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INSTRUCTIONS FOR CJA FORM 31
INSTRUCTIONS FOR CJA 31
DEATH PENALTY PROCEEDINGS: EX PARTE REQUEST FOR
AUTHORIZATION AND VOUCHER FOR EXPERT AND OTHER SERVICES
The CJA Form 31 should be used to obtain investigative, expert and other
services in all death eligible cases through disposition of the case, regardless
whether the death penalty is authorized, not-authorized, or de-authorized.
Read these instructions carefully before completing the form. Accuracy
and thoroughness will aid in the prompt payment of the claim. Use
a typewriter if possible to complete the form; otherwise, write legibly
with a ball point pen (preferably black or dark blue ink). If the form
is generated by the automated system, Items 1 through 10 and 13 will be
preprinted on the form. Attach an itemized statement of the services provided
and expenses incurred. Give the date and the number of hours claimed for
the service requested. Provide the dates for and a description of expenses
incurred. For additional guidance, refer to the Guidelines for the Administration
of the Criminal Justice Act and Related Statutes (CJA Guidelines),
Volume
VII, Guide to Judiciary Policies and Procedures, which is available
for reference in the Clerk's office.
All payments made pursuant to this claim are subject to post-audit;
overpayments are subject to collection, including deduction of amounts
due from future vouchers.
Refer to 21 u.s.c. 848(q)(9) and the cja guidelines concerning
the conditions for making ex parte requests.Note: Prior authorization from the presiding judicial officer
must be secured for all investigative, expert or other services where the
cost (excluding reimbursement for reasonable expenses) will exceed $500.
Failure to obtain prior authorization will result in the disallowance of
any amount claimed for compensation in excess of $500, unless the presiding
judicial officer finds that, in the interest of justice, timely procurement
of necessary services could not await prior authorization.
If prior authorization is obtained for an investigative, expert or other
service and later it is determine that the cost of the service will exceed
the initial estimate by a significant amount, you should seek, from the
presiding judicial officer, further prior authorization for the additional
amount.
for cases commenced, and appellate proceedings for which an appeal
is perfected, on or after April 24, 1996, the presiding judicial officer's
approval of payment in Item 28 may require additional approval by the chief
judge of the court of appeals (or active circuit judge to whom the chief
judge has delegated excess compensation approval authority) consistent
with the $7,500 statutory amount set forth in 21 U.S.C. § 848(q)(10)(B).
Pursuant to that provision, if the aggregate amount of compensation and
expenses for all investigative, expert, and other services exceeds $7,500
in any case, payment in excess of that amount must be certified by the
presiding judicial officer as necessary to provide fair compensation for
services of an unusual character or duration, and the amount of the excess
payment must be approved by the chief judge of the court of appeals (or
delegate).
Item 1. |
CIR./DIST./DIV. CODE: This four-character location code is the
circuit or district, and divisional office codes for the court where the
proceedings for the person represented are held. |
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Item 2. |
PERSON REPRESENTED: Give the full name of the person whom you
were appointed to represent. |
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Items 3-6. |
DOCKET NUMBERS: Provide the case number assigned by the court.
Enter the number using the last two digits of the calendar year (YY), the
sequential number assigned by the court (NNNNNN), and the defendant number
(DDD), as shown in the indictment or charging document. Thus, the format
of the docket numbers is YY-NNNNNN-DDD. If two or more cases are heard
or tried together for the person represented, complete a separate voucher
for each case in which services are provided (i.e., for each docket number
listed). Prorate the total time among the cases. On the supporting documentation,
cross reference all related claims for which costs are prorated. |
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Item 7. |
IN CASE/MATTER OF (CASE NAME): In criminal cases, enter U.S.
vs. Defendant's Name. If it is a multiple defendant case, give the
case cite on the indictment (e.g., U.S. vs. Lead Defendant's Name,
et al). If this is a habeas corpus proceeding, enter the Name
of the Petitioner vs. the Name of the Respondent and include the respondent's
title. |
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Item 8. |
TYPE PERSON REPRESENTED: Check the box that defines the legal
status of the person represented. |
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Item 9. |
REPRESENTATION TYPE: Use the CJA Form 31 only if this is a death
penalty representation. Check one of the following types of representation:
D1 Habeas corpus (capital) petition pursuant to 28 U.S.C.
§ 2254, seeking to vacate or set aside a state death sentence and
appeals;
D2 Federal capital prosecution, either trial or direct
appeal;
D3 Habeas corpus (capital) petition pursuant to 28 U.S.C.
§ 2255, seeking to vacate or set aside a federal death sentence and
appeals; or
D4 Death penalty prosecution in federal court under a
state statute or any authority other than the United States Code and appeals. |
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Item 10. |
OFFENSE(S) CHARGED: If the case is a capital prosecution in
federal court, cite the U.S. Code (title and section) or other code citation
of all charges, up to five. List all death-eligible offenses first. If
this is a direct appeal of a federal prosecution, list all offenses for
which the defendant was convicted. |
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Item 11. |
ATTORNEY'S STATEMENT, NAME AND MAILING ADDRESS: Check the appropriate
box to indicate whether the request is for authorization to obtain services,
or approval of services already provided. Include, for the services described
in Item 12, the total estimated dollar amount for compensation and expenses.
Estimate the cost of the services (including expenses) requested, and show
the amount where required on the form. Note the basis for compensation
(e.g., number of hours of work at hourly rate, number of days at daily
rate, or a fixed dollar fee). This statement must be signed and dated by
counsel for the person represented (or by the person proceeding pro se).
Check the appropriate box to designate the attorney status as an attorney
from a legal organization (bar association, legal aid agency, or community
defender organization not receiving a periodic sustaining grant under the
Criminal Justice Act (CJA), a CJA panel attorney, a retained attorney whose
client is unable to afford the cost of the service requested, or a person
who qualifies for representation under the CJA but has chosen to proceed
pro se.
Give the complete legal name, mailing address, and telephone number
of the attorney appointed to represent the person whose name is shown in
Item 2. Provide the mailing address and telephone number of the attorney. For cases commenced, and appellate proceedings for which an appeal is
perfected, on or after April 24, 1996, all totals for compensation and
expenses authorized for investigative, expert, and other services will
be included as a part of the statutory threshold. (Payments to counsel
for representation is not a part of the statutory threshold.) The court
may use this information to help determine whether advance approval should
be obtained from the chief judge of the court of appeals (or delegate)
in anticipation that the $7,500 amount for compensation and expenses for
investigative, expert, and other services will be exceeded. If the estimated
amount has been authorized already, in whole or in part, through a case
budgeting process by the court (and by the chief judge of the court of
appeals (or delegate) if applicable), attach the appropriate documentation
to the first payment voucher submitted. |
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Item 12. |
Procedures for Requesting Psychiatric and Psychological Services.
If this is a request for an examination by a psychiatrist or psychologist,
state whether the purpose of the examination is to determine (1) the current
mental state of the person represented, or (2) the mental state at the
time of the person's alleged offense. Counsel may request authorization
to obtain necessary psychiatric and related services when the purpose of
an examination is to assist the defense and counsel wishes to control disclosure
of the examination report (i.e., keep it confidential from the court and
the prosecution) as well as to select the expert conducting the examination.
If the examination is ordered pursuant to a statute, cite the statute (U.S.
Code, title and section). See paragraph 3.11 of the
CJA Guidelines
and accompanying chart, "Responsibility for Payment of Psychiatric and
Related Expert Services." In habeas corpus proceedings, payment of fees and expenses of psychiatric
examinations for purposes other than representation of the petitioner is
not paid from Defender Services funds, but is determined by the rules governing
section 2254 cases in the united states district courts and rules governing
2255 cases in the united states courts. In order to avoid confusion and
possible delays in payment, the order authorizing the services to be obtained
should specify the statutory authority and the agency responsible for payment.
DESCRIPTION OF AND JUSTIFICATION FOR SERVICES: Briefly, describe
the nature of the services requested and the reason services are necessary
to provide adequate representation. |
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Item 13. |
TYPE OF SERVICE PROVIDER: Check the box that identifies the
type of service provider requested. If you check the box "Other," be sure
to specify the type of service or service provider. If computer assisted
legal research (CALR) is checked, refer to paragraph 3.15 of the CJA
Guidelines for an explanation of the criteria and procedures for approval
of CALR as a necessary service under CJA. |
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Item 14. |
COURT ORDER: This court order must be signed and dated by the
presiding judicial officer. An additional court order is not necessary
except for certain psychiatric and psychological examinations as explained
in the instructions for Item 12, or to authorize payment for services exceeding
$500 when prior authorization was not obtained (see Item 23). Indicate
whether full or partial repayment was ordered by the court from the person
represented by checking "Yes" or "No." |
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Item 15. |
STAGE OF PROCEEDING: Check the box that corresponds to the stage
of proceeding for services claimed in Item 16 even if it is anticipated
that the work will be used in connection with a later stage of the proceeding.
CHECK ONLY ONE BOX. Submit a separate voucher for each stage of proceeding.
The stage noted as "Other" under "Other Proceeding" should be used only
for a petition for presidential pardon or clemency, or other proceeding
that does not relate to the other described categories. |
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Item 16. |
CLAIM FOR SERVICES AND EXPENSES:
COMPENSATION (Item 16a): Enter the total amount claimed for professional
services rendered. On an attachment to the voucher, describe in detail
the services provided, including dates of service and the amount of time
spent (in hours and tenths of hours). State the basis for the fee claimed
(e.g., hourly rate, daily rate, fixed fee). TRAVEL EXPENSES (Item 16b): Travel related expenses that are
incidental to providing services (e.g., transportation, lodging, meals,
car rental, parking, etc.) must be itemized on a separate sheet, indicating
dates the expense was incurred. Attach supporting documentation (receipts,
canceled checks, etc.) for travel expenses. Travel expenses by privately
owned automobile, motorcycle or aircraft,should be claimed at the rate
in effect for federal employees at the time of travel. Tor overnight travel,
reasonable expenses for lodging and meals will be reimbursed on an actual
expense basis; per diem is not allowed. Service providers are limited to
the travel and subsistence expenses of federal employees. The clerk of
court can advise you of applicable rates and federal government travel
regulations.
OTHER EXPENSES (Item 16c): Itemize all reimbursable out-of-pocket
expenses incurred incidental to services provided. Enter the total claimed
where required on the form. Submit supporting documentation (receipts,
canceled checks, paid invoices, etc.) for all single item expenses in excess
of $50. Do not include general office overhead (e.g., rent, telephone services,
secretarial services) as reimbursable expenses. Fees and expenses for consultants
in death penalty cases should be claimed on this form.
The columns under "FOR COURT USE ONLY" will reflect any mathematical
and technical adjustments to the claim during the judicial approval process
or changes during a required additional review of the chief judge of the
court of appeals (or delegate). |
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Item 17. |
PAYEE'S NAME AND MAILING ADDRESS, CLAIMANT'S CERTIFICATION OF SERVICE
PERIOD AND CLAIM STATUS: Provide the complete name and address of the
payee (claimant). The claimant must certify the dates covered by indicating
the date range for services rendered. Check the box to indicate whether
this is (1) a final payment for services, (2) an interim payment, or (3)
a supplemental payment (an additional claim submitted after a final payment).
If this is an interim payment, indicate the interim payment number. The
claimant or payee must sign and date the payment certification statement
prior to submitting the claim to the attorney for certification that the
services were rendered and received. Provide the Taxpayer Identification
Number (TIN) to report these earnings to the Internal Revenue Service (IRS). |
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Item 18. |
CERTIFICATION OF ATTORNEY: This section must be completed by
the attorney appointed to provide representation, a retained attorney whose
client is unable to afford cost of the services requested, or by a person
proceeding pro se under the CJA. |
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Items 19-22. |
APPROVED FOR PAYMENT -- COURT'S USE ONLY: The presiding judicial
officer must review for reasonableness and compliance with the CJA Guidelines
every claim for compensation and any reimbursement for expenses incurred.
After review, the judicial officer will indicate the amount approved for
payment in each of the payment categories. These amounts will reflect any
mathematical and technical adjustments made to the claim.
The "TOTAL AMOUNT APPROVED/CERTIFIED" (Item 22) is the amount
approved for payment of the claim, less any amounts withheld in accordance
with an interim payment order. If the amount exceeds the statutory threshold,
including expenses, the presiding judicial officer certifies the excess
compensation for payment approval of the chief judge of the court of appeals
(or delegate), by circling the word "certified" and indicating the amount
approved in Item 22). |
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Item 23. |
SIGNATURE OF THE PRESIDING JUDICIAL OFFICER: The presiding judicial
officer must check the appropriate box to indicate (1) either the cost,
excluding expenses, does not exceed $500, or prior authorization was obtained;
or (2) in the interest of justice, the court finds that timely procurement
of the services could not await prior authorization, even though the cost,
excluding expenses, exceeds $500. The presiding judicial officer will sign
and date Item 23, indicating approval/certification of the amount in Item
22. The court will provide the
JUDGE CODE. |
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Items 24-27. |
PAYMENT APPROVED IN EXCESS OF THE STATUTORY THRESHOLD: The chief
judge of the court of appeals (or delegate) will indicate the amount approved
for payment in each of the payment categories (Items 24 -26). This amount
will reflect any adjustments of your claim resulting from the additional
review of claims by the chief judge (or delegate) for amounts that exceed
the statutory threshold for the payment category of the case. The chief
judge (or delegate) will sign and date Item 28 for the total amount approved
and entered in Item 27. The JUDGE CODE of the chief judge (or delegate)
approving the excess compensation will be provided by the court staff. |
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Item 28. |
FOR CASES COMMENCED, AND APPELLATE PROCEEDINGS FOR WHICH AN APPEAL
IS PERFECTED, ON OR AFTER APRIL 24, 1996. The presiding judicial officer
should sign and date Item 28, indicating, in paragraph A of Item 28, the
total amount paid for compensation and expenses for investigative, expert
and other service providers on behalf of the person represented in this
case, and that payment in excess of the statutory threshold is approved.
Complete Item 28 only for cases commenced, and appellate proceedings
for which an appeal is perfected, on or after April 24, 1996. If the amount
approved for compensation and expenses for investigative, expert, and other
services on behalf of the person represented in a case is less than or
equal to $7,500, the claim will be forwarded to the clerk of court for
processing for payment. Upon preliminary approval of a claim in excess
of $7,500 (including other claims for investigative, expert, and other
services on behalf of the person represented), the presiding judicial officer
will (1) signify approval of the excess amount under 21 U.S.C. § 848(q)(10)(B)
by circling "Certification" in Item 22. If the chief judge (or delegate)
approves the excess amount, the judge will enter the amount approved for
payment in Item 27, sign and date Item 28. If approval is not granted,
the claim will be returned to the presiding judicial officer for appropriate
action. |
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