493—12.2  (13B,815)  Submission and payment of attorney claims.
	   12.2(1) Required claim documents. Court-appointed attorneys shall submit written indigent defense fee claims to the state public defender for review, approval and payment. These claims shall include the following:
	      a.    	  A completed fee claim on a form promulgated by the state public defender.
	       (1)  	  Adult fee claims, including all trial-level criminal and postconviction relief proceedings, misdemeanor appeals to district court, and applications for discretionary review or applications for interlocutory appeals to the Iowa supreme court, must be submitted on an Adult form. Juvenile fee claims, including petitions on appeal and applications for interlocutory appeals, must be submitted on a Juvenile form. Appellate fee claims, including claims for all criminal and postconviction relief appeals, work performed after the granting of an application for discretionary review or for interlocutory appeal, and work performed after full briefing is ordered following a juvenile petition on appeal, must be submitted on an Appellate form. For paper claims submitted on or before December 31, 2016, the claim forms may be downloaded from the state public defender Web site:  http://spd.iowa.gov .
	       (2)  	  Claims submitted on or after January 1, 2017, shall be submitted electronically via the online claims Web site:  https://spdclaims.iowa.gov . Effective January 1, 2017, any reference in these rules to forms for Adult, Juvenile, or Appellate claims means the respective electronic claims submission page on the online claims Web site. The state public defender, at the state public defender’s sole discretion, may grant limited exceptions to the requirement that claims be submitted electronically via the online claims Web site.
	      b.    	  A copy of all orders appointing the attorney to the case.
	       (1)  	  The appointment order must be signed by the court and either dated by the court or have a legible file-stamp.
	       (2)  	  If, at the time of appointment, the attorney does not have a contract to represent indigent persons in the type of case and the county in which the action is pending, the appointment order must include either a finding that no attorney with a contract to represent indigent persons in that specific type of case and that county is available or a finding that the state public defender was consulted and consented to the appointment.
	       (3)  	  Claims for probation or parole violations and contempt actions are considered new cases, and the attorney must submit a copy of an appointment order for these cases. Appointment orders in parole violation cases must also contain the following findings:
	      1. 	  The alleged parole violator requests appointment of counsel;
	      2. 	  The alleged parole violator is indigent as defined in Iowa Code section 815.9;
	      3. 	  The alleged parole violator, because of lack of skill or education, would have difficulty in presenting the alleged violator’s version of a disputed set of facts, particularly when presentation requires the examining or cross-examining of witnesses or the offering or dissecting of complex documentary evidence; and
	      4. 	  The alleged parole violator has a colorable claim that the alleged violation has not been committed, or there are substantial reasons which justify or mitigate the violation and make revocation inappropriate.
	       (4)  	  If the venue is changed in a juvenile case, an order appointing the attorney in the new county must be submitted.
	       (5)  	  A new appointment order is not necessary for trial counsel to request or resist an interlocutory appeal or an application for discretionary review.
	       (6)  	  A new appointment order is not necessary to pursue or respond to a juvenile petition on appeal if the attorney was properly appointed to represent the client in juvenile court. If the original trial counsel withdraws or is removed from the case, the new appellate counsel must attach an order appointing the attorney for the appeal.
	       (7)  	  An appointment order is not necessary if the state public defender determines the appointment order is unnecessary.
	      c.    	  A copy of any application and court order authorizing the attorney to exceed the attorney fee limitations.
	      d.    	  A copy of any court order that affects the amount to be paid or the client’s right to counsel.
	      e.    	  A copy of the dispositional order, the order granting a motion to withdraw prior to disposition, procedendo, or other court order documenting the “date of service” for the claim.
	      f.    	  An itemization detailing all work performed on the case for which the attorney seeks compensation and all expenses incurred for which the attorney seeks reimbursement.
	       (1)  	  The itemization must state the date and amount of time spent on each activity. Time must be reported in tenths of an hour. Time shall be rounded to the nearest tenth of an hour. For example, an attorney spending ten minutes performing an activity shall bill 0.2 hours, while an attorney spending seven minutes performing an activity shall bill 0.1 hours. The time spent on each activity must be separately itemized, except that one or more activities on the same day, each taking less than 0.1 hours, must be aggregated together with other activities so that the aggregate amount billed is at least 0.1 hours. If an attorney performs only a single activity taking less than 0.1 hours for a client on a day, the attorney may bill 0.1 hours regardless of the precise length of time spent on the activity. If an attorney performs multiple related activities on the same day, such as multiple e-mail or telephone exchanges, the activities must be aggregated together if separately itemizing the activities would result in claiming more time than the attorney actually spent performing the activities.
	       (2)  	  The itemization shall separately designate time claimed for in-court time, out-of-court time, paralegal time and travel time.
	       (3)  	  If another attorney performed any of the work, the itemization shall specify the name of the attorney performing each activity. It is permissible to use initials representing the name, so long as an explanation is provided as to the full name for each set of initials with the itemization.
	       (4)  	  The itemization must be in chronological order.
	       (5)  	  If the attorney seeks reimbursement for expenses incurred, the itemization must separately state each expense incurred, including any specific information required by rule 493—12.8(13B).
	       (6)  	  For paper claims submitted on or before December 31, 2016, the itemization must be typed in at least 10-point type on 8½ʺ × 11″ paper. For claims submitted on or after January 1, 2017, the itemization shall be submitted electronically via the Attorney Hours grid on the appropriate claims submission page on the online claims Web site. Separate electronic attachments of itemizations will not be accepted.
	      g.    	  If the attorney was privately retained to represent the client prior to appointment, a copy of any representation agreement, written notice of the dollar amount paid to the attorney, and an itemization of services performed and how any funds provided were spent during the period prior to the court appointment. The state public defender will review the amount paid and hours spent before and after the court appointment in determining the appropriate attorney compensation on the claim.
	   12.2(2) Failure to submit required documents. Submitted claims for which the entire claim form has not been properly completed or which do not include the documents required by subrule 12.2(1) may be returned to the attorney for additional information and resubmission within the time required by paragraph 12.2(3)“d.”  If the attorney fails to submit all the required documentation to support a claim, the state public defender may request additional information or may deny all or a portion of the claim.
	   12.2(3) Timely claims required. Claims submitted prior to the date of service shall be returned to the claimant unpaid and may be resubmitted to the state public defender after the date of service. Claims that are not submitted within 45 days of the date of service as defined in this subrule may be denied, in whole or in part, as untimely unless the delay in submitting the claim is excused by paragraph 12.2(3)“f.”  Attorney fees and expenses that are submitted on a claim denied as untimely under this subrule may be resubmitted on a subsequent claim that is timely submitted with respect to a subsequent date of service in the same case. For purposes of this subrule, a probation, parole, or contempt proceeding is not the “same case” as the underlying proceeding.
	      a.    	  Adult claims. For adult claims, “date of service” means the date of filing of an order indicating that the case was dismissed or the client was acquitted or sentenced, the date of a final order in a postconviction relief case, the date of mistrial, the date on which a warrant was issued for the client, or the date of a court order authorizing the attorney’s withdrawal from a case prior to the date of a dismissal, acquittal, sentencing, or mistrial. The filing of a notice of appeal is not a date of service. If a motion for reconsideration is filed, the date on which the court rules on that motion is the date of service. For interim adult claims authorized by subrule 12.3(3) or 12.3(4), the date of service is the last day on which the attorney claimed time on the itemization of services.
	      b.    	  Juvenile claims. For juvenile claims, “date of service” means the date of filing of an order as a result of the dispositional hearing or most recent postdispositional hearing that occurs while the client is still an active party in the case, the date on which the client ceased to be a party, the date of a court order authorizing the attorney’s withdrawal from a case prior to the filing of the final ruling with respect to the client, the date jurisdiction is waived to adult court, the date on which the venue is changed, the date of dismissal, or the file-stamped date of a procedendo resulting from a petition on appeal. The date of a family drug court meeting, family team meeting, staffing, or foster care review board hearing is not a date of service.
	      c.    	  Appellate claims. For appellate claims, “date of service” means the date on which the case was dismissed, the date of a court order authorizing the attorney’s withdrawal prior to the filing of the proof brief, the date on which the proof brief was filed, or the date on which the procedendo was issued.
	      d.    	  Notices of action and returned claims. For claims of any type that are filed as a result of a notice of action letter or a returned fee claim letter, “date of service” means the date of the notice of action letter or returned fee claim letter. But a claim that is denied as untimely does not become timely merely because it was resubmitted within 45 days of a returned fee claim letter. A timely claim returned to the attorney for additional information shall continue to be deemed timely only if resubmitted with the required information within 45 days of being returned by the state public defender.
	      e.    	  Court orders. For claims of any type that are filed as a result of a court order after hearing for review of the fee claim, “date of service” means the file-stamped date of the order.
	      f.    	  Exceptions to the 45-day rule. The state public defender may in the state public defender’s sole discretion approve a claim that was not submitted within 45 days of the date of service only if the delay in submitting the claim was caused by one of the following circumstances:
	       (1)  	  The death of the attorney;
	       (2)  	  The death of the spouse of the attorney, a child of the attorney, or an employee of the attorney who was responsible for assisting in the preparation of the attorney’s fee claims;
	       (3)  	  A serious illness, injury, or other medical condition that prevents the attorney from working for more than 3 consecutive days and occurs in the last 5 days before the expiration of the 45-day period for timely claims;
	       (4)  	  The attorney’s need to care for the attorney’s spouse or child with a serious illness, injury, or other medical condition that prevents the spouse or child from working, attending school, or performing other regular daily activities for more than 3 consecutive days and occurs in the last 5 days before the expiration of the 45-day period for timely claims.
	       (5)  	  Other circumstances in which the state public defender determines, in the sole discretion of the state public defender, that enforcement of the 45-day rule would impose an undue burden and that payment of the claim should in fairness be made, in whole or in part. The state public defender, in the exercise of such discretion, may consider factors including, but not limited to:
	      1. 	  The extent to which the 45-day rule was violated;
	      2. 	  The justification provided by the attorney;
	      3. 	  The attorney’s claim history;
	      4. 	  The extent of prejudice likely to be experienced by the attorney, the state public defender, and any party to the proceeding, including the attorney’s client.
Any claim submitted pursuant to subparagraph (1) must be submitted within 45 days of the death of the attorney. Any claim submitted pursuant to subparagraph (2) must be submitted within 30 days of the death that caused the delay. Any claim submitted pursuant to subparagraph (3) or (4) must be submitted within 15 days of the end of the illness, injury, or medical condition that caused the delay. An attorney claiming an exception to the 45-day rule shall submit with the claim a letter explaining the applicable exception and written documentation supporting the exception.
	   12.2(4)  Valid appointment required. Claims for compensation from an attorney appointed as counsel or guardian ad litem may be denied if the attorney was appointed contrary to Iowa Code section 814.11 or 815.10. Claims for which court-appointed counsel at state expense is not statutorily authorized or which are not payable from the indigent defense fund created by Iowa Code section 815.11 shall be denied.
	      a.    	  Appellate appointments. Claims for compensation from an attorney whose appointment as counsel or guardian ad litem at the appellate level does not comply with Iowa Code section 814.11 may be denied in whole or in part.
	      b.    	  Trial-level designations. Claims by an attorney whose appointment in a case as counsel or guardian ad litem at the trial level was made on or after July 1, 2009, may be denied in whole or in part if the state public defender filed a designation effective at the time of the appointment designating a local public defender, nonprofit corporation, or attorney to represent indigent persons in that type of case in the county in which the case was filed, unless the appointment order and any supporting documentation submitted with the claim demonstrate that:
	       (1)  	  The state public defender’s designee and any successor designee have withdrawn from the case or have been offered and declined to take the case; or
	       (2)  	  The state public defender’s designee and any successor designee would have withdrawn from or would have declined to take the case had the appointment been offered.
	      c.    	  Trial-level contract attorney preference. Claims by an attorney whose appointment in a case as counsel or guardian ad litem at the trial level was made on or after February 1, 2012, may be denied in whole or in part unless:
	       (1)  	  At the time of the appointment, the attorney had a contract with the state public defender to represent indigent persons in that specific type of case and that county in which the action was pending; or
	       (2)  	  The appointment order includes a specific finding that no attorney with a contract to represent indigent persons in that specific type of case and that county in which the action was pending is available or a finding that the state public defender was consulted and consented to the appointment; or
	       (3)  	  After the appointment, the attorney entered into a contract with the state public defender, or amended the attorney’s existing contract, to represent indigent persons in the specific type of case and the county in which the action was pending, in which case only the portion of the claim for the services performed prior to the effective date of the contract shall be denied.
	   12.2(5) Scope of appointment. Claims shall only be paid for services rendered and expenses incurred within the scope of the attorney’s court appointment. Any other fees or expenses claimed shall be denied.
	      a.    	  Services prior to appointment. Claims for services rendered or expenses incurred prior to the effective date of the attorney’s appointment are not payable within the scope of the attorney’s appointment and shall be denied.
	      b.    	  Representation of parents after termination of parental rights. Claims for services rendered or expenses incurred by an attorney for representing a parent in a child in need of assistance case or termination of parental rights case for work performed after the date on which the termination of that parent’s parental rights becomes final, either on appeal or because no appeal was taken, are not payable within the scope of the attorney’s appointment and shall be denied.
	      c.    	  Guardian ad litem for children over the age of 18. Claims for services rendered or expenses incurred by a guardian ad litem for a child who is aged 18 or older and involved in a juvenile court proceeding are only within the scope of appointment if the court enters an order appointing the guardian ad litem for the limited purposes of continuing a relationship with the child and to provide advice to the child relating to the child’s transition plan under Iowa Code section 232.2 beyond the child’s eighteenth birthday. The appointment shall end on the date a court order relieving the guardian ad litem of further duties or the date of a court order closing the juvenile case, whichever occurs first, and claims for services rendered or expenses incurred after such date shall be denied. Neither a parent nor guardian of the child in interest is entitled to court-appointed counsel during the post-age 18 transition period.
	   12.2(6) Rate of compensation. Claims for compensation in excess of the applicable rate of compensation established by rule 493—12.4(13B,815) or in the attorney’s contract with the state public defender are not payable and shall be reduced to the applicable rate of compensation.
	   12.2(7) Excessive claims. The amount of a claim for services provided or expenses incurred that is excessive shall be reduced by the state public defender to an amount which is not excessive. Only reasonable and necessary compensation and expenses will be approved for payment.
	   12.2(8) Review of claims after contract termination for improper billing practices. A claim submitted by an attorney whose contract with the state public defender is terminated for improper billing practice shall be paid only to the extent that the claim is supported by authentic, independent, written documentation originating from sources other than the attorney, even if such a claim would otherwise be payable under this chapter. Any portion of a claim for a service performed or expense incurred that is not independently verified by such documentation is not payable under the contract and shall be denied.
	      a.    	  Acceptable documentation. Independent, written documentation that may support a claim for services performed or expenses incurred by the attorney includes, but is not limited to:
	       (1)  	  Affidavits of clients, witnesses, prosecutors, service providers, department of human services staff, court staff, or other persons who can verify that the attorney performed a service for a specific length of time on a specific day. Affidavits from employees of the attorney or the attorney’s firm, family members of the attorney, or other attorneys within the same law firm as the attorney are not independent documentation and are insufficient to confirm a claim for a service performed or expense incurred.
	       (2)  	  Court orders or other documents in the court file that verify the attorney’s attendance at a court proceeding, as well as the date, time, duration, and location of the proceeding.
	       (3)  	  Deposition transcripts and other records of the certified shorthand reporter that verify the attorney’s attendance at a deposition, as well as the date, time, duration, and location of the deposition.
	       (4)  	  Records of a jail or correctional facility that document the date, time, and duration of visits, telephone calls, or videoconferencing sessions with clients or witnesses in custody in the facility.
	       (5)  	  Records of a telecommunication provider that verify the length of telephone calls, long-distance expenses, or fax expenses.
	       (6)  	  Records of an online legal research service that document the date, time, duration, and nature of legal research performed.
	       (7)  	  Calculations from mapping software, such as MapQuest or Google Maps, of the distance traveled to a location where a verified service was provided.
	       (8)  	  Original printed receipts for expenses incurred.
	      b.    	  Pending claims. Any claims submitted by an attorney that have not yet been approved by the state public defender when the attorney’s contract with the state public defender is terminated for improper billing practices shall be returned to the attorney. The attorney may resubmit any claim returned in its entirety, or a portion thereof, within the time required by paragraph 12.2(3)“d,”  with the additional documentation required by this subrule confirming all time and expenses claimed on the itemization. The resubmitted claim shall be reviewed consistent with the requirements of this subrule. Any claim not resubmitted within the time required by paragraph 12.2(3)“d”  shall be denied.
	      c.    	  Court review. An attorney whose claim is denied or reduced pursuant to this subrule may seek court review of the state public defender’s action on that claim by filing a motion for court review as provided for by rule 493—12.9(13B,815). But if the attorney has sought review of the state public defender’s decision to terminate the attorney’s contract for improper billing practices, the court shall stay proceedings on the attorney’s motion until the attorney has exhausted all administrative remedies, final judgment has been entered in any judicial review action under Iowa Code chapter 17A, and any appeal of such judgment is decided. The final judgment of any judicial review action under Iowa Code chapter 17A regarding the termination of the attorney’s contract conclusively determines the applicability of this subrule. If the attorney fails to seek judicial review of the state public defender’s decision to terminate the attorney’s contract, the state public defender’s notice to the attorney that the state public defender is terminating the attorney’s contract for improper billing practices is conclusive evidence that this subrule applies, and the attorney may not challenge the termination decision or the applicability of this subrule in the motion for review of the state public defender’s action on the fee claim under rule 493—12.9(13B,815).
	   12.2(9) Approval of claims. Claims shall be forwarded to the department for final processing and payment only after the state public defender has determined that payment of the claim is appropriate under this chapter and under Iowa law. No payments shall be made from the indigent defense fund except with the authorization of the state public defender.
[ ARC 8090B , IAB 9/9/09, effective 9/15/09;    ARC 8372B , IAB 12/16/09, effective 1/20/10;    ARC 9293B , IAB 12/29/10, effective 12/7/10;    ARC 9447B , IAB 4/6/11, effective 5/11/11;    ARC 9938B , IAB 12/28/11, effective 2/1/12;    ARC 1512C , IAB 6/25/14, effective 7/30/14;    ARC 2378C , IAB 2/3/16, effective 3/9/16;    ARC 2783C , IAB 10/26/16, effective 11/30/16]