document information - web viewtable 1.8 – disposition word code104. table 1.9 –...

DCACS Project Office XML

Interface Specifications Document

District Courts of Appeal - Court Appointed Counsel System(DCACS)

Project Office XML Interface Specification Document

Daily8.78

Deborah SmithIT SupervisorInformation Technology Services OfficeJudicial Council of California - Administrative Offices of the Courts455 Golden Gate AvenueSan Francisco, CA 94102-3688415-865-4599, 415-865-7499(Fax)[email protected]

RESTRICTED – PROPRIETARY INFORMATIONInformation contained herein is for use only by authorized employees of the Judicial Council of California and authorized agencies, and is not for general distribution within or outside the organization.

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Table of Contents

Document Information .................................................................................................................................................................................5Document Revision History ....................................................................................................................................................................5Document Issues ....................................................................................................................................................................................23Purpose ..................................................................................................................................................................................................42Document Organization .........................................................................................................................................................................43Acronyms ...............................................................................................................................................................................................44

Functional Business Rules .........................................................................................................................................................................45Claim Payment Calculation Worksheet .................................................................................................................................................45Guideline Specifications ........................................................................................................................................................................45Trigger Cases .........................................................................................................................................................................................45Transfer Cases .......................................................................................................................................................................................46Consolidated Cases ................................................................................................................................................................................47Case Client Charges - Section and Subsection fields ............................................................................................................................48Appointment Status ...............................................................................................................................................................................48Negative Claims .....................................................................................................................................................................................48In-Contract Staff Claims ........................................................................................................................................................................49Out-of-Contract Staff Claims ................................................................................................................................................................49

General XML/XSD Processing Rules .......................................................................................................................................................50File Naming Conventions ......................................................................................................................................................................50Transmissions ........................................................................................................................................................................................50Retransmissions .....................................................................................................................................................................................51Encryption ..............................................................................................................................................................................................52XSD Validation .....................................................................................................................................................................................53Business Rule Validation .......................................................................................................................................................................56Rounding Strategy .................................................................................................................................................................................56Handling of Special Characters .............................................................................................................................................................59


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Daily XML Specification ..........................................................................................................................................................................61Daily XML Node and Data Element Specification ...............................................................................................................................61

PROJECTS ........................................................................................................................................................................................61ATTORNEYS ....................................................................................................................................................................................63CASES ...............................................................................................................................................................................................65APPOINTMENTS .............................................................................................................................................................................73CLAIMS ............................................................................................................................................................................................80

Daily XML Skeleton ............................................................................................................................................................................100Daily XSD ...........................................................................................................................................................................................100Published Specifications ......................................................................................................................................................................100

Reference Tables .....................................................................................................................................................................................101Table 1.0 – Project Code .....................................................................................................................................................................101Table 1.1 – District Prefix Code ..........................................................................................................................................................101Table 1.2 – Client Type Code ..............................................................................................................................................................102Table 1.3 – Division Code ...................................................................................................................................................................102Table 1.4 – Case Type Code ................................................................................................................................................................103Table 1.5 – Trial Court Code ...............................................................................................................................................................103Table 1.6 – Case Complexity Type Code ............................................................................................................................................103Table 1.7 – Disposition Type Code .....................................................................................................................................................104Table 1.8 – Disposition Word Code ....................................................................................................................................................104Table 1.9 – Charge Code .....................................................................................................................................................................105Table 2.0 – Reference Type Code .......................................................................................................................................................107Table 2.1 – Appointment Type Code ..................................................................................................................................................107Table 2.2 – Briefing Type Code ..........................................................................................................................................................108Table 2.3 – Termination Type Code ....................................................................................................................................................110Table 2.4 – Appointment Attorney Rank Code ...................................................................................................................................110Table 2.5 – Training Type Code ..........................................................................................................................................................111Table 2.6 – Date Type Code ................................................................................................................................................................111Table 2.7 – Date Action Code .............................................................................................................................................................112Table 2.8- Claim Type Code ...............................................................................................................................................................112


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Table 2.9 – Claim Detail Type Code ...................................................................................................................................................113Table 3.0 – Issue Type Code ...............................................................................................................................................................113Table 3.1 – Issue Complexity Code .....................................................................................................................................................113Table 3.2 – Compensation Type Code ................................................................................................................................................114Table 3.3 – Transcript Type Code .......................................................................................................................................................114Table 3.4 – Adjustment Type Code .....................................................................................................................................................114Table 3.5 – Work Type Code ..............................................................................................................................................................115Table 3.6 – Guideline Type Code ........................................................................................................................................................117Table 3.7 – Project Attorney Status Code ...........................................................................................................................................117Table 3.8 – Attorney Inactive Reason Code ........................................................................................................................................117Table 3.9 – District Code .....................................................................................................................................................................118Table 3.10– Rate Chart ........................................................................................................................................................................118Table 4.1 – Claim Accounting type and Appointment type ................................................................................................................122

Document Information .................................................................................................................................................................................5Document Revision History ....................................................................................................................................................................5Document Issues ....................................................................................................................................................................................23Purpose ..................................................................................................................................................................................................41Document Organization .........................................................................................................................................................................42Acronyms ...............................................................................................................................................................................................43

Functional Business Rules .........................................................................................................................................................................44Claim Payment Calculation Worksheet .................................................................................................................................................44Guideline Specifications ........................................................................................................................................................................44Trigger Cases .........................................................................................................................................................................................44Transfer Cases .......................................................................................................................................................................................45Consolidated Cases ................................................................................................................................................................................46Case Client Charges - Section and Subsection fields ............................................................................................................................47Appointment Status ...............................................................................................................................................................................47Negative Claims .....................................................................................................................................................................................47In-Contract Staff Claims ........................................................................................................................................................................48Out-of-Contract Staff Claims ................................................................................................................................................................48


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General XML/XSD Processing Rules .......................................................................................................................................................49File Naming Conventions ......................................................................................................................................................................49Transmissions ........................................................................................................................................................................................49Retransmissions .....................................................................................................................................................................................50Encryption ..............................................................................................................................................................................................51XSD Validation .....................................................................................................................................................................................52Business Rule Validation .......................................................................................................................................................................55Rounding Strategy .................................................................................................................................................................................55Handling of Special Characters .............................................................................................................................................................58

Daily XML Specification ..........................................................................................................................................................................60Daily XML Node and Data Element Specification ...............................................................................................................................60

PROJECTS ........................................................................................................................................................................................60ATTORNEYS ....................................................................................................................................................................................62CASES ...............................................................................................................................................................................................64APPOINTMENTS .............................................................................................................................................................................72CLAIMS ............................................................................................................................................................................................79

Daily XML Skeleton ..............................................................................................................................................................................98Daily XSD .............................................................................................................................................................................................98Published Specifications ........................................................................................................................................................................98

Reference Tables .......................................................................................................................................................................................99Table 1.0 – Project Code .......................................................................................................................................................................99Table 1.1 – District Prefix Code ............................................................................................................................................................99Table 1.2 – Client Type Code ..............................................................................................................................................................100Table 1.3 – Division Code ...................................................................................................................................................................100Table 1.4 – Case Type Code ................................................................................................................................................................101Table 1.5 – Trial Court Code ...............................................................................................................................................................101Table 1.6 – Case Complexity Type Code ............................................................................................................................................101Table 1.7 – Disposition Type Code .....................................................................................................................................................102Table 1.8 – Disposition Word Code ....................................................................................................................................................102Table 1.9 – Charge Code .....................................................................................................................................................................103


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Table 2.0 – Reference Type Code .......................................................................................................................................................105Table 2.1 – Appointment Type Code ..................................................................................................................................................105Table 2.2 – Briefing Type Code ..........................................................................................................................................................106Table 2.3 – Termination Type Code ....................................................................................................................................................108Table 2.4 – Appointment Attorney Rank Code ...................................................................................................................................108Table 2.5 – Training Type Code ..........................................................................................................................................................109Table 2.6 – Date Type Code ................................................................................................................................................................109Table 2.7 – Date Action Code .............................................................................................................................................................110Table 2.8- Claim Type Code ...............................................................................................................................................................110Table 2.9 – Claim Detail Type Code ...................................................................................................................................................111Table 3.0 – Issue Type Code ...............................................................................................................................................................111Table 3.1 – Issue Complexity Code .....................................................................................................................................................111Table 3.2 – Compensation Type Code ................................................................................................................................................112Table 3.3 – Transcript Type Code .......................................................................................................................................................112Table 3.4 – Adjustment Type Code .....................................................................................................................................................112Table 3.5 – Work Type Code ..............................................................................................................................................................113Table 3.6 – Guideline Type Code ........................................................................................................................................................115Table 3.7 – Project Attorney Status Code ...........................................................................................................................................115Table 3.8 – Attorney Inactive Reason Code ........................................................................................................................................115Table 3.9 – District Code .....................................................................................................................................................................116Table 3.10– Rate Chart ........................................................................................................................................................................116Table 4.1 – Claim Accounting type and Appointment type ................................................................................................................120


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Document Information

Document Revision History

Version No.

Date Author Description

1.0 3/1/2011 Nupur Bhatnagar First version. 1.1 3/3/2011 Nupur Bhatnagar Updated based on ATCJS review comments.1.2 3/10/2011 Nupur Bhatnagar Updated based on ATCJS review comments on claims1.3 3/22/2011 Nupur Bhatnagar Updated based on review comments in 3/17 Project Technical Team

Meeting1.4 3/22/2011 Nupur Bhatnagar Updated based on review comments in 3/24 Project Technical Team






Meeting


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2.0 9/20/2011 Nupur Bhatnagar Updated based on review comments 9/15 Project Technical Team Meeting

I. Following Name changesDEP_ATTORNEY_ RANK_ID

ATTORNEY_DEP_RANK_ID

CRI_ATTORNEY_ RANK_ID

ATTORNEY_DEP_RANK_ID

PANEL_JOINING_DATE ATTORNEY_PANEL_JOIN_DATE

ATTORNEY_APPOINTMENT_ RANK_ID

APPOINTMENT_ATTORNEY_RANK_ID

II. XSD section was updated to add 5,6,7,and 8 as discussed in the meeting.

III. New validation V095 for # 38, Attorney.Project_Attorney_ID.IV. New validation V094 for # 48, Case.Project_Case_ID.V. New validation V086 for # 81,

Appointment.Project_Appointment_ID.VI. New validation V085 for # 97, Claim.Project_Claim_ID.

VII. Updated validation for #78, Appointment. Appointment_AOB_Date

VIII. Updated #58, Case_Client_Charge.CCC_Section to remove the validation and required Yes if node is present.


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IX. Updated #121 Claim_Issue.CI_guideline_Total XSD max length to (9,1)

X. Updated #122 Claim_Issue.CI_Recommended XSD max length to (9,1)

XI. Moved validation V037 from #45 to # 87XII. New validation V087 for # 82, Appointment.Project_Attorney_ID.

XIII. New validations V090, V091, V092 and V093 in the appointments node.

XIV. New validations V088 and V089 in the claims node.3.0 2/22/2012 Nupur Bhatnagar I. New validation V096 for # 96

II. Updated XSD Validation section based on testing with CCAPBaselined Version

3.1 2/22/2012 Nupur Bhatnagar V069 removed as per 2/27/12 meeting

3.2 12/5/2012 Deborah Smith Updated front page with Deborah Smith contact information and added Issue section (with issue #10381).

3.3 1/18/2013 – 1/25/2013

Deborah Smith - Added new Trial Court Type = Post Remand per resolution to issue #10362.

- Added new PROP36 Claim Detail Type per resolution to issue #10372

- Updated work type table per changes agreed to during review of


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monthly xml.- Added new Work Type = “Training under Authorized Program” per

issue #10376. Updated Work Type Table 3.5. per resolution to issue #10376.

- Added brief discussions of Appointment Status per resolution to issue #10366.

- Reorganized the Functional Business Rules and moved them to the front of the document. Added brief discussions of Negative Claims, In-Contract Staff Claims, and Out-of-Contract Staff Claims.

- Removed incomplete references to Monthly and Attorney XSD and XML. These are included in their respective documents.

- Added INVOICE_DATE to CLAIM node based on resolution to issue #10370 and added reference to new related validation V112.

- Embedded the referenced documents.3.4 2/4/13 Deborah Smith - Added validations V097, V098, V099, V110, and V111 per

resolution Issue #10443.- Updated Work Type Table 3.5 per resolution of Issue #10434.- Updated name of Work Type 66 and 70 per resolution to Issue

#10441.- Updated the embedded Daily_XML_Skeleton.xml and

dcacs_daily.xsd.4.0 2/7/2013 Deborah Smith - Added validation (#6 - NUM CLAIMS) for duplicate claim detection,


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a claim that was processed successfully (i.e. Status = Approved or Sent) and then resubmitted with the same Project Claim ID. Transmissions which contain one or more duplicate claims will be rejected. Issue #10446.

- Removed Daily XML Modifications section as this was no longer useful as agreed per meeting of 2/7/2013.

- Updated Guideline Specification for Work Type 35 Issue # 10486.- Accepted all changes.

4.1 2/21/2013 Deborah Smith - Added discussion of handling of special characters. Issue # 10559- Added recommendation for use of CDATA in Daily XML Node and

Data Element Specifications. Issue # 10559- Changed Description of Work Type 70 to ‘Training: Special’. Issue

# 10534- Changed the precision of Claim Transcripts CT_NUM_PAGES_

READ and CT_NUM_PAGES_TOTAL fields to (9,0) and updated XSD accordingly. Issue #10535

4.2 3/18/2013 Deborah Smith - Changed validation methods for guideline constant and guideline variable for WorkType 22. Issue #10571

4.3 3/25/2013 Deborah Smith - Added new validation (V113) for Case Motion 15385 Flag to ensure values are Y/N, if provided. Issue #10688.

- Added new validation (V114) for Appointment Attorney Rank and Appt Type. Issue # 10648.

4.4 3/27/2013 Deborah Smith - Added new Case Reference Type – PP for 31d Pilot Program. Issue#


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ETMS00010701

4.5 4/9/2013 Deborah Smith - Per Issue ETMS00010701, removed Client Type of N. Related task ETMS00010742.

- Updated Validation Description for Project Attorney_ID to ‘Rejected’, Project_Case_ID to ‘Rejected’, Project_Appointment_ID to ‘Rejected’, and Project_Claim_ID to ‘Rejected’.

- Per Issue ETMS00010777, Changed Case_Reference_Value to Not Required to support Z and P case reference types. Updated XSD. Related task ETMS00010774

4.5 4/16/2013 Deborah Smith - Per Issue ETMS00010768, added a validation that transcript notes are required when a value for Preliminary Transcripts Pages Read is provided. Task ETMS00010819

- Per Issue ETMS00010760, added a validation that requires appointment_ordered_date for any appointment other than those to 'dummy' appointments (known via the attorney dummy state bar number) Task ETMS00010821. Made appointment_ordered_date non-mandatory in the XSD.

4.6 5/1/2013 Deborah Smith - Embedded the calculation worksheet document.

4.7 5/7/2013 Deborah Smith - Per Issue ETMS00010902, the Daily XSD was changed to allow decimal values without a leading zero.

4.8 5/16/2013 Deborah Smith - Per Issue ETMS00010897, the Case_Motion_15385_Flag validation, V037, was deactivated.

- Per Issue ETMS00010776, provided explanation of Case_Client_Charge Section and Subsection fields.


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4.9 6/17/2013 Deborah Smith - Per Task ETMS00011046, XML - Review and Modify XSD against Specification, .XSD was reviewed and updated to align to spec, primarily ensuring all required fields had a min length restriction.

5.0 6/17/2013 Deborah Smith - Accepted all changes for publication to web.

5.1 6/27/2013 Deborah Smith - Added Project (in addition to userkey) as part of the Project Element ID validation descriptions for Validations V095, V094, V086, V085.

5.2 7/5/2013 Deborah Smith - Per Issue ETMS00011102:o 1. Remove the 'P' from the validation of AOB Date (V026)

because cases with a Briefing Type of P(Petition/Writ Only) may not have an AOB Date. (Task ETMS00011129)

o 2. Add a new validation (V134) for cases with a Briefing Type of P(Petition/Writ Only): When receiving an Interim or Final Claim for an Appointment with Briefing Type of P(Petition/Writ Only), Detain the claim if the appointment does not have at least one Appointment Date of Type (1-Habeas Corpus filed date or 2-Other petitions filed Date) (Task ETMS00011130)

5.3 8/8/2013 Deborah Smith - Per Issue ETMS00011235 (Task ETMS00011252):o V038 should only apply to Final Claims. o V038 should cause the claim to Reject, and all agreed.

5.4 8/16/2013 Deborah Smith - Per Issue ETMS00011262:o Field #49: CASE_TRIAL_ COURT - TRIAL_COURT_NUM - Note

should be: This field will contain only one Trial Court case number. If there are more than one Trial Court case numbers, multiple CASE_TRIAL_ COURT records can be submitted.

o Field #67: APPOINTMENT - APPOINTMENT _ORDERED_DATE -


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Remove note 'Note: Only those appointments will be sent to AOC which are ordered by Court, hence APPOINTMENT_ORDERED_DATE is mandatory'

o Field # 80: APPOINTMENT - APPOINTMENT_NOTES - Should validation V018 only apply if there is a claim? Current Validation: If BRIEFING_TYPE = U then APPOINTMENT_NOTES field is mandatory. Project Offices agreed to provide a Briefing Type of 8 (Null), if appointment is sent prior to the claim. Note added to specification.

5.5 9/5/2013 Deborah Smith - Per Issue ETMS00011102:o Change the description of Termination Types:

A = Abandoned prior to briefing being filed D = Dismissed prior to briefing being filed R = Replaced prior to briefing being filed T = Transferred prior to briefing being filed

- Per Issue ETMS00011262, update Validation V114 as below:o If Appointment Attorney Rank is 1 or 2 and Appointment Type is

Independent then Appointment notes field is required, else reject the appointment.

5.6 9/13/2013 Deborah Smith - Per Issue ETMS00011403 (Task ETMS00011404):o Change Validation V017 (field #69 Appointment Briefing Type

Code): If BRIEFING_TYPE_CODE is W= Wende or S= Sade C then PROJECT_ TRANSMISSION_ DATE must be at least 30 days past AOB date; this validation should validate the claim transmission date, not the appointment transmission date.

5.7 9/17/2013 Deborah Smith - Per Issue ETMS00011463 (Task ETMS00011464):o Daily XML - Guideline Specifications - Variable method was

incorrect for work type 38 (5 instead of 4). Table and specification updated.


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5.8 10/11/2013 Deborah Smith - Per Issue #ETMS00011583, changed validation methods for guideline total for Work Type 22.

5.9 10/22/2013 Deborah Smith - ETMS00011646 - Added validation to check Attorney/Case rejected status while approving a claim. Does not affect Project Offices.

6.0 10/22/2013 Deborah Smith - Per Issue # ETMS00011630, Project Invoice Number field increased to 30 characters to support XML testing. Spec and XSD updated also.

6.1 10/28/2013 Deborah Smith - Per Issue ETMS00011717 - Updated the Guideline Specifications document, Guideline Total method for Work Type 14 and 15 was incorrectly documented as method 1 rather than method 3. Documentation error only.

6.2 10/29/2013 Deborah Smith - Per Issue ETMS00011716 - V020/V021 do not apply to Staff appointments. Updated validations and specification.

6.3 10/30/2013 Deborah Smith - ETMS00011646 - Added validations to check Attorney/Case/Appointment hold status while approving a claim/appointment. Does not affect Project Offices.

6.4 11/4/2013 Nupur Bhatnagar - ETMS00011636 – Updated the Briefing Type name as follows- Wende to Wende (No issue Criminal/Delinquency brief)- Sade C to Sade C (No issue Dependency Brief)


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6.5 11/5/2013 Deborah Smith - Per Issue #ETMS00011583, updated the guideline spec for WT22 to match the code: Guideline Total:

Method 9: If claim type = Final then1, else 0

6.6 11/12/2013 Deborah Smith - Per Task #ETMS00011476, added list of Transmission Errors to the Transmission section.

6.7 11/14/2013 Nupur Bhatnagar - Per issue # ETMS00011839, updated Guideline total spec for WT 14 and WT 15 to say Hours instead of expenses

- Per issue # ETMS00011716, Appointment type = Staff will use the Attorney appointment rank = Staff so following V020 and V021 validations

When Appointment Type is not Staff and Case Type is Dependency, Dependency Attorney Rank ID is required.

When Appointment Type is not Staff and Case Type is not Dependency, Criminal Attorney Rank ID is required.

is updated as follows : When Case Type is Dependency, Dependency Attorney

Rank ID is required. When Case Type is not Dependency, Criminal Attorney

Rank ID is required.Task ETMS00011841 created to update code and ETMS00011842 created to update specification

- Per issue # ETMS00011697, added to Table 2.1 Appointment Type


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Code:ID #8 Code: P Appointment Type Name: Pre-apppointment

- Task # ETMS00011843, created to update specification.6.8 12/03/2013 Deborah Smith - Moved V052 from Appointment node to Claim node.

Documentation change only; no functional change.

6.9 12/4/2013 Nupur Bhatnagar - As per issue # ETMS00011847, following note is added to the ATTORNEY_ EMAIL data element‘In the scenarios where an attorney is not willing to provide an email address then Projects can use [email protected]. This is a statewide dummy email address which is not real rather bogus and used as a placeholder.’

6.10 12/5/2013 Nupur Bhatnagar - Updated the validation V087 from ‘The Appointment Project Attorney ID must exist.’ to ‘for all the Appointment types other than ‘P’, if Attorney ID = dummy Project Attorney ID (-67,-77,-87,-97,-777) then Detain the claim.’ and updated Action for V087 from Rejected to Detained.

- Added two new validations: V135 and V136- Updated validation V111 to V110 and V110 to V111 to correct

typo.6.11 12/16/2013 Nupur Bhatnagar - As per weekly DCACS issues meeting held on 12/18/2013 and


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task# ETMS00012074, updated validation V084 from- 'If CLAIM_TYPE is F then BRIEFING_TYPE_ ID cannot be null'

to ‘If CLAIM_TYPE is F and Termination Type code is not A, D, R and T then BRIEFING_TYPE_ ID cannot be null/undetermined/Legacy.’

6.12 12/20/2013 Nupur Bhatnagar As per Project meeting held on 12/17/2013 and ETMS # ETMS00012086 following validations are updated:

1. V057 updated from When CLAIM_TYPE_CODE = Early interim and sum of CT_NUM_PAGES_READ field for transcript type code = Reporter, Clerk and Other (excluding Preliminary) is greater than 7500 pages then don’t detain the claim else detain the claim.

To When CLAIM_TYPE_CODE = Early interim and sum of CT_NUM_PAGES_READ field for transcript type code = Reporter, Clerk and Other (excluding Preliminary) is greater than 7500 pages then don’t detain the claim else detain the claim (Not applicable to In-Contract Staff claims).

2. V059 updated from If BRIEFING_TYPE_CODE is W=Wende or S=Sade C then claim type should be Final.


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ToIf BRIEFING_TYPE_CODE is W=Wende or S=Sade C then claim type should be Final (Not applicable to In-Contract Staff claims).

3. Removed following validations:i. V031 - When Trial Court Code is not V, P or O, Case

Client Charge Code ID is required.ii. V006 - CASE.CASE_NUMBER - If CASE_NUMBER

changes from claim to claim transmission of the same appointment then verify the presence of CASE_REFERENCE_TYPE_CODE=N, B in the CASE_REFERENCE node

iii.6.13 1/3/2014 Nupur Bhatnagar 1. Added new validation - V151 - Appointment Type should be valid

(Cannot be Appointment Type Id = 7 /Appointment Type Code = Legacy).

2. V125 removed from specification as it is redundant to V052.3. Updated validation V085.

6.14 1/16/2014 Nupur Bhatnagar In the Guideline Specifications, Updated WT-22 Guideline variable from Method 5: 1 if claim type = Final and cumulative hours claimed on the Claim Service, else 0 or blank.


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to Method 1: 1 if Cumulative hours claimed on the Claim Service, else 0 or blank.

6.15 1/22/2014 Nupur Bhatnagar As per issue #ETMS00012157 and task # ETMS00012182, updated V017 from‘If BRIEFING_TYPE_CODE is W= Wende or S= Sade C then Claim TRANSMISSION_FILE_ CREATE_DATE must be at least 30 days past AOB date.’ to‘If BRIEFING_TYPE_CODE is W= Wende or S= Sade C then Claim TRANSMISSION_FILE_ CREATE_DATE must be at least 30 days past AOB date. This validation will not be applicable if opinion date is provided.’

6.16 3/20/2014 Nupur Bhatnagar Added new appointment types.

6.17 5/5/2014 Nupur Bhatnagar Added new validations –V147, V148, V149, V150, V152,V153,V154,V155, V160,V159,V158,V157,V156

Added File Type and Tax ID fields to accommodate Interim XML. Added encryption section. Updated validation V049

6.18 5/18/14 Nupur Bhatnagar Added new validation V161V161 - Case Client Suffix must be a capital letter (A,B,C...) otherwise reject


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the Case. Removed Validation V077 - If ADJUSTMENT_TYPE_CODE = Rate

change then detain the claim as it is redundant. Added new date type where DATE_TYPE_ID = 9 and

DATE_TYPE_NAME = Petition Reply Brief Filed Added Reportable appointment flag in the Appointment types table. Updated validation V134 from If CLAIM_TYPE_CODE = I or F (Interim or Final) and BRIEFING_TYPE_CODE = P(Petition/Writ Only) then Appointment Date with DATE_TYPE_CODE of Habeas Corpus Filed Date or Other Petitions Filed Date is mandatory. To If CLAIM_TYPE_CODE = I or F (Interim or Final) and BRIEFING_TYPE_CODE = P(Petition/Writ Only) then Appointment Date with DATE_TYPE_CODE of Habeas Corpus Filed Date, Petition Reply Brief Filed or Other Petitions Filed Date is mandatory.

7.00 6/2/2014 Nupur Bhatnagar Added two new Date types - Reply Brief Date, Supplemental Brief Date Added new Appointment type - Consolidated Pre-appointment Updated .XSD to include new Date types and Appointment type Updated XML Skeleton Accepted all changes

7.01 6/4/2014 Nupur Bhatnagar Updated the max length for CCC_SUBDIVISION and CCC_SECTION data


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element of CASE_ CLIENT_ CHARGE xml node to 100 from 16. Updated .XSD to incorporate the max length for CCC_SUBDIVISION

and CCC_SECTION data element of CASE_ CLIENT_ CHARGE xml node to 100 from 16.

7.02 6/25/2014 Nupur Bhatnagar Added Issue Complexity Type ID = 0 (No Complexity) to the XSD.

7.03 6/30/2014 Nupur Bhatnagar Added amount rounding examples in rounding strategy section.

7.04 7/29/2014 Nupur Bhatnagar Changed validation V026 from If CLIENT_TYPE_CODE = A and BRIEFING_TYPE_CODE = W, S, N, L, J, C (other than X, U, P and D) then AOB Date is mandatory.To If CLIENT_TYPE_CODE = A and BRIEFING_TYPE_CODE = W, S, N, L, J, C (other than X, U, P and D) then AOB Date, Reply Brief Date or Supplemental Brief date is mandatory.

Added validation V161, V162, V168, and V169

Added whether incremental and cumulative value for relevant data elements in CLAIMS section.


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Updated the rate chart as per discussion in the AOC and Project Office Conference Call.

7.05 9/7/2014 Nupur Bhatnagar DISPOSITION_TYPE_ID updated from XSD not required to required. Updated XSD to add the Attorney Suffix ‘0’ Updated the rate chart

8.0 11/06/2014 Nupur Bhatnagar Added new validations. Accepted all changes for publication to web

8.1 1/20/2015 Nupur Bhatnagar Updated XSD to increase the CIN_NOTES maximum length from 4000 to 12000 based on issue# ETMS00013746

8.2 2/04/2015 Nupur Bhatnagar Updated XSD to increase the CS_NOTES maximum length from 4000 to 12000 based on issue# ETMS00013746

8.3 3/23/2015 Nupur Bhatnagar A new claim detail type is added in the Claim Details Type table. The Guideline specifications for WT 21 is updated in the Guideline

Specifications document to include Appointment type = Conflict of Interest and Appointment type = Staff and Non Contract

8.4 4/24/2015 Nupur Bhatnagar Validation V18 is removed and two new validations V176 and V177 are added as per issue # ETMS00013909.


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8.5 7/5/2016 Nupur Bhatnagar Updated the rate chart to reflect the $10 raise.

8.6 12/5/2016 Nupur Bhatnagar Updated the CCC_DEGREE to add valid field values. Updated XSD to accept only valid field values

8.67 12/5/20165/11/2017

Nupur BhatnagarBenny Min

Daily XML – V178 – Revise algorithm to “fail”: when Appt Type 4 (staff) and Appt Atty Rank not 7 (staff) ORwhen Appt Type not 4 (staff) or 3 (non contract) and Appt Atty Rank is 7 (staff) Daily XML – V179 – If final claim then claim % should be 100%; if

interim or early interim claim then claim % should be 95%Updated the CCC_DEGREE to add valid field values.

Updated XSD to accept only valid field values8.8 5/12/2017 Deborah Smith Daily XML – V181 - The Issue Recommended Amount is less than the

amount provided on the prior claim for this appointment.Daily XML – V182 - The Claim Transcripts Pages Read is less than the pages read provided on the prior claim for this appointment.Daily XML – V183 - The Claim Transcripts Pages Total is less than the pages total provided on the prior claim for this appointment.


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Document Issues

Date Description Resolution Status1/15/2013 Requirement for new trial court

type = post remandIssue # ETMS00010362 - 01/17/13 - It was agreed in the conference call to add a new trial court type of "Post Remand". AOC/IS to update the Daily XML Specification document, and change will be implemented with the next coordinated revision of the Daily XML Specification/XML/XSD.

Closed

1/15/2013 Prop 36 tracking requirement Issue # ETMS00010372 - 01/17/13 - It was agreed in the conference call that cases that have Prop 36 issues would be tracked using the Claim Details node as that is the area that currently allows tracking of hours and expenses related to the issue. AOC/IS to update the Daily XML Specification document, and change will be implemented with the next coordinated revision of the Daily XML Specification/XML/XSD.

Closed

1/15/2013 New work type called 'Training under Authorized Program'

Issue # ETMS00010376 - 01/24/2013 - It was agreed to add a new work type called 'Training under Authorized Program' which would provide hours for training hours for all authorized training programs.

Closed

1/15/2013 Handling of Pre-Appointment Hours

Issue # ETMS00010366- 01/24/2013 - Agreed on a consistent definition of an 'appointed' appointment, for statistical reporting. All agreed that the definition of an 'appointed' appointment is an appointment that has an appointment ordered date. Any

Closed


5/5/2023



Date Description Resolution Statusappointment without an appointment ordered date would not be considered an 'appointed' appointment. Only 'appointed' appointments will be submitting claims, so this decision does not affect the Daily XML specification or Daily XML validations. However, the XML specification documents will be updated to reflect the agreed definition of an 'appointed' appointment.

1/15/2013 Need to add INVOICE_DATE to the claims node to be able to associate a Staff Claim to an Invoice

Issue # ETMS00010370 - 1/17/2013 Agreed to add Invoice Date to the Claims node which will only be required for Appointments Types of ‘Staff’

Closed

1/15/2013 New requirement to identify Habeas Corpus petition costs

Issue # ETMS00010363 - 01/24/2013 - It was agreed that project offices will basically enter in line 11 all hours spent preparing the petition as well as all habeas-related research and investigation whether or not a petition is actually filed. This means that no habeas time will be shown on line 24; instead all other “miscellaneous” habeas-related time will be entered in line 11. Communications that are a part of the habeas investigation, including discussions with the client and/or trial attorney (from line 1) as well as any other habeas-related communications (from line 23), will also be entered in line 11.

Simple communications with the client or others need not be put into line 11. An example of such communication is giving the client

Closed


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Date Description Resolution Statusa short explanation about why a habeas petition is inappropriate in the particular case.

Deborah is considering travel time. Jay’s statistics prepared for the 2nd DCA show habeas-related travel as very minimal. This will be a topic of conversation for a future meeting.

1/15/2013 Requirement for a new appointment status field/case status field

Issue # ETMS00010368- 01/24/2013 - The specific issues that may have dictated that a appointment or case status be communicated to the AOC, were resolved by alternate means. Therefore, there is no current need to provide the AOC with an appointment status or case status. The project offices may decide for their purposes to maintain these status fields, however it will not be passed to the AOC.

Closed

12/5/2012 Donna suggested that we rename the Claim Detail Type code description for the Blake Cunningham Claim Detail Type to something more generic like “Special Briefing”.

Issue # ETMS00010381 - 1/31/2013 - Project Offices felt it was advantageous to have the specific codes, so that the individual types could be reported separately if needed. It was agreed by Deborah and the Project Offices to leave the Claim Detail Type code = Blake Cunningham and add new specific codes in the future if needed, rather than having a generalized code.

Closed

1/25/2013 Need to add rates for In-Contract Staff Claims to Table 3.10– Rate Chart.

Issue # ETMS00010424 - 1/31/2013 - In-Contract Staff Claims do not have rates (0 or blank).

Closed

1/25/2013 Daily XML - clarification of the Issue # ETMS00010371 - 1/31/2013 - Claim Detail will be used to Closed


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Date Description Resolution Statususe of Case Reference (and type) vs. Claim Detail (and type) for new tracking requirements.

track any issues in which the hours and expenses cumulative hours and expenses related to the issue needs to be tracked. Case References will be primarily used to track relationships of the case to other cases (e.g. consolidations, transfers, etc).

1/31/2013 Missing or Turned Off Validations Issue # ETMS00010443 - The following Validations were in DCACS, but not the XML Specifications: V025 Validate Appointment AOB Date 1 (found an email from Nupur which indicates this should be turned off, just wanted to confirm) V030 Validate Case Clients Sections (found an email from Nupur which indicates this should be turned off, just wanted to confirm) V054 Validate Appointment Dep Atty Rank Change (found an email from Nupur which indicates this should be turned off, just wanted to confirm) V055 Validate Appointment Crim Atty Rank Change (found an email from Nupur which indicates this should be turned off, just wanted to confirm) V097 Validate Claim Service Recommended 2 - Ensures Claim Service Recommended in hrs .9 format No evidence found V098 Validate Claim Service Claimed - Ensures Claim Service Claimed in hrs .9 format No evidence found

New Validations for processing (shouldn't be reported during load): V099 Validate Claim Payments V110 Validate Validate GL Codes V111 Validate Claim Tax ID

1/31/2013 - It was agreed in the 1/31/2013 meeting with Deborah

Closed


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Date Description Resolution Statusand the Project Offices to disable V025, V030, V054, V055. It was also agreed to add V097, V098, V099, V110, V111 to the specification.

1/31/2013 Daily and Monthly XML - Recommend reusing the Work Type Code field to be more of a code than description, to disassociate the ID from the code (code would be used for display and reporting), and allow us more flexibility to add new work types inserted among the existing codes in the future, e.g. 11B.

Initially, the code fields would have the values of the id field, but this change would allow them to deviate in the future.

Issue # ETMS00010434 - 1/31/2013 - Project Offices agreed to the suggested change as they are not necessarily sensitive to changes in the Code Fields of the tables. They did request that AOC/IS continue to notify them of any changes however.

Closed

1/29/2013 Rename Work Type 66 to 'Training: General, Trainees'

Issue # ETMS00010441 - 1/31/2013 It was agreed to rename 66 to Training: General and 70 to Training: Special Program. (And move 70 to the bottom of the list in the specs)

Closed

2/7/2013 Handling of Duplicate Claims Issue # ETMS00010446 – Scenario: Claim successfully processed and paid and inadvertent duplicate claim submission. Recommendation: Validate and reject file if a duplicate claim is detected during the load process.2/7/2013 – Project Offices agreed to recommended solution.

Closed

2/21/2013 XML specifications missing Issue # ETMS00010559 – 2/21/2013 - Discussed the use of the CData Closed


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Date Description Resolution Statusdiscussion of handling of special characters

tag for all text fields which have a potential for a special character. Agreed to provide a discussion in the specification documents with a recommendation of which nodes to wrap in the CDATA tag.

2/21/2013 Daily and Monthly XML - Rename Work Type 70 to Training: Special

Issue # ETMS00010534 – 2/21/2013 – Agreed and spec updated. Closed

2/21/2013 Validations for transcript page length should be whole numbers only

Issue # ETMS00010535 – 2/21/2013 – Agreed and changed the precision of Claim Transcripts CT_NUM_PAGES_ READ and CT_NUM_PAGES_TOTAL fields to (9,0) in the XML Daily Specification. AOC will leave their database fields defined as (9,2) however.

Closed

3/18/2013 Work Type Guidelines - Work Type 22 - Should Guideline Var be based on claim type?

Issue # ETMS00010571– 3/15/2013 - Agreed at meeting to change the specification such that the guideline variable and constant not be validated for work type 22, only guideline total: 1 for final, 0 for interim. The specification, will be changed accordingly.

2/27/2013 - Debbie conveyed the scenario in which CCAP and AOC are providing different values for Guideline Variable for Work Type 22.

When a Interim claim is submitted with Admin Hours (WT22), the claimed hours will have a value but recommended hours will not.

AOC will determine: 0 for guideline constant, 1 for guideline variable, 0 (1*0) for guideline total

CCAP will determine: 0 for guideline constant, 0 for guideline variable, 0 (0*0) for guideline total

Specification for WT22 Guideline Variable: Method 1: 1 if Cumulative hours claimed on the Claim Service, else 0 or blank.

Closed


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Date Description Resolution Status

Decided to wait until Kim Parris is available to discuss the issue. Jay to determine what his new system would determine in this scenario for guideline variable.

------------------------------------------------ Should Guideline Variable be dependent upon claim type, similar to Guideline Constant?

Per spec, AOC is determining a 1 when an Interim has claimed hours. However, CCAP is providing 0, as they are also basing the Variable based on claim type.

3/25/2013 Case Motion 15385 Flag - Validate valid values Y,N

Issue # ETMS00010688 - 3/22/2013 - All agreed to new validation, if Case Motion 15385 Flag provided, ensure that the values are Y/N.

Closed

3/25/2013 Proposed new validation by ACS - Detain claim if Appt Atty Rank is 1 or 2 and Appt Type is Independent

Issue # ETMS00010648 - 3/22/2013 - All agreed to the new validation.

Closed

3/26/2013 Conversion of Complexity Type - Conversion of P I N Z codes

Issue # ETMS00010701 - 3/23/2013 - Per Jay, I is no longer needed, Vida confirmed in email of 3/26/2013. Conversion changes are as follows: P - 31d pilot - Case Reference Type should be added to the case reference table and a Case Reference record should be added to the case N - Set Minors Flag = 'Y' M - Set Minors Flag = 'Y' Z - Set Minors Flag = 'Y' and add a Case Reference of type Z record

Closed


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Date Description Resolution StatusRelated Task ETMS00010774.

4/9/2013 Case Reference Value (#62) should not be required in order to support Z and P. Changed Spec and .XSD.

Issue # ETMS00010777 – 4/9/2013 - Case Reference Value (#62) should not be required in order to support Z and P. Changed Spec and .XSD.

Related Task ETMS00010711.

Closed

4/16/2013 Appointment Ordered Date - Should not be Required in order to support pre-appointment dummy appointments

Issue # ETMS00010760– 4/15/2013 - All project offices agreed that reporting of pre-appointment work will be according to the process CAPLA outlined below. ACS agreed to add the suggested validation to require appointment_ordered_date for any appointment other than those to 'dummy' appointments (known via the attorney dummy state bar number) Task ETMS00010821.

(See Issue ETMS00010367 regarding Dummy Pre-Apopintment attorneys): The following are the state bar numbers for the Project Office “Pre-Appointment” attorneys: FDAP 115 CAPLA 125 CCAP 135 ADI 145 SDAP 165 ----------------------------------------------- 4/8/2013 - Per phone call with Jay (CAPLA), his current strategy for handling pre-appointment work: Upon receipt of a new case requiring pre-appointment work: 1. Creates a new case record 2. Creates a new apppointment record with points to an existing pre-appointment dummy atty. New appointment will not have an Appointment Ordered Date.

Closed


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Date Description Resolution Status 3. Submits the new case and appointment to the AOC. 4. May submit preappointment work on an Invoice via the Appointment Services node. The Appointment Services record will reference the newappointment record. 5. If/when an appointment is made: - May create a new attorney record if the attorney is new on the panel. - Submits the Attorney (if new). - Updates the Appt with the appointed attorney information, replacing the attorney reference by the appointment's project_attorney_id - Submits the updated Appointment (still has the same project appt id and suffix 2) 6. May submit payable claims referencing the updated Appointment. Result: All pre- and post-appointment hours reported against the same appointment.

The DCACS system, according to the specifications should be able to handle the above scenario, once appointment_ordered_date is not required. Jay suggested adding an an additional validation to require appointment_ordered_date for any appointment other than those to 'dummy' appointments (known via the attorney dummy state bar number). This should be reviewed and agreed with the other Project Offices. Also, should document how ADI is planning to handle pre-appointment work, to ensure DCACS can handle their scenario. CCAP doesn't submit hours for pre-appointment work.

4/16/2013 Claim Transcripts - New validation Issue # ETMS00010768– 4/16/2013 - Reviewed the rules for the current ACACS transcript data:

Closed


5/5/2023



Date Description Resolution Status- ACACS only records 'Pages Read', not 'Pages Total". Some project offices, as does AOC, assume Read = Total. - The NUM_CLERK_PAGES includes the Number of Preliminary Pages Read. - The value in NUM_PRELIM_PAGES represents 'Pages Not Read' rather than 'Pages Read'. - In ACACS, to calculate the total pages read: Num_Reporter_Pages + Num_Clerk_Pages + Num_Other_Pages - Num_Prelim_Pages - To calculate the total pages (if you assume read=total): Num_Reporter_Pages + Num_Clerk_Pages + Num_Other_Pages

ACS conversion of transcript data is not correct per the above rules. ACS decided to change the conversion of transcript data as follows: Task ETMS00010818

Transcript Type = Reporter: CT_NUM_PAGES_TOTAL = ACACS Num_Reporter_Pages CT_NUM_PAGES_READ = ACACS Num_Reporter_Pages Transcript Type = Clerk: CT_NUM_PAGES_TOTAL = ACACS Num_Clerk_Pages CT_NUM_PAGES_READ = ACACS Num_Clerk_Pages - ACACS Num_Prelim_Pages Transcript Type = Preliminary: CT_NUM_PAGES_TOTAL = 0 CT_NUM_PAGES_READ = 0 CT_Notes = 'Legacy: Num_Prelim_Pages (Not Read) = ' || ACACS Num_Prelim_Pages Transcript Type = Other: CT_NUM_PAGES_TOTAL = ACACS Num_Other_Pages CT_NUM_PAGES_READ = ACACS Num_Other_Pages

- In DCACS, to calculate the total pages read:


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Date Description Resolution Status Sum of CT_NUM_PAGES_READ for Transcript Types of Reporter, Clerk and Other, as the Prelimary Pages Read is included in the Clerk CT_NUM_PAGES_READ. - To calculate the total pages (if you assume read=total): Sum of CT_NUM_PAGES_TOTAL for Transcript Types of Reporter, Clerk and Other, as the Prelimary Pages Total is included in the Clerk CT_NUM_PAGES_Total - The CT_NUM_PAGES_READ and CT_NUM_PAGES_TOTAL for Transcript Type Preliminary, are the break-out values which are included in the Transcript Type Clerk values.

ACS decided that they would prefer the notes related to Preliminary Pages Read recorded with the Notes for Transcript Type of Preliminary, which would require a business process change for CCAP.

ACS also decided that they would like to implement the validation that transcript notes are required when a value for Preliminary Transcripts Pages Read is provided. Task ETMS00010819

ACS will include the detailed transcript data on their Claim Worksheets (which will include the related notes). Task ETMS00010817

Debbie confirmed that there is currently a Guideline Variable validation for Work Type 2 which ensures that the Guideline Variable for Work Type 2 = Total Transcript Pages Read.

------------------------------------------------------- 4/8/2013 - Jay proposed a new validation - Explanation/Notes are required when a value for Preliminary Transcripts Read is provided.

Also, in discussing this suggestion, he discussed how the preliminary/clerks transcripts total/read is currently handled. This may


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Date Description Resolution Statushave an impact on how these fields are converted. This should be reviewed to ensure our conversion strategy is correct.

5/7/2013 Daily and Monthly XML/XSD - Do not require that decimal fields have a leading zero

Issue # ETMS00010902 - 5/7/2013 - CCAP received a validation error on the monthly XML for AS_VALUE as the value did not contain a leading zero. Both the Daily and Monthly XSD was changed to allow decimal values without a leading zero. New .XSDs were sent to CCAP and CAPLA. Specification documents were updated accordingly.

Closed

5/16/2013 Daily XML - Does V037 apply (value required for case CASE_MOTION_15385_FLAG) since we had agreed to values = Y,N,null?

Issue # ETMS00010897 - 5/16/2013 - All agreed to deactivate V037 and assumption that a null value is equivalent to 'N'.

Closed

5/16/2013 Daily XML - Note on Case_Client_Charge (#57) for Kim to Check subdivision logic

5/16/2013 - Deborah discussed the need to report on the major sections and that having the section isolated in the SECTION field would be helpful. Project Offices agreed to populate both fields according to the following rule provided by Jay. The XML document has been updated appropriately.

Debbie indicated that for DCACS conversion, the ACACS Section field was being converted into the DCACS Section field only, thus legacy data will not conform to the rules above.

If the count of conviction has a single section number, such as 286(c)(2)(B), the Section field will contain everything up to but not including the first open parenthesis: 286. The Subsection field will contain everything else beginning with the first open parenthesis: (c)(2)(B).

If the count of conviction has a complex section in the form of two numbers separated by a slash (“/”), such as 664(a)/288.2(b)(2), the Section field will contain everything to the left of the slash, the slash itself, and everything to the right of the slash up to but not including the first open parenthesis: 664(a)/288.2. The Subsection field will contain

Closed


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Date Description Resolution Statuseverything else beginning with the first open parenthesis to the right of the slash: (b)(2).

------------------------------------------------------ 5/2/2013 - ACS unable to meet to discuss this. ACS to provide the requirement at the next meeting.

------------------------------------------------------- 4/25/2013 - Discussion regarding the Section and Subdivision fields of the Case_Client_Charge records. The Subdivision field was added to DCACS. Currently, ACACS only has the Section field. The intent was to 'normalize' the Section field to provide the primary section, with the remaining portion of the info provided in the Subdivision field. For the AOC and for their own business needs, CAPLA would be able to do this. This approach does not work well for ADI and CAPLA for their internal business processes. All agreed consistency in approach is a desired goal.

In order to decide, ACS was asked what requirement cannot be met using the current approach of providing all of the information in the section field. ACS to provide the requirement at the next meeting. Decision deferred until then.

---------------------------------------------------------- 4/15/2013 - Kim to review and report back next meeting

---------------------------------------------------------- Note on Case_Client_Charge (#57) for Kim to Check whether she agrees that everything beyond the parenthesis is considered subdivision.

7/5/2013 Validation V026 - Appointment AOB Date - Remove 'P' and add

Issue # ETMS00011102– 7/5/2013 – The following was agreed:1. Remove the 'P' from the validation of AOB Date (V026) because cases

Closed


5/5/2023



Date Description Resolution Statusnew validation for Habeas cases with a Briefing Type of P(Petition/Writ Only) may not have an AOB Date.

(Task ETMS00011129)

2. Add a new validation (V134) for cases with a Briefing Type of P(Petition/Writ Only): When receiving an Interim or Final Claim for an Appointment with Briefing Type of P(Petition/Writ Only), Detain the claim if the appointment does not have at least one Appointment Date of Type (1-Habeas Corpus filed date or 2-Other petitions filed Date) (Task ETMS00011130)

8/8/2013 Validation V038 - Validation of Claim Detail Notes for Independent appointments should only apply to Final Claims

Issue # ETMS00011235 – 8/2/2013 - Reviewed issue. All agreed with Jay's proposal that V038 should only apply to Final Claims. Deborah also indicated this should cause the claim to Reject, and all agreed. Created Task ETMS00011252 to make the change.

----------------------------------------- 7/31/2013 - Regarding Jay's question below regarding validation of CD_Notes, Jay indicated that the validation should only apply to Final Claims:

V038: If APPOINTMENT_TYPE = 'I', CLAIM_DETAIL_TYPE_CODE = Assistance and cumulative (all the claims for that appointment) CD_HOURS is greater than 5, then claim detail notes is necessary. (Detain)

--------------------------------------------------------- Q: Does the validation for CD_Notes (field # 104 below) apply only to Finals?

A: No, this validation currently applies to any claim type. P(Petition/Writ Only): When receiving an Interim or Final Claim for an Appointment with Briefing Type of P(Petition/Writ Only), Detain the claim if the appointment does not have at least one Appointment Date of Type (1-Habeas Corpus filed date or 2-Other petitions filed Date) (Task

Closed


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Date Description Resolution StatusETMS00011130)

8/15/2013 Minor issues based on CAPLA review of Validations

Issue #ETMS00011262 8/27/2013 –

- Field #74: APPOINTMENT - APPOINTMENT_ ATTORNEY_ RANK_ID

Validation V114 will be updated to: If Appointment Attorney is 1 or 2 and Appointment Type is Independent when Appointment notes field is null then reject the appointment.

Field #49: CASE_TRIAL_ COURT - TRIAL_COURT_NUM Note should be: This field will contain only one Trial Court case numbers. If there are more than one Trial Court case numbers, multiple CASE_TRIAL_ COURT records can be submitted.

Field #67: APPOINTMENT - APPOINTMENT_ORDERED_DATE

Remove note 'Note: Only those appointments will be sent to AOC which are ordered by Court, hence APPOINTMENT_ORDERED_DATE is mandatory'

Closed

9/13/2013 Daily XML - V017 - Should this be validating the claim transmission date rather than

Issue ETMS00011403 - 9/10/2013 - Per Deb, Jay is correct. Created Task ETMS00011404 for the change to the validation and specification.

Closed


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Date Description Resolution Statusthe appt transmission date? -----------------------------------------------------

9/10/2013 - Jay called with a question regarding validation V017 (field #69 Appointment Briefing Type Code): If BRIEFING_TYPE_CODE is W= Wende or S= Sade C then PROJECT_ TRANSMISSION_ DATE must be at least 30 days past AOB date.

Jay indicated that this validation should validate the claim transmission date, not the appointment transmission date. However, the current code is currently validating the appointment transmission date.

9/17/2013 Daily XML - Guideline Specifications - Variable method was incorrect for work type 38 (5 instead of 4).

Issue # ETMS00011463 - 9/17/2013 - Daily XML - Guideline Specifications - Variable method was incorrect for work type 38 (5 instead of 4). Issue caused incorrect validation results for work type 38. XML specifications updated. (Task ETMS00011464).

Closed

4/24/2014 Discuss the Briefing Type usage and definitions

ETMS00013909 - Following JCC directive was agreed by all.

Briefing Type

ID

Briefing Type Code

Definition Validations Associated

8 D Should be used only for legacy appointments.

If Briefing Type ID = 8 and Appointment Recommended Date > 1/1/2015 then Reject the claim.

10 U Should be used If briefing Type ID = 10 and

Closed


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Date Description Resolution Statusin following two scenarios:1. For all new

appointments where there has not yet been any briefing,

2. For all the appointments associated with early interim claims.

Claim Type = Interim or Final then Reject the claim.

Note: In claims, Briefing type

ID = 10 is only allowed with early interim claims.

JCC will remove the validation V018 – ‘If BRIEFING_TYPE = U then APPOINTMENT_NOTES field is mandatory’.

1 1 Should be used when the appointment has no briefing.

No validation.

1/6/2017 Update Guideline Specs (inserted .pdf)

ETMS00016688 – for work type 35 (Car Travel Breakout) increase Prima Facie and Ordinary Guideline Constant to be up $0.50 as of 1/1/2017 (was up to $0.485)

Closed

1/12/2017 Daily XML - V178 – When Appt Atty Rank is 7 (staff) then only Appt Type 4 (staff) is allowed and vice versa

ETMS00016704 – add new validation to ensure proper passing of staff attorney appointment data in the Appointment Attorney Rank ID and Appointment Status ID fields on the Daily Full XML interface

Closed

5/11/2017 Daily XML – V178 – Revise algorithm to “fail”: when Appt Type 4 (staff) and Appt Atty

ETMS00017040 – revise algorithm and reset to Rejected if validation fails

Closed


5/5/2023



Date Description Resolution StatusRank not 7 (staff) ORwhen Appt Type not 4 (staff) or 3 (non contract) and Appt Atty Rank is 7 (staff)

5/11/2017 Daily XML – V179 – If final claim then claim % should be 100%; if interim or early interim claim then claim % should be 95%

ETMS00016574 – add new validation to address expected claim holdback amount by validating expected percentage and set to Rejected if validation fails; note related existing validations V072 and V078

Closed

5/12/2017 Daily XML – V181 - The Issue Recommended Amount is less than the amount provided on the prior claim for this appointment.

ETMS00014251– add new validation - The Issue Recommended Amount is less than the amount provided on the prior claim for this appointment.

Closed

5/12/2017 Daily XML – V182 - The Claim Transcripts Pages Read is less than the pages read provided on the prior claim for this appointment.

ETMS00014251– add new validation - The Claim Transcripts Pages Read is less than the pages read provided on the prior claim for this appointment.

Closed

5/1112/2017

Daily XML – V183V179 - The Claim Transcripts Pages Total is less than the pages total provided on the prior claim for

ETMS00014251ETMS00016574 – add new validation - The Claim Transcripts Pages Total is less than the pages total provided on the prior claim for this appointment.to address expected claim holdback amount by validating expected percentage and set to

Closed


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Date Description Resolution Statusthis appointment.– If final claim then claim % should be 100%; if interim or early interim claim then claim % should be 95%

Rejected if validation fails; note related existing validations V072 and V078


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PurposeThis document provides the specifications of each XML file to be transmitted from the Project Offices to DCACS. For each XML file, the following is provided:

A specification of each node and each element which may be transmitted, including the data type, maximum length, whether the node or element is required, and any validation that will be performed on the node or element.

Listings of reference tables used to validate the contents of elements which are constrained to a certain set of values. A sample of the XML file, an XML skeleton, which provides the structure of the XML file to be transmitted. The XSD file which can be used to validate the structure of the XML file being transmitted.

Three different types of XML files can be transmitted to AOC by Appellate Projects. The three types are

1. Daily XML file

The Daily XML file is used to transmit appointment and claim information from Appellate Projects to AOC. Multiple appointments and claims per day per XML file can be submitted.

2. Monthly XML file

The Monthly XML is used to transmit following information: Total hours spent by attorneys on Common Case Services. Total hours spent by paralegals on Common Case Services. Total hours spent by attorneys on Individual Appointment Services. General reimbursable overhead expenses which do not include expenses related to in-contract staff claims.

3. Attorney XML file


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The Attorney XML is used to transmit following information Attorney information for all panel attorneys associated with a project.

This specification documents the interface used for the 1. Daily XML file.

Document OrganizationThis document is organized into the following sections:

The first section provides discussions of functional business rules. The second section provides an overview of general XML and XSD processing rules. The third section documents XML node and XML data elements specifications and validations for each type of

XML file namely daily, monthly and attorney. The final section provides all the reference tables and appendices.


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AcronymsAcronyms used in the document are listed here:

Acronym DescriptionACACS Appellate Court Appointed Counsel System (old system)ACCMS Appellate Court Case Management SystemAOC Administrative Office of CourtsADI Appellate Defenders IncAIDOAC Appellate Indigent Defense Oversight Advisory CommitteeATCJS Appellate Trial Court and Judicial Services divisionDCACS District Court of Appeal Court Appointed Counsel system( new

system)IS AOC Information Services divisionCAP-LA California Appellate Project Los AngelesCCAP Central California Appellate ProgramFDAP First District Appellate ProjectSDAP Sixth District Appellate ProgramADI Appellate Defenders IncProjects/Appellate Projects

Court Appointed Administrators-FDAP, CAP/LA, CCAP, SDAP,ADI


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Functional Business Rules

Claim Payment Calculation WorksheetThe following document provides the calculations used to validate the claim payment information and examples of each calculation across claim types.

Guideline SpecificationsThe following document provides the specifications of Prima facie and Ordinary Guidelines by work type, including the method of calculation for the Guideline Variable, Guideline Constant and Guideline Total.

Figure 1 DCACS Guideline Specifications

Trigger Cases

A case is called Trigger case when the amount recommended by the Project on the Case is changed or approved by Court.Trigger cases are unusual cases which are either high profile or highly complex and have heavy media attention. Also, sometimes Court might want to track or have input on any case or might want to cut beyond what Project has already cut. Such cases are triggered by the Court and the Court establishes the total claim payment amount in the case.


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The difference between total claim payment amount recommended by the Projects and total claim amount mandated by Court will be reported by Projects as an adjustment in CA_AMOUNT.CLAIM_ADJUSTMENT field for the ADJUSTMENT_TYPE_ID_CODE = Trigger.

1. If the review by Court reduced the total claim payment amount recommended by Projects then the adjustment will be reported as a negative amount.

2. If the review by Court increased the total claim payment amount recommended by Projects then the adjustment will be reported as a positive amount.

3. If the review by Court did not change the total claim payment amount recommended by Projects then the adjustment will be reported as a zero.

For all the claims with ADJUSTMENT_TYPE_ID_CODE = Trigger, DCACS will set the COURT_REVIEWED_FLAG = Y.

Transfer CasesThe following document discusses the various transfer case scenarios and describes how each transfer scenario should be handled by the Project Offices and by the AOC.


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Consolidated CasesThe following document discusses the various consolidation case scenarios and describes how each consolidation scenario should be handled by the Project Offices and by the AOC.


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Case Client Charges - Section and Subsection fields

If the count of conviction has a single section number, such as 286(c)(2)(B), the Section field will contain everything up to but not including the first open parenthesis: 286. The Subsection field will contain everything else beginning with the first open parenthesis: (c)(2)(B).

If the count of conviction has a complex section in the form of two numbers separated by a slash (“/”), such as 664(a)/288.2(b)(2), the Section field will contain everything to the left of the slash, the slash itself, and everything to the right of the slash up to but not including the first open parenthesis: 664(a)/288.2. The Subsection field will contain everything else beginning with the first open parenthesis to the right of the slash: (b)(2).

Appointment Status

The status of an appointment will be determined based on the presence or absence of the APPOINTMENT_ORDERED_DATE. Appointments may be transmitted to the AOC prior to receiving the actual appointment order. For example, an appointment may be transmitted to capture pre-appointment work by the project office. In this case, the appointment will not have an APPOINTMENT_ORDERED_DATE and should not be counted as a court-order appointment for statistical purposes. Likewise, any appointment with an APPOINTMENT_ORDERED_DATE will be counted as a court-ordered appointment for statistical and program management reporting.

Negative Claims


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Negative claims are those claims where the CLAIM_ PAYMENT_DUE results in a negative value. This can be due to various reasons, including trigger adjustments due to court review, rate change adjustments, etc. Negative claims will result in a levy being established and the claim will be classified as a ‘Negative’ claim rather than a ‘Payable’ claim. Attorneys will be given the option of the satisfying the levy via a cash payment within 30 days after the negative claim is submitted, otherwise the levy will be satisfied with the next payable claim submitted by the attorney.

In-Contract Staff Claims

In-contract Staff Claims will be submitted via the Daily XML submissions. In-Contract Staff Claims will be identified with the Appointment Type of ‘Staff’. In-Contract Staff Claims will be associated with a specific invoice using the Claim INVOICE_DATE. This date will be required for Claims submitted where the associated Appointment Type is ‘Staff’. In-Contract staff claims will be classified as a ‘Staff’ claim rather than as a ‘Payable’ claim.

Out-of-Contract Staff Claims

Out-of-Contract Staff Claims will be submitted via the Daily XML submissions. Out-of-Contract Staff Claims will be identified with the Appointment Type of ‘Non-Contract’. Out-of-Contract Staff Claims will be classified as ‘Payable’ and processed similarly to Panel Claims.


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General XML/XSD Processing Rules

File Naming Conventions

The XML file name will be in the following format

Project name_yyyymmdd_(D/M/A)_sequence.xml

Project Names to be used: ADI, CCAP, CAPLA,FDAP, SDAP

D/M/A represents Daily, Monthly or Attorney XML file

Sequence is mandatory and the first XML file of the day should have a default sequence as 1. More than one XML file can be

submitted on a particular date will have a sequence of 2 and so on.

The sequences are related to the type of file which is Daily, Monthly or Attorney. For example if ADI wants to send two

monthly and two daily files on the same day then the file names would be ADI_20110121_D_1.xml, ADI_20110121_D_2.xml,

ADI_20110121_M_1.xml, ADI_20110121_M_2.xml

If the XML file name does not follow the file naming convention then XML file will be rejected.

Transmissions

Projects will use AOC FTP software to transfer their daily XML files to a shared FTP server over SSL. The DCACS application will access the files using direct secure connection to the FTP server. The connection details are:


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Server: AOC FTP ServerURL to access the AOC FTP Server: https://ftp.jud.ca.gov

The DCACS application will access the file on the FTP server every weekday at 7 am for processing. The XML file will be processed as per XML file sequence. For example if we have two files namely CCAP_20110121_D_1.xml, CCAP_20110121_D_2.xml to process in the morning then CCAP_20110121_D_1.xml will be processed before CCAP_20110121_D_2.xml. Same process will be followed for monthly and attorney file.

The following are the errors that the AOC detects and reports during the Transmission process. If these errors are encountered, the files XML will not load and the Project Office will be informed of the error.

E357 Daily XML Node Count Failed The DCACS Daily XML Node Count failedE356 XSD Validation Failed The DCACS XSD Validation failedE350 XML File Name Check Failed The XML File Name Check FailedE349 XML Missing or Invalid Sequence The XML File Name is missing the sequence component or the sequence is not a valid number.E348 XML Missing File Type The XML File Name is missing the file type component.E347 XML Incorrect Date The date component of the XML File Name is not a valid date.E346 XML Incorrect Date Length The date component of the XML File Name is the incorrect length. E345 XML Project Name Missing The XML File Name is missing the project name component.E344 XML Incorrect File Name The XML File Name is not correct; it is missing at least one required component in the name.E343 XML Incorrect File Name Length The XML File name length is not correct.


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https://ftp.jud.ca.gov/



RetransmissionsThe XML files, if retransmitted before being picked up by the DCACS application from FTP server will cause the file at the FTP server to be replaced by the latest file of the same name. If the XML file is retransmitted after DCACS application has already picked the file for processing from FTP server then the latest XML file will be treated like new file and will be picked up for processing by DCACS application at the scheduled time. Retransmission of attorney node, case node, case sub nodes, appointment node and appointment sub nodes transmission related to one appointment information or claim information are allowed. Previous transmission will be flagged as history and only the latest transmission will be active.

Retransmission of claim node and claim sub nodes transmission will be allowed only if the previous claim has rejected or detained or processed status.

EncryptionSecured transmission of outbound Vendor Information files and inbound XML files (daily Claims XML files, Staff Claims XML files, Attorney XML files and Invoice XML files) is achieved on FTP over SSH with PGP file encryption protocols.Encryption type: GPG [Payload encryption]Key type: RSAKey strength: 2048 bitsExpire: NO


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XSD Validation

An XSD defines the structure of the elements and attributes in an XML document. These constraints are generally expressed using some combination of grammatical rules governing the order of elements, that the content must satisfy, data types governing the content of elements and attributes, and more specialized rules such as uniqueness and referential integrity constraints.

1. The following conditions will result in XSD failure:-a. Any error in the structure of the XML b. Any invalid referential data c. Any invalid data typed. Data exceeding the max length defined

2. Whenever, XSD failure condition is encountered, the full XML file containing the error will not be accepted by the system.All the date data types have format flexibility i.e. any of the following formats will be accepted in XSD.

a. mm/dd/yyyyb. mm-dd-yyyyc. m/dd/yyyyd. m-dd-yyyye. m-d-yyyyf. m/d/yyyyg. mm/d/yyyyh. mm-d-yyyy

3. XSD will not allow dollar or comma sign in any decimal or numeric field. 4. For all the decimal fields, there are three different variations.

a. For fields which only allow one-decimal values in the format (9,1):


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http://en.wikipedia.org/wiki/Referential_integrity

http://en.wikipedia.org/wiki/Uniqueness



Allowed Not Allowed2.1 2.13 2.4 2.0.0 0-2.1 (2.1) 2.0 2

b. For fields which only allow two-decimal values in the format (9,2):Allowed Not Allowed2.13 2.133 2.45 2.4 0.00 0-2.13 (2.13) 2.00 2

c. For fields which allow one or two-decimal values in the format (9,1) or format(9,2):

Allowed Not Allowed2.1 2.1112.4 2.0.0 0-2.1 (2.1) 2.0 22.13 2.1330.00 0


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-2.13 (2.13) 2.00 2

5. Mandatory Nodes and non mandatory nodes are enforced through XSD.6. Referential integrity is enforced through XSD.


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Business Rule Validation

Once the XML file passes the XSD and loaded in DCACS system then all the entities namely attorney, case appointment and claim data elements will be processed against validation rules as described later in the document.

If any of the data element fails the validation rule as specified in the document then the corresponding action as documented in the adjacent column will be occur.

Rounding Strategy

In DCACS we will follow the rounding down strategy. In this method, the number is always rounded down to the next smallest number. Positive and negative numbers will be treated same for the purpose of rounding.

Rounding will be performed at the final result of calculation not at each step.. For example, for a formula z = ((((n*p) +n)*q - t)/r), DCACS will not round at (n*p) level or at (n*p) +n)*q level. It will round only at final level which in the example is z.A tolerance amount of 5 cents will be built in for CLAIM_PAYMENT_DUE field. This implies that DCACS will allow a difference of 5 cents or less between the CLAIM_PAYMENT_DUE as calculated by Projects and DCACS.

1. For all Hour fields, DCACS will round the number to one decimal place. Following are the rounding examples for hour fields.Before Rounding After Rounding

16.12 16.116.129 16.116.15 16.1


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16.158 16.116.16 16.216.199 16.2

In following fields, DCACS will do hour rounding NODE ATTRIBUTE

CLAIM_ SERVICE CS_GUIDELINE_ TOTALCLAIM_ISSUE CI_GUIDELINE_TOTAL

2. For all Amount fields, DCACS will round the number to two decimal places. Following are the rounding examples for amount fields.

Before Rounding After Rounding16.124 16.1216.1249 16.1216.125 16.1216.1259 16.1216.126 16.1316.1269 16.13

In the following amount fields, DCACS will perform rounding.

NODE ATTRIBUTECLAIM_ADJUSTMENT CA_AMOUNT for CLAIM_ADJUSTMENT_TYPE_CODE = RATE CHANGE


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CLAIM_ADJUSTMENT CA_AMOUNT for CLAIM_ADJUSTMENT_TYPE_CODE = HOLDBACKCLAIM CLAIM_PAYMENT_DUE


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Handling of Special Characters

The many notes fields and text data fields in the XML specification may contain special characters. Special characters which are also used in the markup language (e.g. <) can cause the XML validation to fail. In order to avoid these issues, it is recommended that text data fields be enclosed in the CDATA tag.

a. CDATA syntax:

<![CDATA[ Required. Denotes the start of the XML CDATA section.content Required. Text content to appear in the XML CDATA section.

]]> Required. Denotes the end of the section.

b. CDATA example :

<CLAIM_ISSUE_NOTES><CLAIM_ISSUE_NOTE><ISSUE_TYPE_ID>2</ISSUE_TYPE_ID>

<CIN_NOTES><![CDATA[As to unbriefed issue #3, in addition to the issue upon which the appellate court awarded additional credits, there were other considerations relevant to the credits award which had to be evaluated.]]></CIN_NOTES>

</CLAIM_ISSUE_NOTE></CLAIM_ISSUE_NOTES>

c. XML CDATA sections provide the text that should be included, but not parsed, with the XML that contains it. A XML CDATA section can contain any text. This includes reserved XML characters.


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d. XML CDATA sections cannot be nested, because content cannot contain the value "]]>".

e. Empty CDATA tags are acceptable for text nodes that do not have a value.

<CIN_NOTES><![CDATA[]]></CIN_NOTES>

f. The XML data elements which are recommended to be wrapped in the CDATA tag are indicated with a ‘[CDATA]’ indicator in the Max Length column:


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Daily XML Specification

The Daily XML file is used to transmit appointment and claim information from Appellate Projects to AOC. Multiple appointments and claims per day per XML file can be submitted.For appointment information submission through XML file, the file should have project node, attorney node, case node, all mandatory case sub nodes, appointment node and all mandatory appointment sub nodes.For claim information submission through XML file, the file should have in addition all the nodes as mentioned above, claim node and all the mandatory claim sub nodes.

Daily XML Node and Data Element Specification

The following table XML node specification table and reference tables are used to specify the XML node and their data elements.

XSD Specifications VALIDATIONS ACTION

# XML node XML Data Element Max Length

Reqd Ref Integrity

PROJECTSYes

1 PROJECT PROJECT_ID N/A Yes Refer table


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Reqd Ref Integrity

1.02 PROJECT FILE_CREATION_DATE 10 Yes

PROJECT FILE_TYPE 2 Yes Valid Field Values:a. I = interimb. F = Fullc. N = Legacy, d.S=Staggered

3 PROJECT NUM_ATTORNEYS 3 Yes The NUM_ATTORNEYS count should match the number of attorneys in the XML file.

Reject XML file

4 PROJECT NUM_CASES 3 Yes The NUM_CASES count should match the total number of cases in the XML file.

Reject XML file

5 PROJECT NUM_ APPOINTMENTS

3 Yes The NUM_APPOINTMENTS count should match the total number of appointments in the XML file.

Reject XML file

6 PROJECT NUM_CLAIMS 3 Yes The NUM_CLAIMS count should match the total number of claims in the XML file.If any duplicate claims are received (i.e. a claim that was

Reject XML file

Reject XML file


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Reqd Ref Integrity

processed successfully (i.e. Status = Approved or Sent) and then resubmitted with the same Project Claim ID), the file will be rejected.

ATTORNEYSYes

7 ATTORNEY ATTORNEY_ FNAME 100[CDATA]

Yes

8 ATTORNEY ATTORNEY_ MNAME 100[CDATA]

No

9 ATTORNEY ATTORNEY_ LNAME 100[CDATA]

Yes

10 ATTORNEY ATTORNEY_ EMAIL 100[CDATA]

Yes Should contain @ and .In the scenarios where an attorney is not willing to provide an email address then Projects can use [email protected].

V040 Detained


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mailto:[email protected]





Reqd Ref Integrity

This is a statewide dummy email address which is not real rather bogus and used as a placeholder.Attorney Email is Required.

V159 Detained

11 ATTORNEY ATTORNEY_PHONE 25[CDATA]

Yes

12 ATTORNEY ATTORNEY_BUSINESS_NAME

100[CDATA]

No

13 ATTORNEY ATTORNEY_ ADDRESS1

100[CDATA]

Yes Validate that Attorney Address 1 should not be null.

V148 Rejected


100[CDATA]

No


100[CDATA]

No

16 ATTORNEY ATTORNEY_CITY 100[CDATA]

Yes


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Reqd Ref Integrity

17 ATTORNEY ATTORNEY_STATE 100[CDATA]

Yes

18 ATTORNEY ATTORNEY_COUNTRY

100[CDATA]

Yes

19 ATTORNEY ATTORNEY_POSTAL_ CODE

10 Yes

20 ATTORNEY ATTORNEY_ STATEBAR_NUM

10 Yes State Bar number and case number combination to be validated from ACCMS. (Future enhancement)

Detained

21 ATTORNEY ATTORNEY_DEP_RANK_ID

N/A Yes Refer table 2.4

22 ATTORNEY ATTORNEY_CRI_RANK_ID


23 ATTORNEY ATTORNEY_PANEL_JOIN_DATE

10 No

24 ATTORNEY PROJECT_ATTORNEY N/A Yes Refer


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Reqd Ref Integrity

_STATUS_ ID table 3.7

25 ATTORNEY ATTORNEY_INACTIVE _DATE

10 No This field is required if ATTORNEY_STATUS_ID_CODE = Inactive and Appointment type Code is not staff and non contract

V065 Detained

26 ATTORNEY ATTORNEY_INACTIVE _REASON_ID

N/A No Refer table 3.8

This field is required if ATTORNEY_INACTIVE_DATE is not null.

If Attorney Inactive Reason = Unknown (5) then Reject the claim.

V066

V168

Detained

Rejected

27 ATTORNEY ATTORNEY_INACTIVE _COMMENT

4000[CDATA]

No

28 ATTORNEY PROJECT_ ATTORNEY_ID

16 Yes When Project/Attorney Userkey (State Bar number) matches from one transmission to another and Project Attorney ID does not match then reject the

V095 Rejected


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Reqd Ref Integrity

attorney.

CASESYes When Case Userkey (District

Prefix + Case number + Client Suffix) of one transmission matches with Case Userkey of another transmission and Project Case ID does not match then reject the case.

V094 Rejected

29 CASE DISTRICT_PREFIX_ID N/A Yes Refer table 1.1

1. If DISTRICT_PREFIX is A then Project must be FDAP or TRANSFER_DATE should be not null

2. If DISTRICT_PREFIX is B then Project must be CAPLA or TRANSFER_DATE should be not null

3. If DISTRICT_PREFIX is C and F then Project must be CCAP or TRANSFER_DATE should be not null.

4. If DISTRICT_PREFIX is D, G and E then Project must be

V067 Detained


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Reqd Ref Integrity

ADI or TRANSFER_DATE should be not null.

5. If DISTRICT_PREFIX is H then Project must be SDAP or TRANSFER_DATE should be not null.

30 CASE CASE_NUMBER 6 Yes31 CASE CLIENT_SUFFIX 1 Yes Case Client Suffix must be a

capital letter (A, B, C...).V161 Rejected

32 CASE CLIENT_TYPE_ID N/A Yes Refer table 1.2

33 CASE CASE_OFFICIAL_CAPTION

2000[CDATA]

Yes

34 CASE DISTRICT_ID N/A Yes Refer table 3.9

35 CASE DIVISION_ID N/A Yes Refer table 1.3

1. If district prefix is A then DIVISION_CODE must be 1-5 and 11.

2. If district prefix is B then

V034 Detained


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Reqd Ref Integrity

DIVISION_CODE must be 1- 8 and 11.

3. If district prefix is C then DIVISION_CODE must be 0

4. If district prefix is D then DIVISION_CODE must be 1

5. If district prefix is E then DIVISION_CODE must be 2

6. If district prefix is G then DIVISION_CODE must be 3

7. If district prefix is F then DIVISION_CODE must be 0

8. If district prefix is H then DIVISION_CODE must be 0

36 CASE CASE_TYPE_ID N/A Yes Refer table 1.4

37 CASE TRIAL_COURT_ID N/A Yes Refer table 1.5

Validate that Case Trial Court Number is provided.

V149 Rejected

38 CASE CASE_COMPLEXITY_ N/A Yes Refer


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Reqd Ref Integrity

TYPE_ID table 1.6

39 CASE CASE_RECEIVED_ DATE

10 Yes Yes 1. Should not be greater than FILE_CREATION_DATE date

V004 Detained

40 CASE CASE_NOTICE_ APPEAL_ DATE

10 No Yes 1. Should not be greater than FILE_CREATION_DATE

2. CASE_NOTICE_ APPEAL_ DATE is required if CASE_TYPE_CODE = C and CLIENT_TYPE_CODE = A

V005

V070

Detained

Detained

41 CASE CASE_MINORS_ FLAG 1 Yes Valid Field Values:a. Y b. N

V071 Detained

42 CASE CASE_PEOPLES_ APPEAL_FLAG

1 Yes Valid Field Values:a. Yb. N

Case People's Appeal Flag is Required.

V036

V160

Detained

Detained

43 CASE CASE_STRIKE_1 1 No Valid Field Values:a. Nullb. 1

V002 Detained


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Reqd Ref Integrity

44 CASE CASE_STRIKE_2_3 1 No Valid Field Values:a. Nullb. 2c. 3

V003 Detained

45 CASE CASE_MOTION_ 15385_FLAG

1 No Valid Field Values:a. Nullb. Yc. N

V113 Detained

46 CASE CASE_NOTES 4000 [CDATA]

No If one case number has two different appointments say Case number H123456 A has two appointments H123456 A 1 and H123456 A 2 and has same State Bar number then comment should be mandatory in the CASE_NOTES field.

V068 Detained

47 CASE PROJECT_TRANSFER _DATE

10 No

48 CASE PROJECT_CASE_ID 16 YesCASE_CLIENTS

Yes


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Reqd Ref Integrity

49 CASE_CLIENT CLIENT_FNAME 100[CDATA]

Yes

44 CASE_CLIENT CLIENT_MNAME 100[CDATA]

No

45 CASE_CLIENT CLIENT_LNAME 100[CDATA]

Yes

46 CASE_CLIENT CLIENT_RELATION 100[CDATA]

No

47 CASE_CLIENT CDC_NUMBER 50 No48 CASE_TRIAL_

COURTSYes

49 CASE_TRIAL_ COURT

TRIAL_COURT_NUM 100 Yes Note: This field will contain only one Trial Court case number. If there are more than one Trial Court case numbers, multiple CASE_TRIAL_ COURT records can be submitted.

CASE_ CLIENT_

Yes


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Reqd Ref Integrity

DISPOSITIONS

50 CASE_ CLIENT_ DISPOSITION

DISPOSITION_TYPE_ID



DISPOSITION_WORD_ID



CCD_YEARS 6 No


CCD_MONTHS 6 No


CCD_QUANTITY 6 No

CASE_ CLIENT_ CHARGES

NoWhen Trial Court Code is not V, P or O then Case Client Charge node is required.

V039 Detained

55 CASE_ CCC_COUNT 16 No


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Reqd Ref Integrity

CLIENT_ CHARGE

56 CASE_ CLIENT_ CHARGE

CHARGE_CODE_ID N/A Yes Refer table 1.9


CCC_SUBDIVISION 100 No Refer to the Case Client Charges - Section and Subsection fields discussion in the Functional Business Rules section for a description of the contents of this field.


CCC_SECTION 100 Yes Refer to the Case Client Charges - Section and Subsection fields discussion in the Functional Business Rules section for a description of the contents of this field.


CCC_CRIME 4000[CDATA]

No


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Reqd Ref Integrity


CCC_DEGREE 16 No Valid Field Values:a. Nullb. 0c. 1d. 2e. 3

CASE_ REFERENCES

No

61 CASE_ REFERENCE

REFERENCE_TYPE_ ID N/A Yes Refer table 2.0

62 CASE_ REFERENCE

CASE_REFERENCE_ VALUE

4000[CDATA]

No

63 CASE_ REFERENCE

CASE_REFERENCE_ DATE

10 No

64 CASE_ REFERENCE

CASE_REFERENCE_ NOTES

4000[CDATA]

No

APPOINTMENTSYes 1. Assign detained status to this

appointment if the attorney of this appointment is

V090 Detained


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Reqd Ref Integrity

detained.

2. Assign rejected status to this appointment if the attorney of this appointment is rejected.

3. Assign detained status to this appointment if the case of this appointment is detained.

4. Assign rejected status to this appointment if the attorney of this appointment is rejected.

5. Assign Hold status to the appointment if the case related to this claim is Hold.

6. Assign Hold status to the appointment if the attorney

V091

V092

V093

V142

V143

Rejected

Detained

Rejected

Hold

Hold


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Reqd Ref Integrity

related to this claim is Hold.

7. When Appointment Userkey (District Prefix + Case number + Client Suffix + Attorney Suffix) of one transmission matches with the Appointment Userkey of another transmission and Project Appointment ID does not match then reject the appointment.

V086 Rejected

65 APPOINT MENT

ATTORNEY_SUFFIX 1 Yes

66 APPOINTMENT

APPOINTMENT _RECOMMENDED _DATE

10 Yes 1. Should not be greater than FILE_CREATION date.

2. Validate that Appointment Recommended Date is valid.

V015

V150

Detained

Detained

67 APPOINTME APPOINTMENT 10 No 1. Should not be greater than V016 Detained


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Reqd Ref Integrity

NT _ORDERED_DATE FILE_CREATION date

2. Appointment Ordered Date will always be equal or greater than Appointment Recommended Date.

V014 Detained

68 APPOINTMENT

APPOINTMENT _TYPE_ID


Appointment Type should be valid.(Cannot be Appointment Type Id = 7 /Appointment Type Code = Legacy)

Validate that Appointment Type is valid for Claim Accounting type as per table 4.1.

Validate that when Appointment Type ID 4 (staff) then only Appointment Attorney Rank ID should beis 7 (staff)

Validate that when Appointment Type ID 4 (staff) or 3 (non

V151

V152

V178

V178

Detained

Detained

Rejected

Rejected


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Reqd Ref Integrity

contract) then Appointment Attorney Rank ID should be 7 (staff)is allowed

69 APPOINTMENT

BRIEFING_TYPE_ ID N/A Yes Refer table 2.2

72 APPOINTMENT

TERMINATION _TYPE_ID


If TERMINATION_TYPE_CODE = A, D, R or T then Opinion/Final Order Date (DATE_TYPE_ID = 7) is mandatory.

V019 Detained

74 APPOINTMENT

APPOINTMENT_ ATTORNEY_ RANK_ID


1. When Case Type is Dependency, Dependency Attorney Rank ID is required.

2. When Case Type is not Dependency, Criminal Attorney Rank ID is required.

3. When Appointment Attorney

V020

V021

V114

Detained

Detained

Rejected


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Reqd Ref Integrity

Rank is 1 or 2 and Appointment Type is Independent, the Appointment notes field is required.

4. If Appointment Attorney Rank = Legacy then Reject the claim.

[5.] When Appointment Type ID 4 (staff) then Appointment Attorney Rank ID should be 7 (staff)Validate that when Appointment Attorney Rank ID is 7 (staff) then only Appointment Type ID 4 (staff) is allowed

5. When Appointment Type ID 4 (staff) or 3 (non contract) then Appointment Attorney

V169

V178

V178

Rejected

Rejected

Rejected


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Reqd Ref Integrity

Rank ID should be 7 (staff)75 APPOINTME

NTTRAINING_TYPE_ID N/A Yes Refer

table 2.5

Detained

76 APPOINTMENT

APPOINTMENT_ CLOSED_DATE

10 No 1. Should not be greater than FILE_CREATION_DATE

2. If appointment closed date has value then no claim (Interim/Final) should exist for that appointment.

Note: This field will be used to close out any legitimate appointment

V022

V023

Detained

77 APPOINTMENT

APPOINTMENT_ CLOSED_REASON

4000[CDATA]

No 1. Reason is mandatory if the appointment close date has valid value.

Note: This field will be used to denote the reason to close a legitimate appointment for

V024 Detained


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Reqd Ref Integrity

e.g. retained private counsel, consolidated case etc

78 APPOINTMENT

APPOINTMENT_ AOB_DATE

10 No If CLIENT_TYPE_CODE = A and BRIEFING_TYPE_CODE = W, S, N, L, J, C (other than X, U, P and D) then AOB Date, Reply Brief Date or Supplemental Brief date is mandatory.

V026 Detained

79 APPOINTMENT

APPOINTMENT_ RECORD_FILE_DATE

10 No Should not be greater than FILE_CREATION_DATE

V027 Detained

80 APPOINTMENT

APPOINTMENT_NOTES

4000[CDATA]

No

81 APPOINTMENT

PROJECT_ APPOINTMENT_ID

16 Yes

82 APPOINTMENT

PROJECT_ ATTORNEY_ID

16 Yes For all the Appointment types other than ‘P’, if Attorney ID = dummy Project Attorney ID (-67,-77,-87,-97,-777) then Detain the claim.

V087 Detained

APPOINT MENT_DATE

NO Reject an appointment if multiple records/values are

V171 Rejected


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Reqd Ref Integrity

S received for an appointment date (in Appointment Dates node of XML) per appointment which has N value in the Multiple Dates Allowed column in the DATE TYPES code table.

83 APPOINTMENT_DATE

DATE_TYPE_ID N/A Yes Refer table 2.6

84 APPOINTMENT_DATE

AD_DATE 10 Yes

85 APPOINTMENT_DATE

AD_NOTES 4000[CDATA]

No If DATE_TYPE_CODE field is Other petitions filed date then APPOINTMENT_DATES.AD_NOTES field is mandatory.

V028 Detained


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Reqd Ref Integrity

86 APPOINTMENT_DATE

DATE_ACTION_ID N/A No Refer table 2.7

If DATE_TYPE_CODE field is Oral Argument Date then DATE_ACTION_ID is mandatory and should be equal to 14 / 15/ 16.

Note: Date action to come from ACCMS in future.

V029 Detained

CLAIMS NO 1. CASE.CLIENT_SUFFIXIf CLIENT_SUFFIX changes from claim to claim transmission of the same appointment then verify the presence of CASE_REFERENCE_TYPE_CODE= B in the CASE_REFERENCE node

2. CASE.CLIENT_TYPE_IDCannot change from claim to claim transmission of the

V007

V013

Detained

Detained


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Reqd Ref Integrity

same appointment.

3. CASE. CASE_TYPE_IDCannot change from claim to claim transmission of the same appointment.

4. CASE. TRIAL_COURT_IDCannot change from claim to claim transmission of the same appointment.

5. CASE.CASE_COMPLEXITY_TYPE_IDCannot change from claim to claim transmission of the same appointment.

6. CASE. CASE_RECEIVED_ DATECannot change from claim to claim transmission of the same appointment.

V044

V045

V046

V047

V048

Detained

Detained

Detained

Detained

Detained


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Reqd Ref Integrity

7. CASE.CASE_NOTICE_ APPEAL_ DATECannot change from claim to claim transmission of the same appointment.

8. APPOINTMENT.APPOINTMENT _RECOMMENDED _DATECannot change from claim to claim transmission of the same appointment.(This validation is disabled for a period of approximately 2 yrs to accommodate XML Interface Cut Over)

9. APPOINTMENT _ORDERED_DATE is mandatory with claim.

V049

V052

V050

Detained

Detained

Detained


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Reqd Ref Integrity

10. APPOINTMENT.APPOINTMENT _ORDERED_DATECannot change from claim to claim transmission of the same appointment.

11. APPOINTMENT.APPOINTMENT _TYPE_IDCannot change from claim to claim transmission of the same appointment.

APPOINTMENT.APPOINTMENT_ATTORNEY_RANK_ID After the first claim is submitted, the Appointment Attorney Rank cannot change.

12. Assign detained status to the claim if the appointment of

V053

V054

V088

V089

Detained

Detained

Detained

Rejected


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Reqd Ref Integrity

this claim is detained.

13. Assign rejected status to the claim if the appointment of this claim is rejected.

14. Assign detained status to the claim if the appointment of this claim is detained.


16. Assign detained status to the claim if the appointment of this claim is detained.


V138

V139

V140

V141

V144

V145

Detained

Rejected

Detained

Rejected

Hold

Hold


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Reqd Ref Integrity

18. Assign Hold status to the claim if the case related to this claim is Hold.

19. Assign Hold status to the claim if the attorney related to this claim is Hold.

20. Assign Hold status to the claim if the appointment related to this claim is Hold.

21. Validate that the Budget Year and District provide valid GL Codes. This is validated is applied at the time of transmission to Accounting system only.

22. When a Final Claim is submitted, the Case Division cannot be Unknown.

V146

V110

V155

V147

V162

Hold

Hold

Detained

Detained


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Reqd Ref Integrity

23. Validate that the Claim is a duplicate of a Claim that was previously transmitted and approved.

24. Validate that the Claim is above $7500 and over approval limit

25. Briefing Type cannot be Unknown/Unusual (Briefing Type ID = 10) for Interim or Final Claims.

26. If Briefing Type is Null/Undetermined/Legacy (Briefing Type ID = 8), Appointment Recommended Date must be < 1/1/2015.

V176

V177

Hold

Rejected

Rejected

87 CLAIM CLAIM_TYPE_ID N/A Yes Refer table 2.8

4. Interim claim cannot come after final claim.

V056 Detained


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Reqd Ref Integrity

5. When CLAIM_TYPE_CODE = Early interim and sum of CT_NUM_PAGES_READ field for transcript type code = Reporter, Clerk and Other (excluding Preliminary) is greater than 7500 pages then don’t detain the claim else detain the claim (Not applicable to In-Contract Staff claims).

6. If CLAIM_TYPE_CODE = F and BRIEFING_TYPE_CODE = W or S then DATE_TYPE_CODE =Opinion/Final Order Date is not mandatory.

else

CLAIM_TYPE_CODE = F and BRIEFING_TYPE_CODE not W

V057

V058

Detained

Detained


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Reqd Ref Integrity

or S then DATE_TYPE_CODE =Opinion/Final Order Date is mandatory.

7. If CLAIM_TYPE_CODE = I or F (Interim or Final) and BRIEFING_TYPE_CODE = P(Petition/Writ Only) then Appointment Date with DATE_TYPE_CODE of Habeas Corpus Filed Date, Other Petitions Filed Date or Other Petitions Filed Date is mandatory.

8. If BRIEFING_TYPE_CODE is W=Wende or S=Sade C then claim type should be Final (Not applicable to In-Contract Staff claims).

9. If CLAIM_TYPE is F and

V134

V059

V084

Detained

Detained

Detained


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Reqd Ref Integrity

Termination Type code is not A, D, R and T then BRIEFING_TYPE_ ID cannot be null/undetermined/Legacy.

10. If BRIEFING_TYPE_CODE is W= Wende or S= Sade C then Claim TRANSMISSION_FILE_ CREATE_DATE must be more than 30 days past AOB date. This validation will not be applicable if opinion date is provided.

V017 Detained

88 CLAIM CLAIM_SEQUENCE 6 Yes The CLAIM_SEQUENCE field should be in numerically ascending order for interim and final claim type and should reset to 1 with the change in claim type.From early interim to interim,

V060 Detained


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Reqd Ref Integrity

the claim sequence should not reset to 1.for e.g. E1, I2, I3, F1, F2 etc

89 CLAIM CLAIM_DATE 10 Yes Should not be a greater than FILE_CREATION_DATE date

V062 Detained

90 CLAIM CLAIM_RATE (9,2) Yes Validate claim rate as per rate chart table.

Cannot change from claim to claim within an appointment.

This value is incremental and should contain CLAIM_RATE value for the claim.

V063

V064

Rejected

Detained

91 CLAIM CLAIM_PERCENT (9,2) Yes Cannot be greater than 1.

This value is incremental and should contain CLAIM_PERCENT value for the claim.

V072 Detained

92 CLAIM CLAIM_ PAYMENT_DUE

(9,2) Yes Validate claim recommended total as per claim calculation

V001 Rejected


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Reqd Ref Integrity

spreadsheet.

Note: CLAIM_PAYMENT_DUE is the total amount recommended by Projects to be paid to attorney on the claim.

Reject claim if the total of the payments do not equal CLAIM_PAYMENT_DUE. This is validated at the time of transmission to Accounting only.

If the Claim Payment Due amount does not equal Total Claim Hours Amount + Total Claim Expenses + Total Adjustments then Detain the claim.

This value is incremental and should contain CLAIM_

V099

V135

Rejected

Detained


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Reqd Ref Integrity

PAYMENT_DUE value for the claim.

93 CLAIM TOTAL_APPT_CUM_ PAYMENT

(9,2) Yes Validate total appointment cumulative payment as per claim calculation spreadsheet.

Note: TOTAL_APPT_CUM_PAYMENT is the total amount recommended by Projects to be paid to attorney on the appointment. This includes present claim.

If the Total Appointment Cumulative Payment amount does not equal Total Appointment Hours Amount + Total Appointment Expenses + Total Appointment Adjustments, then Detain the claim.

This value is cumulative and

V032

V136

Detained

Detained


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Reqd Ref Integrity

should contain TOTAL_APPT_CUM_ PAYMENT value for the appointment.

94 CLAIM CLAIM_NOTES 4000[CDATA]

No When claim type = Early interim, then claim notes is necessary.

V033 Detained

95 CLAIM VENDOR_SITE_ID 10 No Validate VENDOR_SITE_ID and State Bar number combination.

Validate that the Vendor_Site_ID provides a valid Tax-ID. This is an AOC error, contact AOC IS to resolve.

If the Appointment Type of the Claim is ‘Non-Contract’ or ‘Staff’ then Vendor Id associated with vendor_site_id should be equal to the Vendor Id of Project.

Claim Vendor Site ID is Required

V035

V111

V096

V156

Detained

Hold

Detained

Detained


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Reqd Ref Integrity

if File type = Full.

CLAIM TAX_ID 11 No Claim Tax ID is Required if File type = Interim.If multiple active Vendor Sites found for the Tax ID/State Bar Number combination, then detain the claim.

V157

V158

Detained

Detained

96 CLAIM INVOICE_DATE 10 No Required when APPOINTMENT_TYPE = ‘S’ (Staff).

V112 Rejected

97 CLAIM PROJECT_ CLAIM_ID 16 Yes When Project/Claim Userkey (District Prefix + Case number + Client Suffix + Attorney Suffix + Type of claim + Claim sequence) of one transmission matches with the Project/Claim Userkey of another transmission and Project claim ID does not match then reject the claim. This validation is not considered for cancelled or Rejected claims.

V085 Rejected


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Reqd Ref Integrity

CLAIM_ DETAILS

Yes

98 CLAIM_ DETAIL

CD_TYPE_ID N/A Yes Refer table 2.9

99 CLAIM_ DETAIL

CD_HOURS (9,1) Yes This value is cumulative and should contain CD_HOURS value for the appointment.

100 CLAIM_ DETAIL

CD_HOURS_ AMOUNT (9,2) No This value is cumulative and should contain CD_HOURS_ AMOUNT value for the appointment.

101 CLAIM_ DETAIL

CD_EXPENSES_ AMOUNT

(9,2) No This value is cumulative and should contain CD_EXPENSES_ AMOUNT value for the appointment.

102 CLAIM_ DETAIL

CD_DATE 10 No

103104 CLAIM_ CD_NOTES 4000 No If CLAIM_TYPE = Final and V038 Rejected


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Reqd Ref Integrity

DETAIL [CDATA]

APPOINTMENT_TYPE = 'I', CLAIM_DETAIL_TYPE_CODE = Assistance and cumulative(all the claims for that appointment) CD_HOURS is greater than 5, then claim detail notes is necessary.

CLAIM_ SERVICES

Yes All Work types will be provided in XML even if hours are not claimed or recommended.

105 CLAIM_ SERVICE

COMPENSATION_ TYPE_ID

16 Yes Refer table 3.2

106 CLAIM_ SERVICE

WORK_TYPE_ID 16 Yes Refer table 3.5

107 CLAIM_ SERVICE

GUIDELINE_TYPE_ID 16 Yes Refer table 3.6

108 CLAIM_ SERVICE

CS_GUIDELINE_ VARIABLE

(9,2) No Refer Attachment - Guideline Specifications

V061 Detained


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Reqd Ref Integrity

This value is cumulative and should contain CS_GUIDELINE_ VARIABLE value for the appointment.

109 CLAIM_ SERVICE

CS_GUIDELINE_ CONSTANT


This value is cumulative and should contain CS_GUIDELINE_ CONSTANT value for the appointment.

V083 Detained

110 CLAIM_ SERVICE

CS_GUIDELINE_ TOTAL


This value is cumulative and should contain CS_GUIDELINE_ TOTAL value for the appointment.

V073 Detained

111 CLAIM_ SERVICE

CS_CLAIMED (9,2) No Refer Attachment - Guideline SpecificationsIf Compensation Type is Hours, must be in format (9,1)

V098 Detained


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Reqd Ref Integrity

This value is incremental and should contain CS_ CLAIMED value for the claim.

112 CLAIM_ SERVICE

CS_RECOMMENDED (9,2) No Refer Attachment - Guideline SpecificationsIf Compensation Type is Hours, must be in format (9,1)

Validate that the cumulative Claim Service Recommended amount is greater than 1 for Administrative Tasks (WT 22) reported on a Final Claim.

This value is incremental and should contain CS_RECOMMENDED value for the claim.

V074

V097

V153

Detained

Detained

Detained

113 CLAIM_ SERVICE

CS_NOTES 12000[CDATA]

No Refer Attachment - Guideline Specifications

V075, V076

Detained


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Reqd Ref Integrity

CLAIM_ ADJUSTMENTS

NO

114 CLAIM_ ADJUSTMENT

ADJUSTMENT_TYPE_ID

16 Yes Refer table 3.4

115 CLAIM_ ADJUSTMENT

CA_AMOUNT (9,2) Yes 1. CA_AMOUNT for CLAIM_ADJUSTMENT _TYPE_CODE = HOLDBACK should match with the holdback calculation.

2. CA_AMOUNT for CLAIM_ADJUSTMENT _TYPE_CODE = RATE CHANGE should match with the rate change calculation.

3. This value is incremental and should contain CLAIM_ ADJUSTMENT value for the

V078

V079

Detained

Detained


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Reqd Ref Integrity

claim.116 CLAIM_

ADJUSTMENT

CA_NOTES 4000[CDATA]

No 1. When ADJUSTMENT_TYPE_CODE = trigger or ADJUSTMENT_TYPE_CODE = Rate change then adjustment notes is necessary.

V080 Detained

CLAIM_ISSUES

NO

117 CLAIM_ ISSUE

ISSUE_TYPE_ID 16 Yes Refer table 3.0

118 CLAIM_ ISSUE

ISSUE_ COMPLEXITY_TYPE_ ID


119 CLAIM_ ISSUE

GUIDELINE_TYPE_ID N/A Yes Refer table 3.6

120 CLAIM_ ISSUE

CI_NAME 100[CDATA]

Yes


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Reqd Ref Integrity

121 CLAIM_ ISSUE

CI_GUIDELINE_ TOTAL (9,1) Yes Refer Attachment Guideline SpecificationsThis value is cumulative and should contain the claim issues guideline total value for the appointment.

V081 Detained

122 CLAIM_ ISSUE

CI_RECOMMENDED (9,1) Yes This value is cumulative and should contain the claim issues recommendation value for the appointment. This value should be equal or greater than the value in the previous claim.

V181 Detained

CLAIM_ISSUE_NOTES

NO

123 CLAIM_ISSUE_NOTE

ISSUE_TYPE_ID 16 Yes Refer table 3.0

124 CLAIM_ISSUE_NOTE

CIN_NOTES 12000[CDATA]

Yes


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Reqd Ref Integrity

CLAIM_ TRANSCRIPTS

NO

125 CLAIM_ TRANSCRIPT

TRANSCRIPT_TYPE_ ID N/A Yes Refer table 3.3


CT_NUM_PAGES_ READ

(9,0) Yes The CT_NUM_PAGES_ READ field cannot be greater than CT_NUM_PAGES_ TOTAL for all the transcript types.This value is cumulative and should contain all the transcripts read value for the appointment.

This value should be equal or greater than the value in the previous claim.

V082

V182

Detained

Detained


CT_NUM_PAGES_ TOTAL

(9,0) Yes This value is cumulative and should contain total transcripts value for the appointment.


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Reqd Ref Integrity

This value should be equal or greater than the value in the previous claim.

V183 Detained


CT_NOTES 4000[CDATA]

No Notes are required for Preliminary Transcripts where a non-zero Number of Pages Read is provided.

V126 Detained


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Daily XML SkeletonThe XML Skeleton is embedded below. The embedded document can be opened using Notepad, WordPad or IE. It has all the necessary indentation.

Daily XSD

The XSD files are attached below. XSD doc has small XSD files embedded into each other and single XSD has one large XSD file.

Published SpecificationsThe most current version of the XML specifications that have been reviewed and accepted by the project offices and the AOC are posted on the public website at:

http://www.courts.ca.gov/cactransmissions.htm


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http://www.courts.ca.gov/cactransmissions.htm



Reference Tables

Table 1.0 – Project Code

PROJECT_ID PROJECT_CODE PROJECT_NAME1 FDAP First District Appellate Project2 CAPLA California Appellate Project3 CCAP Central California Appellate Program4 ADI Appellate Defenders Inc5 SDAP Sixth District Appellate Program

Table 1.1 – District Prefix Code

DISTRICT_PREFIX_ID

DISTRICT_PREFIX_CODE DISTRICT_PREFIX_NAME

1 A 1st district2 B 2nd district3 C 3rd district4 D 4th district5 E 4th district6 G 4th district7 F 5th district8 H 6th district


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Table 1.2 – Client Type Code

CLIENT_TYPE_ID CLIENT_TYPE_CODE CLIENT_TYPE_NAME1 A Appellant2 R Respondent3 P Petitioner5 O Other6 C Cross appeal7 L Legacy

Table 1.3 – Division Code

DIVISION_ID DIVISION_CODE DIVISION_NAME1 0 No Division2 1 1st division3 2 2nd division4 3 3rd division5 4 4th division6 5 5th division7 6 6th division8 7 7th division9 8 8th division10 9 9th division


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11 UK Unknown

Table 1.4 – Case Type Code

CASE_TYPE_ID CASE_TYPE_CODE CASE_TYPE_NAME1 C Criminal2 J Juvenile Delinquency3 D Dependency4 O Other5 S Sexually violent predator6 M Mental Health

Table 1.5 – Trial Court Code

TRIAL_COURT_ID TRIAL_COURT_CODE TRIAL_COURT_NAME1 J Jury Trial2 C Court Trial3 G Guilty Plea4 V Probation Violation5 P Parole6 O Other7 R Post Remand


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Table 1.6 – Case Complexity Type Code

CASE_COMPLEXITY_TYPE_ID CASE_COMPLEXITY_TYPE_CODE CASE_COMPLEXITY_TYPE_NAME

1 ASentence of less than 5 years for trials, less than 10 years for pleas.

2 BSentence of at least 5 but less than 10 years for trials, at least 10 but less than 20 for pleas.

3 CSentence of at least 10 but less than 20 years for trials, at least 20 but less than 30 for pleas.

4 DSentence of 20 or more for trials, 30 or more for pleas, or any with life maximum.

5 E Life without possibility of parole.6 NONE No case complexity

Table 1.7 – Disposition Type Code

DISPOSITION_TYPE_ID DISPOSITION_TYPE_CODE DISPOSITION_TYPE_NAME1 + Consecutive2 = Concurrent3 B Base term4 NA Not Applicable/None


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Table 1.8 – Disposition Word Code

DISPOSITION_WORD_ID DISPOSITION_WORD_CODE DISPOSITION_WORD_NAME1 Crim-Civil Commit Crim-Civil Commit2 Crim-Life Top Crim-Life Top3 Crim-LWOP Crim-LWOP4 Crim-Other Crim-Other5 Crim-Probation Crim-Probation6 Del-Camp/Placemt Del-Camp/Placemt7 Del-CYA Del-CYA8 Del-Home on Prob Del-Home on Prob9 Del-Other Del-Other10 Dep-ADJ / DISP (358/360) Dep-ADJ / DISP (358/360)11 Dep-Other Dep-Other12 Dep-Perm Plan (366.26) Dep-Perm Plan (366.26)13 Dep-Pet Mod (388) Dep-Pet Mod (388)14 Dep-Post PP (366.3) Dep-Post PP (366.3)15 Dep-Revhrg (364/366.21) Dep-Revhrg (364/366.21)16 Other-FFPCC (7800) Other-FFPCC (7800)17 Other-LPS Other-LPS18 OTHER-OTHER OTHER-OTHER19 NA Not Applicable


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Table 1.9 – Charge CodeCHARGE_CODE_ID CHARGE_CODE_CODE CHARGE_CODE_NAME1 AG see FO2 BP Business & Professions Code3 CC Corporations Code4 CI Civil Code5 CO Commercial Code6 CP Civil Procedure Code7 CV see CI8 ED Education Code9 EL Elections Code10 EV Evidence Code11 FA Family Code12 FG Fish & Game13 FI Financial Code14 FO Food & Agriculture Code15 GC Government Code16 HN Harbors & Navigation Code17 HS Health & Safety Code18 IC Insurance Code19 LC Labor Code20 MV Military & Veterans Code21 PB Probate Code22 PC Penal Code23 PR Public Resources Code24 PU Public Utilities Code25 RT Revenue & Taxation Code


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CHARGE_CODE_ID CHARGE_CODE_CODE CHARGE_CODE_NAME26 SH Streets & Highways Code27 UI Unemployment Insurance Code28 VC Vehicle Code29 WA Water Code30 WI Welfare & Institutions Code31 XX Special Category32 ZZ No Relevant Code

Table 2.0 – Reference Type Code

REFERENCE_TYPE_ID REFERENCE_TYPE_CODE REFERENCE_TYPE_NAME1 F Full consolidation – From2 A AKA (Also Known As)3 X X-ref4 O Other5 P Petition6 Z Basis of the minor appeal is under Rule of Court 5.6617 R Related case8 N (Case number change from - due to Transfer). This field will be used to

store the old case number in the scenario of division to division transfers where case number of a case can change.

9 B (Case number change - due to Full Consolidation). This field will be used to store the old case number in the scenario of consolidation of cases where case number of a case can change.

10 I Full consolidation – Into


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11 PP 31d Pilot Program

Table 2.1 – Appointment Type Code

APPOINTMENT_TYPE_ID

APPOINTMENT_TYPE_CODE

APPOINTMENT_TYPE_NAME REPORTABLE_APPT_FLAG

1 A Assisted Y2 I Independent Y3 N Non-Contract Y4 S Staff Y5 C Conflict (SDAP only) Y6 O This represents agency appointment such as public

defender office or other attorney not on panel, non panel attorney N

7 L Legacy(Null) Y8 P Pre-appointment N9 V Private Counsel N

10 T Denied Appointment Counsel N

11 H Pre-Appointment Dismissal N12 G Country Public Defender N13 D State Public Defender N14 K Contractor Time N15 M Consolidated Pre-appointment N


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Table 2.2 – Briefing Type Code

BRIEFING_TYPE_ID BRIEFING_TYPE_CODE BRIEFING_TYPE_NAME1 X No brief2 W Wende (No issue Criminal/Delinquency brief)3 S Sade C (No issue Dependency Brief)4 P Petition/Writ only5 N Normal6 L Letter brief if this is the only brief filed in the case.

7 JJoinder brief if this is the only brief filed in the case and joiner is the only issue in the letter or brief

9 C Substitution Out instead of Sade C Brief10 U Unknown/Unusual8 D Null/Undetermined/Legacy


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Table 2.3 – Termination Type Code

TERMINATION_TYPE_ID TERMINATION_TYPE_CODE TERMINATION_TYPE_NAME1 A Abandoned prior to briefing being filed2 D Dismissed prior to briefing being filed3 R Replaced prior to briefing being filed4 N None5 T Transferred prior to briefing being filed6 U Null/Undetermined/Legacy

Table 2.4 – Appointment Attorney Rank Code

APPOINTMENT_ATTORNEY_RANK_ ID

APPOINTMENT_ATTORNEY_RANK_ CODE

APPOINTMENT_ATTORNEY_RANK_NAME

1 1 12 2 23 3 34 4 45 5 56 N Not on panel/ Not applicable. This code can be used

to denote the rank of transfer case attorney appointment, Trial Court attorney appointment, expert attorney appointment etc.

7 S Staff


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Table 2.5 – Training Type Code

TRAINING_TYPE_ID TRAINING_TYPE_CODE TRAINING_TYPE_NAME1 G Greening2 D Development3 M Monitoring4 P Pilot Project5 N Normal panel member, not in any training program.

Table 2.6 – Date Type Code

DATE_TYPE_ID DATE_TYPE_CODE DATE_TYPE_NAMEMULTIPLE_DATES_ ALLOWED

1 Habeas Corpus filed date Habeas Corpus filed Date Y2 Other petitions filed Date Other petitions filed Date Y3 Oral Argument Date Oral Argument Date Y4 Petition for Rehearing filed Date Petition for Rehearing Date Y5 Petition for Review filed Date Petition for Review filed Date Y6 Review Granted Date Review Granted Date Y7 Opinion/Final Order Date Opinion/Final Order Date N8 Remittitur Date Remittitur Date N9 Petition Reply Brief Filed Petition Reply Brief Filed Y10 Reply Brief Date Reply Brief Date Y11 Supplemental Brief Date Supplemental Brief Date Y


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Table 2.7 – Date Action Code

DATE_ACTION_ID DATE_ACTION_CODE DATE_ACTION_NAME1 Aff - Full Aff - Full2 Aff - Full - Clerical Aff - Full - Clerical3 Rev - Jdgmt - Full Rev - Jdgmt - Full4 Rev - Jdgmt - Rmd Rev - Jdgmt - Rmd5 Rev - Count - Full Rev - Count - Full6 Rev - Count - Rmd Rev - Count - Rmd7 Rev - Sent - Rmd Rev - Sent - Rmd8 Mod - Counts Mod - Counts9 Mod - Sent Mod - Sent10 Dism - Abndmt Dism - Abndmt11 Dism - Invol Dism - Invol12 Denied Denied13 Trsfrd - App Div Trsfrd - App Div14 T Telephonic15 V Video Conferencing16 I In person


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Table 2.8- Claim Type Code

CLAIM_TYPE_ID CLAIM_TYPE_CODE CLAIM_TYPE_NAME1 I Interim2 E Early interim3 F Final

Table 2.9 – Claim Detail Type Code

CD_TYPE_ID CD_TYPE_CODE CD_TYPE_NAME1 ASSOCIATE Associate Hours2 ASSISTANCE Assistance Hours4 BC Blakely Cunningham5 PROP36 Proposition 36 Issues6 PROP47 Proposition 47 Issues

Table 3.0 – Issue Type Code

ISSUE_TYPE_ID ISSUE_TYPE_CODE ISSUE_TYPE_NAME1 B AOB Briefed2 U Unbriefed


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3 S Supplemental

Table 3.1 – Issue Complexity Code

ISSUE_COMPLEXITY_TYPE_ID ISSUE_COMPLEXITY_TYPE_CODE ISSUE_COMPLEXITY_TYPE_NAME1 F Statements of Case and Facts2 LS Low Simple3 S Simple4 SA Simple to Average5 A Average6 AC Average to Complex7 C Complex

Table 3.2 – Compensation Type Code

COMPENSATION_TYPE_ID COMPENSATION_TYPE_CODE COMPENSATION_TYPE_NAME1 HOURS Hours2 EXPENSES Expenses

Table 3.3 – Transcript Type Code

TRANSCRIPT_TYPE_ID TRANSCRIPT_TYPE_CODE TRANSCRIPT_TYPE_NAME1 REPORTER Reporter Pages2 CLERK Clerk Pages. This transcript pages includes


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Preliminary transcript Pages3 PRELIMINARY Preliminary Pages4 OTHER Other Pages

Table 3.4 – Adjustment Type Code

ADJUSTMENT_TYPE_ID ADJUSTMENT_TYPE_CODE ADJUSTMENT_TYPE_NAME5 TRIGGER Trigger Adjustment6 RATECHANGE Rate Change Adjustment7 HOLDBACK Holdback amount.

Table 3.5 – Work Type Code

WORK_TYPE_ID WORK_TYPE_CODE WORK_TYPE_NAME1 1 Communication2 2 Time for Review of Record3 3 Extension(s) of Time4 4 Motions to Augment5 5 Other Motions6 6 Opening Brief7 7 Unbriefed Issues8 8 Reply Brief9 9 Supplemental Brief

10 10 Review of Opposing Brief11 11 Petition: Habeas Corpus


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WORK_TYPE_ID WORK_TYPE_CODE WORK_TYPE_NAME12 12 Petition: Rehearing13 13 Petition: Review (or answer)14 14 Petition: Other15 15 Petition: Respondent`s Brief16 16 Petition: Reply to Response17 17 Oral Argument18 18 Travel19 19 Review Opinion20 20 Review Superior Court File21 21 Consult with Project22 22 Admin Tasks23 23 Other Communication24 24 Other31 31 Photocopying32 32 Binding33 33 Postage34 34 Telephone35 35 Car Travel Breakout36 36 Total Travel Expense37 37 Computer Research38 38 Paralegal/Clerk39 39 Interpreter40 40 Other Expenses51 51 Assistance Hours52 52 Evaluation Hours53 53 Compensation Claim Review Hours


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WORK_TYPE_ID WORK_TYPE_CODE WORK_TYPE_NAME54 54 Wende Review Hours55 55 Case Management Hours61 61 Recruiting and Classifying Counsel62 62 Classifying Cases and Selection of Counsel63 63 Preparing /Maintaining resource materials64 64 Assisting Defendants re Notice of Appeal65 65 Resource Assistance66 66 Training: General67 67 Technical assistance68 68 Case Processing69 69 Claim Review70 70 Training: Special

Table 3.6 – Guideline Type Code

GUIDELINE_TYPE_ID GUIDELINE_TYPE_CODE GUIDELINE_TYPE_NAME1 PR Prima facie2 OR Ordinary

Table 3.7 – Project Attorney Status Code

STATUS_ID STATUS_CODE STATUS_NAME1 AA Active


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2 AI Inactive3 NA Not applicable

Table 3.8 – Attorney Inactive Reason CodeATTORNEY_INACTIVE_REASON_I

DATTORNEY_INACTIVE_REASON

_CODE ATTORNEY_INACTIVE_REASON _NAME1 Retired Attorney Retired2 Deceased Attorney is deceased 3 New Job Attorney got a new job4 Other Any other reason

Table 3.9 – District Code

DISTRICT_ID DISTRICT_CODE DISTRICT_NAME1 1 1st district2 2 2nd district3 3 3rd district4 4 4th district5 5 5th district6 6 6th district


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Table 3.10– Rate Chart

If APPOINTMENT_ORDERED DATE is between

Pre – 10/1//98

10/1/98 – 9/30/05

10/1/05 – 6/30/06

7/1/06 – 6/30/07

7/1/07 – (6/31/2016)

7/1/2016 - present

If APPOINTMENT_TYPE_CODE = I(Independent)/N(Non-Contract)/C (Conflict)/O(Other) andTRIAL_COURT_CODE = J(Jury Trial) AndDISPOSITION_WORD_CODE = Crim-LWOP

Method: Tier III (1) - SET

$75 $85 $90 $100 $105 $115 Tier III

If APPOINTMENT_TYPE_CODE = I(Independent)/N(Non-Contract)/C (Conflict)/O(Other) and TRIAL_COURT_CODE = J(Jury Trial)

$75 $85 $90 $100 $105 $115 Tier III


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Pre – 10/1//98

10/1/98 – 9/30/05

10/1/05 – 6/30/06

7/1/06 – 6/30/07

7/1/07 – (6/31/2016)

7/1/2016 - present

and CHARGE_CODE_CODE =PC and CCC_SECTION is either of the following:

187,189, 220, 261, 262, 263, 264, 265, 266, 267, 268, 269, 281, 282, 283, 284, 285, 286, 287, 288, 289, 290, 291, 292, 293, 294

(Note: CCC_SECTION may contain different types of characters. To determine rate, CCC_SECTION field should be parsed to extract all the initial numeric characters and should be matched to the above list)

Method: Tier III (2) - SETIf APPOINTMENT_TYPE_CODE = I(Independent)/N(Non-Contract)/C (Conflict)/O(Other) and TRIAL_COURT_CODE = J(Jury Trial)

$75 $85 $90 $100 $105 $115 Tier III


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Pre – 10/1//98

10/1/98 – 9/30/05

10/1/05 – 6/30/06

7/1/06 – 6/30/07

7/1/07 – (6/31/2016)

7/1/2016 - present

and CHARGE_CODE_CODE = PC and CCC_SECTION = 209 and CCC_SUBDIVISION contains at least one character = b or B

(Note: CCC_SECTION may contain different types of characters. To determine rate, CCC_SECTION field should be parsed to extract all the initial numeric characters and should be matched to 209)

Method: Tier III (3) - SETIf APPOINTMENT_TYPE_CODE = I(Independent)/N(Non-Contract)/C (Conflict)/O(Other) and sum of CT_NUM_PAGES_READ field for transcript type code = Reporter, Clerk and Other (excluding Preliminary) is greater than 2,999

$75 $85 $90 $100 $105 $115 Tier III


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Pre – 10/1//98

10/1/98 – 9/30/05

10/1/05 – 6/30/06

7/1/06 – 6/30/07

7/1/07 – (6/31/2016)

7/1/2016 - present

pages

Method: Tier III (4) - SETIf APPOINTMENT_TYPE_CODE = I(Independent)/N(Non-Contract)/C (Conflict)/O(Other) and the claim does not qualify for Tier III

Method: Tier II - SET

$65 $75 $80 $90 $95 $105 Tier II

If APPOINTMENT_TYPE_CODE= A(Assisted)

Method: Tier I - SET

$65 $65 $70 $80 $85 $95 Tier I

If APPOINTMENT_TYPE_CODE= s(Staff)

Method: Tier Staff - SET


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Table 4.1 – Claim Accounting type and Appointment type

CLAIM_ACCT_TYPE_APPT_TYPE_ID APPOINTMENT_TYPE_ID CLAIM_ACCOUNTING_TYPE_ID

1 1 13 3 12 2 14 4 45 5 17 2 26 1 28 3 29 5 210 1 311 2 312 3 3


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