for Interim Payments to Service Providers in 

Capital Proceedings

1. The district court issues a Memorandum Order to persons providing investigative, 

expert, and other services under 18 U.S.C. § 3006A(e), and 18 U.S.C. § 3599(f)

and (g)(2), outlining payment procedures and specifically addressing payment for 

actual expenses, travel, and compensation. See: Sample Memorandum Order, 

below.

2. If excess payment (i.e., more than $7,500 for all such services in a case) is 

anticipated, written approval of the procedure must be obtained from the chief 

judge of the circuit or his or her delegate prior to issuance of the Memorandum 

Order. If excess payment was not anticipated, but becomes apparent during the 

provision of services, approval must be obtained at that point.

3. Once it is issued, a copy of the Memorandum Order should be furnished to the 

CJA claims coordinator.

4. Form CJA 31 should be submitted for each service provider with full 

documentation of all expenses claimed on the voucher.

5. Assign a number to each voucher processed for payment.

6. Item 17 of the Form CJA 31 must be completed to indicate the time period 

covered by the voucher and whether it is for the final payment or for an interim 

payment.

7. If the court has selected OPTION A of the Sample Memorandum Order, the final 

voucher should:

(a) set forth in detail the time and expenses claimed for the entire case;

(b) reflect all compensation and reimbursement previously received;

(c) show the net amount remaining to be paid; and
Guide to Judiciary Policy, Vol. 7A, Appx. 3C Page 2

(d) be approved by the chief judge of the circuit or his or her delegate if the 

total claim for the case is in excess of the statutory limits.

8. If the court has selected OPTION B of the Sample Memorandum Order and 

established intervals for the submission of cumulative vouchers for the balance of 

amounts withheld from the interim vouchers, each cumulative voucher should:

(a) be labeled “Cumulative Voucher”;

(b) set forth in detail the time and expenses claimed for the pre-established 

time interval;

(c) reflect all compensation and reimbursement previously received during the 

pre-established time interval;

(d) show the net amount remaining to be paid; and

(e) be approved by the chief judge of the circuit or his or her delegate.
Guide to Judiciary Policy, Vol. 7A, Appx. 3C Page 3 

Sample Memorandum Order

(To Be Used in Capital Proceedings)

Memorandum to All Service Providers Under Subsection (e) of the Criminal Justice Act 

(CJA), 18 U.S.C. § 3006A, and 18 U.S.C. § 3599(f) and (g)(2), in the Case of

Name: __________________________________

Number: _________________________________

RE: Interim Payments for Services Other Than Counsel

Because of the expected length of the proceedings in this [federal capital prosecution] 

[federal capital habeas corpus case], and the anticipated hardship on persons providing 

services under 18 U.S.C. § 3006A(e), and 18 U.S.C. § 3599(f) and (g)(2), for such a 

period without payment, in accordance with Guide to Judiciary Policy (Guide), 

Volume 7A, § 660.40, the following procedures for interim payments apply during the 

period of time in which you provide services in connection with this case:

1. Submission of Vouchers

Persons providing services under 18 U.S.C. § 3006A(e), and 18 U.S.C. § 3599 (f) and 

(g)(2), shall submit to the court clerk, twice each month, an interim Form CJA 31, Death 

Penalty Proceedings: Ex Parte Request for Authorization and Voucher for Expert and 

Other Services. Compensation earned and reimbursable expenses incurred from the 

first to the fifteenth days of each month shall be claimed on an interim voucher 

submitted no later than the twentieth day of each month, or the first business day 

thereafter. Compensation earned and reimbursable expenses incurred from the 

sixteenth to the last day of each month shall be claimed on an interim voucher 

submitted no later than the fifth day of the following month, or the first business day 

thereafter. The first interim voucher submitted must reflect all compensation claimed 

and reimbursable expenses incurred from the date on which your services were first 

retained to and shall be submitted no later than ; thereafter, the 

vouchers shall be submitted twice each month according to the schedule outlined 

above. Claimants must complete Item 17 of each interim voucher submitted. Each 

interim voucher will be assigned a number when processed for payment. Interim 

vouchers shall be submitted in accordance with this schedule even though little or no 

compensation or expenses are claimed for the respective period. All interim vouchers 

must be supported by detailed and itemized time and expense statements. Guide, 

Volume 7A, Chapter 6 and Chapter 3, outlines the procedures and rules for claims by 

persons providing services under 18 U.S.C. § 3006A(e), and 18 U.S.C. § 3599(f) and 

(g)(2), and should be followed regarding each voucher.

I will review the interim vouchers when submitted, particularly with regard to the amount 

of time claimed, and will authorize compensation to be paid for 80 percent of the 
Guide to Judiciary Policy, Vol. 7A, Appx. 3C Page 4 

approved number of hours. This compensation will be determined by multiplying 80 

percent of the approved number of hours by the applicable rate. I will also authorize for 

payment all reimbursable expenses reasonably incurred.

[Select Option A or B]

OPTION A

At the conclusion of the period during which you provide services in this case, you shall 

submit a final voucher seeking payment of the 20 percent balance withheld from the 

earlier interim vouchers, as well as payment for services rendered during the final 

interim period. The final voucher must set forth in detail the time and expenses claimed 

for the entire case, including all appropriate documentation. A statement should be 

attached to the voucher that reflects all compensation and reimbursement previously 

received, as well as the net amount remaining to be paid at the conclusion of the case. 

After reviewing the final voucher, I will submit it to the chief judge of the circuit, or his or 

her delegate, for review and approval. I will certify that the total payment amount is 

necessary to provide fair compensation for services of an unusual character or duration. 

If the total payment for a service provider does not exceed $7,500, and if it is anticipated 

that the combined payments for all providers of investigative, expert, and other services 

will not exceed $7,500, then I will approve the final voucher.

OPTION B

Every months, counting from the submission date for the first interim voucher, 

until the conclusion of the services, claimants shall submit a cumulative interim voucher 

seeking payment of the outstanding 20 percent balance withheld from all earlier interim 

compensation paid out during the preceding ______-month interval, as well as payment 

for services rendered during the last interim period of the interval. The cumulative 

interim voucher shall be labeled as such and must set forth in detail the time and 

expenses claimed for the entire interval, including all appropriate documentation. A 

statement must be attached to the cumulative interim voucher, which reflects all 

compensation and reimbursement previously received, as well as the net amount 

remaining to be paid at the end of the interval. At the conclusion of the period during 

which you provide services in this case, you shall submit a final cumulative voucher 

seeking payment of the 20 percent balance withheld from the interim vouchers 

processed during the final interval, as well as payment for services rendered during the 

last interim period of the interval. After reviewing the cumulative interim voucher, I will 

submit it to the chief judge of the circuit, or his or her delegate, for review and approval. 

I will certify that the total payment amount is necessary to provide fair compensation for 

services of an unusual character or duration. If the total payment for a service provider 

does not exceed $7,500, and if it is anticipated that the combined payments for all 

providers of investigative, expert, and other services will not exceed $7,500, then I will 

approve the final cumulative voucher seeking payment of the 20 percent balance 
Guide to Judiciary Policy, Vol. 7A, Appx. 3C Page 5 

withheld from the interim vouchers processed during the final interval, as well as 

payment for services rendered during the last interim period of the interval.

2. Reimbursable Expenses

Persons providing services under 18 U.S.C. § 3006A(e), and 18 U.S.C. § 3599(f) and 

(g)(2), may be reimbursed for out-of-pocket expenses reasonably incurred incident to 

the rendering of services.

The following additional guidelines may be helpful:

(a) Case related travel by privately owned automobile should be claimed at 

the rate of ___ cents per mile, plus parking fees, ferry fares, and bridge, 

road, and tunnel tolls. Transportation other than by privately owned 

automobile should be claimed on an actual expense basis. Air travel in 

“first class” is prohibited. For service providers requiring air travel, counsel 

are encouraged to contact the clerk for air travel authorization at 

government rates.

(b) Actual expenses incurred for meals and lodging while traveling outside of 

the city/county of in the course of this representation must 

conform to the prevailing limitations placed upon travel and subsistence 

expenses for federal judiciary employees in accordance with existing 

government travel regulations. For specific details concerning high cost 

areas, counsel should consult the clerk.

(c) Telephone toll calls, telegrams, photocopying, and photographs can all be 

reimbursable expenses if reasonably incurred. However, general office 

overhead, such as rent, secretarial help, and telephone service, is not a 

reimbursable expense, nor are items of a personal nature. In addition, 

expenses for service of subpoenas on fact witnesses are not reimbursable 

but rather are governed by Fed.R.Crim.P. 17 and 28 U.S.C. § 1825. 

3. Further Guidance

Answers to questions concerning services provided pursuant to 18 U.S.C. § 3006A(e)

and 18 U.S.C. § 3599, can generally be found in (1) these statutes; (2) the Plan of the 

United States District Court for ______________, available through the clerk; and (3)

Guide, Volume 7A (Guidelines for Administering CJA and Related Statutes), published 

by the Administrative Office of the U.S. Courts, also available through the clerk. Should 

these references fail to provide the desired clarification or direction, counsel should 

address their inquiries directly to me or my staff.

__________________________________________________________
Guide to Judiciary Policy, Vol. 7A, Appx. 3C Page 6 

United States District Judge Date

Approved:

 __________________________________________________________

Chief Judge of the United Date

States Court of Appeals for the

________Circuit
Last substantive revision (Transmittal 07-003) February 15, 2011

Last revised (minor technical changes) February 6, 2019

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 3: Authorization and Payment for Investigative, Expert, or Other Services

Appx. 3D: Sample Order Authorizing the Acquisition of Computer 

[Hardware and/or Software] Under the CJA

(Note: Footnotes explain options or provide suggestions to the presiding judicial 

officer.)

IN THE UNITED STATES DISTRICT COURT 

FOR THE _______ DISTRICT OF ________

United States of America

v. 

 No. 

Defendant #1 ORDER AUTHORIZING ACQUISITION

Defendant #2 OF [HARDWARE AND/OR SOFTWARE]

Defendant #3 UNDER THE CRIMINAL JUSTICE ACT

Defendant #4

___________________________________________________________________

The above-named defendants,1 having been found to be eligible for services under the 

Criminal Justice Act (CJA), 18 U.S.C. § 3006A, have submitted an ex parte2 application 

1 In most cases, counsel for one defendant is likely to make application on behalf of all 

co-defendants. Courts should encourage cooperation among defendants in multi-defendant 

cases and urge them to agree on needs before application is made.

2 Guide to Judiciary Policy, Volume 7A, § 310.30 anticipates an ex parte application for 

“services other than counsel” and instructs that applications “must be heard in camera” and are 

not to be revealed without the consent of the defendant.
Guide to Judiciary Policy, Vol. 7A, Appx. 3D Page 2 

2

for the approval of CJA funds to purchase computer [hardware and/or software3], 

litigation support products and/or obtain litigation support services, personnel or experts 

as authorized by subsection (e) of the CJA [18 U.S.C. § 3006A(e)]. 

The Court finds, after inquiry and counsel’s consultation with the Defender Services 

Office of the Administrative Office of the United States Courts (AO),4 that the item(s) and 

service(s) listed below is [are] necessary for an adequate defense and constitute unusual 

or extraordinary expenses.5 

The Court, therefore, approves the acquisition of the following:

[1.]

[2.]

[3.]

[4.]

in the amounts listed for each item and a total expenditure not to exceed [the sum of all 

items approved6].

3 Hardware includes computers, laptops, CD drives, printers, scanners, memory boards 

or related tangible items. Software includes operating and application programs.

4 When computer hardware or software costs exceed the limitations in Guide to Judiciary 

Policy, Volume 7A, § 310.20.30(a) or when the combined cost of computer system fees, litigation 

support products, services, personnel, or experts is expected to exceed $10,000, applicants 

must consult with the National Litigation Support Administrator and the National Litigation 

Support Team in the AO’s Defender Services Office (510-637-3500) before submitting an 

application for funds to the Court. The Defender Services Office will provide technical advice to 

counsel to ensure the items requested are necessary, appropriate, and compatible with systems 

currently being used by counsel. Counsel is required to include, in writing, the advice and 

recommendation of the Defender Services Office in the application to the Court. See: Guide, 

Volume 7A, § 320.70. The presiding judicial officer or the clerk also may wish to seek advice 

from the Defender Services Office.

5 Under Guide, Volume 7A, § 320.70, approval for “unusual or extraordinary expenses” is 

authorized when “the circumstances from which the need arose would normally result in an 

additional charge to a fee-paying client over and above that charged for overhead expenses.” 

The Court has discretion to determine when that condition is met. Circumstances of 

extraordinary expense may include but are not limited to: massive documentary discovery; 

voluminous electronically stored information (ESI); numerous hours of wiretap tapes; complex 

financial transactions; and national security concerns requiring disclosure, but no copying, of 

discovery. In all cases, the decision to approve expenses for hardware or software is a matter 

for the presiding judge (and if above the case compensation maximum, for the chief judge of the 

court of appeals, or designee of the chief judge).

6 The Court may wish to authorize acquisition of each specific item and a total cost ceiling 

but allow the designated purchaser some leeway to negotiate prices for individual items.
Guide to Judiciary Policy, Vol. 7A, Appx. 3D Page 3 

3

It is further ordered that counsel must acquire the approved items in conformance with 

Guide to Judiciary Policy, Volume 7A, § 320.70. Both the acquisition of the computer 

software and/or hardware and the procurement of litigation support services, should be 

submitted on Form CJA 21 (Authorization and Voucher for Expert and Other Services)

or, in a death penalty proceeding, Form CJA 31 (Death Penalty Proceedings: Ex Parte 

Request for Authorization and Voucher for Expert and Other Services). Upon actual 

purchase, counsel shall provide the AO’s Defender Services Office with a copy of the 

court’s order approving the request, a copy of the completed Form CJA 21 (or Form CJA 

31), the purchase order from the vendor and any receiving documents. These 

documents should be sent to: National Litigation Support Team, Federal Public 

Defender Organization, 555 12th Street, Suite 650, Oakland, CA 94607-3627.

Because this [hardware and/or software] is [are] for the use of counsel appointed under 

the CJA and is being purchased with United States government funds, it is further 

ordered that the approved items are and will remain the property of the United States.

The item[s] is [are] to be used only in the course of the representation of the abovenamed defendant[s]. Counsel must use due diligence and care to maintain the property 

in good condition.

Unless otherwise ordered by the Court, within 30 days after final judgment is entered as 

to a defendant, appointed counsel for that defendant is directed to contact the National 

Litigation Support Team in the AO’s Defender Services Office at 510-637-3500 for 

instructions on returning any software, and directions for deleting case-related material 

from any hardware and returning it to the National Litigation Support Team for the 

permanent removal of case-related material. If appointed counsel has acquired 

software, then counsel should provide all accounting information for the software, 

including any serial numbers, activation codes, or other identifying information, and 

remove the software from his or her machines. If appointed counsel acquired computer 

hardware, it must be returned in good condition. Counsel should retain copies, 

electronic or otherwise, of the deleted information for the client’s file.7

7 While it is preferable that counsel retain copies of the deleted information in the client 

files, there may be some cases where it is impossible or prohibited by law. For example, the 

retention of discovery that implicates a national security concern may be barred by federal law.
Last revised (Transmittal 07-015) July 25, 2023

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 4: Defender Organizations

§ 410 Overview

§ 410.10 Statutory Authority

§ 410.20 Judicial Conference Policy

§ 420 Types of Defender Organizations

§ 420.10 Federal Public Defender Organizations

§ 420.20 Community Defender Organizations

§ 430 Transcripts, Investigative, Expert, and Other Services

§ 430.10 Payment of Transcripts

§ 430.20 Payment of Investigative, Expert, and Other Services

§ 440 Assignment of Cases

§ 450 Apportionment of Cases Between Defender Organizations and the Panel

§ 460 Participation as Amicus Curiae

Appendices

Appx. 4A Community Defender Organization: Grant and Conditions

Appx. 4B Model Code of Conduct for Federal Community Defender Employees

§ 410 Overview

§ 410.10 Statutory Authority

(a) Subsection (g) of the Criminal Justice Act (CJA) (18 U.S.C. § 3006A(g)), 

as amended, is intended to provide an option for the establishment of a 

public defender organization or community defender organization. A 

district, or part of a district in which at least 200 persons annually require 

the appointment of counsel, may establish a defender organization. Two 

adjacent districts or parts of districts may aggregate the number of 

persons required to be represented to establish eligibility.

(b) If an eligible court desires to provide for representation by a public 

defender organization or a community defender organization as provided 
Guide to Judiciary Policy, Vol. 7A, Ch. 4 Page 2 

under 18 U.S.C. § 3006A(g), then 18 U.S.C. § 3006A(a) of the CJA 

applies. The CJA directs each district court to place in operation its own 

plan for furnishing representation under the terms of the CJA, after the 

approval of the plan by the judicial council of the circuit court of appeals 

and under rules and regulations established by the Judicial Conference of 

the United States.

(c) It is intended that all provisions of the CJA be administered efficiently and 

economically. 18 U.S.C. § 3006A(g) is intended to provide an option in 

the plan for the establishment of a public defender organization or 

community defender organization. Only one such organization should be 

approved for any district or part of a district in the absence of a clearly 

demonstrated showing of the need and feasibility of more than one such 

organization. It is the sense of the Judicial Conference that competitive 

organizations in the area should be avoided. The statute prohibits the 

authorization of more than one federal public defender organization within 

a single judicial district.

§ 410.20 Judicial Conference Policy

§ 410.20.10 Recommended Amendments to the Criminal Justice Act 

The Judicial Conference has recommended that the CJA be amended to:

(a) Eliminate the requirement that a district receive at least 200 CJA 

appointments annually in order to qualify for the establishment of a federal 

public defender organization or a community defender organization; and

(b) Require that a federal public defender organization or community defender 

organization be established in all judicial districts, or combination of 

districts, where:

• such an organization would be cost effective;

• more than a specified number of appointments is made each year; or

• the interests of effective representation otherwise require 

establishment of such an office.

See: JCUS-MAR 1993, p. 23; JCUS-SEP 1995, p. 25.

§ 410.20.20 Establishment of Federal Defender Organizations

(a) A federal public or community defender organization should be 

established in every district that has 200 or more appointments each year. 
Guide to Judiciary Policy, Vol. 7A, Ch. 4 Page 3 

(b) If a district does not have a sufficient number of cases, then a defender 

organization adjacent to the district should be considered for codesignation to provide representation in that district.

See: JCUS-SEP 2018, p. 39.

§ 420 Types of Defender Organizations

§ 420.10 Federal Public Defender Organizations

§ 420.10.10 Appointment of the Federal Public Defender

The federal public defender is appointed by the circuit court of appeals for a term of four 

years, unless sooner removed. Upon the expiration of the term a federal public 

defender may, by a majority vote of the judges of the court of appeals, continue to 

perform the duties of the office until a successor is appointed, or until one year after the 

expiration of such defender’s term, whichever is earlier.

§ 420.10.20 Appointment of Federal Public Defender Organization Staff

(a) The federal public defender organization consists of one or more full-time 

salaried attorneys. The federal public defender may appoint:

• full-time attorneys in such number as may be approved by the court of 

appeals of the circuit; and

• other personnel as approved by the Director of the Administrative 

Office of the United States Courts (AO).

(b) The federal public defender and staff are subject to the provisions of 

5 U.S.C. § 2104 and § 2105. 

§ 420.10.25 Setting the Number of Assistant Federal Public Defenders in a District

Circuit court judges should give due weight to Defender Services Office 

recommendations and Judicial Conference-approved Judicial Resources Committee 

staffing formulas when approving the number of assistant federal defenders in a district. 

See: JCUS-MAR 2019, pp. 19-20.

§ 420.10.30 Compensation of Federal Public Defender and Staff

(a) The circuit court of appeals determines the compensation of the federal 

public defender, which may not exceed the compensation received by the 

U.S. attorney for the same district. In determining the rate of 

compensation of the federal public defender, the court of appeals will take 

into account the:
Guide to Judiciary Policy, Vol. 7A, Ch. 4 Page 4

• size of the office;

• number of employees required; and

• responsibilities of the public defender and staff as compared with the 

same requirements and responsibilities of the U.S. attorney and staff.

(b) The federal public defender determines the compensation of assistant 

defenders and other personnel, which may not exceed the compensation 

paid to attorneys and other personnel of similar qualifications, experience, 

and responsibilities in the office of U.S. attorney for the same district.

§ 420.10.40 Appointment of a Committee to Assess the Qualifications of Federal Public 

Defender Candidates and of the Federal Public Defender for Reappointment

(a) In view of the intent of Congress to insulate the federal public defender 

from the involvement of the district court before which the defender 

principally practices, the recruitment and screening of candidates for the 

office of federal public defender and the evaluation of federal public 

defender performance prior to reappointment should be a function of the 

court of appeals rather than the district court.

(b) In carrying out this responsibility, the chief judge of the court of appeals 

should appoint a committee to assess the performance and potential for 

future performance of the federal public defender candidates or incumbent 

federal public defender. The committee should consist of persons 

knowledgeable in federal criminal defense issues, but should not include 

probation, pretrial services, law enforcement, or prosecutorial personnel.

§ 420.10.50 Committee Selection of the Federal Public Defender

(a) In recruiting and selecting candidates for the office of federal public 

defender, the committee should seek attorneys with the following 

qualifications:

(1) a member in good standing in the bar of the state in which the 

candidate is admitted to practice;

(2) a minimum of five years criminal practice experience, preferably 

with significant federal criminal trial experience, which 

demonstrates an ability to provide zealous representation of 

consistently high quality to criminal defendants;

(3) the ability to effectively administer the office;

(4) a reputation for integrity; and
Guide to Judiciary Policy, Vol. 7A, Ch. 4 Page 5

(5) a commitment to the representation of those unable to afford 

counsel.

(b) The committee should solicit the views of those in a position to evaluate 

the performance of the candidates, including, but not limited to judges and 

U.S. magistrate judges of courts in which the candidate has practiced.

(c) A national vacancy notification effort consistent with equal employment 

opportunity standards should be undertaken in connection with the 

recruitment of candidates for vacant federal public defender positions. The 

AO Defender Services Office should be contacted for advice and financial 

support in this regard.

(d) The committee should screen applications and submit the names of three 

to five candidates ranked in order of preference to the district court for 

comment and recommendation. Pursuant to the provision of the CJA 

requiring the court of appeals to consider the recommendation of the 

district court or courts to be served, the recommendations of the district 

court must be included in the committee’s report to the court of appeals, 

along with the committee’s response to the district court’s comments and 

recommendations, where appropriate.

(e) When a candidate is selected, the AO Defender Services Office should be 

notified promptly of the nominee so that it may initiate any background 

investigation requested by the court of appeals.

§ 420.10.60 Reappointment of the Federal Public Defender

(a) The committee should assess the following before deciding whether the 

reappointment of an incumbent federal public defender is warranted:

• quality of representation;

• level of commitment and service to clients; and

• administrative efficiency of the federal defender office.

In this process, it should solicit the views of those in a position to evaluate 

the performance of the federal public defender and the quality of the 

services provided by the federal public defender organization, including, 

but not limited to, judges and U.S. magistrate judges of courts served by 

the organization.

(b) The federal public defender should be given an opportunity to respond to 

adverse comments, including adverse comments that would not influence 

the decision to reappoint, so that the defender may benefit from 

constructive criticism. The committee will not disclose the identity of any 
Guide to Judiciary Policy, Vol. 7A, Ch. 4 Page 6 

person who requests confidentiality, but will provide the defender with a 

general description of the source and nature of the comments.

(c) The committee’s report and assessment, including any recommendations 

from the district court to be served, should be considered by the court of 

appeals in determining whether to appoint or reappoint a particular 

individual as the federal public defender.

§ 420.20 Community Defender Organizations

(a) A community defender organization must be a nonprofit defense counsel 

service. The organization’s stated purposes must include implementation 

of the aims and purposes of the CJA. Its bylaws must demonstrate that it 

is an organization with a professional and fiscal responsibility capable of 

providing adequate representation under the CJA. The bylaws must be 

provided in the plan for the district authorizing a community defender 

organization. It may operate either on the fee system or through grants to 

be approved by the Judicial Conference.

(b) If a community defender organization that has been approved under the 

plan for the district court applies for any grant, it must do so on a form 

prepared by the Director of the AO (Director) for the use of the Judicial 

Conference in considering applications for such grants. The receipt and 

use of grant funds are subject to the conditions in Appx. 4A (Community 

Defender Organization: Grant and Conditions). Community defender 

organizations must agree to and accept these conditions before grant 

payments are issued.

(c) A Model Code of Conduct for Federal Community Defender Employees is 

provided in Appx. 4B. Unless a variance from one or more of the Model 

Code’s provisions is sought from, and approved by, the AO Defender 

Services Office, the community defender organization’s board of directors 

must adopt the Model Code of Conduct as provided in Appx. 4B and make 

it applicable to all of the community defender organization’s employees. 

See: Clause 22 of Appx. 4A (Community Defender Organization: Grant 

and Conditions). 

(d) The Director has delegated authority to the Chief of the AO Defender 

Services Office to:

(1) sign and manage Director-approved Grant and Conditions 

agreements with community defender organizations; 

(2) establish, manage, and modify disbursement schedules within the 

current grant ceilings as needed for representations and other

expenses under the Criminal Justice Act; and
Guide to Judiciary Policy, Vol. 7A, Ch. 4 Page 7 

(3) modify current grant ceilings, by written amendment and subject to 

the availability of funds, up to the annual amount approved by the 

Judicial Conference’s Committee on Defender Services, to include 

any additional authorities delegated by the Committee to the AO 

Defender Services Office. 

(e) The Director retains authority to approve all other substantive 

modifications, exceptions, or waivers to the terms of community defender 

office Grant and Conditions agreements. 

§ 430 Transcripts, Investigative, Expert, and Other Services

§ 430.10 Payment of Transcripts

(a) All defender organizations have general authorization to procure 

transcripts, provided that total expenditures for transcripts do not exceed 

the funding available in the budget object code (BOC) for transcripts.

(b) The limitations in Guide, Vol. 7A, § 310.20 are inapplicable to the cost of 

transcripts and do not apply to federal public or community defender 

organizations.

(c) The general authorization provided above includes supplemental funds

provided for the transcripts or funds transferred to the transcripts BOC 

from other BOCs.

(d) Once the federal public or community defender has obligated all funds in 

the transcripts BOC, it will be necessary to transfer funds from other 

BOCs, or to seek supplemental funds to cover additional expenditures.

§ 430.20 Payment of Investigative, Expert, and Other Services

(a) All defender organizations have general authorization to procure 

investigative, expert and other services as contemplated under 18 U.S.C. 

§ 3006A(e), as amended, provided that total expenditures for the BOCs 

that comprise investigative, expert and other services do not exceed the 

funding available in those BOCs.

(b) The limitations in Guide, Vol. 7A, § 310.20 do not apply to federal public or 

community defender organizations.

(c) The general authorization provided above includes supplemental funds 

provided in the investigative, expert and other services BOCs, or funds 

transferred to those BOCs.
Guide to Judiciary Policy, Vol. 7A, Ch. 4 Page 8 

(d) Once the federal public or community defender has obligated all funds in 

any of the investigative, expert and other services BOCs, it will be 

necessary to transfer funds from other BOCs or to seek supplemental 

funds to cover additional expenditures.

§ 440 Assignment of Cases

To ensure the effective supervision and management of the organization, federal public 

defenders and community defenders should be responsible for the assignment of cases 

within their own offices. Accordingly, appointments by the court or U.S. magistrate 

judge should be made in the name of the organization (i.e., the federal public defender 

or community defender), rather than in the name of an individual staff attorney within the 

organization.

§ 450 Apportionment of Cases Between Defender Organizations 

and the Panel

(a) Recognizing that federal defender organizations consistently furnish highquality representation to CJA defendants and provide a cost-effective 

alternative to representation by CJA panel attorneys, the Judicial 

Conference has recommended that courts take steps to increase the 

number of cases assigned to federal defender organizations. JCUS-MAR 

1993, pp. 13-14.

(b) In districts currently served by a defender organization these steps should 

include:

(1) approval of additional assistant federal defender staff in appropriate 

circumstances; and

(2) review and adjustment of district appointment procedures.

§ 460 Participation as Amicus Curiae

Under governing court rules, federal public defenders and community defenders may 

participate as amicus curiae: 

(a) in federal court at the invitation of the court;

(b) in death penalty habeas corpus cases; or

(c) on behalf of a client as an ancillary matter appropriate to the proceedings.
Last revised (Transmittal 07-006) April 2, 2013

Last revised (minor technical changes) January 9, 2020

Guide to Judiciary Policy, Volume 7A, Appendix 4A (Community Defender 

Organization: Grant and Conditions)

JUDICIAL CONFERENCE

OF THE UNITED STATES OF AMERICA

AND

COMMUNITY DEFENDER ORGANIZATION

FOR THE ___________ DISTRICT OF ___________ 

FISCAL YEAR 2020 

GRANT AND CONDITIONS 

 The Community Defender Organization (CDO), _______________________________ 

(hereinafter Grantee), operating as a non-profit corporation, has been authorized by the Criminal 

Justice Act Plan of the __________ District of ___________________ to provide representation

and related defense services to eligible persons pursuant to paragraph (g)(2)(B) of the Criminal 

Justice Act, as amended, 18 U.S.C. § 3006A (hereinafter CJA); and 

 

Grantee has submitted the appropriate documentation to the Judicial Conference of the 

United States (hereinafter Conference) via the Administrative Office of the United States Courts 

(AOUSC) (hereinafter Grantor); and

 Grantor provides a grant to grantee, subject to the availability of appropriated funds for 

fiscal year (FY) 2020, commencing on October 1, 2019, and terminating on September 30, 2020. 

The FY 2020 budget will be emailed to the Executive Director and Administrative Officer by 

Grantor on October 1, 2019. In the event that Congress fails to enact an annual appropriations 

act covering expenditures for the judiciary by that date, Grantor will provide Grantee a specific 

amount to continue operations until enactment of the judiciary’s annual appropriations act. 

Grantor will amend this amount in writing as necessary to continue Grantee operations within the 

approved 2020 budget until sufficient budgetary resources are enacted and made available to 

Grantor to provide the amount provided in the final budget. 

 

Pursuant to its authority under subsections (g)(2)(B) and (h) of the CJA, and in 

consideration of this grant, the Conference requires that each expenditure of funds from this

grant comply with the terms and conditions contained in this agreement. Grantor may grant 

exceptions or waivers to any provision in this agreement, as appropriate and consistent with the 

CJA and other federal laws. 

Grantee, by signature of its authorized representative, at the end hereof, signifies its 

acceptance of the terms and conditions set forth below, as well as its agreement to comply with 

the provisions of the CJA, the Guidelines for the Administration of the Criminal Justice Act and 

Related Statutes (CJA Guidelines), Volume 7, Guide to Judiciary Policy, any other relevant 

policies or directives issued by the Conference or by its appropriate committees (e.g., the 
Community Defender Organization: Grant and Conditions Page 2 

Conference’s Defender Services Committee (DSC)), and the CJA plans of the judicial district(s)

and circuit in which Grantee will operate.

 Any question with respect to the interpretation of terms, conditions, or provisions of this 

grant will be resolved by Grantor. 

 A signed copy of this agreement shall be returned to Grantor together with a list of the 

names, addresses, email addresses, and telephone numbers of all current board members.

l. USE OF GRANT FUNDS: Once awarded to Grantee, grant funds will be distributed 

generally pursuant to a schedule promulgated by Grantor. Grant funds are only available for 

expenditures and obligations incurred during FY 2019, and, except as provided in Clause 4, only 

in accordance with and in such amounts as are provided in designated budget categories as 

authorized by the Conference. Grantee will use such funds solely for the purpose of providing 

representation and other appropriate services in accordance with the CJA, the CJA Guidelines, 

and the CJA plans of the appropriate district and circuit courts.

 

2. BANK ACCOUNTS FOR GRANT FUNDS: Grantee will maintain grant funds in 

federally insured interest or credit bearing accounts in accordance with provisions of 31 CFR 202

and will ensure that amounts in excess of federal insurance limits are collateralized before 

depositing the funds. Grant funds, grant-related income, and any non-grant funds will be 

maintained separately and will not be commingled with one another. Credits or interest earned 

on the grant funds account may be used to offset account maintenance fees. Any excess interest 

on grant funds must be returned to Grantor within 60 days of the grant’s expiration. Grantee 

shall submit to Grantor via AOUSC, Finance and Accounting Division, ATTN: Mail Stop FAD 

CR, the actual or estimated amount of grant-related interest. The amount of excess interest 

returned as an estimate will be adjusted, if necessary, following completion of the annual grantor 

audit specified in clause 8.

3. GRANT-RELATED INCOME: Grant-related income means any gross income earned by 

Grantee that is directly generated by a supported activity or earned as a result of the award. 

Grant-related income includes, but is not limited to, income from recovery of fees for services 

performed, the sale of commodities or items fabricated under the award, or interest earned on 

grant-related income. Interest earned on advances of grant funds from Grantor is not grantrelated income and is addressed in clause 2. 

Grant-related income shall be retained by Grantee and shall be used in accordance with 

the CJA and the terms and conditions of this agreement. Grant-related income shall not be 

commingled with any grant or non-grant funds maintained by Grantee. Grantee shall report the 

amount of grant-related income retained by Grantee on or about July 1, each year. 

4. REALLOCATING FUNDS: Subject to such limitations as the DSC may establish, Grantee

may reallocate grant funds between budget categories (i.e., for purposes not specifically 

identified in the funding justification), provided that the aggregate of the amounts transferred 

within the fiscal year does not exceed 15 percent of the organization's total fiscal year grant 
Community Defender Organization: Grant and Conditions Page 3

amount approved by the DSC. Grantor may authorize reallocation between budget categories in 

any amount.

5. ACCOUNTING OF UNOBLIGATED BALANCES: Grantee shall perform a review of 

obligations of grant funds, at the close of the fiscal year, and will make records of this review 

available during the annual audit pursuant to clause 8. Within 60 days of the end of the fiscal 

year, Grantee shall submit to Grantor the actual or estimated amount of all unobligated grant 

funds awarded under this document, excluding any grant-related income, remaining at the end of 

the fiscal year, unless otherwise authorized by Grantor. The grant amount reflected in clause 3

of this agreement will be reduced by the final, prior-year unobligated balance set forth by the

final audit report required under clause 8. Grantee shall include a statement identifying which 

portion of the unobligated balance represents grant funds and excess grant interest pursuant to 

clause 2.

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

submit an Annual Report of Operations setting forth its activities and financial position each

fiscal year. Instructions for completing and submitting the Annual Report of Operations will be 

provided to Grantee by Grantor at least thirty (30) days prior to the submission date.

Other reports must be submitted to Grantor each month, including, but not limited to, the 

electronic status of funds report (ESFR), the monthly staffing and workload report (MWSR), the 

monthly caseload report (JS-50), the Timekeeper report, the dData disposition report, and the 

salary report.

7. GRANT RECORDS AND REPORTS: Grantee shall keep financial records in accordance

with the federal fiscal year unless a waiver is granted by Grantor. Such records shall be 

maintained and submitted in such manner and form as required by Grantor. Such records shall

disclose the amount of grant funds, grant interest, and grant-related income received during the 

fiscal year, as well as the amount of grant funds expended or obligated by budget category and 

the total amount of grant funds expended during the fiscal year.

The record-keeping procedures utilized by Grantee shall provide for the accurate and 

timely recordation and determination of all income and funds received, all expenditures and 

obligations, and the balance of unexpended and unobligated grant funds, grant interest, and 

grant-related income. In addition, Grantee shall maintain the records in such a manner as to 

permit the determination of the propriety of all expenditures and obligations of grant funds and 

the charges to specific budget categories.

Grantee shall maintain records concerning expenditures and obligations of all funds 

subject to audit (as specified in clause 8) in such a manner as to allow the auditor access to said 

records without compromising client files and other attorney-client privileged material. Grantee

is obligated to maintain the confidentiality of information protected by the attorney-client 

privilege or any ethical, constitutional, statutory, or other mandate.
Community Defender Organization: Grant and Conditions Page 4

Grantor may inspect and audit the financial records, bank statements, and other records 

related to the expenditure of grant funds, at any reasonable time upon request. If, because of 

inadequate records, documentation, or explanation, the propriety of an expenditure cannot 

readily be determined, questionable costs and expenditures may be disallowed.

Grantee shall maintain and submit such statistical records and reports as may be required 

by Grantor. Grantee must keep financial and statistical records and reports for a period of at 

least seven years after the expiration of the fiscal year for which the grant was awarded unless 

otherwise authorized by Grantor. If audit issues remain unresolved, records must be retained 

until all such issues have been resolved.

8. AUDITS: Within 120 days of the end of the fiscal year, an auditor (hereafter, “Auditor”) 

contracted and paid for by Grantor will perform an audit of Grantee's financial activities 

occurring during the grant period. Such audit will express an opinion on whether Grantee’s 

financial statements, and notes to the financial statements, present fairly the financial position of 

Grantee. The financial statements shall include a statement of assets, liabilities and net assets; a 

statement of revenue, expenses, and other changes in net assets; and a statement of cash flows.

Grantee shall compile and prepare the required statements and reports and make all 

statements, reports, financial records/books and supporting documents available to the Auditor 

(as specified in clause 7). Incidents of identified fraud, waste or abuse must be disclosed to 

Grantor and reports of those incidents will be made available to the Auditor.

The Auditor will perform the audit in accordance with the Government Auditing 

Standards promulgated by the U.S. Government Accountability Office. In accordance with those 

standards, the Auditor also will report on Grantee’s internal controls over its financial activities 

and Grantee’s compliance with the terms and conditions of the grant and other rules and 

regulations pertinent to the grant. Audits performed by independent certified public accounting 

firms under contract with Grantor are performed in accordance with the American Institute of 

Certified Public Accountants Code of Conduct and integrity and confidentiality standards. Audit 

reports issued by Grantor or its contract audit CPA firms, are intended solely for the information 

and use by Grantor and Grantee, unless otherwise specified by those parties.

Grantee may contract with local accountants for any accounting and financial services 

necessary for the operation of its office, including, but not limited to, the preparation of all 

required federal and state tax returns; payroll, disbursing, and record-keeping services; and any 

additional annual reports required by the board of directors that do not duplicate the audit

conducted under this section. Notwithstanding the foregoing, Grantee may use grant funds to 

contract with an expert for the purpose of responding to a finding of the Auditor in the annual 

audit when authorized in advance to do so by Grantor.

9. GRANTEE STATUS: Neither Grantee nor any of its employees are officers, employees, or 

agents of the United States. The United States shall in no way be obligated under leases, 

contracts, or other agreements entered into by Grantee.
Community Defender Organization: Grant and Conditions Page 5 

10. PROPERTY AND SERVICES: Title to all property, including, but not limited to, real 

property, equipment, and supplies purchased with grant funds or grant-related income shall vest 

in Grantee subject to the condition that Grantee shall use the property for the purposes authorized 

by the CJA and the terms and conditions of this agreement. Grantee may not encumber any title 

to property without the approval of Grantor. Grantee shall maintain insurance, in reasonable 

amounts, to cover the costs of replacing or repairing property acquired with grant funds due to 

damage, loss or theft.

For equipment and real property interests, when property is no longer needed, Grantee

shall request disposition instructions from Grantor except under the following conditions: 

Grantee may sell, assign, transfer, dispose of, or encumber any property of the United 

States, having an acquisition cost of less than $1,000, without the prior approval of Grantor. 

Grantee shall maintain an inventory of all property reflecting the date and cost of 

purchase of such property; the date of receipt by transfer, if applicable; and the date and manner 

of disposition of excess or surplus property. This inventory shall be available to Grantor upon 

request.

Grantee shall (1) provide Grantor with at least 15 working days advance notification of 

its intention to enter into or renew a lease for office space and (2) obtain Grantor approval prior 

to initiating lease negotiations. Advance notification shall include the total number of square 

feet, cost per square foot, the duration of the lease, and certification that at least two other 

competitive proposals were considered. 

All procurement transactions, whether negotiated or competitively bid and without regard 

to dollar value, of all property and all services (other than services under subsection (e) of the 

CJA) shall be conducted in a manner promoting maximum open competition. Grantee must 

maintain and adhere to policies promoting full and open competition in all acquisitions made 

with grant funds. No employer, officer, or agent shall participate in the selection, award, or 

administration of a contract supported by federal funds if a real or apparent conflict of interest 

would be involved. Grantee is the responsible procuring authority. By offering this grant, 

Grantor does not become a responsible party to any contract, lease, or licensing agreement

entered into by Grantee; therefore, any party entering into a contract, lease, or licensing 

agreement with Grantee does so without recourse to Grantor regarding settlement and 

satisfaction of contractual and administrative issues arising out of procurements entered into in 

support of an award or other agreement. 

 Unless otherwise authorized by Grantor, no equipment, furniture, furnishings, or other 

property, and no services (except for services as contemplated under subsection (e) of the CJA, 

leasing of office space, and procurement of liability insurance) shall be obtained with such funds 

at a total cost of more than $100,000 without advance approval of Grantor. In addition, 

hardware and software purchases must be made consistent with the specifications listed on the 

National Hardware and Software Lists and the national defender information technology 

architecture and infrastructure guidelines. 
Community Defender Organization: Grant and Conditions Page 6 

11. DISSOLUTION OF GRANTEE ORGANIZATION OR TERMINATION OF GRANT 

FUNDS: Grantee may dissolve on its own accord in accordance with the laws of the state in 

which it is organized. Grantee shall provide Grantor, chief judge of the district court, and chief 

judge of the court of appeals 90 days advance notice of its intent to dissolve. Additionally, the 

Conference in its discretion may determine to terminate or not renew the grant. The Conference, 

or its authorized representative, shall give written notice to Grantee of an intent to terminate the 

grant at least 60 days prior to taking action. Such notice shall indicate the intended action and 

the reason therefor and shall give Grantee the opportunity to respond in writing and to be heard 

within 30 days of that notice. In either event, unless otherwise authorized by Grantor, Grantee

shall properly inventory and make available for reclamation, all property in the care and custody 

of Grantee purchased with grant funds or related income. Within 75 days of dissolution, the 

Auditor, selected by Grantor, will perform a final financial audit of the grant. The audit will be 

of the same scope as discussed in clause 8. Upon receipt of the report of this audit, Grantee shall

remit to the AOUSC, Finance and Accounting Division, ATTN: Mail Stop FAD-CR, all 

remaining unobligated or unexpended grant funds, grant interest, and grant-related income. The 

United States shall not be responsible for any obligations or debts incurred by Grantee and 

Grantee shall hold the United States harmless for such obligations or debts. 

12. MULTI-SERVICE DEFENDER ORGANIZATIONS: Consistent with clause 2 of this 

agreement, if Grantee is part of a larger defender organization which is not exclusively providing 

services under the CJA, grant funds received from the Conference pursuant to the CJA, grant 

interest, and grant related income may not be commingled with those of the general organization. 

Also, expenses, inventory, payroll, and other records pertaining to CJA funds and operations of 

Grantee must be maintained separately by Grantee unless otherwise approved by Grantor. 

13. TRAVEL, MEALS, AND LODGING: Grantee’s reimbursement policies regarding 

expenses for official travel, meals, and lodging shall be in writing. Grantee shall furnish Grantor 

a current copy of the written policies and all changes thereto. Unless approved by Grantor, 

Grantee’s reimbursement policies for official travel, lodging, and meals shall not exceed the 

maximum allowances to be paid for per diem, actual expenses, and travel prescribed for federal 

judiciary employees. Grantee shall maintain records of travel and reimbursement in a form 

acceptable to Grantor. 

 Grantee must follow the policies and procedures outlined in the archived Federal 

Defenders Operations Manual, Chapter 8, available at https://dweb.fd.org/DSO/OperationsManual (and attached), specifically applicable to CDOs, regarding travel inside and outside the 

district(s) served by Grantee.

14. PERSONNEL: Personnel policies and other terms and conditions of employment shall be 

in writing. Grantor shall be furnished a current copy of such policies, and subsequently, any 

changes to those policies. Grantee shall maintain leave records in a form acceptable to Grantor. 

Grantee shall follow the policies and procedures contained in the Defender Organization 

Classification System (DOCS). No personnel vacancy shall be filled without prior notice to
Community Defender Organization: Grant and Conditions Page 7 

Grantor. Such notice shall include all relevant data concerning the employee candidate, 

including his or her name, position, starting salary (including grade and step for graded 

employees or AD level for assistant defenders), 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.

Grantee shall conform employee benefit policies on leave, holidays, hours worked, and 

payment of bar dues to those applicable to federal public defender organizations, unless a request 

for a variance is submitted to and approved by the DSC. Grantee shall provide Grantor with 

notice at least 90 business days in advance of any proposed changes to the above referenced 

policies or any other policies that may impact the organization’s current or future costs. 

Grantee’s expenditures for employee benefits shall not exceed 36.53 percent of its expenditures 

of salaries for the fiscal year.1

 If, at any point during the fiscal year, it appears Grantee’s 

expenditures for employee benefits will exceed the percentage authorized Grantee, Grantee shall

submit a written justification to the DSC’s Budget Subcommittee requesting approval to exceed 

the authorized benefit-to-salary ratio. 

15. INVESTIGATIVE, EXPERT, OR OTHER SERVICES: Pursuant to subsection (e) of 

the CJA, and to the extent that they are necessary for adequate representation of a person who is 

financially eligible under the CJA, Grantee may engage and compensate investigators, experts, 

or others from grant funds made available for that purpose. 

16. BUSINESS, ENTERTAINMENT, OR PERSONAL EXPENSES: Grantee may not 

expend grant funds for business or personal entertainment; professional or association dues, 

memberships, or fees; or items of property or services of a personal nature. 

17. TRAINING: Funds for training of employees are provided in the “other services” budget 

category of the grant. Grantees shall submit annual reports of training activities including travel 

and other expenses associated therewith. 

18. EMPLOYMENT: Grantee shall not discriminate against any employee, or applicant for 

employment, on the basis of race, color, national origin, religion, sex, age,2 or disability. 

Grantee shall not hire, promote, or advance within the organization any individual who is a 

relative3 of: (1) the federal defender, (2) any superior of the federal defender, or (3) any member 

of the board of directors. No employee of Grantee shall hire, promote, advance, or advocate the 

hiring, promotion, or advancement of his or her relative by Grantee. 

1 The limit on benefits is calculated by adding three percentage points to the national average federal public defender 

organization benefit-to-salary ratio, based on the most recently completed fiscal year.

2 Judicial Conference policy with respect to age discrimination is that the complainant must have been at least 40 

years of age at the time of the alleged discrimination.

3 For purposes of this clause, the term “relative” is defined in 5 U.S.C. § 3110(a)(3). 
Community Defender Organization: Grant and Conditions Page 8 

Grantee agrees to place in effect a program for providing equal employment to all 

persons regardless of their race, color, national origin, religion, sex, age, or disability. This 

program shall encompass all facets of personnel management including recruitment, hiring, 

promotion, and advancement. The program shall also provide for a system, whereby all 

applicants for employment, and all employees, may seek timely redress of discrimination 

complaints. A copy of Grantee’s program will be filed with Grantor. 

Upon request, Grantee shall submit to Grantor statistical and other reports relating to its 

equal employment opportunity practices. Grantee also agrees to notify Grantor of any equal 

employment opportunity-related grievance or suit filed against the organization or any of its 

employees and of the outcome of all such grievances or suits, and upon request, shall provide 

Grantor with any additional information regarding any such grievance or suit. 

19. OUTSIDE PRACTICE OF LAW: Unless otherwise authorized by Grantor, no employee 

of Grantee organization (including the executive director) may engage in the practice of law 

outside the scope of his or her official duties with Grantee. Notwithstanding this prohibition, an 

employee may act pro se and may, without compensation, give legal advice to and draft or 

review documents for a member of the employee’s family.4

20. LIABILITY INSURANCE: Grantee shall maintain insurance, in reasonable amounts, to 

cover the costs of representation and liability for claims alleging malpractice, negligence, unfair 

personnel practices, and “errors and omissions” of officers, directors, and employees of the 

organization. Upon receiving or amending coverage, Grantee shall notify Grantor of the amount 

of coverage per event, the aggregate limit, the amount of deductible, and the cost for each type of 

insurance obtained, and shall certify that competitive proposals were sought. 

Grantee also agrees to notify Grantor of any such claims filed and their disposition, and 

upon request shall provide Grantor with any additional information regarding any such claim.

21. CODE OF CONDUCT: Grantee must adopt the Model CDO Code of Conduct. Grantee

may seek a variance of one or more of the provisions from Grantor. 

 

A copy of Grantee’s code of conduct and any subsequent revisions must be filed with 

Grantor. Grantee must inform Grantor of significant violations of the code of conduct and, upon 

request, must provide a written report to Grantor. 

22. CHANGES OR MODIFICATIONS: Upon their adoption, Grantee shall forward to 

Grantor any amendment to the articles of incorporation or the by-laws under which Grantee

operates; Grantee shall also notify Grantor of any changes in Grantee's board of directors. 

23. PAYMENTS FROM OR ON BEHALF OF CLIENTS: Except as authorized pursuant to

subsection (f) of the CJA and corresponding provisions in the CJA Guidelines, neither Grantee

nor its employees will take, request, demand, accept, receive, or agree to receive anything of 

4 For purposes of this clause, the term “family” includes all relatives listed in 5 U.S.C. § 3110(a)(3). 
Community Defender Organization: Grant and Conditions Page 9

value from or on behalf of a person who is to be, is being, or has been furnished representation 

by Grantee. Grantee will take appropriate measures to enforce this clause and advise Grantor of 

any violation.

24. NON-ASSIGNABILITY: No obligations or responsibilities of Grantee, and no grant funds 

or benefits accruing under the grant, may be transferred, assigned, sub-contracted, or otherwise 

conveyed without the express written approval of Grantor, except as specifically authorized in 

the Grant and Conditions.

25. FAILURE TO COMPLY WITH TERMS AND CONDITIONS: In the event Grantee

fails to comply substantially with any of the terms or conditions of the grant award set forth 

herein, or it is unable to deliver the representation and other services which are the subject of this 

agreement, Grantor may temporarily reduce or suspend, payments under this grant award as it 

deems appropriate. At the time of a reduction or suspension of payments under this clause, 

Grantor will provide Grantee with a written explanation for its actions. Grantee may seek 

reinstatement of payments by submitting a written response, which may include a request to be

heard within ten days of receipt of Grantor’s explanation. If the request for reinstatement is not

granted based on the written submission, Grantor will provide a conference with Grantor, or 

authorized representative, on this request for reinstatement within five business days of receipt of 

the request. Grantor reserves the right to pursue all remedies, including, but not limited to,

recovery of monetary damages and accrued interest, for Grantee’s failure to comply with any of 

the terms and conditions of the grant award or to deliver the representation and other services 

which are the subject of the agreement.

26. SYSTEM FOR AWARD MANAGEMENT (SAM) REGISTRATION REQUIRED:

Grantee must have an active registration in SAM and ensure that all information in that 

registration is accurate and updated. If Grantee’s SAM registration is not active or accurate, 

Grantor will be unable to disburse grant funds timely in accordance with this agreement.

__________ _________________________________________________________________ 

DATE AUTHORIZED REPRESENTATIVE OF _____________________________

_________________________________________________________________

__________ _________________________________________________________________ 

DATE CHIEF, AO’S DEFENDER SERVICES OFFICE
Last substantive revision (Transmittal 07-002) January 14, 2011

Last revised (minor technical changes) January 20, 2015

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Appx. 4B: Model Code of Conduct for Federal Community Defender 

Employees

Note: This Model Code of Conduct for Federal Community Defender Employees must 

be adopted by a community defender organization’s board of directors and made 

applicable to all the community defender organization’s employees. 

I. Overview 

I.A. Scope

I.A.1 This code of conduct applies to all employees of the community defender 

organization named [Name of CDO] (hereafter, "[Name Abbreviation]").

I.A.2 This code of conduct does not apply to private counsel appointed under 

the Criminal Justice Act or to attorneys provided by a bar association.

 I.A.3 Nothing contained in these canons is intended to limit or modify the 

primary responsibility of community defenders, as appointed counsel, to 

render effective legal representation to clients as required by the 

Constitution and laws of the United States and by applicable rules 

governing professional conduct, including the code of professional 

responsibility applicable in the jurisdiction in which the community 

defender practices. If there is any conflict between this code and the code 

of professional responsibility applicable to the defender employee or any 

state law, the code of professional responsibility or the applicable state 

law should take precedence.

I.B. History

This Code of Conduct is based on the Model Code of Conduct for Community 

Defender Employees which was approved in September 2010 by the Judicial 

Conference of the United States. This Code of Conduct was adopted [Date] by 

the [Name Abbreviation] board of directors, and it became effective [Date].
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 2 

I.C. Definitions

I.C.1 Defender Employees

As used in this code, "defender employees" means the chief community 

defender, assistant community defenders, and all other employees of the 

community defender organization.

 

I.C.2 Community Defenders 

“Community defenders" means only the chief community defender and 

assistant community defenders.

I.C.3 Chief Community Defender

“Chief community defender” means the head of the community defender 

organization – the executive director or chief federal defender.

I.C.4 Grant and Conditions

“Grant and conditions” refers to the agreement between [Name 

Abbreviation] and the Judicial Conference of the United States. In 

consideration of a sustaining grant from the Conference, the agreement 

requires that terms of the grant and conditions be followed.

I.D Further Guidance

I.D.1 Defender employees (other than the chief community defender) should 

consult with the chief community defender, and the chief community 

defender may consult with the board of directors and others, as 

appropriate, for guidance on questions concerning this code and its 

applicability.

Note: The Judicial Conference has authorized its Committee on Codes of 

Conduct to render advisory opinions concerning the application and 

interpretation of various judiciary codes of conduct, including the Code of 

Conduct for United States Judges and the Code of Conduct for Federal 

Public Defender Employees but does not issue opinions regarding the 

CDO Code of Conduct. Its opinions may be useful in guiding defender 

employees and the [Name Abbreviation]’s board of directors. The 

Committee on Codes of Conduct’s published advisory opinions may be 

found in the Guide to Judiciary Policy, Vol. 2B, Ch 2. 
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 3 

I.D.2 In assessing the propriety of one's proposed conduct, a defender 

employee should take care to consider all relevant canons in this code, 

any applicable statutes and regulations, and applicable codes of 

professional responsibility. 

I.D.3 Should a question remain after this consultation, the affected defender 

employee may request guidance from the [Name Abbreviation] board of 

directors, bar counsel, or other appropriate person.

II. Text of the Code 

CANON 1 A Defender Employee Should Uphold the Integrity and Independence of 

the Office

CANON 2 A Defender Employee Should Avoid Impropriety and the Appearance of 

Impropriety in All Activities 

CANON 3 A Defender Employee Should Adhere to Appropriate Standards in 

Performing the Duties of the Office

CANON 4 A Defender Employee May Engage in Activities to Improve the Law, the 

Legal System, and the Administration of Justice 

CANON 5 A Defender Employee Should Regulate Extra-official Activities to Minimize 

the Risk of Conflict with Official Duties 

CANON 6 A Defender Employee Should Avoid Impropriety and the Appearance of 

Impropriety in Compensation Received for All Extra-official Activities

CANON 7 A Defender Employee Should Refrain from Inappropriate Political Activity

Canon 1: A Defender Employee Should Uphold the Integrity and Independence of 

the Office

An independent and honorable defender system is indispensable to justice in our 

society. A defender employee should personally observe high standards of conduct so 

that the integrity and independence of the office are preserved and so that the defender 

office reflects a devotion to serving the community defender's clients and the principle of 

equal justice under law. Defender employees should require adherence to such 

standards by personnel subject to their direction and control. The provisions of this 

code should be construed and applied to further these objectives. The standards of this 
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 4 

code shall not affect or preclude other more stringent standards required by law, by 

applicable codes of professional responsibility, or by court order.

Canon 2: A Defender Employee Should Avoid Impropriety and the Appearance of 

Impropriety in All Activities 

A defender employee should not engage in any activities that would put into question 

the propriety of the defender employee's conduct in carrying out the duties of the office. 

A defender employee should not use position or office for private gain.

Canon 3: A Defender Employee Should Adhere to Appropriate Standards in 

Performing the Duties of the Office

In performing the duties prescribed by law, by resolution of the Judicial Conference of 

the United States, by court order, or by the chief community defender or the [Name 

Abbreviation] board of directors, the following standards apply:

(A) A defender employee should respect and comply with the law and these 

canons. A defender employee should report to the appropriate 

supervising authority any attempt to induce the defender employee to 

violate these canons.

[Optional Language:

Note: A number of criminal statutes of general applicability govern 

defender employees’ performance of official duties. These include:

• 18 U.S.C. § 201 (bribery of public officials and witnesses); 

• 18 U.S.C. § 211 (acceptance or solicitation to obtain appointive 

public office);

• 18 U.S.C. § 285 (taking or using papers relating to government 

claims);

• 18 U.S.C. § 287 (false, fictitious, or fraudulent claims against the 

government); 

• 18 U.S.C. § 508 (counterfeiting or forging transportation requests);

• 18 U.S.C. § 641 (embezzlement or conversion of 

government money, property, or records);

• 18 U.S.C. § 798 (disclosure of classified information);

• 18 U.S.C. § 1001 (fraud or false statements in a government 

matter);
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 5 

• 18 U.S.C. § 2071 (concealing, removing, or mutilating a public 

record);

• 31 U.S.C. § 3729 (false claims against the government).

This is not a comprehensive listing but sets forth some of the more significant 

provisions with which defender employees should be familiar.]

(B) A defender employee should be faithful to professional standards and 

maintain competence in the defender employee's profession.

(C) A defender employee should be patient, dignified, respectful, and 

courteous to all persons with whom the defender employee deals in an 

official capacity, and should require similar conduct of personnel subject to 

the defender employee's direction and control. A defender employee 

should diligently discharge the responsibilities of the office in a 

nondiscriminatory fashion.

(D) A defender employee should not solicit or accept a payment of money or 

anything of value from a client, except that a defender employee may 

accept an appropriate memento or token that is neither money nor of 

commercial value. A defender employee should never disclose any 

confidential communications from a client, or any other confidential 

information received in the course of official duties, except as authorized 

by law. A former defender employee should observe the same restrictions 

on disclosure of confidential information that apply to a current defender 

employee.

(E) A defender employee should not engage in nepotism prohibited by the 

Grant and Conditions.

(F) Conflicts of Interest.

(1) In providing legal representation to clients, a community defender 

should observe applicable rules of professional conduct governing 

the disclosure and avoidance of conflicts of interest.

(2) In the performance of administrative duties, a defender employee 

should avoid conflicts of interest. A conflict of interest arises when a 

defender employee knows that he or she (or the spouse, minor 

child residing in the defender employee's household, or other close 

relative of the defender employee) might be so personally or 

financially affected by a matter that a reasonable person with 

knowledge of the relevant facts would question the defender 

employee's ability properly to perform administrative duties.
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 6 

(3) When a defender employee knows that a conflict of interest may be 

presented in the performance of duties, the defender employee 

should promptly inform the chief community defender. The chief 

community defender, after determining that a conflict or the 

appearance of a conflict of interest exists, should take appropriate 

steps to restrict the defender employee's performance of duties in 

such a matter so as to avoid a conflict or the appearance of a 

conflict of interest. If the conflict involves a conflict between or 

among clients, the chief community defender should consider 

withdrawal from one or more representations, or other appropriate 

remedial actions, as necessary to comply with applicable rules of 

professional conduct. A defender employee should observe any 

restrictions imposed by the chief community defender in this regard.

Canon 4: A Defender Employee May Engage in Activities to Improve the Law, the 

Legal System, and the Administration of Justice

A defender employee, subject to the proper performance of official duties, may engage 

in the law-related activities enumerated below.

(A) A defender employee may speak, write, lecture, teach, and participate in 

other activities concerning defender services, the legal system, and the 

administration of justice. 

(B) A defender employee may serve as a member, officer, or director of an 

organization or governmental agency devoted to the improvement of the 

law, the legal system, or the administration of justice. A defender 

employee may assist such an organization in raising funds and may 

participate in the management and investment of such funds. A defender 

employee may make recommendations to public and private fund-granting 

agencies on projects and programs concerning the law, the legal 

profession, and the administration of justice. A defender employee may 

solicit funds for law-related activities, subject to the following limitations:

(1) A defender employee should not use or permit the use of the 

prestige of the office in the solicitation of funds.

(2) A defender employee should not solicit subordinates to contribute 

funds to any such activity but may provide information to them 

about a general fund-raising campaign. 
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 7 

(3) A defender employee should not solicit or accept funds from 

lawyers, clients, or other persons likely to have official business 

with the community defender office, except as an incident to a 

general fund-raising activity. 

(C) A defender employee may promote the development of professional 

organizations and foster the interchange of information and experience 

with others in the profession. A defender employee may make himself or 

herself available to the public at large for speaking engagements and 

public appearances designed to enhance the public's knowledge of the 

operation of defender services and the criminal justice system. 

Canon 5: A Defender Employee Should Regulate Extra-official Activities to 

Minimize the Risk of Conflict with Official Duties

(A) Avocational Activities 

A defender employee may write, lecture, teach, and speak on subjects 

unrelated to the profession, and may engage in the arts, sports, and other 

social and recreational activities, if such avocational activities do not 

detract from the dignity of the office, interfere with the performance of 

official duties, or adversely reflect on the community defender's role as an 

advocate. A defender employee may solicit funds for avocational 

activities, subject to the limitations set forth in canon 4B. 

(B) Civic and Charitable Activities 

A defender employee may participate in civic and charitable activities that 

do not detract from the dignity of the office, interfere with the performance 

of official duties, or adversely reflect on the community defender's role as 

an advocate. A defender employee may serve as an officer, director, 

trustee or advisor of an educational, religious, charitable, fraternal, or civic 

organization, and may solicit funds for any such organization subject to 

the limitations set forth in canon 4B. 

(C) Financial Activities 

(1) A defender employee should refrain from financial and business 

dealings that tend to detract from the dignity of the office or 

interfere with the performance of official duties. 

(2) A defender employee should not solicit or accept a gift from anyone 

seeking official action from or doing business with the community 
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 8 

defender office, or from anyone whose interests may be 

substantially affected by the performance or nonperformance of 

official duties; except that a defender employee may accept a gift 

as permitted for Federal Public Defender employees by the Ethics 

Reform Act of 1989 (Pub.L. No. 101-194, § 303, 5 U.S.C. 7351 and 

7353) and the Judicial Conference regulations on gifts. Guide to 

Judiciary Policy, Vol. 2C, §§ 620.10 to 620.45. A defender 

employee should endeavor to prevent a member of a defender 

employee's family residing in the household from soliciting or 

accepting any such gift except to the extent that a defender 

employee would be permitted to do so.

(3) A defender employee who exercises any supervisory, financial, or 

procurement authority should report to the chief community 

defender the value of any gifts of more than de minimis value 

received from any source other than a relative of the reporting 

individual. The chief community defender must provide an annual 

report to the board of directors on all such gifts received by covered 

defender employees.

[Note: For reporting requirements for federal public defender 

employees, see 5 U.S.C. App. §§ 101 to 111 (Ethics Reform Act 

financial disclosure provisions).]

(D) Practice of Law 

A defender employee should not engage in the private practice of law. 

Notwithstanding this prohibition, a defender employee may act pro se and 

may, without compensation, give legal advice to and draft or review 

documents for a member of the defender employee's family, so long as 

such work does not present an appearance of impropriety and does not 

interfere with the defender employee's primary responsibility to the 

defender office. 

Note: See Grant and Conditions, Outside Practice of Law (prohibiting 

community defender employees from engaging in the practice of law 

outside the scope of his/her official duties with the grantee and defining 

"family" as all relatives listed in 5 U.S.C. § 3110(a)(3)).
Guide to Judiciary Policy, Vol. 7A, Appx. 4B Page 9

Canon 6: A Defender Employee Should Avoid Impropriety and the Appearance of 

Impropriety in Compensation Received for All Extra-official Activities

A defender employee may receive compensation and reimbursement of expenses for 

outside activities provided that receipt of such compensation or reimbursement is not 

prohibited or restricted by the chief community defender, [Name Abbreviation] board of 

directors, this code, the grant and conditions, or applicable law, and provided that the 

source or amount of such payments does not influence or give the appearance of 

influencing the defender employee in the performance of official duties or otherwise give 

the appearance of impropriety. Expense reimbursement should be limited to the actual 

cost of travel, food, and lodging reasonably incurred by a defender employee and, 

where appropriate to the occasion, by the defender employee's spouse or relative. Any 

payment in excess of such an amount is compensation. Any defender employee who 

exercises any supervisory, financial, or procurement authority should make and file 

reports of compensation and reimbursement for outside activities to the extent 

prescribed by the chief community defender, [Name Abbreviation] board of directors, 

grant and conditions, applicable law, or the Judicial Conference of the United States.

Notwithstanding the above, a defender employee (other than a defender employee 

serving without compensation) should not receive any salary, or any supplementation of 

salary, as compensation for official services from any source other than the United 

States through a grant to the community defender organization.

Canon 7: A Defender Employee Should Refrain from Inappropriate Political 

Activity

A defender employee should not engage in any political activity while on duty or in the 

defender employee's workplace and may not utilize any federal resources in any such 

activity. A defender employee may engage in political activity not otherwise prohibited, 

provided that such activity does not conflict with any other provision of this code, detract 

from the dignity of the office, or interfere with the proper performance of official duties. 

A defender employee who participates in political activity should not use his or her 

position or title in connection with such activity.
Last revised (Transmittal 07-014) January 5, 2022

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 5: Disclosure of Information on CJA-Related Activities

§ 510 General Principles

§ 510.10 Overview

§ 510.20 Freedom of Information Act Inapplicable

§ 510.30 Limitations on Disclosure

§ 510.40 CJA Information Placed Under Seal

§ 510.50 Information in the Custody of the Administrative Office

§ 520 Disclosure of Information on Payments to Attorneys

§ 520.10 Timing

§ 520.20 Documents

§ 520.30 Notice

§ 520.40 Attorney Payments Approved Before or During Trial

§ 520.50 Attorney Payments Approved After Trial Where Appellate Review is Not 

Being Pursued or Has Concluded

§ 520.60 Attorney Payments Approved After Trial Where Appellate Review is 

Being Pursued

§ 520.70 Attorney Payments Approved After the Appeal is Completed

§ 530 Disclosure of Information on Payments to Service Providers

§ 540 History of the Disclosure Policy

§ 510 General Principles

§ 510.10 Overview

This chapter sets forth the policy on the public disclosure of information pertaining to 

activities under the Criminal Justice Act (CJA) (18 U.S.C. § 3006A) and related statutes. 

Because of amendments to the CJA and related statutes, different procedures may 

apply depending on the type and date of the information.

§ 510.20 Freedom of Information Act Inapplicable

Neither the Freedom of Information Act (5 U.S.C. § 552) nor the Privacy Act (5 U.S.C. 

§ 552a) applies to the judiciary, and neither is applicable to requests for release to the 

public of records and information pertaining to activities under the CJA and related 

statutes.
Guide to Judiciary Policy, Vol. 7A, Ch. 5 Page 2 

§ 510.30 Limitations on Disclosure

Generally, such information which is not otherwise routinely available to the public 

should be made available unless it:

(a) is judicially placed under seal;

(b) could reasonably be expected to unduly intrude upon the privacy of 

attorneys or defendants; 

(c) could reasonably be expected to compromise defense strategies, 

investigative procedures, attorney work product, the attorney-client 

relationship or privileged information provided by the defendant or other 

sources; or

(d) otherwise adversely affect the defendant’s right to the effective assistance 

of counsel, a fair trial, or an impartial adjudication.

§ 510.40 CJA Information Placed Under Seal

Upon request, or upon the court’s own motion, documents pertaining to activities under 

the CJA and related statutes maintained in the clerk’s open files, which are generally 

available to the public, may be judicially placed under seal or otherwise safeguarded 

until after all judicial proceedings, including appeals, in the case are completed and for 

such time thereafter as the court deems appropriate. Interested parties should be 

notified of any modification of such order.

§ 510.50 Information in the Custody of the Administrative Office

Requests for release of information pertaining to activities under the CJA and related 

statutes in the custody of the Administrative Office (AO) will be disposed of in 

accordance with internal directives of that office.

§ 520 Disclosure of Information on Payments to Attorneys

§ 520.10 Timing

(a) The statutory basis for disclosing payments to counsel in noncapital 

appointments expired on Jan. 25, 2000. See: § 540. While disclosure 

provisions continue by Judicial Conference policy, courts should consider 

factors listed in § 510.30 and § 520.50, depending on the stage of the 

case, to ensure that such disclosures will not impact the right to counsel in 

CJA panel appointments. Disclosure may be postponed until after all 

proceedings have concluded. See: § 510.40. 
Guide to Judiciary Policy, Vol. 7A, Ch. 5 Page 3 

(b) For capital cases, disclosure must be after the disposition of the petition 

for habeas corpus.

§ 520.20 Documents

(a) To satisfy the requirements of the CJA, courts may release summary 

payment amounts from the eVoucher system, redacted or unredacted, 

depending on the stage of the particular case and the policy 

considerations involved.

(b) Documentation submitted in support of, or attached to, payment may not 

be disclosed at any time.

§ 520.30 Notice

(a) Before approving payments, courts are required to provide reasonable 

notice of disclosure to counsel to allow the counsel to request the 

redaction of specific information based on the considerations set forth in 

18 U.S.C. § 3006A(d)(4)(D) and Guide, Vol. 7A, § 520.50. 

(b) To comply with this notice requirement, it is recommended that, 

contemporaneously with the issuance to counsel of the forms CJA 20 or 

CJA 30, courts give appointed counsel a copy of Form CJA 19 (Notice to 

Court Appointed Counsel of Public Disclosure of Attorney Fee 

Information). 

(c) Upon receipt of a request for disclosure of CJA payment information, 

courts may contact counsel about the propriety of safeguarding the 

information under § 510.40. 

§ 520.40 Attorney Payments Approved Before or During Trial

(a) After redacting any detailed information provided to justify the expenses, 

the court will make available to the public a copy of the voucher showing 

only the amounts approved for payment.

(b) On the completion of trial, an unredacted copy of summary payment 

amounts from the eVoucher system may be released, depending on 

whether an appeal is being pursued and whether the court determines that 

one or more of the interests listed in Guide, Vol. 7A, § 520.50 require the 

redaction of information.
Guide to Judiciary Policy, Vol. 7A, Ch. 5 Page 4 

§ 520.50 Attorney Payments Approved After Trial Where Appellate Review 

is Not Being Pursued or Has Concluded

The court will make an unredacted copy of the payment voucher available to the public 

unless it determines that one or more of the interests set forth in 18 U.S.C. 

§ 3006A(d)(4)(D) and listed below justify limiting disclosure to the amounts approved for 

payment.

(a) the protection of any person’s Fifth Amendment right against selfincrimination; 

(b) the protection of the defendant’s Sixth Amendment right to effective 

assistance of counsel;

(c) the defendant’s attorney-client privilege; 

(d) the work product privilege of the defendant’s counsel; 

(e) the safety of any person; or 

(f) any other interest that justice may require (with the exception that for 

death penalty cases where the underlying alleged criminal conduct took 

place on or after April 19, 1995, the amount of the fees shall not be 

considered a reason to limit disclosure).

§ 520.60 Attorney Payments Approved After Trial Where Appellate Review 

is Being Pursued

The court will make available to the public only the amounts approved for payment 

unless it finds that none of the interests listed above in § 520.50 will be compromised.

§ 520.70 Attorney Payments Approved After the Appeal is Completed

The court will make an unredacted copy of the payment voucher available to the public 

unless it determines that one or more of the interests listed above in § 520.50 justify 

limiting disclosure to only the amounts approved for payment.

§ 530 Disclosure of Information on Payments to Service 

Providers

(a) The CJA and related statutes expressly provide for disclosure to the public 

of the amounts paid for representation with respect to cases commenced, 

and appellate proceedings in which an appeal is perfected, on or after 

April 24, 1996. The timing of the disclosure must be consistent with the 

principles set forth in § 510. 
Guide to Judiciary Policy, Vol. 7A, Ch. 5 Page 5 

(b) For capital cases, disclosure must be after the disposition of the petition 

for habeas corpus.

§ 540 History of the Disclosure Policy

(a) The Fiscal Year 1998 Judiciary Appropriations Act amended 18 U.S.C. 

§ 3006A(d)(4) to require amounts paid to attorneys under the CJA be 

made publicly available pursuant to a specific process. The amendment 

applied to cases filed on or after January 25, 1998 and included a twoyear sunset provision. Public Law No. 105-119, Nov. 26, 1997. To 

conform to the amendment, the Judicial Conference approved in March 

1999 revisions to paragraph 5.01B of the Guidelines for the Administration 

of the Criminal Justice Act and Related Statutes, Volume VII, Guide to 

Judiciary Policies and Procedures (Legacy Guide). See: JCUS-MAR 

1999, pp. 15-16.

Note: These amendments are now incorporated into Guide, Vol. 7A, 

§ 520 and § 530. 

(b) In March 2000, the Judicial Conference agreed to retain the revised 

guideline after the scheduled sunset, with the following minor revisions: 

(a) to show that for cases filed on or after January 25, 2000, the guideline 

will no longer be statutorily based; and (b) to reflect a further amendment 

to 18 U.S.C. § 3006A(d)(4), enacted as part of the Fiscal Year 2000 

Judiciary Appropriations Act (Public Law No. 106-113, 113 Stat. 1501), 

which states that in death penalty cases where the underlying alleged 

criminal conduct took place on or after April 19, 1995, the amount of the 

fees shall not be considered a reason justifying limited disclosure of 

payments to attorneys. JCUS-MAR 2000, pp. 16-17.

(c) For Payments to Providers of Services other than Counsel in Cases 

Commenced on or after April 24, 1996, and for Payments to Attorneys in 

Cases Commenced on or after April 24, 1996 but before January 25, 

1998:

(1) The Antiterrorism and Effective Death Penalty Act of 1996, Pub. L. 

No. 104-132, 110 Stat. 1214, amended the CJA (18 U.S.C. 

§ 3006A), and the Anti-Drug Abuse Act of 1988 (ADAA) (codified in 

part at 21 U.S.C. § 848(q), recodified in 2005 as 18 U.S.C. § 3599), 

expressly to provide for disclosure to the public of the amounts paid 

for representation with respect to cases commenced, and appellate 

proceedings in which an appeal is perfected, on or after April 24, 

1996.
Guide to Judiciary Policy, Vol. 7A, Ch. 5 Page 6 

(2) With respect to noncapital cases, the CJA, as amended, 18 U.S.C. 

§ 3006A(d)(4) and (e)(4), provided that the amounts paid under 

those subsections in any case “shall be made available to the 

public.”

(3) With respect to capital cases, the ADAA, as amended, 21 U.S.C. 

§ 848(q)(10)(C) (now 18 U.S.C. § 3599(g)(3)), provided that the 

amounts paid under that paragraph in any case “shall be disclosed 

to the public, after the disposition of the petition.”

(4) Judicial Conference policy required that the timing of disclosure be 

consistent with the principles stated in Guide, Vol. 7A, § 510. 

(d) For All Payments in Cases Commenced Before April 24, 1996:

The general principles regarding the release of information stated in § 510

governed.
Last revised (Transmittal 07-014) January 5, 2022

Last revised (minor technical changes) January 2, 2024

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Ch. 6: Federal Death Penalty and Capital Habeas Corpus 

Representations

§ 610 Overview

§ 610.10 Statutory Authority and Applicability

§ 610.20 Judicial Conference Recommendations

§ 610.30 Contact Information

§ 620 Appointment of Counsel in Capital Cases

§ 620.10 Number of Counsel

§ 620.15 Notification of Relationship

§ 620.20 Appointment of State Public Defenders or Legal Aid Attorneys

§ 620.30 Procedures for Appointment of Counsel in Federal Death Penalty

Cases

§ 620.40 Federal Death Penalty Cases: Special Considerations in the 

Appointment of Counsel on Appeal

§ 620.50 Federal Death Penalty Cases: Special Considerations in the 

Appointment of Counsel in Post-Conviction Proceedings

§ 620.60 Attorney Qualification Requirements Under 18 U.S.C. § 3599 in Federal 

Death Penalty Cases and Habeas Corpus Proceedings

§ 620.70 Continuity of Representation

§ 630 Compensation of Appointed Counsel in Capital Cases

§ 630.10 Hourly Rates and Inapplicability of Compensation Maximums

§ 630.20 Adequate Compensation of Counsel

§ 630.30 Death Eligible Cases Where Death Penalty Is Not Sought

§ 630.40 Interim Payments to Counsel

§ 630.50 Timely Review of Vouchers

§ 630.60 Forms

§ 635 Elimination of Non-Statutory Budgetary Caps

§ 640 Case Budgeting

§ 640.10 Overview

§ 640.20 Purpose and Procedures

§ 640.30 Matters for Inclusion in the Capital Case Budget

§ 640.40 Authorization for Investigative, Expert, and Other Services Prior to 

Submission of Case Budget

§ 650 Case Management in Federal Capital Habeas Corpus Proceedings
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 2

§ 655 Establishment of Capital Habeas Units and Other Resources

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

Capital Cases

§ 660.10 In General

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

§ 660.30 Consulting Services

§ 660.40 Interim Payments to Service Providers

§ 660.50 Forms

§ 660.60 Timely Review of Vouchers

§ 670 Scheduling of Federal Death Penalty Case Authorization to Control Costs

§ 680 Clemency

§ 680.10 Clemency Representation by Counsel

§ 680.20 Clemency Vouchers

§ 680.30 Budgeting Clemency Work

Appendix

Appx. 6A Recommendations Concerning the Cost and Quality of Defense 

Representation (Updated Spencer Report, September 2010)

§ 610 Overview

§ 610.10 Statutory Authority and Applicability

(a) The appointment and compensation of counsel and the approval and 

payment of persons providing investigative, expert, and other services in 

federal capital cases is governed by 21 U.S.C. § 848(q), which was 

amended by the Antiterrorism and Effective Death Penalty Act of 1996 

(AEDPA), Pub. L. No. 104-132, 110 Stat. 1214, and recodified as 

18 U.S.C. § 3599.

(b) The pertinent provisions of the AEDPA are applicable to capital cases 

commenced, and appellate proceedings in which an appeal is perfected, 

on or after the date of enactment of the AEDPA (April 24, 1996).

(c) This chapter retains guidelines applicable to cases that pre-date the 

AEDPA, and adds, where appropriate, guidelines for cases subject to the 

AEDPA.

(d) Unless otherwise specified, provisions in this chapter apply to all capital 

cases.
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 3

§ 610.20 Judicial Conference Recommendations

Detailed recommendations on the appointment and compensation of counsel in federal 

death penalty cases were adopted by the Judicial Conference, upon recommendation of 

the Defender Services Committee, on September 15, 1998 (JCUS-SEP 1998, pp. 67-

74). The recommendations were contained in the May 1998 report entitled Federal 

Death Penalty Cases: Recommendations Concerning the Cost and Quality of Defense 

Representation (Spencer Report). The Defender Services Committee approved the 

initial Spencer report, including the commentary that accompanied the 

recommendations. In September 2010, following a comprehensive update of the 

report’s contents, the Defender Services Committee endorsed revised commentary to 

the 1998 recommendations. The recommendations and the accompanying revised 

commentary are provided in Appx. 6A (Recommendations Concerning the Cost and 

Quality of Defense Representation (Updated Spencer Report, September 2010)) of Part 

A of this volume. The updated 2010 report, which includes additional information, is 

available on the judiciary’s public website.

§ 610.30 Contact Information

Questions about the appointment and compensation of counsel and the approval and 

payment of investigative, expert, and other service providers in federal capital cases 

should be directed to the Administrative Office of the U.S. Courts’ (AO) Defender 

Services Office, Legal and Policy Division Duty Day Attorney, at 202-502-3030 or via 

email at DSO_LPD@ao.uscourts.gov.

§ 620 Appointment of Counsel in Capital Cases

§ 620.10 Number of Counsel

§ 620.10.10 Federal Death Penalty Cases

(a) As required by 18 U.S.C. § 3005, at the outset of every capital case, 

courts should appoint two attorneys, at least one of whom is experienced 

in and knowledgeable about the defense of death penalty cases.

(b) Under 18 U.S.C. § 3599(a)(1), if necessary for adequate representation, 

more than two attorneys may be appointed to represent a defendant in a 

capital case.

(c) While courts should not appoint more than two attorneys unless 

exceptional circumstances and good cause are shown, appointed counsel 

may, with prior court authorization, use the services of attorneys who work 

in association with them, provided that the employment of such additional 

counsel (at a reduced hourly rate) diminishes the total cost of 

representation or is required to meet time limits.
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 4

§ 620.10.20 Habeas Corpus Proceedings 

(a) Under 18 U.S.C. § 3599(a)(2), a financially eligible person seeking to 

vacate or set aside a death sentence in proceedings under 28 U.S.C. 

§ 2254 or § 2255 is entitled to appointment of one or more qualified 

attorneys.

(b) Due to the complex, demanding, and protracted nature of death penalty 

proceedings, judicial officers should consider appointing at least two 

attorneys.

§ 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.

§ 620.20 Appointment of State Public Defenders or Legal Aid Attorneys

(a) The judicial officer may appoint an attorney, if qualified under Guide, 

Vol. 7A, § 620.60, who is furnished by a state or local public defender 

organization or by a legal aid agency or other private, non-profit 

organization to represent a person charged with a capital crime or seeking 

federal death penalty habeas corpus relief.

(b) Such appointments may be in place of, or in addition to, the appointment 

of a federal defender organization or a CJA panel attorney or an attorney 

appointed pro hac vice according to Guide, Vol. 7A, § 210.30.

(c) Such appointments should be made when the court determines that they 

will provide the most effective representation. In making this 

determination, the court should take into consideration whether the 

attorney represented the person during prior state court proceedings.

§ 620.30 Procedures for Appointment of Counsel in Federal Death Penalty 

Cases

(a) Recommendations for Appointment of Qualified Counsel

(1) In appointing counsel in federal death penalty cases, 18 U.S.C. 

§ 3005 requires the court to consider the recommendation of the 

federal defender, or, if no such organization exists in the district, of 

the AO’s Defender Services Office. Judges should consider and 

give due weight to the recommendations made by federal 
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 5

defenders and resource counsel and articulate reasons for not 

doing so. See: JCUS-MAR 2019, pp. 18-20.

(2) In fulfilling this responsibility, the federal defender organization or 

AO’s Defender Services Office should consult with counsel (if 

counsel has already been appointed or retained) and the court 

regarding the facts and circumstances of the case to determine the 

qualifications which may be required to provide effective 

representation.

(b) Evaluating the Qualifications of Counsel Considered for Appointment

(1) Courts should ensure that all attorneys appointed in federal death 

penalty cases are well qualified, by virtue of their prior defense 

experience, training, and commitment, to serve as counsel in this 

highly specialized and demanding litigation.

(2) Ordinarily, “learned counsel” (see: 18 U.S.C. § 3005) should have 

distinguished prior experience in the trial, appeal, or post-conviction 

review of federal death penalty cases, or distinguished prior 

experience in state death penalty trials, appeals, or post-conviction 

review that, in combination with co-counsel, will assure high-quality 

representation.

(3) In evaluating the qualifications of counsel considered for 

appointment, the federal defender organization or AO’s Defender 

Services Office should consider the:

(A) minimum experience standards in 18 U.S.C. § 3599(b)–(d), 

18 U.S.C. § 3005, and other applicable laws or rules;

(B) qualification standards endorsed by bar associations and 

other legal organizations regarding the quality of legal 

representation in capital cases;

(C) recommendations of other federal public and community 

defender organizations, and local and national criminal 

defense organizations;

(D) proposed counsel’s commitment to the defense of capital 

cases; and

(E) availability and willingness of proposed counsel to accept the 

appointment and to represent effectively the interests of the 

client.
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 6

§ 620.40 Federal Death Penalty Cases: Special Considerations in the 

Appointment of Counsel on Appeal

(a) In appointing counsel in capital cases, judges should consider and give 

due weight to the recommendations by federal defenders and resource 

counsel and articulate reasons for not doing so. See: JCUS-MAR 2019, 

pp. 18-20.

(b) Ordinarily, the attorneys appointed to represent a death-sentenced federal 

appellant should include at least one attorney who did not represent the 

appellant at trial. In appointing counsel, the court should, among other 

relevant factors, consider the:

(1) attorney’s experience in federal criminal appeals and capital 

appeals;

(2) general qualifications identified in § 620.30; and

(3) attorney’s willingness, unless relieved, to serve as counsel in any 

post-conviction proceedings that may follow the appeal.

§ 620.50 Federal Death Penalty Cases: Special Considerations in the 

Appointment of Counsel in Post-Conviction Proceedings

(a) In appointing counsel in capital cases, judges should consider and give 

due weight to the recommendations by federal defenders and resource 

counsel and articulate reasons for not doing so. See: JCUS-MAR 2019, 

pp. 18-20.

(b) In appointing post-conviction counsel in a case where the defendant is 

sentenced to death, courts should consider the attorney’s experience in 

federal post-conviction proceedings and in capital post-conviction 

proceedings, as well as the general qualifications identified in § 620.30

and § 620.60.20.

§ 620.60 Attorney Qualification Requirements Under 18 U.S.C. § 3599 in 

Federal Death Penalty Cases and Habeas Corpus Proceedings

§ 620.60.10 Appointment of Counsel Before Judgment

Under 18 U.S.C. § 3599(b), at least one of the attorneys appointed must have been 

admitted to practice in the court in which the case will be prosecuted for not less than 

five years, and must have had not less than three years’ experience in the actual trial of 

felony prosecutions in that court. Under 18 U.S.C. § 3005, at least one of the attorneys 

appointed must be knowledgeable in the law applicable to capital cases.
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 7

§ 620.60.20 Appointment of Counsel After Judgment

Under 18 U.S.C. § 3599(c), at least one of the attorneys appointed must have been 

admitted to practice in the court of appeals for not less than five years, and must have 

had not less than three years’ experience in the handling of appeals in felony cases in 

the court.

§ 620.60.30 Attorney Qualification Waiver

Under 18 U.S.C. § 3599(d), the presiding judicial officer, for good cause, may appoint 

an attorney who may not qualify under 18 U.S.C. § 3599(b) or (c), but who has the 

background, knowledge, and experience necessary to represent the defendant properly 

in a capital case, giving due consideration to the seriousness of the possible penalty 

and the unique and complex nature of the litigation.

§ 620.70 Continuity of Representation

(a) In the interest of justice and judicial and fiscal economy, unless precluded 

by a conflict of interest, presiding judicial officers are urged to continue the 

appointment of state post-conviction counsel, if qualified under Guide, 

Vol. 7A, § 620.60, when the case enters the federal system.

(b) Under 18 U.S.C. § 3599(e), unless replaced by an attorney similarly 

qualified under Guide, Vol. 7A, § 620.60 by counsel’s own motion or upon 

motion of the defendant, counsel “shall represent the defendant 

throughout every subsequent stage of available judicial proceedings,” 

including:

• pretrial proceedings;

• trial;

• sentencing;

• motion for a new trial;

• appeals;

• applications for writ of certiorari to the Supreme Court of the United 

States;

• all post-conviction processes;

• applications for stays of execution and other appropriate motions and 

procedures;

• competency proceedings; and

• proceedings for executive or other clemency.
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 8

§ 630 Compensation of Appointed Counsel in Capital Cases

§ 630.10 Hourly Rates and Inapplicability of Compensation Maximums

§ 630.10.10 Hourly Rates

Under 21 U.S.C. § 848(q)(10)(A), recodified in 18 U.S.C. § 3599(g)(1), the presiding 

judicial officer will set the hourly compensation at a rate not to exceed the following 

amounts, for appointed counsel in federal death penalty cases and federal capital 

habeas corpus proceedings commenced, and appellate proceedings in which an appeal 

was perfected, on or after April 24,1996:

§ 630.10.10(a) Capital Hourly Rates

If services were performed between... The hourly rate maximum is...

01/01/2024 to present $220

01/01/2023 through 12/31/2023 $210

01/01/2022 through 12/31/2022 $202

01/01/2021 through 12/31/2021 $197

01/01/2020 through 12/31/2020 $195

02/15/2019 through 12/31/2019 $190

03/23/2018 through 02/14/2019 $188

05/05/2017 through 03/22/2018 $185

01/01/2016 through 05/04/2017 $183

01/01/2015 through 12/31/2015 $181

03/01/2014 through 12/31/2014 $180

09/01/2013 through 02/28/2014 $163

01/01/2010 through 08/31/2013 $178

03/11/2009 through 12/31/2009 $175

01/01/2008 through 03/10/2009 $170

05/20/2007 through 12/31/2007 $166

01/01/2006 through 05/19/2007 $163

02/01/2005 through 12/31/2005 $160
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 9

(b) Annual Increase in Hourly Rate Maximum

(1) Under 18 U.S.C. § 3599(g)(1), the Judicial Conference is 

authorized to increase annually the hourly rate maximum by an 

amount not to exceed the federal pay comparability raises given to 

federal employees.

(2) The Judicial Conference has determined that the hourly rate 

maximum will be adjusted automatically each year according to any 

federal pay comparability adjustment, contingent upon the 

availability of sufficient funds. See: JCUS-MAR 2002, pp. 13-14.

(3) Newly established rates will apply with respect to services 

performed on or after their effective dates.

§ 630.10.20 Inapplicability of Compensation Maximums

There is neither a statutory case compensation maximum for appointed counsel nor 

provision for review and approval by the chief judge of the circuit of the case 

compensation amount in capital cases.

§ 630.20 Adequate Compensation of Counsel

In the interest of justice and judicial and fiscal economy, and in furtherance of relevant 

statutory provisions regarding qualifications of counsel in capital cases (see: Guide, 

Vol. 7A, § 620.60), presiding judicial officers are urged to compensate counsel at a rate 

and in an amount sufficient to cover appointed counsel’s general office overhead and to 

ensure adequate compensation for representation provided.

§ 630.30 Death Eligible Cases Where Death Penalty Is Not Sought

§ 630.30.10 General Considerations

If, following the appointment of counsel in a case in which a defendant was charged 

with an offense that may be punishable by death, it is determined that the death penalty 

will not be sought, the court should consider the questions of the number of counsel and 

the rate of compensation needed for the duration of the proceeding.

§ 630.30.20 Number of Counsel

(a) The court should, absent extenuating circumstances, make an appropriate 

reduction in the number of counsel.

(b) In deciding whether there are extenuating circumstances, the court should 

consider the following factors:

(1) the need to avoid disruption of the proceedings;
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 10

(2) whether the decision not to seek the death penalty occurred late in 

the litigation;

(3) whether the case is unusually complex; and

(4) any other factors that would interfere with the need to ensure 

effective representation of the defendant.

§ 630.30.30 Compensation Rate

(a) The court should, absent extenuating circumstances, reduce the 

compensation rate.

(b) In determining whether there are extenuating circumstances, the court 

should consider the following factors:

(1) the extent to which this representation precludes counsel from 

taking other work;

(2) the commitment of time and resources counsel has made and will 

continue to make in the case; and

(3) the need to compensate appointed counsel fairly.

(c) Any reduction in the compensation rate will apply prospectively only.

§ 630.40 Interim Payments to Counsel

It is urged that the court permit interim payment of compensation in capital cases. For 

information on interim payments to counsel in death penalty cases, see: § 230.73.20

and Appx. 2D (Procedures for Interim Payments to Counsel in Death Penalty Cases).

§ 630.50 Timely Review of Vouchers

Absent extraordinary circumstances, judges should act upon panel attorney 

compensation claims within 30 days of submission.

§ 630.60 Forms

Claims for compensation and reimbursement of expenses for attorneys furnishing 

services in death penalty proceedings should be submitted through the eVoucher 

system on Form CJA 30 (Death Penalty Proceedings: Appointment of and Authority to 

Pay Court Appointed Counsel).
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 11

§ 635 Elimination of Non-Statutory Budgetary Caps

There should be no formal or informal non-statutory budgetary caps on capital cases, 

whether in a capital trial, direct appeal, or habeas matter. See: JCUS-MAR 2019, p. 

18.

§ 640 Case Budgeting

§ 640.10 Overview

(a) All capital cases should be budgeted with the assistance of casebudgeting attorneys and/or resource counsel where appropriate. See: 

JCUS-MAR 2019, p. 18.

(b) Courts are encouraged to require appointed counsel to submit a proposed 

initial litigation budget for court approval that will be subject to modification 

in light of facts and developments that emerge as the case proceeds.

§ 640.20 Purpose and Procedures

(a) The budget should serve purposes comparable to those of private retainer 

agreements by confirming both the court’s and the attorney’s expectations 

regarding fees and expenses.

(b) Case budgets should be submitted ex parte and filed and maintained 

under seal.

(c) Consideration should be given to employing an ex parte pretrial 

conference to facilitate reaching agreement on a litigation budget at the 

earliest opportunity.

(d) The budget should be incorporated into a sealed initial pretrial order that 

reflects the understandings of the court and counsel regarding all matters 

affecting counsel compensation and reimbursement and payments for 

investigative, expert, and other services.

(e) An approved budget should guide counsel’s use of time and resources by 

indicating the services for which compensation is authorized.

(f) Case budgets should be re-evaluated when justified by changed or 

unexpected circumstances and should be modified by the court where 

good cause is shown.
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 12

§ 640.30 Matters for Inclusion in the Capital Case Budget

Matters that may affect the compensation and reimbursement of counsel and payments 

for investigative, expert, and other services (see: Guide, Vol. 7A, § 640.20(d)) include, 

but are not limited to the following:

(a) The hourly rate at which counsel will be compensated (see: § 630.10 and 

§ 630.20);

(b) In capital habeas corpus cases:

The best preliminary estimate that can be made of the cost of all services 

(counsel, expert, investigative, and other) for the entire case (in its 

discretion, the court may determine that defense counsel should prepare 

budgets for shorter intervals of time);

(c) In federal death penalty cases:

(1) Prior to prosecution decision to seek death penalty authorization:

The best preliminary estimate that can be made of the cost of all 

services (counsel, expert, investigative, and other) likely to be 

needed through the time that the Department of Justice (DOJ) 

determines whether to authorize the death penalty;

(2) After prosecution decision to seek death penalty authorization:

The best preliminary estimate that can be made of the cost of all 

services (counsel, expert, investigative, and other) likely to be 

needed through the guilt and penalty phases of the trial (in its 

discretion, the court may determine that defense counsel should 

prepare budgets for shorter intervals of time);

(3) Death penalty not sought:

As soon as practicable after a decision not to seek the death 

penalty, the number of appointed counsel and hourly rate of 

compensation should be reviewed according to § 630.30;

(d) Agreement that counsel will advise the court of significant changes 

(counsel, expert, investigative, and other) to the estimates contained in the 

order;

(e) Agreement on a date on which a subsequent ex parte case budget pretrial 

conference will be held;
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 13

(f) Procedure and schedules for submission, review, and payment of interim 

compensation vouchers (see: § 660.40.10 and § 660.60);

(g) The form in which claims for compensation and reimbursement should be 

submitted (see: § 630.60) and the matters that those submissions should 

address; and

(h) The authorization and payment for investigative, expert, and other 

services. See: § 660.

§ 640.40 Authorization for Investigative, Expert, and Other Services Prior to 

Submission of Case Budget

(a) Recognizing that investigative, expert, and other services may be required 

before there is an opportunity for counsel to prepare a case budget or for 

the court to approve it, courts should act upon requests for services where 

prompt authorization is necessary for adequate representation.

(b) Courts, in examining the case budget, may reconsider amounts authorized 

for services prior to the budget’s approval; however, courts may not 

rescind prior authorization where work has already been performed.

§ 650 Case Management in Federal Capital Habeas Corpus 

Proceedings

Judges are encouraged to employ the case-management techniques used in complex 

civil litigation to control costs in federal capital habeas corpus cases.

§ 655 Establishment of Capital Habeas Units and Other 

Resources

(a) Circuit courts should encourage the establishment of capital habeas units 

in federal defender organizations where they do not already exist and 

make resource counsel and other resources, as well as training 

opportunities, more widely available to attorneys appointed in capital 

habeas cases. See: JCUS-SEP 2018, p. 40.

(b) Every district should have access to a capital habeas unit. See: JCUSMAR 2019, pp.18-20.

(c) Local or circuit restrictions prohibiting capital habeas units from engaging 

in cross-district or cross-circuit representation should not be imposed 

without good cause. See: JCUS-MAR 2019, pp.18-20.
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 14

§ 660 Authorization and Payment for Investigative, Expert, and 

Other Services in Capital Cases

§ 660.10 In General

§ 660.10.10 Cases Commenced After April 24, 1996 (Post-AEDPA)

(a) With respect to federal death penalty cases and federal capital habeas 

corpus proceedings commenced, and appellate proceedings in which an 

appeal is perfected, on or after April 24, 1996, upon a finding that 

investigative, expert, or other services are reasonably necessary for the 

representation of the defendant, the court should authorize the 

defendant’s attorneys to obtain such services.

(b) No ex parte request for investigative, expert, or other services in such 

cases may be considered unless a proper showing is made by counsel 

concerning the need for confidentiality.

§ 660.10.20 Cases Commenced Before April 24, 1996 (Pre-AEDPA)

For capital cases commenced, and appellate proceedings in which an appeal was 

perfected, before April 24, 1996, according to 21 U.S.C. § 848(q)(9) before that 

provision’s amendment by the AEDPA, upon a finding in ex parte proceedings that 

investigative, expert, or other services are reasonably necessary for the representation 

of the defendant, whether in connection with issues relating to guilt or sentence, the 

presiding judicial officer will authorize the defendant’s counsel to obtain such services 

on behalf of the defendant.

§ 660.10.30 All Capital Cases

Upon a finding that timely procurement of necessary investigative, expert, or other 

services could not await prior authorization, the presiding judicial officer may authorize 

such services nunc pro tunc consistent with § 310.20.30(b).

§ 660.10.40 Applicability of Chapter 3 Guidelines

Except as otherwise specified in § 660, the provisions in Guide, Vol. 7A, Ch. 3, including 

§ 310.20.30, are applicable to the authorization and payment for investigative, expert, 

and other services in capital cases.
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 15

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

Services

§ 660.20.10 Inapplicability of Compensation Maximums

For all capital cases, the compensation maximum amounts for investigative, expert, and 

other services identified in Guide, Vol. 7A, § 310.20.10 are inapplicable.

§ 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).

§ 660.20.20 Cases Commenced After April 24, 1996 (Post-AEDPA)

(a) With respect to federal death penalty cases and federal capital habeas 

corpus proceedings commenced, and appellate proceedings in which an 

appeal is perfected, on or after April 24, 1996, under 18 U.S.C. 

§ 3599)(g)(2), the fees and expenses for investigative, expert, and other 

services are limited to $7,500 in any case unless:

(1) payment in excess of that amount is certified by the court, or U.S. 

magistrate judge if the services were rendered in connection with a 

case disposed of entirely before such magistrate judge, as 

necessary to provide fair compensation for services of an unusual 

character or duration; and

(2) the amount of the excess payment is approved by the chief judge of 

the circuit (or an active or senior circuit judge to whom the chief 

judge has delegated this authority).

(b) The $7,500 limit applies to the total payments for investigative, expert, and 

other services in a case, not to each service individually.

(c) Once payments for investigative, expert, and other services total $7,500, 

then additional payments must be approved by the chief judge of the 

circuit (or an active or senior circuit judge to whom the chief judge has 
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 16

delegated this authority). Accordingly, the court will monitor all payments 

for investigative, expert, and other services.

(d) If it can be anticipated that the payments for investigative, expert, and 

other services will exceed the statutory maximum, advance approval 

should be obtained from the court and the chief judge of the circuit (or an 

active or senior circuit judge to whom the chief judge has delegated this 

authority). See: Guide, Vol. 7A, Appx. 3A (Sample Request for Advance 

Authorization for Investigative, Expert, or Other Services).

(e) Rather than submitting multiple requests, where possible, courts should 

submit the expert, investigative, and other services portion of the 

approved case budget to the chief judge of the circuit (or designee of the 

chief judge) for advance approval. See: § 640.

§ 660.20.30 Cases Commenced Before April 24, 1996 (Pre-AEDPA)

For capital cases commenced, and appellate proceedings in which an appeal was 

perfected, before April 24, 1996, according to 21 U.S.C. § 848(q)(10) before that 

provision’s amendment by the AEDPA, the presiding judicial officer will set 

compensation for investigative, expert, and other services in an amount reasonably 

necessary to obtain such services, without regard to CJA or AEDPA maximum 

limitations.

§ 660.30 Consulting Services

(a) Where necessary for adequate representation, 18 U.S.C. § 3006A(e) and 

18 U.S.C. § 3599(f) authorize the reasonable employment and 

compensation of expert attorney consultants to provide “light 

consultation” services to appointed and pro bono attorneys in federal 

capital habeas corpus cases and in federal death penalty cases in such 

areas as:

• records completion;

• determination of need to exhaust state remedies;

• identification of issues;

• review of draft pleadings and briefs; and

• authorization process to seek the death penalty.

(b) “Light consultation” services are those that a lawyer in private practice 

would typically seek from another lawyer who specializes in a particular 

field of law, as opposed to “heavy consultation” services, which include, 

but are not limited to:

• reviewing records;

• researching case-specific legal issues;
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 17

• drafting pleadings;

• investigating claims; and

• providing detailed case-specific advice to counsel, if such tasks take a 

substantial amount of time.

(c) An expert attorney consultant will not be paid an hourly rate exceeding 

that which an appointed counsel could be authorized to be paid.

(d) Courts may wish to require that an appointed attorney who seeks to have 

the court authorize the services of an expert attorney consultant confer 

with the federal defender, or the AO’s Defender Services Office if there is 

no federal defender in the district or if the federal defender has a conflict of 

interest, regarding who could serve as an expert attorney consultant.

§ 660.40 Interim Payments to Service Providers

§ 660.40.10 In General

It is urged that the court or U.S. magistrate judge permit interim payment of 

compensation in capital cases.

§ 660.40.20 Cases Commenced After April 24, 1996 (Post-AEDPA)

(a) A special set of procedures for effecting interim payments, including a 

special memorandum order, must be used in these cases. These 

procedures and a sample memorandum order are provided in Guide, Vol. 

7A, Appx. 3C (Procedures for Interim Payments to Service Providers in 

Capital Proceedings). For limitations on payment for investigative, expert, 

and other services with respect to federal death penalty cases and federal 

capital habeas corpus proceedings, see: § 660.20.20.

See also: the case-budgeting techniques recommended in § 640.

(b) Other interim payment arrangements, which effectuate a balance between 

the interest in relieving service providers of financial hardships and the 

practical application of the statutorily imposed responsibility of the chief 

judge of the circuit to provide a meaningful review of claims for excess 

payment, may be devised in consultation with the AO’s Defender Services 

Office.

§ 660.40.30 Cases Commenced Before April 24, 1996 (Pre-AEDPA)

A separate set of procedures for effecting interim payments, including a separate 

memorandum order, must be used in those cases. These procedures and sample 

memorandum order are provided in Guide, Vol. 7A, Appx 3C (Procedures for Interim 

Payments to Service Providers in Capital Proceedings). For procedures governing 
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 18

federal death penalty cases and federal capital habeas corpus proceedings, see: 

§ 660.20.30.

§ 660.50 Forms

Claims for compensation and reimbursement of expenses for investigative, expert, or 

other services in death penalty proceedings should be submitted through the eVoucher 

system on Form CJA 31 (Death Penalty Proceedings: Ex Parte Request for 

Authorization and Voucher for Expert and Other Services).

§ 660.60 Timely Review of Vouchers

Absent extraordinary circumstances, judges should act upon claims for compensation 

for investigative, expert, or other services within 30 days of submission.

§ 670 Scheduling of Federal Death Penalty Case Authorization to 

Control Costs

(a) Within a reasonable period of time after appointment of counsel under 

18 U.S.C. § 3005, and only after consultation with counsel for the 

government and for the defendant (including, as appropriate, in an ex 

parte application or proceeding), the court should establish a schedule for 

resolution of whether the government will seek the death penalty.

(b) This schedule should include dates for:

(1) the submission by the defendant to the U.S. attorney of any 

reasons why the government should not seek the death penalty;

(2) the submission by the U.S. attorney to the appropriate officials of 

the DOJ of a recommendation and any supporting documentation 

concerning whether the death penalty should be sought; and

(3) filing of a notice under 18 U.S.C. § 3593(a) that the government will 

seek the death penalty, or notification to the court and the 

defendant that it will not.

(c) The schedule should be flexible and subject to extension for good cause 

at the request of either party (again, as appropriate, in an ex parte

application or proceeding).

(d) The schedule should allow reasonable time for counsel for the parties to 

discharge their respective duties with respect to the question of whether 

the death penalty should be sought, with due regard to:

• the factual complexity of the case;
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 19

• the status of any continuing investigation of the crimes and related 

criminal conduct;

• the anticipated or actual progress of discovery;

• the potential for successful plea negotiations; and

• any other relevant factors.

(e) It is also recognized that scheduling extensions may be necessary 

because the full development of facts related to guilt and aggravating and 

mitigating factors may continue even after the case is submitted to the 

DOJ for review.

§ 680 Clemency

§ 680.10 Clemency Representation by Counsel

§ 680.10.10 New Appointments

A new appointment for clemency representation is not necessary since, under 

18 U.S.C. § 3599(e), each attorney appointed to represent the defendant for habeas 

corpus proceedings under 28 U.S.C. § 2254, unless replaced by similarly qualified 

counsel, “shall also represent the defendant in such competency proceedings and 

proceedings for executive or other clemency as may be available to the defendant.”

§ 680.10.20 Motions to Withdraw

(a) Motions to withdraw from the clemency representation should be brought 

in the federal district court where the habeas corpus matter was filed.

(b) Upon granting a motion to withdraw, unless the defendant is represented 

by similarly qualified counsel or representation is waived by the defendant, 

the court must appoint counsel to represent the defendant for any 

available clemency proceedings.

§ 680.20 Clemency Vouchers

§ 680.20.10 Issuance of Voucher for Clemency Work

Upon appointment of counsel for habeas corpus proceedings brought under 28 U.S.C. 

§ 2254, the district court should issue appointed counsel two CJA payment vouchers 

through the eVoucher system (Form CJA 30 (Death Penalty Proceedings: Appointment 

of and Authority to Pay Court Appointed Counsel)): one designated for the habeas 

corpus proceeding and one designated for a potential clemency proceeding.
Guide to Judiciary Policy, Vol. 7A, Ch. 6 Page 20

§ 680.20.20 Processing of Clemency Vouchers

All attorney compensation (Form CJA 30 (Death Penalty Proceedings: Appointment of 

and Authority to Pay Court Appointed Counsel)) and investigative, expert, or other 

services vouchers (Form CJA 31 (Death Penalty Proceedings: Ex Parte Request for 

Authorization and Voucher for Expert and Other Services)) pertaining to the clemency 

representation should be submitted to the district court through the eVoucher system, 

regardless of whether the habeas corpus case is on appeal at the time.

§ 680.30 Budgeting Clemency Work

(a) Consistent with § 640, courts are encouraged to require counsel 

appointed in 28 U.S.C. § 2254 proceedings to submit a proposed initial 

clemency budget for court approval that will be subject to modification in 

light of facts and developments that emerge as the case proceeds.

(b) The district court, in consultation with counsel, should determine when the 

clemency budget should be submitted — early in the habeas corpus 

proceedings, or at the beginning of the clemency work. To allow sufficient 

time for clemency preparation, budgeting should occur well in advance of 

final resolution of the case in the courts.
Last substantive revision (Transmittal GR-17) January 20, 2010 

Last revised (minor technical changes) June 3, 2011

Guide to Judiciary Policy

Vol. 7: Defender Services

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

Appx. 6A: Recommendations & Commentary Concerning the 

Cost and Quality of Defense Representation (Updated 

Spencer Report, September 2010)

Recommendations and Commentary

1. Qualifications for Appointment

Commentary on Recommendation 1

2. Consultation with Federal Defender Organizations or the Administrative Office

Commentary on Recommendation 2

3. Appointment of More Than Two Lawyers

Commentary on Recommendation 3

4. Appointment of the Federal Defender Organization (FDO)

Commentary on Recommendation 4

5. The Death Penalty Authorization Process

Commentary on Recommendation 5

6. Federal Death Penalty Resource Counsel

Commentary on Recommendation 6

7. Experts

Commentary on Recommendation 7

8. Training

Commentary on Recommendation 8

9. Case Budgeting

Commentary on Recommendation 9

10. Case Management

Commentary on Recommendation 10

11. Availability of Cost Data

Commentary on Recommendation 11

Note: Detailed recommendations on the appointment and compensation of counsel in 

federal death penalty cases were adopted by the Judicial Conference, upon 

recommendation of the Defender Services Committee, on September 15, 1998 (JCUSSEP 98, pp. 67-74). The recommendations were contained in the May 1998 report 

entitled Federal Death Penalty Cases: Recommendations Concerning the Cost and 

Quality of Defense Representation (Spencer Report). The Defender Services 

Committee approved the initial Spencer Report, including the commentary that 

accompanied the recommendations. In September 2010, following a comprehensive 
Guide to Judiciary Policy, Vol. 7A, Appx. 6A Page 2

update of the report’s contents, the Defender Services Committee endorsed revised 

commentary to the 1998 recommendations. The recommendations and the 

accompanying revised commentary are set forth in this appendix. The revised 

commentary has not been approved by the Judicial Conference; it is included in this 

appendix as it expands upon the recommendations, discusses the role of federal 

defender organizations in federal death penalty cases, and generally provides practical 

information that is useful to judges and appointed counsel in the management of a 

federal death penalty case. The entire updated 2010 report, which includes additional 

information and is entitled Update on the Cost and Quality of Defense Representation in 

Federal Death Penalty Cases, is available on the judiciary’s public website; what follows 

in this appendix is an excerpt from that report. 
 

 

 

 

 

 

 

 

VIII. RECOMMENDATIONS AND COMMENTARY89 

1. Qualifications for Appointment 

a. Quality of Counsel. Courts should ensure that all attorneys appointed in federal death penalty 

cases are well qualified, by virtue of their prior defense experience, training and commitment, to 

serve as counsel in this highly specialized and demanding type of litigation. High quality legal 

representation is essential to assure fair and final verdicts, as well as cost-effective case 

management. 

b. Qualifications of Counsel. As required by statute, at the outset of every capital case, courts 

should appoint two counsel, at least one of whom is experienced in and knowledgeable about the 

defense of death penalty cases. Ordinarily, "learned counsel" should have distinguished prior 

experience in the trial, appeal, or post-conviction review of federal death penalty cases, or 

distinguished prior experience in state death penalty trials, appeals, or post-conviction review 

that, in combination with co-counsel, will assure high quality representation. 

c. Special Considerations in the Appointment of Counsel on Appeal. Ordinarily, the attorneys 

appointed to represent a death-sentenced federal appellant should include at least one attorney 

who did not represent the appellant at trial. In appointing appellate counsel, courts should, 

among other relevant factors, consider: 

i. the attorney's experience in federal criminal appeals and capital appeals;

ii. the general qualifications identified in paragraph 1(a), above; and 

iii. the attorney's willingness, unless relieved, to serve as counsel in any post-conviction 

proceedings that may follow the appeal. 

d. Special Considerations in the Appointment of Counsel in Post-Conviction Proceedings. In 

appointing post-conviction counsel in a case where the defendant is sentenced to death, courts 

should consider the attorney's experience in federal post-conviction proceedings and in capital 

post-conviction proceedings, as well as the general qualifications set forth in paragraph 1(a). 

e. Hourly Rate of Compensation for Counsel. The rate of compensation for counsel in a capital 

case should be maintained at a level sufficient to assure the appointment of attorneys who are 

appropriately qualified to undertake such representation. 

89 Section VIII utilizes a numbering system that is different from the rest of this report in order to match the 

numbered recommendations in the original Spencer Report. 

90 
 

 

 

 

 

 

 

 

 

 

 

Commentary 

As Recommendation 1(a) indicates, the first responsibility of the court in a federal death 

penalty case is to appoint experienced, well-trained, and dedicated defense counsel who will 

provide high quality legal representation. Federal law requires the appointment of two counsel 

to represent a defendant in a federal death penalty case, of whom at least one must be “learned in 

the law applicable to capital cases.” 18 U.S.C. § 3005. Additional requirements relating to 

counsel’s experience are codified at 18 U.S.C. § 3599. Legislatures, courts, bar associations, and 

other groups that have considered the qualifications necessary for effective representation in 

death penalty proceedings have consistently demanded a higher degree of training and 

experience than that required for other representations. As provided in the Defender Services 

Program Strategic Plan, counsel in federal death penalty cases are expected to comply with 

Guidelines 1.1 and 10.2 et seq. of the American Bar Association's Guidelines for the 

Appointment and Performance of Counsel in Death Penalty Cases, 31 Hofstra L. Rev. 913 

(2003), and the Supplementary Guidelines for the Mitigation Function of Defense Teams in 

Death Penalty Cases, 36 Hofstra L. Rev 677 (2008).90 

Heightened standards are required to ensure that representation in federal death penalty 

cases is both cost-effective and commensurate with the complexity and high stakes of the 

litigation. Counsel in a federal death penalty case must not only be skilled in defending the 

charged offense, e.g., a homicide, but also must be thoroughly knowledgeable about a complex 

body of constitutional law and special procedures that do not apply in other criminal cases. They 

must be able to direct extensive and sophisticated investigations into guilt/innocence and 

90 Aimed at providing counsel services “consistent with the best practices of the legal profession,” the Defender 

Services Program Strategic Plan was endorsed by the Defender Services Committee of the United States Judicial 

Conference. See Goal 2 (Quality of Representation), Strategy 16 (Capital Representations). 

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mitigation of sentence. They must have the counseling skills to advise a client deciding between 

pleading guilty in return for a life sentence and proceeding to trial where the sentencing options 

are death or life imprisonment without the possibility of release.91 They must have 

communication skills to establish trust with clients, family members, witnesses, and others 

whose backgrounds may be culturally, racially, ethnically, linguistically, socioeconomically, and 

otherwise different from counsel’s. They must be able to work effectively as part of a defense 

team and collaboratively with counsel for codefendants. And, for post-conviction cases, counsel 

also must be familiar with the unique jurisprudence and practices applicable in habeas corpus. 

Finally, counsel must be able, notwithstanding exceptional knowledge and skill, to commit 

sufficient time and resources, taking into account the extraordinary demands of a federal death 

penalty representation. 

The standards listed in Recommendations 1(b) – (d) are designed to assist courts in 

identifying the specific types of expertise and distinguished prior experience which have been 

deemed most valuable to this demanding work in the experience of the federal courts thus far. 

They emphasize the importance of bringing to bear both death penalty expertise and experience 

in the practice of criminal defense in the federal courts. As described further in the commentary 

to Recommendation 2, the qualifications of counsel must be assessed with respect to the 

particular demands of the individual case, the stage of the litigation, and the defendant. 

91 A guilty plea negotiated at any point in the proceedings brings substantial cost savings, and such a disposition is 

always available if the sides can find agreement, even after the death penalty has been authorized. The Federal 

Death Penalty Resource Counsel Project recently estimated that plea agreements have been reached in 

approximately 25 percent of authorized federal capital prosecutions since 1988. Appointed counsel’s negotiating 

skills thus are very important. 

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The governing statute calls for capitally qualified counsel to be appointed “promptly,” 

18 U.S.C. § 3005. Recommendation 1(b) endorses appointment of specially qualified counsel 

“at the outset” of a case, which in some cases may mean prior to the formal filing of a charging 

document. Courts should not wait to see whether the government will seek capital prosecution 

before appointing appropriately qualified counsel and granting them the resources necessary for 

a preliminary investigation. The goals of efficiency and quality of representation are achieved 

by early appointment of learned counsel in cases where capital indictment may be sought. 

Virtually all aspects of the defense of a federal death penalty case, beginning with decisions 

made at the earliest stages of the litigation, are affected by the complexities of the penalty phase. 

Early appointment of “learned counsel” is also necessitated by the formal authorization process 

adopted by the Department of Justice to guide the Attorney General’s decision-making regarding 

whether to seek imposition of a death sentence once a death-eligible offense has been indicted. 

Integral to the authorization process are presentations to the local United States Attorney’s 

Office and Justice Department officials of the factors which would militate against a death 

sentence. See United States Attorney’s Manual § 9-10.000. A mitigation investigation therefore 

must be undertaken at the commencement of the representation. Delay in appointment of 

learned counsel risks missing this important opportunity to avoid the high cost of a capital 

prosecution. Since an early decision not to seek death is the least costly way to resolve a 

potential capital charge, a prompt preliminary mitigation investigation leading to effective 

advocacy with the local U.S. Attorney and with the Justice Department is critical both to a 

defendant’s interests and to sound fiscal management of public funds. And, since the local 

prosecutor’s recommendation most often prevails with the Attorney General, the opportunity to 

persuade the U.S. Attorney not to request capital authorization is extremely important. 

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Recommendation 1(b)’s requirement of “distinguished prior experience” contemplates 

excellence, not simply prior experience, at the relevant stage of proceedings: trial, appeal, or 

post-conviction. It is expected that a lawyer appointed as “learned counsel” for trial previously 

will have tried a capital case through the penalty phase, whether in state or in federal court, and 

will have done so with distinction. Excellence in general criminal defense will not suffice 

because the preparation of a death penalty case requires knowledge, skills, and abilities which 

even the most seasoned lawyers will not possess if they lack capital experience. And not all 

capital trial experience will qualify as “distinguished.” Consultation with federal defender 

organizations and Resource Counsel, as described in Recommendation 2 (Consultation with 

Federal Defender Organizations or the Administrative Office), can help ensure that appointed 

counsel meet this criterion.92 

Courts should appoint counsel with “distinguished prior experience” in death penalty 

trials, appeals, or post-conviction representation, even if meeting the standard requires 

appointing counsel from outside the district in which a matter arises. Appointing such qualified 

defense counsel generally produces cost efficiencies, including a higher likelihood of a non-trial 

disposition. The costs of travel and other expenses associated with bringing counsel from 

92 The term federal defender organization (FDO) is used here to refer to a Federal Public Defender Organization 

(FPDO) and a Community Defender Organization (CDO), two different organizational models that fulfill the same 

function of providing counsel for indigent criminal defendants in the federal courts pursuant to the Criminal Justice 

Act (CJA), 18 U.S.C. § 3006A. A Federal Public Defender Organization is a federal office, headed by a Federal 

Public Defender who is selected by the Circuit Court of Appeals. The attorneys and other staff are employees of the 

federal judiciary. A Community Defender Organization is a not-for-profit corporation governed by a board of 

directors and led by an executive director. Both types of organization are funded and administered by the federal 

judiciary. Among the 94 judicial districts, 90 are served by an FDO. 

The term “Resource Counsel” refers to the death penalty experts who serve in the Federal Death Penalty Resource 

Counsel Project (trial level), the Federal Capital Appellate Resource Counsel Project (appellate level), and the 

Federal Capital Habeas Project (post-conviction level). These groups are referred to collectively as “Resource 

Counsel” or “the Resource Counsel Projects.” The work of the three Resource Counsel Projects and the National 

Mitigation Coordinator is described in the commentary accompanying Recommendation 2 (Consultation with 

Federal Defender Organizations or the Administrative Office) and Recommendation 6 (Federal Death Penalty 

Resource Counsel). 

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another jurisdiction can be minimized with careful planning by counsel and the court. With 

appropriate forethought, investigations, client counseling, court appearances, and other 

obligations can be coordinated to maximize the efficient use of counsel’s time and ensure costeffectiveness. In the institutional defender context, when it is helpful and desirable, attorney 

resources can be shared between defender offices pursuant to an established protocol. 

Recommendation 1(c) provides that counsel on appeal should include “at least one 

attorney who did not represent the appellant at trial.” Like capital trial representation, capital 

appellate representation should be tailored to the individual requirements of the case, stage of 

proceedings, and client. There should be no presumption of continuity from trial to appeal in 

federal death penalty cases, and courts frequently relieve and replace both trial counsel. Capital 

appellate work is a specialty, and a lawyer is rarely a specialist in both trial and appellate 

representation.93 Even if trial counsel does possess “distinguished prior experience” in appellate 

as well as trial representation, there is value in bringing fresh perspective to issues that have been 

litigated below. In addition, a new lawyer may, if appropriately experienced, be able to provide 

continued representation following the appeal in any post-conviction proceedings, which a trial 

lawyer could not, due to a conflict of interest.94 This would afford continuity of representation at 

that stage and, presumably, cost savings. To address particular case-specific demands, such as 

an especially complex trial record or managing the needs of a defendant with significant mental 

health issues, some courts have found it helpful and cost-efficient to appoint one of the 

93 See Good Practices for Panel Attorney Programs in the U.S. Courts of Appeals, Vera Institute of Justice (2006) 

(the Defender Services Committee endorsed the report’s recommendation that circuits adopt a flexible approach 

rather than requiring CJA trial counsel to continue representing the defendant through the appeal, and encouraging 

deference to trial counsel regarding whether continued representation is in the client’s best interests and consistent 

with counsel’s professional skills and obligations). 

http://www.uscourts.gov/FederalCourts/AppointmentOfCounsel/Publications/VERASuggestedGoodPractices.aspx. 

94 Where a claim of ineffective assistance of counsel on appeal is possible, continued representation would not be 

appropriate. 

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defendant’s trial attorneys as third counsel on appeal, to provide limited and/or temporary 

assistance as required. 

Recommendation 1(d) highlights the need for specialized expertise in post-conviction 

representation. Like trial and appellate counsel, post-conviction lawyers for federal death 

penalty cases should be selected based on an individualized assessment of the requirements of 

the case, the stage of the litigation, and the defendant. Habeas corpus practice is a complex 

subspecialty of capital representation. A lawyer qualified to be learned counsel in a federal 

capital trial or on appeal will not necessarily have such expertise. Challenges include an 

accelerated timeline, a tangle of specialized procedural law applicable to capital proceedings 

pursuant to 28 U.S.C. § 2255, and an obligation that includes a full investigation of both phases 

of the trial to identify any possible constitutional infirmities. This underscores the importance of 

appointing counsel with the experience and dedication – as well as the time and resources – to 

devote to this intensely demanding work. The one-year statute of limitations makes it especially 

important that counsel be appointed promptly. Federal Capital Habeas Resource Counsel 

recommend that appointment take place prior to the denial of certiorari by the Supreme Court. 

As indicated in Recommendation 4 (Appointment of the Federal Defender Organization), a 

number of federal defender organizations have staff attorneys who specialize in post-conviction 

capital litigation. Where they possess the requisite expertise, appointment of federal defender 

organizations should be considered in capital 2255 cases. For capital habeas corpus cases 

brought pursuant to 28 U.S.C. § 2254, involving state death sentenced prisoners, representation 

96 
 

 

 

by an institutional defender organization has been endorsed by the Committee on Defender 

Services as offering cost and other efficiencies together with high quality representation.95 

Recommendation 1(e) recognizes that appropriate rates of compensation are essential to 

maintaining the quality of representation required in a federal capital case. The time demands of 

these cases are such that a single federal death penalty representation is likely to become, for a 

substantial period of time, counsel’s exclusive or nearly exclusive professional commitment. It 

is therefore necessary that the hourly rate of compensation be fair in relation to the costs 

associated with maintaining a criminal practice. The rate ($178 as of January 1, 2010) should be 

reviewed at least every three years to ensure that it remains sufficient in light of inflation and 

other factors. (See 18 U.S.C. § 3006A(d)(1) and 18 U.S.C. § 3599(g)(1).) 

95 Report on Death Penalty Representation, prepared by the Committee on Defender Services Subcommittee on 

Death Penalty Representation, approved by the Judicial Conference (JCUS-SEP 95, pp. 69, 78-81). 

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2. Consultation with Federal Defender Organizations or the Administrative Office 

a. Notification of Statutory Obligation to Consult. The Administrative Office of the U.S. Courts 

(Administrative Office) and federal defender organizations should take appropriate action to 

ensure that their availability to provide statutorily mandated consultation regarding the 

appointment of counsel in every federal death penalty case is well known to the courts. (See 18 

U.S.C. § 3005.) 

b. Consultation by Courts in Selecting Counsel. In each case involving an offense punishable by 

death, courts should, as required by 18 U.S.C. § 3005, consider the recommendation of the 

district's Federal Public Defender (FPD) (unless the defender organization has a conflict) about 

the lawyers to be appointed. In districts not served by a Federal Public Defender Organization, 

18 U.S.C. § 3005 requires consultation with the Administrative Office. Although not required to 

do so by statute, courts served by a Community Defender Organization (CDO) should seek the 

advice of that office. 

c. Consultation by Federal Defender Organizations and the Administrative Office in 

Recommending Counsel. In discharging their responsibility to recommend defense counsel, 

FDOs and the Administrative Office should consult with Federal Death Penalty Resource 

Counsel in order to identify attorneys who are well qualified, by virtue of their prior defense 

experience, training and commitment, to serve as lead and second counsel. 

Commentary 

Courts are required pursuant to 18 U.S.C. § 3005 to consider the recommendation of their 

federal defender organization or the Administrative Office regarding the appointment of both 

counsel in each federal death penalty case.96 Most courts are aware of the statute and policy and 

do consult about their appointments, though a small number still do not. The Administrative 

Office should continue to ensure that all courts are aware of the importance and availability of 

consultation for all federal capital appointments, and should make specific outreach to courts that 

for any reason have not consulted with federal defenders or Resource Counsel. 

96 The specific language of the statute requires the court to “consider the recommendation of the Federal Public 

Defender organization, or, if no such organization exists in the district, of the Administrative Office....” 

18 U.S.C. § 3005. Emphasis added. There is no indication in the legislative history that this reference was intended 

to exclude Community Defender Organizations, and the most reasonable interpretation is that this was inadvertent 

and that Congress’s intention was to include all federal defender organizations. As a matter of policy, the Judicial 

Conference recommends that consultation be made with the district’s FDO, regardless of whether it is organized as 

an FPD or a CDO. See Recommendation 1, Footnote 94. 

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Recommendation 2(b) emphasizes that consultation should be made for “each case 

involving an offense punishable by death.” It is not satisfied where a court selects counsel from 

a pre-existing list, because recommendations concerning appointment of counsel are best 

obtained on an individualized, case-by-case basis. The relative infrequency of federal death 

penalty appointments, and the typically swift response which any court requesting a 

recommendation can expect, makes lists or “panels” of “capitally-qualified” attorneys both 

unnecessary and, in some respects, impractical.97 Currently, within a short time after receipt of a 

request, the federal defender or Administrative Office (through Resource Counsel, as described 

below and in Recommendation 6) provides the court with the names of attorneys who not only 

are qualified to serve as counsel but who also have been contacted and indicated their 

willingness to serve in the particular case.98 These individualized recommendations help to 

ensure that counsel are well-suited to the demands of a particular case and compatible with one 

another and the defendant. Whether at trial, on appeal, or in post-conviction, the federal 

defender and Resource Counsel are likely to have access to information that the court lacks. 

That information includes factors relating to the defendant or to counsel who are candidates for 

appointment. Consideration of these factors is essential to establishing a defense team that 

functions effectively. Case-specific consultation is also required by Judicial Conference policy 

(see Guide, §§ 620.30(a) and (b), explaining the 18 U.S.C. § 3005 consultation requirement and 

97 The distinction between being qualified to serve and willing to do so is significant. Many defense counsel would 

not be willing to accept appointment to more than one federal death penalty case at a time. Furthermore, since 

accepting a federal death penalty appointment requires a substantial time commitment which may ultimately cause 

the attorney to become entirely unavailable for any other fee-generating work, appointment in such a case is not 

lightly undertaken. 

98 In some instances, in fact, it is the federal defender or Resource Counsel who first alerts the court to the need for 

an appointment. For example, prior to an indictment issuing, the U.S. Attorney’s Office may inform the defender or 

Resource Counsel of an imminent capital prosecution in which a defendant will need capitally qualified counsel, or 

the defender or Resource Counsel may become aware of an investigation and the need for counsel through other 

means. 

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suggesting that in developing a recommendation, consideration be given to “the facts and 

circumstances of the case.”) 

Recommendation 2(c) recognizes the role of Resource Counsel in the consultation 

process. When this Recommendation was first made, there was a single Federal Death Penalty 

Resource Counsel Project charged with responsibility for assisting in federal death penalty 

proceedings at all stages of litigation: trial, appeal, and post-conviction. Those functions have 

now been distributed among three projects, each of which addresses a different stage of 

litigation: the Federal Death Penalty Resource Counsel Project (trial), the Federal Capital 

Appellate Resource Counsel Project, and the Federal Capital Habeas Project.99 Referred to 

collectively here as “Resource Counsel” or “the Resource Counsel Projects,” these lawyers are 

death penalty experts. They are knowledgeable about and maintain effective communication 

with defense counsel nationwide, and their ability to promptly match attorneys with cases is of 

great value to the judiciary. 

The appropriate Resource Counsel Project should be consulted about appointment of 

counsel in every trial, appellate, and post-conviction case, whether by the court, the federal 

defender, or both. In addition, prior to recommending counsel for appointment in a federal 

capital case, federal defenders should advise potential counsel that any attorney appointed is 

expected to consult regularly with Resource Counsel. 100 Federal defenders and Resource 

Counsel should also ensure, prior to making a recommendation to a court, that prospective 

defense counsel are able to dedicate the time required to the new capital case. 

99 The National Mitigation Coordinator also provides assistance in federal death penalty cases, as described in 

Recommendation 6 (Federal Death Penalty Resource Counsel). 

100 See Defender Services Strategic Plan, Goal 2 (Quality of Representation), Strategy 17 (Capital Representations). 

100 
 

Together, Resource Counsel and federal defenders have been instrumental in providing 

high quality representation to federal defendants from trial through post-conviction proceedings. 

Recommendation 2(c) recognizes the value of Resource Counsel and urges federal defenders and 

the Administrative Office to continue to work closely with them. 

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3. Appointment of More Than Two Lawyers 

Number of Counsel. Courts should not appoint more than two lawyers to provide representation 

to a defendant in a federal death penalty case unless exceptional circumstances and good cause 

are shown. Appointed counsel may, however, with prior court authorization, use the services of 

attorneys who work in association with them, provided that the employment of such additional 

counsel (at a reduced hourly rate) diminishes the total cost of representation or is required to 

meet time limits. 

Commentary

The norm in federal death penalty cases is the appointment of two counsel per defendant. 

Courts contemplating the appointment of a third counsel for trial, appeal or post-conviction 

representation might consider contacting the Administrative Office, the federal defender 

organization or the appropriate Resource Counsel Project (see Recommendation 6) for 

information and advice about whether circumstances warrant such appointment. 

Notwithstanding this suggested limit on the number of attorneys charged with responsibility for 

the defense in its entirety, courts are encouraged to permit appointed counsel to employ 

additional attorneys to perform more limited services where to do so would be cost-effective or 

otherwise enhance the effective use of resources. For example, in many federal death penalty 

cases, the prosecution provides to defense counsel an extensive amount of discovery material 

which must be reviewed for relevance and organized for use by the defense. Allowing appointed 

counsel to obtain legal assistance from an associate at his or her firm or from another 

appropriately qualified lawyer may prove economical because the work is performed at a lower 

hourly rate, or this assistance may be a necessity in light of the volume and nature of the work or 

court deadlines. See Guide, §§ 620.10.10 and 230.23.10(f). 

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4. Appointment of the Federal Defender Organization (FDO) 

a. FDO as Lead Counsel. Courts should consider appointing the district's FDO as lead counsel in 

a federal death penalty case only if the following conditions are present: 

i. the FDO has one or more lawyers with experience in the trial and/or appeal of capital 

cases who are qualified to serve as "learned counsel"; and 

ii. the FDO has sufficient resources so that workload can be adjusted without unduly 

disrupting the operation of the office, and the lawyer(s) assigned to the death penalty case 

can devote adequate time to its defense, recognizing that the case may require all of their 

available time; and 

iii. the FDO has or is likely to obtain sufficient funds to provide for the expert, 

investigative and other services reasonably believed to be necessary for the defense of the 

death penalty case. 

b. FDO as Second Counsel.Courts should consider appointing the district's FDO as second 

counsel in a federal death penalty case only if the following conditions are present: 

i. the FDO has sufficient resources so that workload can be adjusted without unduly 

disrupting the operation of the office, and the lawyer(s) assigned to the death penalty case 

can devote adequate time to its defense, recognizing that the case may require all of their 

available time; and

ii. the FDO has or is likely to obtain sufficient funds to provide for the expert, 

investigative and other services reasonably believed to be necessary for the defense of the 

death penalty case. 

Commentary 

Effective capital representation requires a team of many players, and the institutional 

strength of a federal defender organization lends itself to good teamwork. On the other hand, a 

defender organization can meet the demands of a capital case only if the assigned personnel 

possess the requisite qualifications and have available to them the time and other resources the 

case requires. Thus, courts are encouraged to appoint an FDO as either lead or second counsel in 

a capital case, but only after consideration of the factors identified in this Recommendation and 

consultation with the federal defender. 

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Recommendations 4(a) and (b) acknowledge that capital cases inevitably and seriously 

disrupt the normal functioning of an office. To undertake too much death penalty litigation 

would seriously threaten the effective performance of a defender organization’s responsibility to 

provide representation to a substantial number of financially eligible criminal defendants in its 

district each year. Therefore, a federal defender organization should not be required to accept 

more than one federal death penalty trial representation at a time unless the head of the 

organization believes such an arrangement is appropriate. In addition, the head of an FDO 

accepting a capital appointment must be prepared to seek additional resources as necessary and 

to shift responsibilities among staff so that those entrusted with capital cases have sufficient time 

for that work and other demands upon them are limited.101 Regardless of what level of capital 

experience the federal defender has, all FDOs with federal capital cases should maintain close 

contact and collaborate with the appropriate Resource Counsel Project.102 

In addition to serving as counsel, many federal defender organizations play a valuable 

administrative and leadership role with respect to death penalty representation in their districts, 

for example, by sponsoring training, facilitating relationships with Resource Counsel, and 

disseminating information to panel attorneys. This important work should continue to be 

supported and encouraged by the Administrative Office. Also, federal defender organizations 

should identify and share best practices they have developed in providing capital representation 

and in supporting the work of other capital lawyers. 

101 These warnings about avoiding over-commitment should be understood to extend to panel attorneys accepting 

appointment in capital cases as well. As noted in the commentary accompanying Recommendation 2 (Consultation 

with Federal Defender Organizations or the Administrative Office), in making recommendations and appointments, 

courts, federal defenders and Resource Counsel should ensure that prospective defense counsel are sufficiently free 

of other obligations to dedicate the time required to the new capital case. 

102 See Defender Services Strategic Plan, Goal 2 (Quality of Representation), Strategy 16 (Capital Representations). 

104 
 

 

 

Courts are encouraged to consider appointing federal defender organizations with the 

requisite expertise to represent federal death-sentenced prisoners in appellate and post-conviction 

proceedings, as well as at trial. There are particular benefits to the appointment of wellresourced offices in capital 2255 proceedings, which require digesting and briefing large 

amounts of legal and factual material and conducting a thorough investigation within a very 

compressed timetable. Post-conviction representation makes demands that can be efficiently met 

by institutional representation.103 In addition, it has proved much harder to find qualified, 

available attorneys for 2255 matters than for capital trial cases. 

Over the past several years, a number of federal defender organizations have accepted 

capital appeals and 2255 representations, most of them having acquired the necessary expertise 

through their representation of state death-sentenced prisoners pursuant to 28 U.S.C. 

§ 2254. The Administrative Office should evaluate the need for counsel in capital 2255 

proceedings, continue to support federal defender organizations in meeting the need, and 

consider whether to establish additional capacity for institutional representation in capital cases 

in the defender program. 

103 Report on Death Penalty Representation, prepared by the Committee on Defender Services Subcommittee on 

Death Penalty Representation, approved by the Judicial Conference (JCUS-SEP 95). 

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5. The Death Penalty Authorization Process 

a. Streamlining the Authorization Process. The Department of Justice should consider adopting a 

"fast track" review of cases involving death-eligible defendants where there is a high probability 

that the death penalty will not be sought. 

b. Court Monitoring of the Authorization Process. Courts should exercise their supervisory 

powers to ensure that the death penalty authorization process proceeds expeditiously. 

Commentary 

A decision not to seek the death penalty against a defendant has large and immediate 

cost-saving consequences. The sooner that decision is made, the larger the savings. Since the 

death penalty ultimately is sought against only a small number of the defendants charged with 

death-eligible offenses, the process for identifying those defendants should be expeditious in 

order to preserve funding and minimize the unnecessary expenditure of resources. The current 

process, however, is not expeditious; rather, even in cases in which authorization for capital 

prosecution is viewed as unlikely by both the prosecution and the defense, the process is lengthy 

and seemingly inefficient, involving multiple levels of review, and results in unnecessary costs 

being incurred. The process also limits the availability of lawyers qualified to serve as “learned 

counsel” for other capital appointments. Recommendations 5(a) and (b) call upon the 

Department of Justice and the judiciary to maximize cost-savings by increasing the efficiency of 

the authorization process. The Department of Justice can do this by evaluating and streamlining 

its procedures. Judges can do this by establishing reasonable deadlines and maintaining 

oversight during the pre-authorization stage of the litigation.104 Courts should ensure, however, 

that whatever decision-making timetables are imposed are sufficient to allow for meaningful preauthorization advocacy by counsel for the defendant. Where authorization to seek the death 

104 Section 670 of the Guide sets forth Judicial Conference policy on “scheduling of federal death penalty case 

authorization to control costs.”

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penalty is significantly likely, the prosecution and defense should be given every opportunity to 

explore the reasons for not authorizing or for negotiating an early disposition of the case. 

In addition to acting in their individual capacities to pursue efficiency goals, the 

Department of Justice and the judiciary should seek opportunities to communicate with one 

another about the impact of federal death penalty policies on the efficient administration of 

justice. Given the enormous resource demands and cost implications, it would be wise for the 

judiciary, the Department of Justice, and the Administrative Office to communicate and work 

together at the highest levels. 

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6. Federal Death Penalty Resource Counsel 

a.	 Information from Resource Counsel. In all federal death penalty cases, defense counsel 

should obtain the services of Federal Death Penalty Resource Counsel in order to obtain the 

benefit of model pleadings and other information that will save time, conserve resources and 

enhance representation. The judiciary should allocate resources sufficient to permit the full 

value of these services to be provided in every case. 

b.	 Technology and Information Sharing. The Administrative Office should explore the use of 

computer-based technology to facilitate the efficient and cost-effective sharing of 

information between Resource Counsel and defense counsel in federal death penalty cases. 

Commentary 

When Recommendation 6 was issued in 1998, there was only one Federal Death Penalty 

Resource Counsel Project, and it offered support for all cases, whether at trial, on appeal, or in 

post-conviction. As Recommendation 2 (Consultation with Federal Defender Organizations or 

the Administrative Office) describes, there is now a separate Resource Counsel Project dedicated 

to each stage of litigation. The trial-level Federal Death Penalty Resource Counsel Project has 

been joined by the Federal Capital Appellate Resource Counsel Project and the Federal Capital 

Habeas Project. There is also a National Mitigation Coordinator who collaborates with Resource 

Counsel and supports work in all death penalty matters that arise in the federal courts.105 

Recommendation 6 and other references to Resource Counsel in these Recommendations and 

Commentary apply to each of the Resource Counsel Projects. 

The Resource Counsel Projects serve CJA counsel, federal defenders, and the courts by 

recommending counsel for every case at trial, on appeal, and in post-conviction, and by 

providing numerous other services, including case consultation, training, and assistance with 

case budgeting. Trial-level Resource Counsel are assigned to each defense team at the outset of 

every death-eligible case, and continue to support the efforts of appointed counsel through the 

105 The National Mitigation Coordinator also works with the Habeas Assistance and Training Counsel Project (HAT) 

in connection with capital post-conviction representation in the federal courts pursuant to 28 U.S.C. §2254. 

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conclusion of trial. Appellate and post-conviction Resource Counsel assume responsibility at the 

appropriate procedural junctures, and offer consultation and assistance throughout those stages of 

the case. The National Mitigation Coordinator provides information, referrals, and case-specific 

consultation, and is extensively involved in the planning and delivery of training. The four 

Projects work together on issues of common concern, and support one another in conducting 

training and disseminating information to counsel. They also provide consultation and advice to 

the Administrative Office and to courts. 

Recommendation 6(a) urges both the judiciary and counsel to maximize the benefits of 

Resource Counsel’s services. Together, the Resource Counsel Projects are essential to the 

delivery of high quality, cost-effective representation. Their work should continue to be 

facilitated by the Administrative Office, and counsel in all federal death penalty cases are 

encouraged to maintain regular contact with Resource Counsel. See Defender Services Strategic 

Plan, Goal 2 (Quality of Counsel), Strategy 16 (Capital Representations). In addition, federal 

defender organizations should advise potential appointed counsel that they are expected to 

consult with Resource Counsel if they accept a capital representation. Id., Strategy 17 (Capital 

Representations). The Department of Justice provides centralized support to prosecutors 

nationwide at all stages of federal death penalty proceedings. Although the Resource Counsel 

Projects cannot match that capacity, the judiciary should allocate resources sufficient to permit 

the full value of their services to be provided in every case. 

Recommendation 6(b) recognizes the critical role of technology in sharing information. 

The website maintained by Resource Counsel (www.capdefnet.org) recently has been upgraded. 

It is a valuable resource, enhancing quality of representation in a cost-efficient manner, and it is 

relied upon extensively by appointed counsel nationwide. The Administrative Office should 

109 
 

support the ongoing development of this cost-effective means of assisting appointed counsel in 

federal death penalty cases. The database of case related information maintained by Resource 

Counsel is also an essential resource and, similarly, should receive ongoing support as indicated 

in the Commentary to Recommendation 11 (Availability of Cost Data). 

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7. Experts 

a. Salaried Positions for Penalty Phase Investigators. The federal defender program should 

consider establishing salaried positions within FDOs for persons trained to gather and analyze 

information relevant to the penalty phase of a capital case. FDOs should explore the possibility 

that, in addition to providing services in death penalty cases to which their FDO is appointed, it 

might be feasible for these investigators to render assistance to panel attorneys and to other 

FDOs. 

b. Negotiating Reduced Rates. Counsel should seek to contain costs by negotiating reduced 

hourly rates and/or total fees with experts and other service providers. 

c. Directory of Experts. A directory of experts willing to provide the assistance most frequently 

needed in federal death penalty cases, and their hourly rates of billing, should be developed and 

made available to counsel. 

Commentary 

Penalty phase investigators or “mitigation specialists” are individuals trained and 

experienced in the development and presentation of evidence for the penalty phase of a capital 

case. As indicated in the 2003 ABA Guidelines,106 this function is an essential component of 

effective capital defense representation; however, mitigation specialists are in short supply and in 

many cases they are not available locally. Recommendation 7(a) suggests ameliorating this 

problem by employing and training persons for this work in federal defender organizations. In 

2004 the Defender Services Committee authorized a position for a National Mitigation 

Coordinator in a federal defender office to assist in expanding the availability and quality of 

mitigation work in death penalty cases in the federal courts. In addition to leveraging his own 

significant knowledge and skills through case consultations, the National Mitigation Coordinator 

has enhanced defense representation and contributed to cost containment efforts by recruiting 

more mitigation specialists to work on federal capital cases, matching mitigation specialists with 

106 American Bar Association, Guidelines for the Appointment and Performance of Counsel in Death Penalty Cases, 

31 Hofstra L. Rev. 913 (2003). See also Supplementary Guidelines for the Mitigation Function of Defense Teams in 

Death Penalty Cases, 36 Hofstra L. Rev. 677 (2008) for an elaboration on the mitigation function, including the role 

of mitigation specialists. 

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counsel, and providing expanded training opportunities both for defender staff and for private 

mitigation specialists who are authorized to work on federal cases. This training enhances the 

skills and availability of such professionals. 

In addition, because of the cost containment potential, Recommendation 7(a) suggests 

that salaried federal defender employees might work not only on cases in which their office is 

appointed, but also, in appropriate instances, on other cases. Procedures that will facilitate 

lending such non-attorney staff members between defender offices have been developed by the 

Administrative Office. 

Recommendation 7(b) encourages counsel to negotiate a reduced hourly rate for expert 

services whenever possible. Private experts must be employed in death penalty cases, but the 

cost of their services can and should be contained. When asked to provide services for the 

defense of a CJA-eligible criminal defendant, many experts are willing to accept fees lower than 

their customary hourly rates for private clients. The types of experts employed in capital cases 

can be highly specialized, however, and sometimes a particular expert is required and it is not 

possible to negotiate a reduced rate. It should be noted that the government, too, employs private 

experts, often at high hourly rates, a factor the courts could consider in assessing the 

reasonableness of proposed defense expenditures. 

With respect to Recommendation 7(c), it should be noted that while maintaining formal 

lists of experts has proved to be problematic, substantial progress has been made in collecting 

and sharing appropriate information of this nature with defense counsel and courts, particularly 

since 2004 when the National Mitigation Coordinator position was established. Resource 

Counsel, federal defenders, and the National Mitigation Coordinator have knowledge of a wide 

range of expert service providers throughout the country and they are available to assist in 

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matching cases with experts and evaluating costs during the case-budgeting process and at any 

other stage of litigation. 

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8. Training 

Federal Death Penalty Training Programs.The Administrative Office should continue to offer 

and expand training programs designed specifically for defense counsel in federal death penalty 

cases. 

Commentary

Specialized death penalty training programs are relied upon by even the most highly 

experienced counsel to update and refine their skills and knowledge. Death penalty law is not 

only complex but also is rapidly evolving, and counsel are obligated to keep pace with 

developments throughout the federal courts. Continuing education in the latest forensic science 

developments is another responsibility of capital lawyers. Resource Counsel, the National 

Mitigation Coordinator, and federal defenders, with the support of the Administrative Office, 

have substantially increased training opportunities over the past several years. Counsel 

appointed in federal capital cases may attend a variety of specialized trial, appellate, and postconviction programs organized or supported by each of the Resource Counsel Projects. 

Defender offices sponsor local and regional training as well. Programs focusing on forensic 

science, mitigation investigation, and victim contact offer further opportunities for skill-building 

and information sharing. Financial assistance to facilitate attendance at training programs and 

other logistical support are made available through the Training Branch of the Administrative 

Office’s Office of Defender Services. These opportunities for counsel to benefit from the 

research and experience of others and share information and ideas are important and costeffective. Their quality and utility has been universally praised by defense counsel. The 

Administrative Office should ensure that training opportunities continue to expand to meet the 

needs of capital defense teams. 

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9. Case Budgeting 

a. Consultation with Prosecution.Upon learning that a defendant is charged with an offense 

punishable by death, courts should promptly consult with the prosecution to determine the 

likelihood that the death penalty will be sought in the case and to find out when that decision will 

be made. 

b. Prior to Death Penalty Authorization.Ordinarily, the court should require defense counsel to 

submit a litigation budget encompassing all services (counsel, expert, investigative and other) 

likely to be required through the time that the Department of Justice (DOJ) determines whether 

or not to authorize the death penalty. 

c. After Death Penalty Authorization. As soon as practicable after the death penalty has been 

authorized by DOJ, defense counsel should be required to submit a further budget for services 

likely to be needed through the trial of the guilt and penalty phases of the case. In its discretion, 

the court may determine that defense counsel should prepare budgets for shorter intervals of 

time. 

d. Advice from Administrative Office and Resource Counsel. In preparing and reviewing case 

budgets, defense counsel and the courts should seek advice from the Administrative Office and 

Federal Death Penalty Resource Counsel, as may be appropriate. 

e. Confidentiality of Case Budgets. Case budgets should be submitted ex parteand should be 

filed and maintained under seal. 

f. Modification of Approved Budget.An approved budget should guide counsel's use of time and 

resources by indicating the services for which compensation is authorized. Case budgets should 

be re-evaluated when justified by changed or unexpected circumstances, and should be modified 

by the court where good cause is shown. 

g. Payment of Interim Vouchers.Courts should require counsel to submit vouchers on a monthly 

basis, and should promptly review, certify and process those vouchers for payment. 

h. Budgets In Excess of $250,000. If the total amount proposed by defense counsel to be 

budgeted for a case exceeds $250,000, the court should, prior to approval, submit such budget 

for review and recommendation to the Administrative Office. 

i. Death Penalty Not Authorized. As soon as practicable after DOJ declines to authorize the death 

penalty, the court should review the number of appointed counsel and the hourly rate of 

compensation needed for the duration of the proceeding pursuant to the Guide, § 630.30. 

j. Judicial Conference Guidelines. The Judicial Conference should promulgate guidelines on case 

budgeting for use by the courts and counsel. 

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k. Judicial Training for Death Penalty Cases. The Federal Judicial Center should work in 

cooperation with the Administrative Office to provide training for judges in the management of 

federal death penalty cases and, in particular, in the review of case budgets. 

Commentary 

When Recommendation 9 was issued in 1998, case budgeting was new to the courts. It is 

now well established, representing the norm in federal death penalty cases. Judicial Conference 

policy with respect to capital case budgeting is set forth in Section 640 of the Guide, and district 

and appellate courts in various parts of the country are experimenting with different approaches 

to case budgeting. Reports on their methods and progress will be forthcoming as those initiatives 

are evaluated. In the meantime, certain things are clear. Drafting a case budget requires the 

lawyer to incorporate cost considerations into litigation planning and encourages the use of less 

expensive means to achieve the desired end. Submission and review of a budget assists the court 

in monitoring the overall cost of representation in the case, and determining the reasonableness 

of costs. Both judges and counsel consistently describe the budgeting process as valuable. They 

also emphasize the importance of a focus on the “big picture” rather than “nickels and dimes,” 

and of an understanding that case budgeting is about ensuring planned, thoughtful, and 

responsible spending as opposed to simply cutting costs. Resource Counsel are available to 

assist courts and counsel with drafting and evaluating case budgets. 

Because of the unpredictability of pretrial litigation, it is impractical to require counsel to 

budget for an entire case from start to finish. At a minimum, the budgeting process should occur 

in two stages, as suggested in Recommendations 9(b) and (c). The first stage begins when the 

lawyer is sufficiently familiar with the case to be able to present a budget reasonably related to 

the anticipated factual and legal issues in the case and continues until the Department of Justice 

makes its decision as to whether it will seek the death penalty. Prior to this first-stage budget, in 

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some districts the court orders a “starter budget” approving funds for an initial allotment of 

counsel’s time as well as service providers such as an investigator, paralegal, mitigation 

specialist, and associate counsel. This allows counsel to begin work without delay, and a formal 

first-stage budget is submitted after counsel has had an opportunity to assess the needs of the 

case more thoroughly. As indicated in the Commentary to Recommendation 1(b) (Qualifications 

of Counsel), courts should not defer appointing “learned counsel” and authorizing an appropriate 

investigation at this stage. As recognized in Section 640.40 of the Guide, it will be necessary for 

counsel to begin work immediately, so courts should be prepared to authorize funds for this 

purpose, even if a case budget has not yet been submitted or approved. 

If a death penalty notice is filed, a further budget should be prepared. The court may 

require a single budget from authorization through trial, though it may be more practical to 

develop a series of budgets covering shorter increments of time. If the prosecution will not seek 

the death penalty, Recommendation 9(i) calls for the court to review the case in accordance with 

the Guide, § 630.30, to determine whether the number or compensation of counsel should be 

reduced. 

Consistent with the Criminal Justice Act, 18 U.S.C. § 3006A, Recommendation 9(e) calls 

for case budgets to be submitted ex parte and maintained under seal. Guide, § 640.20(b). A case 

budget requires defense counsel to develop an overall litigation plan for the case. Consequently, 

it contains privileged information and is an extremely sensitive document. 

Recommendation 9(g) encourages prompt and efficient consideration and payment of 

interim vouchers in capital cases. Delay in approving payments to experts or counsel may 

prevent the defense from moving forward to develop its case, negatively affect the quality of 

representation, and/or delay expeditious and cost-effective disposition of the matter. 

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Case budgeting in post-conviction cases should proceed in much the same way as trial 

case budgeting. Costs can be significant because counsel is obligated to thoroughly and 

independently investigate both phases of the trial to determine whether there are any potential 

constitutional infirmities. Guideline 10.7 (Investigation), American Bar Association, Guidelines 

for the Appointment and Performance of Counsel in Death Penalty Cases, 31 Hofstra L. Rev. 

913, 1015 (2003). A capital post-conviction budget should include the costs of counsel, 

investigators, and experts. The budgeting process should be completed quickly in light of the 

one-year statute of limitations for filing a motion pursuant to 28 U.S.C. § 2255. 

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10. Case Management 

a. Non-Lawyer Staff. Where it will be cost-effective, courts should consider authorizing payment 

for services to assist counsel in organizing and analyzing documents and other case materials. 

b. Multi-defendant Cases. 

i. Early Decision Regarding Severance.Courts should consider making an early decision 

on severance of non-capital from capital codefendants. 

ii. Regularly Scheduled Status Hearings.Status hearings should be held frequently, and a 

schedule for such hearings should be agreed upon in advance by all parties and the court. 

iii. "Coordinating Counsel. " In a multi-defendant case (in particular a multi-defendant 

case in which more than one individual is eligible for the death penalty), and with the 

consent of co-counsel, courts should consider designating counsel for one defendant as 

"coordinating counsel." 

iv. Shared Resources.Counsel for codefendants should be encouraged to share resources 

to the extent that doing so does not impinge on confidentiality protections or pose an 

unnecessary risk of creating a conflict of interest. 

v. Voucher Review. In large multi-defendant cases, after approving a case budget, the 

court should consider assigning a magistrate judge to review individual vouchers. The 

court should meet with defense counsel at regular intervals to review spending in light of 

the case budget and to identify and discuss future needs. 

Commentary 

Recommendation 10(a) recognizes that the large volume of discovery materials and 

pleadings associated with a federal death penalty case may make it cost-effective for courts to 

authorize (and appointed counsel to employ) the services of law clerks, paralegals, secretaries, or 

others to perform organizational work which would otherwise have to be performed by counsel 

at a higher hourly rate. (See also Commentary accompanying Recommendation 3 (Appointment 

of More Than Two Lawyers), endorsing the practice of authorizing counsel to obtain the services 

of additional attorneys under appropriate circumstances.) Judicial Conference policy provides 

that, in general, appointed counsel may not be reimbursed for expenses deemed part of their 

office overhead (Guide, § 230.66.10); however, unusual expenses of this nature may be 

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compensated (Guide, § 320.70.30). The Guidelines suggest that in determining whether an 

expense is unusual or extraordinary, “consideration should be given to whether the 

circumstances from which the need arose would normally result in an additional charge to a fee 

paying client over and above that charged for overhead expenses.” (Guide, § 320.70.30). 

Recommendations 10(b)(i) – (iv) address some of the particular management burdens 

associated with multi-defendant federal death penalty cases. Special efforts are required to 

ensure the orderly administration of justice in these matters, which tend to become costly and 

cumbersome for courts and counsel. Courts should also consider encouraging prosecutors to 

provide discovery in a way that will make information much more accessible and therefore less 

costly for the defense to assimilate. For example, the way in which the government organizes 

the material it turns over to defense counsel and the way it formats it can have significant cost 

consequences. Where there is extensive wiretap evidence, the government might be asked to 

provide defense counsel not just with recordings, but with any transcripts of those recordings. 

Such time and cost savings possibilities should be urged wherever possible. The court might 

initiate discussion about how best to contain discovery costs by soliciting a list of ideas from the 

parties. 

Recommendation 10(b)(i) suggests that courts make early decisions concerning 

severance of non-capital from capital codefendants. In general, capital cases remain pending 

longer than non-capital cases and involve far greater amounts of pre-trial litigation. Separating 

the cases of non-capital codefendants, where appropriate, may lead to swifter and less costly 

dispositions in those cases. The earlier such a decision is implemented, the greater will be the 

cost savings. 

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Recommendation 10(b)(ii) suggests that courts schedule frequent status hearings so that 

discovery and other matters may proceed efficiently and problems may be noted early and 

swiftly resolved. If the schedule for such status hearings (on a monthly or other basis) is agreed 

upon in advance, all parties can plan accordingly and valuable time will not be consumed with 

counsel and judges trying to find a mutually convenient time for their next meeting. 

Recommendation 10(b) (iii) suggests that, if all counsel agree, courts consider 

designating the attorneys for one defendant as “coordinating counsel.” Coordinating counsel 

might be responsible for arranging for the efficient filing and service of motions and responses 

among the codefendants, scheduling co-counsel meetings and court dates, facilitating discovery, 

or completing any other tasks deemed appropriate by counsel and the court. In multi-defendant 

cases where the federal defender organization represents a defendant eligible for the death 

penalty, courts should (taking into account the views of the federal defender) consider 

designating the FDO as coordinating counsel because of its institutional capabilities. In the 

event that a panel attorney is designated as coordinating counsel, the additional time and 

resources demanded by this role should be compensated. 

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11. Availability of Cost Data 

The Administrative Office should improve its ability to collect and analyze information about 

case budgets and the cost of capital cases. 

Commentary 

The cost data for this report were assembled by painstaking manual collection, 

necessitated by the limitations of the only available information source, the CJA payment 

system.107 Given the significance of capital case costs to the federal defender program, the 

Administrative Office has given priority to developing an electronic CJA voucher processing 

system that will provide accurate and reliable case data that are accessible for analysis. 

Enhancing the ability of the Defender Services program to analyze and make use of cost and 

other quantitative data relating to federal death penalty cases would assist in making resource 

allocation decisions and in establishing policy. In addition, the judiciary should give further 

consideration to geographic disparities in defense resources and the relationship between low 

cost defense representation and sentencing outcome in capital cases. The Administrative 

Office should work with the Department of Justice to obtain useful data about prosecution 

costs in federal capital cases. 

This report could not have been completed without extensive assistance from the 

federal capital trial, appellate, and post-conviction Resource Counsel Projects, including 

access to information from their databases. These data are vitally important to the Defender 

Services program and their collection and analysis should remain a priority and be supported 

by the Administrative Office. 

107 The CJA Panel Attorney Payment System is a judiciary-wide application in which all attorney and expert 

service provider vouchers for representation-related work performed are recorded, processed and paid. 

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