FEDERAL RULES 

OF 

BANKRUPTCY PROCEDURE 

DECEMBER 1, 2009 

UNUM

E PLURIBUS

Printed for the use 

of 

THE COMMITTEE ON THE JUDICIARY 

HOUSE OF REPRESENTATIVES 


Congress.15
111TH CONGRESS " COMMITTEE PRINT ! No. 5

1st Session 

FEDERAL RULES 

OF 

BANKRUPTCY PROCEDURE 

DECEMBER 1, 2009 

UNUM

E PLURIBUS

Printed for the use 

of 

THE COMMITTEE ON THE JUDICIARY 

HOUSE OF REPRESENTATIVES 

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 2009

For sale by the Superintendent of Documents, U.S. Government Printing Office 

Internet: bookstore.gpo.gov Phone: (202) 512–1800 Fax: (202) 512–2250 

Mail: Stop SSOP, Washington, DC 20402–0001 


Congress.15
COMMITTEE ON THE JUDICIARY 

ONE HUNDRED ELEVENTH CONGRESS

JOHN CONYERS, JR., Michigan, Chairman 

HOWARD L. BERMAN, California 

RICK BOUCHER, Virginia 

JERROLD NADLER, New York 

ROBERT C. ‘‘BOBBY’’ SCOTT, Virginia 

MELVIN L. WATT, North Carolina 

ZOE LOFGREN, California 

SHEILA JACKSON LEE, Texas 

MAXINE WATERS, California 

WILLIAM D. DELAHUNT, Massachusetts 

ROBERT WEXLER, Florida 

STEVE COHEN, Tennessee 

HENRY C. ‘‘HANK’’ JOHNSON, JR., Georgia 

PEDRO PIERLUISI, Puerto Rico 

MIKE QUIGLEY, Illinois 

JUDY CHU, California 

LUIS V. GUTIERREZ, Illinois 

TAMMY BALDWIN, Wisconsin 

CHARLES A. GONZALEZ, Texas 

ANTHONY D. WEINER, New York 

ADAM B. SCHIFF, California 

LINDA T. SA ́ NCHEZ, California 

DEBBIE WASSERMAN SCHULTZ, Florida 

DANIEL MAFFEI, New York 

LAMAR SMITH, Texas 

F. JAMES SENSENBRENNER, JR., Wisconsin 

HOWARD COBLE, North Carolina 

ELTON GALLEGLY, California 

BOB GOODLATTE, Virginia 

DANIEL E. LUNGREN, California 

DARRELL E. ISSA, California 

J. RANDY FORBES, Virginia 

STEVE KING, Iowa 

TRENT FRANKS, Arizona 

LOUIE GOHMERT, Texas 

JIM JORDAN, Ohio 

TED POE, Texas 

JASON CHAFFETZ, Utah 

TOM ROONEY, Florida 

GREGG HARPER, Mississippi 

PERRY APELBAUM, Majority Staff Director and Chief Counsel 

SEAN MCLAUGHLIN, Minority Chief of Staff and General Counsel 

(II) 

FOREWORD 

This document contains the Federal Rules of Bankruptcy Procedure, as amended to December 1, 2009. The rules have been promulgated and amended by the United States Supreme Court pursuant 

to law, and further amended by Acts of Congress. This document 

has been prepared by the Committee in response to the need for 

an up-to-date document containing the latest amendments to the 

rules. 

For the convenience of the user, where a rule has been amended 

a reference to the date the amendment was promulgated and the 

date the amendment became effective follows the text of the rule. 

The Committee on Rules of Practice and Procedure and the Advisory Committee on the Federal Rules of Bankruptcy Procedure, 

Judicial Conference of the United States, prepared notes explaining the purpose and intent of the amendments to the rules. The 

Committee Notes may be found in the Appendix to Title 11, United 

States Code, following the particular rule to which they relate. 

Chairman, Committee on the Judiciary. 

DECEMBER 1, 2009. 

(III) 


conyers.eps
(V) 

AUTHORITY FOR PROMULGATION OF RULES 

TITLE 28, UNITED STATES CODE 

§ 2073. Rules of procedure and evidence; method of prescribing 

(a)(1) The Judicial Conference shall prescribe and publish the 

procedures for the consideration of proposed rules under this section. 

(2) The Judicial Conference may authorize the appointment of 

committees to assist the Conference by recommending rules to be 

prescribed under sections 2072 and 2075 of this title. Each such 

committee shall consist of members of the bench and the professional bar, and trial and appellate judges. 

(b) The Judicial Conference shall authorize the appointment of 

a standing committee on rules of practice, procedure, and evidence under subsection (a) of this section. Such standing committee shall review each recommendation of any other committees so 

appointed and recommend to the Judicial Conference rules of 

practice, procedure, and evidence and such changes in rules proposed by a committee appointed under subsection (a)(2) of this 

section as may be necessary to maintain consistency and otherwise promote the interest of justice. 

(c)(1) Each meeting for the transaction of business under this 

chapter by any committee appointed under this section shall be 

open to the public, except when the committee so meeting, in 

open session and with a majority present, determines that it is in 

the public interest that all or part of the remainder of the meeting on that day shall be closed to the public, and states the reason 

for so closing the meeting. Minutes of each meeting for the transaction of business under this chapter shall be maintained by the 

committee and made available to the public, except that any portion of such minutes, relating to a closed meeting and made available to the public, may contain such deletions as may be necessary to avoid frustrating the purposes of closing the meeting. 

(2) Any meeting for the transaction of business under this chapter, by a committee appointed under this section, shall be preceded by sufficient notice to enable all interested persons to attend. 

(d) In making a recommendation under this section or under 

section 2072 or 2075, the body making that recommendation shall 

provide a proposed rule, an explanatory note on the rule, and a 

written report explaining the body’s action, including any minority or other separate views. 

(e) Failure to comply with this section does not invalidate a rule 

prescribed under section 2072 or 2075 of this title. 

(Added Pub. L. 100–702, title IV, § 401(a), Nov. 19, 1988, 102 Stat. 4649, 

eff. Dec. 1, 1988; amended Pub. L. 103–394, title I, § 104(e), Oct. 22, 

1994, 108 Stat. 4110.) 

VI AUTHORITY FOR PROMULGATION OF RULES 

§ 2075. Bankruptcy rules 

The Supreme Court shall have the power to prescribe by general 

rules, the forms of process, writs, pleadings, and motions, and the 

practice and procedure in cases under title 11. 

Such rules shall not abridge, enlarge, or modify any substantive 

right. 

The Supreme Court shall transmit to Congress not later than 

May 1 of the year in which a rule prescribed under this section is 

to become effective a copy of the proposed rule. The rule shall 

take effect no earlier than December 1 of the year in which it is 

transmitted to Congress unless otherwise provided by law. 

The bankruptcy rules promulgated under this section shall prescribe a form for the statement required under section 707(b)(2)(C) 

of title 11 and may provide general rules on the content of such 

statement. 

(Added Pub. L. 88–623, § 1, Oct. 3, 1964, 78 Stat. 1001; amended Pub. 

L. 95–598, title II, § 247, Nov. 6, 1978, 92 Stat. 2672; Pub. L. 103–394, 

title I, § 104(f), Oct. 22, 1994, 108 Stat. 4110; Pub. L. 109–8, title XII, 

§ 1232, Apr. 20, 2005, 119 Stat. 202.) 

(VII) 

HISTORICAL NOTE 

The Supreme Court prescribes rules of bankruptcy procedure for 

the district courts pursuant to section 2075 of Title 28, United 

States Code. Pursuant to that section, the Supreme Court transmits to Congress (not later than May 1 of the year in which the 

rule is to become effective) a copy of the proposed rule. The rule 

takes effect no earlier than December 1 of the year in which the 

rule is transmitted unless otherwise provided by law. 

The Supreme Court, under the Bankruptcy Act [July 1, 1898, ch. 

541, 30 Stat. 544], promulgated thirty-eight General Orders by an 

order dated November 28, 1898, which provided in part: ‘‘[T]hat the 

following rules be adopted and established as general orders in 

bankruptcy, to take effect on the first Monday, being the second 

day, of January 1899. And it is further ordered that all proceedings 

in bankruptcy had before that day, in accordance with the act 

aforesaid, and being in substantial conformity either with the provisions of these general orders, or else with the general orders established by this court under the bankrupt act of 1867 [Mar. 2, 

1867, ch. 176, 14 Stat. 517] and with any general rules or special orders of the courts in bankruptcy, stand good, subject, however, to 

such further regulation by rule or order of those courts as may be 

necessary or proper to carry into force and effect the bankrupt act 

of 1898 and the general orders of this court.’’ 

The Supreme Court issued orders which promulgated, added, 

amended, or abrogated the General Orders and Forms in Bankruptcy in 1898, 1905, 1915, 1917, 1925, 1930, 1931, 1932, 1933, 1935, 1936, 

1937, 1938, 1939, 1940, 1947, 1958, and 1961. 

The extant General Orders in Bankruptcy 1 to 7, 9 to 12, 14 to 

26, 28 to 40, 42 to 45, 47, 50, 51, 53, and 56 and extant Official Forms 

in Bankruptcy 1 to 13, 15 to 20, 22 to 47, and 70 to 72 were abrogated 

by Order of the Supreme Court dated April 24, 1973, effective October 1, 1973. The Order adopted the Bankruptcy Rules and Forms 

for proceedings under Chapters 1 to 7 and 13 of the Bankruptcy 

Act. The Rules and Forms for proceedings under Chapter 11 of the 

Bankruptcy Act were adopted March 18, 1974, effective July 1, 1974. 

The Rules and Forms for proceedings under Chapters 10 and 12 of 

the Bankruptcy Act were adopted April 28, 1975, effective August 

1, 1975. 

By order dated April 24, 1973, effective October 1, 1973, the Supreme Court prescribed, pursuant to section 2075 of Title 28, 

United States Code, the rules and forms as approved by the Judicial Conference of the United States, to be known as the Bankruptcy Rules and Official Bankruptcy Forms. General Orders in 

Bankruptcy 1 to 7, 9 to 12, 14 to 26, 28 to 40, 42 to 45, 47, 50, 51, 53, 

and 56 and Official Forms in Bankruptcy 1 to 13, 15 to 20, 22 to 47, 

and 70 to 72, were abrogated by the same order. 

The Bankruptcy Reform Act of 1978, Pub. L. 95–598, Nov. 6, 1978, 

92 Stat. 2549, codified and enacted the law relating to bankruptcy 

VIII HISTORICAL NOTE 

as Title 11 of the United States Code, entitled ‘‘Bankruptcy’’. Section 405(d) of Pub. L. 95–598 provided that: ‘‘The rules prescribed 

under section 2075 of title 28 of the United States Code and in effect on September 30, 1979, shall apply to cases under title 11, to 

the extent not inconsistent with the amendments made by this 

Act, or with this Act, until such rules are repealed or superseded 

by rules prescribed and effective under such section, as amended 

by section 248 [247] of this Act.’’ 

By order dated April 25, 1983, transmitted to Congress by the 

Chief Justice on the same day (461 U.S. 973, Cong. Rec. vol. 129, pt. 

8, p. 9689, Ex. Comm. 1005; H. Doc. 98–52), and effective August 1, 

1983, the Supreme Court adopted new Bankruptcy Rules and superseded the former rules. 

Section 2(a) of Public Law 98–91 (approved August 30, 1983, 97 

Stat. 607) amended Rule 2002, effective August 1, 1983. 

Section 321 of Public Law 98–353 (approved July 10, 1984, 98 Stat. 

357) amended Rule 2002, effective 90 days after July 10, 1984. 

Additional amendments were adopted by the Court by order 

dated April 29, 1985, were transmitted to Congress by the Chief 

Justice on the same day (471 U.S. 1147, Cong. Rec., vol. 131, pt. 7, 

p. 9826, Ex. Comm. 1155; H. Doc. 99–62), and became effective August 1, 1985. The amendments affected Rules 5002 and 5004. 

Additional amendments were adopted by the Court by order 

dated March 30, 1987, were transmitted to Congress by the Chief 

Justice on the same day (480 U.S. 1077, Cong. Rec., vol. 133, pt. 6, 

p. 7237, Ex. Comm. 1027; H. Doc. 100–54), and became effective August 1, 1987. The amendments affected Rules 1001, 1002, 1003, 1005, 

1006, 1007, 1009, 1010, 1011, 1012, 1014, 1015, 1017, 1018, 1019, 2001, 2002, 

2003, 2004, 2005, 2006, 2007, 2008, 2009, 2010, 2012, 2013, 2014, 2015, 2016, 

2017, 2018, 2019, 3002, 3003, 3004, 3005, 3009, 3010, 3011, 3012, 3016, 3017, 

3018, 3019, 3020, 3022, 4001, 4002, 4003, 4004, 4005, 4006, 4007, 5001, 5003, 

5004, 5005, 5007, 5008, 5010, 5011, 6002, 6004, 6006, 6007, 7001, 7004, 7008, 

7012, 7013, 7019, 7070, 7087, 8001, 8002, 8003, 8004, 8005, 8006, 8007, 8008, 

8009, 8013, 8014, 8015, 8016, 8018, 8019, 9001, 9002, 9003, 9006, 9007, 9010, 

9011, 9012, 9013, 9014, 9015, 9016, 9018, 9019, 9020, 9021, 9022, 9027, 9028, 

9029, 9030, 9033, X-1002, X-1004, X-1006, X-1008, X-1009, and X-1010. 

An additional amendment was adopted by the Court by order 

dated April 25, 1989, was transmitted to Congress by the Chief Justice on the same day (490 U.S. 1119, Cong. Rec., vol. 135, pt. 6, p. 

7542, Ex. Comm. 1057; H. Doc. 101–54), and became effective August 

1, 1989. The amendment affected Rule 9006. 

Additional amendments were adopted by the Court by order 

dated April 30, 1991, were transmitted to Congress by the Chief 

Justice on the same day (500 U.S. 1017, Cong. Rec., vol. 137, pt. 7, 

p. 9722, Ex. Comm. 1193; H. Doc. 102–80), and became effective August 1, 1991. The amendments affected Rules 1001, 1002, 1007, 1008, 

1009, 1010, 1013, 1014, 1016, 1017, 1019, 2001, 2002, 2003, 2004, 2006, 2007, 

2008, 2009, 2010, 2011, 2012, 2013, 2014, 2015, 2016, 2017, 2018, 2019, 3001, 

3002, 3003, 3005, 3006, 3007, 3010, 3011, 3013, 3015, 3016, 3017, 3018, 3020, 

3022, 4001, 4003, 4004, 4007, 4008, 5001, 5002, 5005, 5006, 5007, 5008, 5009, 

5010, 5011, 6002, 6003, 6004, 6005, 6006, 6007, 6010, 7001, 7004, 7010, 7017, 

7041, 7062, 8001, 8002, 8004, 8006, 8007, 8016, 9001, 9003, 9006, 9009, 9010, 

9011, 9012, 9019, 9020, 9022, 9024, 9027, 9029, and 9032, and added new 

HISTORICAL NOTE IX

Rules 2007.1, 2020, 9034, and 9035. The order also abrogated in its entirety Part X of the Bankruptcy Rules, entitled ‘‘United States 

Trustees’’. 

Additional amendments were adopted by the Court by order 

dated April 22, 1993, were transmitted to Congress by the Chief 

Justice on the same day (507 U.S. 1075, Cong. Rec., vol. 139, pt. 6, 

p. 8127, Ex. Comm. 1101; H. Doc. 103–73), and became effective August 1, 1993. The amendments affected Rules 1010, 1013, 1017, 2002, 

2003, 2005, 3009, 3015, 3018, 3019, 3020, 5005, 6002, 6006, 6007, 9002, and 

9019, and added new Rule 9036. 

Additional amendments were adopted by the Court by order 

dated April 29, 1994, were transmitted to Congress by the Chief 

Justice on the same day (511 U.S. 1169, Cong. Rec. vol. 140, pt. 7, 

p. 8903, Ex. Comm. 3083; H. Doc. 103–248), and became effective August 1, 1994. The amendments affected Rules 8002 and 8006. 

Section 114 of Public Law 103–394 (approved October 22, 1994, 108 

Stat. 4118) amended Rule 7004, effective October 22, 1994. 

Additional amendments were adopted by the Court by order 

dated April 27, 1995, were transmitted to Congress by the Chief 

Justice on the same day (514 U.S. 1145, Cong. Rec. vol. 141, pt. 8, 

p. 11745, Ex. Comm. 810; H. Doc. 104–67), and became effective December 1, 1995. The amendments affected Rules 8018 and 9029. 

Additional amendments were adopted by the Court by order 

dated April 23, 1996, were transmitted to Congress by the Chief 

Justice on the same day (517 U.S. 1263, Cong. Rec. vol. 142, pt. 6, 

p. 8831, Ex. Comm. 2490; H. Doc. 104–204), and became effective December 1, 1996. The amendments affected Rules 1006, 1007, 1019, 

2002, 2015, 3002, 3016, 4004, 5005, 7004, 8008, and 9006. 

Additional amendments were adopted by the Court by order 

dated April 11, 1997, were transmitted to Congress by the Chief 

Justice on the same day (520 U.S. 1285, Cong. Rec. vol. 143, pt. 4, 

p. 5550, Ex. Comm. 2797; H. Doc. 105–70), and became effective December 1, 1997. The amendments affected Rules 1010, 1019, 2002, 

2007.1, 3014, 3017, 3018, 3021, 8001, 8002, 9011, and 9035, and added new 

Rules 1020, 3017.1, 8020, and 9015. 

Additional amendments were adopted by the Court by order 

dated April 26, 1999, were transmitted to Congress by the Chief 

Justice on the same day (526 U.S. 1169, Cong. Rec. vol. 145, pt. 6, 

p. 7907, Ex. Comm. 1786; H. Doc. 106–53), and became effective December 1, 1999. The amendments affected Rules 1017, 1019, 2002, 

2003, 3020, 3021, 4001, 4004, 4007, 6004, 6006, 7001, 7004, 7062, 9006, and 

9014. 

Additional amendments were adopted by the Court by order 

dated April 17, 2000, were transmitted to Congress by the Chief 

Justice on the same day (529 U.S. 1147, Cong. Rec. vol. 146, pt. 5, 

p. 6328, Ex. Comm. 7334; H. Doc. 106–226), and became effective December 1, 2000. The amendments affected Rules 1017, 2002, 4003, 

4004, and 5003. 

Additional amendments were adopted by the Court by order 

dated April 23, 2001, were transmitted to Congress by the Chief 

Justice on the same day (532 U.S. 1077, Cong. Rec. vol. 147, pt. 5, 

p. 6126, Ex. Comm. 1574; H. Doc. 107–60), and became effective December 1, 2001. The amendments affected Rules 1007, 2002, 3016, 

3017, 3020, 9006, 9020, and 9022. 

X HISTORICAL NOTE 

Additional amendments were adopted by the Court by order 

dated April 29, 2002, were transmitted to Congress by the Chief 

Justice on the same day (535 U.S. 1139, Cong. Rec. vol. 148, pt. 5, 

p. 6813, Ex. Comm. 6624; H. Doc. 107–205), and became effective December 1, 2002. The amendments affected Rules 1004, 2004, 2015, 

4004, 9014, and 9027, and added new Rule 1004.1. 

Additional amendments were adopted by the Court by order 

dated March 27, 2003, were transmitted to Congress by the Chief 

Justice on the same day (538 U.S. 1075, Cong. Rec. vol. 149, pt. 6, 

p. 7689, Ex. Comm. 1495; H. Doc. 108–58), and became effective December 1, 2003. The amendments affected Rules 1005, 1007, 2002, 

2003, 2009, and 2016, and added new Rule 7007.1. 

Additional amendments were adopted by the Court by order 

dated April 26, 2004, were transmitted to Congress by the Chief 

Justice on the same day (541 U.S. 1097, Cong. Rec. vol. 150, pt. 6, 

p. 7967, Ex. Comm. 7864; H. Doc. 108–181), and became effective December 1, 2004. The amendments affected Rules 1011, 2002, and 9014. 

Additional amendments were adopted by the Court by order 

dated April 25, 2005, were transmitted to Congress by the Chief 

Justice on the same day (544 U.S. 1163, Cong. Rec. vol. 151, pt. 7, 

p. 8784, Ex. Comm. 1908; H. Doc. 109–25), and became effective December 1, 2005. The amendments affected Rules 1007, 2002, 3004, 

3005, 7004, 9001, 9006, and 9036. 

Additional amendments were adopted by the Court by order 

dated April 12, 2006, were transmitted to Congress by the Chief 

Justice on the same day (547 U.S. 1227, Cong. Rec. vol. 152, pt. 6, 

p. 7213, Ex. Comm. 7319; H. Doc. 109–107), and became effective December 1, 2006. The amendments affected Rules 1009, 5005, and 7004. 

Additional amendments were adopted by the Court by order 

dated April 30, 2007, were transmitted to Congress by the Chief 

Justice on the same day (550 U.S. 989, Cong. Rec. vol. 153, p. H4208, 

Daily Issue, Ex. Comm. 1375; H. Doc. 110–25), and became effective 

December 1, 2007. The amendments affected Rules 1014, 3007, 4001, 

6006, 7007.1, and added new Rules 6003, 9005.1, and 9037. 

Additional amendments were adopted by the Court by order 

dated April 23, 2008, were transmitted to Congress by the Chief 

Justice on the same day (553 U.S. 1105, Cong. Rec. vol. 154, p. H4876, 

Daily Issue, Ex. Comm. 6880; H. Doc. 110–25), and became effective 

December 1, 2008. The amendments affected Rules 1005, 1006, 1007, 

1009, 1010, 1011, 1015, 1017, 1019, 1020, 2002, 2003, 2007.1, 2015, 3002, 3003, 

3016, 3017.1, 3019, 4002, 4003, 4004, 4006, 4007, 4008, 5001, 5003, 6004, 7012, 

7022, 7023.1, 8001, 8003, 9006, 9009, and 9024, and added new Rules 1021, 

2007.2, 2015.1, 2015.2, 2015.3, 5008, and 6011. 

Additional amendments were adopted by the Court by order 

dated March 26, 2009, were transmitted to Congress by the Chief 

Justice on March 25, 2009 (556 U.S.——, Cong. Rec. vol. 155, p. 

H4578, Daily Issue, Ex. Comm. 1266; H. Doc. 111–31), and became effective December 1, 2009. The amendments affected Rules 1007, 

1011, 1019, 1020, 2002, 2003, 2006, 2007, 2007.2, 2008, 2015, 2015.1, 2015.2, 

2015.3, 2016, 3001, 3015, 3017, 3019, 3020, 4001, 4002, 4004, 4008, 6003, 6004, 

6006, 6007, 7004, 7012, 7052, 8001, 8002, 8003, 8006, 8009, 8015, 8017, 9006, 

9015, 9021, 9023, 9027, and 9033, and added new Rule 7058. 

HISTORICAL NOTE XI

Committee Notes and Official Forms 

Committee Notes prepared by the Committee on Rules of Practice and Procedure and the Advisory Committee on the Federal 

Rules of Bankruptcy Procedure, Judicial Conference of the United 

States, explaining the purpose and intent of the amendments are 

set out in the Appendix to Title 11, United States Code, following 

the particular rule to which they relate. In addition, the rules and 

amendments, together with Committee Notes, are set out in the 

House documents listed above. 

The Official Forms prescribed pursuant to Rule 9009 are set out 

in the Appendix to Title 11, United States Code, and may also be 

found under Rules and Forms in Effect at the Federal Rulemaking 

page of the United States Courts website, www.uscourts.gov/ 

RulesAndPolicies/FederalRulemaking/RulesAndForms.aspx. 

(XIII) 

TABLE OF CONTENTS 

Page 

Foreword .............................................................................................................. III

Authority for promulgation of rules .................................................................... V

Historical note ..................................................................................................... VII

RULES 

Rule 1001. Scope of Rules and Forms; Short Title ......................................... 1 

PART I. COMMENCEMENT OF CASE; PROCEEDINGS RELATING TO 

PETITION AND ORDER FOR RELIEF 

Rule 1002. Commencement of Case ................................................................. 1 

Rule 1003. Involuntary Petition ..................................................................... 1 

Rule 1004. Involuntary Petition Against a Partnership ................................. 2 

Rule 1004.1. Petition for an Infant or Incompetent Person ............................ 2 

Rule 1005. Caption of Petition ........................................................................ 2 

Rule 1006. Filing Fee ...................................................................................... 2 

Rule 1007. Lists, Schedules, Statements, and Other Documents; Time 

Limits ............................................................................................... 3 

Rule 1008. Verification of Petitions and Accompanying Papers .................... 7 

Rule 1009. Amendments of Voluntary Petitions, Lists, Schedules and 

Statements ....................................................................................... 7 

Rule 1010. Service of Involuntary Petition and Summons; Petition For 

Recognition of a Foreign Nonmain Proceeding ................................ 8 

Rule 1011. Responsive Pleading or Motion in Involuntary and Cross-Border 

Cases ................................................................................................. 8 

Rule 1012. [Abrogated.] 

Rule 1013. Hearing and Disposition of a Petition in an Involuntary Case ..... 9 

Rule 1014. Dismissal and Change of Venue ..................................................... 9 

Rule 1015. Consolidation or Joint Administration of Cases Pending in Same 

Court ................................................................................................. 10 

Rule 1016. Death or Incompetency of Debtor ................................................. 11 

Rule 1017. Dismissal or Conversion of Case; Suspension ................................ 11 

Rule 1018. Contested Involuntary Petitions; Contested Petitions 

Commencing Ancillary Cases; Proceedings to Vacate Order for 

Relief; Applicability of Rules in Part VII Governing Adversary 

Proceedings ....................................................................................... 12 

Rule 1019. Conversion of a Chapter 11 Reorganization Case, Chapter 12 

Family Farmer’s Debt Adjustment Case, or Chapter 13 Individual’s 

Debt Adjustment Case to a Chapter 7 Liquidation Case ................... 12 

Rule 1020. Small Business Chapter 11 Reorganization Case ........................... 14 

Rule 1021. Health Care Business Case ............................................................ 15 

PART II. OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; 

EXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS 

Rule 2001. Appointment of Interim Trustee Before Order for Relief in a 

Chapter 7 Liquidation Case ............................................................... 16 

Rule 2002. Notices to Creditors, Equity Security Holders, Administrators in 

Foreign Proceedings, Persons Against Whom Provisional Relief is 

Sought in Ancillary and Other Cross-Border Cases, United States, 

and United States Trustee ................................................................ 16 

Rule 2003. Meeting of Creditors or Equity Security Holders ......................... 22 

Rule 2004. Examination .................................................................................. 23 

Rule 2005. Apprehension and Removal of Debtor to Compel Attendance for 

Examination ..................................................................................... 24 

Rule 2006. Solicitation and Voting of Proxies in Chapter 7 Liquidation 

Cases ................................................................................................. 25 

Rule 2007. Review of Appointment of Creditors’ Committee Organized 

Before Commencement of the Case ................................................... 27 

XIV CONTENTS 

PART II. OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; 

EXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS— 

Continued Page 

Rule 2007.1. Appointment of Trustee or Examiner in a Chapter 11 

Reorganization Case ......................................................................... 28 

Rule 2007.2. Appointment of Patient Care Ombudsman in a Health Care 

Business Case .................................................................................... 29 

Rule 2008. Notice to Trustee of Selection ...................................................... 30 

Rule 2009. Trustees for Estates When Joint Administration Ordered ............ 30 

Rule 2010. Qualification by Trustee; Proceeding on Bond .............................. 31 

Rule 2011. Evidence of Debtor in Possession or Qualification of Trustee ...... 31 

Rule 2012. Substitution of Trustee or Successor Trustee; Accounting .......... 31 

Rule 2013. Public Record of Compensation Awarded to Trustees, Examiners, 

and Professionals .............................................................................. 32 

Rule 2014. Employment of Professional Persons ............................................ 32 

Rule 2015. Duty to Keep Records, Make Reports, and Give Notice of Case 

or Change of Status .......................................................................... 33 

Rule 2015.1. Patient Care Ombudsman ........................................................... 34 

Rule 2015.2. Transfer of Patient in Health Care Business Case ...................... 35 

Rule 2015.3. Reports of Financial Information on Entities in Which a 

Chapter 11 Estate Holds a Controlling or Substantial Interest ........ 35 

Rule 2016. Compensation for Services Rendered and Reimbursement of 

Expenses ........................................................................................... 36 

Rule 2017. Examination of Debtor’s Transactions with Debtor’s Attorney ... 37 

Rule 2018. Intervention; Right to Be Heard ................................................... 37 

Rule 2019. Representation of Creditors and Equity Security Holders in 

Chapter 9 Municipality and Chapter 11 Reorganization Cases .......... 38 

Rule 2020. Review of Acts by United States Trustee ...................................... 39 

PART III. CLAIMS AND DISTRIBUTION TO CREDITORS AND EQUITY 

INTEREST HOLDERS; PLANS 

Rule 3001. Proof of Claim ............................................................................... 39 

Rule 3002. Filing Proof of Claim or Interest .................................................. 41 

Rule 3003. Filing Proof of Claim or Equity Security Interest in Chapter 9 

Municipality or Chapter 11 Reorganization Cases ............................ 42 

Rule 3004. Filing of Claims by Debtor or Trustee .......................................... 42 

Rule 3005. Filing of Claim, Acceptance, or Rejection by Guarantor, Surety, 

Indorser, or Other Codebtor .............................................................. 43 

Rule 3006. Withdrawal of Claim; Effect on Acceptance or Rejection of Plan 43 

Rule 3007. Objections to Claims ..................................................................... 43 

Rule 3008. Reconsideration of Claims ............................................................ 44 

Rule 3009. Declaration and Payment of Dividends in a Chapter 7 

Liquidation Case ............................................................................... 45 

Rule 3010. Small Dividends and Payments in Chapter 7 Liquidation, 

Chapter 12 Family Farmer’s Debt Adjustment, and Chapter 13 

Individual’s Debt Adjustment Cases ................................................. 45 

Rule 3011. Unclaimed Funds in Chapter 7 Liquidation, Chapter 12 Family 

Farmer’s Debt Adjustment, and Chapter 13 Individual’s Debt 

Adjustment Cases ............................................................................. 45 

Rule 3012. Valuation of Security .................................................................... 45 

Rule 3013. Classification of Claims and Interests .......................................... 45 

Rule 3014. Election Under §1111(b) by Secured Creditor in Chapter 9 

Municipality or Chapter 11 Reorganization Case .............................. 46 

Rule 3015. Filing, Objection to Confirmation, and Modification of a Plan in 

a Chapter 12 Family Farmer’s Debt Adjustment or a Chapter 13 

Individual’s Debt Adjustment Case .................................................. 46 

Rule 3016. Filing of Plan and Disclosure Statement in a Chapter 9 

Municipality or Chapter 11 Reorganization Case .............................. 47 

Rule 3017. Court Consideration of Disclosure Statement in a Chapter 9 

Municipality or Chapter 11 Reorganization Case .............................. 47 

Rule 3017.1. Court Consideration of Disclosure Statement in a Small 

Business Case .................................................................................... 49 

Rule 3018. Acceptance or Rejection of Plan in a Chapter 9 Municipality or 

a Chapter 11 Reorganization Case ..................................................... 50 

Rule 3019. Modification of Accepted Plan in a Chapter 9 Municipality or a 

Chapter 11 Reorganization Case ........................................................ 51 

Rule 3020. Deposit; Confirmation of Plan in a Chapter 9 Municipality or 

Chapter 11 Reorganization Case ........................................................ 51 

Rule 3021. Distribution Under Plan ................................................................ 52 

Rule 3022. Final Decree in Chapter 11 Reorganization Case ........................... 52 

CONTENTS XV

PART IV. THE DEBTOR: DUTIES AND BENEFITS Page 

Rule 4001. Relief from Automatic Stay; Prohibiting or Conditioning the 

Use, Sale, or Lease of Property; Use of Cash Collateral; Obtaining 

Credit; Agreements ........................................................................... 53 

Rule 4002. Duties of Debtor ............................................................................ 57 

Rule 4003. Exemptions ................................................................................... 58 

Rule 4004. Grant or Denial of Discharge ........................................................ 59 

Rule 4005. Burden of Proof in Objecting to Discharge .................................... 60 

Rule 4006. Notice of No Discharge .................................................................. 60 

Rule 4007. Determination of Dischargeability of a Debt ................................ 60 

Rule 4008. Filing of Reaffirmation Agreement; Statement in Support of 

Reaffirmation Agreement ................................................................. 61 

PART V. COURTS AND CLERKS 

Rule 5001. Courts and Clerks’ Offices ............................................................. 61 

Rule 5002. Restrictions on Approval of Appointments ................................... 62 

Rule 5003. Records Kept By the Clerk ............................................................ 62 

Rule 5004. Disqualification ............................................................................. 64 

Rule 5005. Filing and Transmittal of Papers .................................................. 64 

Rule 5006. Certification of Copies of Papers ................................................... 65 

Rule 5007. Record of Proceedings and Transcripts ......................................... 65 

Rule 5008. Notice Regarding Presumption of Abuse in Chapter 7 Cases of 

Individual Debtors ............................................................................ 65 

Rule 5009. Closing Chapter 7 Liquidation, Chapter 12 Family Farmer’s Debt 

Adjustment, and Chapter 13 Individual’s Debt Adjustment Cases .... 66 

Rule 5010. Reopening Cases ............................................................................ 66 

Rule 5011. Withdrawal and Abstention from Hearing a Proceeding ............... 66 

PART VI. COLLECTION AND LIQUIDATION OF THE ESTATE 

Rule 6001. Burden of Proof As to Validity of Postpetition Transfer .............. 66 

Rule 6002. Accounting by Prior Custodian of Property of the Estate ............ 67 

Rule 6003. Interim and Final Relief Immediately Following the 

Commencement of the Case—Applications for Employment; 

Motions for Use, Sale, or Lease of Property; and Motions for 

Assumption or Assignment of Executory Contracts ......................... 67 

Rule 6004. Use, Sale, or Lease of Property ..................................................... 67 

Rule 6005. Appraisers and Auctioneers ........................................................... 69 

Rule 6006. Assumption, Rejection or Assignment of an Executory Contract 

or Unexpired Lease ........................................................................... 69 

Rule 6007. Abandonment or Disposition of Property ..................................... 70 

Rule 6008. Redemption of Property from Lien or Sale ................................... 70 

Rule 6009. Prosecution and Defense of Proceedings by Trustee or Debtor in 

Possession ......................................................................................... 70 

Rule 6010. Proceeding to Avoid Indemnifying Lien or Transfer to Surety .... 71 

Rule 6011. Disposal of Patient Records in Health Care Business Case ........... 71 

PART VII. ADVERSARY PROCEEDINGS 

Rule 7001. Scope of Rules of Part VII ............................................................. 72 

Rule 7002. References to Federal Rules of Civil Procedure ............................ 72 

Rule 7003. Commencement of Adversary Proceeding ..................................... 72 

Rule 7004. Process; Service of Summons, Complaint ..................................... 72 

Rule 7005. Service and Filing of Pleadings and Other Papers ........................ 75 

Rule 7007. Pleadings Allowed ......................................................................... 75 

Rule 7007.1. Corporate Ownership Statement ................................................ 75 

Rule 7008. General Rules of Pleading ............................................................. 76 

Rule 7009. Pleading Special Matters .............................................................. 76 

Rule 7010. Form of Pleadings ......................................................................... 76 

Rule 7012. Defenses and Objections—When and How Presented—By Pleading 

or Motion—Motion for Judgment on the Pleadings .......................... 76 

Rule 7013. Counterclaim and Cross-Claim ...................................................... 77 

Rule 7014. Third-Party Practice ..................................................................... 77 

Rule 7015. Amended and Supplemental Pleadings ......................................... 77 

Rule 7016. Pre-Trial Procedure; Formulating Issues ...................................... 77 

Rule 7017. Parties Plaintiff and Defendant; Capacity .................................... 77 

Rule 7018. Joinder of Claims and Remedies ................................................... 77 

Rule 7019. Joinder of Persons Needed for Just Determination ...................... 77 

Rule 7020. Permissive Joinder of Parties ....................................................... 78 

Rule 7021. Misjoinder and Non-Joinder of Parties ......................................... 78 

Rule 7022. Interpleader ................................................................................... 78 

Rule 7023. Class Proceedings .......................................................................... 78 

Rule 7023.1. Derivative Actions ...................................................................... 78 

XVI CONTENTS 

PART VII. ADVERSARY PROCEEDINGS—Continued Page 

Rule 7023.2. Adversary Proceedings Relating to Unincorporated 

Associations ...................................................................................... 78 

Rule 7024. Intervention .................................................................................. 78 

Rule 7025. Substitution of Parties ................................................................. 78 

Rule 7026. General Provisions Governing Discovery ...................................... 78 

Rule 7027. Depositions Before Adversary Proceedings or Pending Appeal ..... 78 

Rule 7028. Persons Before Whom Depositions May Be Taken ........................ 78 

Rule 7029. Stipulations Regarding Discovery Procedure ............................... 78 

Rule 7030. Depositions Upon Oral Examination ............................................. 78 

Rule 7031. Deposition Upon Written Questions .............................................. 78 

Rule 7032. Use of Depositions in Adversary Proceedings ............................... 78 

Rule 7033. Interrogatories to Parties ............................................................. 78 

Rule 7034. Production of Documents and Things and Entry Upon Land for 

Inspection and Other Purposes ......................................................... 79 

Rule 7035. Physical and Mental Examination of Persons .............................. 79 

Rule 7036. Requests for Admission ................................................................. 79 

Rule 7037. Failure to Make Discovery: Sanctions .......................................... 79 

Rule 7040. Assignment of Cases for Trial ....................................................... 79 

Rule 7041. Dismissal of Adversary Proceedings ............................................. 79 

Rule 7042. Consolidation of Adversary Proceedings; Separate Trials ............ 79 

Rule 7052. Findings by the Court ................................................................... 79 

Rule 7054. Judgments; Costs .......................................................................... 79 

Rule 7055. Default .......................................................................................... 79 

Rule 7056. Summary Judgment ...................................................................... 79 

Rule 7058. Entering Judgment in Adversary Proceeding ............................... 80 

Rule 7062. Stay of Proceedings to Enforce a Judgment ................................. 80 

Rule 7064. Seizure of Person or Property ....................................................... 80 

Rule 7065. Injunctions .................................................................................... 80 

Rule 7067. Deposit in Court ............................................................................ 80 

Rule 7068. Offer of Judgment ......................................................................... 80 

Rule 7069. Execution ...................................................................................... 80 

Rule 7070. Judgment for Specific Acts; Vesting Title .................................... 80 

Rule 7071. Process in Behalf of and Against Persons Not Parties .................. 80 

Rule 7087. Transfer of Adversary Proceeding ................................................. 80 

PART VIII. APPEALS TO DISTRICT COURT OR BANKRUPTCY APPELLATE 

PANEL 

Rule 8001. Manner of Taking Appeal; Voluntary Dismissal; Certification to 

Court of Appeals ............................................................................... 80 

Rule 8002. Time for Filing Notice of Appeal .................................................. 83 

Rule 8003. Leave to Appeal ............................................................................. 84 

Rule 8004. Service of the Notice of Appeal ..................................................... 85 

Rule 8005. Stay Pending Appeal ..................................................................... 85 

Rule 8006. Record and Issues on Appeal ......................................................... 86 

Rule 8007. Completion and Transmission of the Record; Docketing of the 

Appeal ............................................................................................... 86 

Rule 8008. Filing and Service ......................................................................... 87 

Rule 8009. Briefs and Appendix; Filing and Service ....................................... 88 

Rule 8010. Form of Briefs; Length .................................................................. 89 

Rule 8011. Motions ......................................................................................... 89 

Rule 8012. Oral Argument .............................................................................. 90 

Rule 8013. Disposition of Appeal; Weight Accorded Bankruptcy Judge’s 

Findings of Fact ............................................................................... 91 

Rule 8014. Costs .............................................................................................. 91 

Rule 8015. Motion for Rehearing .................................................................... 91 

Rule 8016. Duties of Clerk of District Court and Bankruptcy Appellate 

Panel ................................................................................................. 91 

Rule 8017. Stay of Judgment of District Court or Bankruptcy Appellate 

Panel ................................................................................................. 92 

Rule 8018. Rules by Circuit Councils and District Courts; Procedure When 

There is No Controlling Law ............................................................. 92 

Rule 8019. Suspension of Rules in Part VIII ................................................... 93 

Rule 8020. Damages and Costs for Frivolous Appeal ...................................... 93 

PART IX. GENERAL PROVISIONS 

Rule 9001. General Definitions ....................................................................... 93 

Rule 9002. Meanings of Words in the Federal Rules of Civil Procedure When 

Applicable to Cases under the Code .................................................. 94 

Rule 9003. Prohibition of Ex Parte Contacts .................................................. 94 

CONTENTS XVII

PART IX. GENERAL PROVISIONS—Continued Page 

Rule 9004. General Requirements of Form ..................................................... 95 

Rule 9005. Harmless Error .............................................................................. 95 

Rule 9005.1. Constitutional Challenge to a Statute—Notice, Certification, 

and Intervention ............................................................................... 95 

Rule 9006. Computing and Extending Time .................................................... 95 

Rule 9007. General Authority to Regulate Notices ........................................ 97 

Rule 9008. Service or Notice by Publication .................................................. 97 

Rule 9009. Forms ............................................................................................ 97 

Rule 9010. Representation and Appearances; Powers of Attorney ................. 98 

Rule 9011. Signing of Papers; Representations to the Court; Sanctions; 

Verification and Copies of Papers ..................................................... 98 

Rule 9012. Oaths and Affirmations ................................................................. 100 

Rule 9013. Motions: Form and Service ........................................................... 100 

Rule 9014. Contested Matters ......................................................................... 100 

Rule 9015. Jury Trials .................................................................................... 101 

Rule 9016. Subpoena ....................................................................................... 101 

Rule 9017. Evidence ........................................................................................ 102 

Rule 9018. Secret, Confidential, Scandalous, or Defamatory Matter ............. 102 

Rule 9019. Compromise and Arbitration ........................................................ 102 

Rule 9020. Contempt Proceedings .................................................................. 102 

Rule 9021. Entry of Judgment ........................................................................ 102 

Rule 9022. Notice of Judgment or Order ......................................................... 102 

Rule 9023. New Trials; Amendment of Judgments ......................................... 103 

Rule 9024. Relief from Judgment or Order ..................................................... 103 

Rule 9025. Security: Proceedings Against Sureties ........................................ 103 

Rule 9026. Exceptions Unnecessary ................................................................ 103 

Rule 9027. Removal ........................................................................................ 103 

Rule 9028. Disability of a Judge ..................................................................... 106 

Rule 9029. Local Bankruptcy Rules; Procedure When There is No 

Controlling Law ................................................................................ 106 

Rule 9030. Jurisdiction and Venue Unaffected ............................................... 106 

Rule 9031. Masters Not Authorized ................................................................ 106 

Rule 9032. Effect of Amendment of Federal Rules of Civil Procedure ............ 106 

Rule 9033. Review of Proposed Findings of Fact and Conclusions of Law in 

Non-Core Proceedings ....................................................................... 107 

Rule 9034. Transmittal of Pleadings, Motion Papers, Objections, and Other 

Papers to the United States Trustee ................................................ 107 

Rule 9035. Applicability of Rules in Judicial Districts in Alabama and 

North Carolina .................................................................................. 108 

Rule 9036. Notice by Electronic Transmission ............................................... 108 

Rule 9037. Privacy Protection For Filings Made with the Court ................... 108 

PART X. [ABROGATED] 

(1) 

FEDERAL RULES OF BANKRUPTCY PROCEDURE 

Effective August 1, 1983, as amended to December 1, 2009 

Rule 1001. Scope of Rules and Forms; Short Title 

The Bankruptcy Rules and Forms govern procedure in cases 

under title 11 of the United States Code. The rules shall be cited 

as the Federal Rules of Bankruptcy Procedure and the forms as 

the Official Bankruptcy Forms. These rules shall be construed to 

secure the just, speedy, and inexpensive determination of every 

case and proceeding. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

PART I—COMMENCEMENT OF CASE; PROCEEDINGS 

RELATING TO PETITION AND ORDER FOR RELIEF 

Rule 1002. Commencement of Case 

(a) PETITION. A petition commencing a case under the Code shall 

be filed with the clerk. 

(b) TRANSMISSION TO UNITED STATES TRUSTEE. The clerk shall 

forthwith transmit to the United States trustee a copy of the petition filed pursuant to subdivision (a) of this rule. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 1003. Involuntary Petition 

(a) TRANSFEROR OR TRANSFEREE OF CLAIM. A transferor or transferee of a claim shall annex to the original and each copy of the 

petition a copy of all documents evidencing the transfer, whether 

transferred unconditionally, for security, or otherwise, and a 

signed statement that the claim was not transferred for the purpose of commencing the case and setting forth the consideration 

for and terms of the transfer. An entity that has transferred or acquired a claim for the purpose of commencing a case for liquidation under chapter 7 or for reorganization under chapter 11 shall 

not be a qualified petitioner. 

(b) JOINDER OF PETITIONERS AFTER FILING. If the answer to an 

involuntary petition filed by fewer than three creditors avers the 

existence of 12 or more creditors, the debtor shall file with the answer a list of all creditors with their addresses, a brief statement 

of the nature of their claims, and the amounts thereof. If it appears that there are 12 or more creditors as provided in § 303(b) of 

the Code, the court shall afford a reasonable opportunity for other 

creditors to join in the petition before a hearing is held thereon. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 1004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 2 

Rule 1004. Involuntary Petition Against a Partnership 

After filing of an involuntary petition under § 303(b)(3) of the 

Code, (1) the petitioning partners or other petitioners shall 

promptly send to or serve on each general partner who is not a petitioner a copy of the petition; and (2) the clerk shall promptly 

issue a summons for service on each general partner who is not a 

petitioner. Rule 1010 applies to the form and service of the summons. 

(As amended Apr. 29, 2002, eff. Dec. 1, 2002.) 

Rule 1004.1. Petition for an Infant or Incompetent Person 

If an infant or incompetent person has a representative, including a general guardian, committee, conservator, or similar fiduciary, the representative may file a voluntary petition on behalf 

of the infant or incompetent person. An infant or incompetent 

person who does not have a duly appointed representative may file 

a voluntary petition by next friend or guardian ad litem. The 

court shall appoint a guardian ad litem for an infant or incompetent person who is a debtor and is not otherwise represented or 

shall make any other order to protect the infant or incompetent 

debtor. 

(Added Apr. 29, 2002, eff. Dec. 1, 2002.) 

Rule 1005. Caption of Petition 

The caption of a petition commencing a case under the Code 

shall contain the name of the court, the title of the case, and the 

docket number. The title of the case shall include the following 

information about the debtor: name, employer identification number, last four digits of the social-security number or individual 

debtor’s taxpayer-identification number, any other federal taxpayer-identification number, and all other names used within 

eight years before filing the petition. If the petition is not filed by 

the debtor, it shall include all names used by the debtor which are 

known to the petitioners. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 27, 2003, eff. Dec. 

1, 2003; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 1006. Filing Fee 

(a) GENERAL REQUIREMENT. Every petition shall be accompanied 

by the filing fee except as provided in subdivisions (b) and (c) of 

this rule. For the purpose of this rule, ‘‘filing fee’’ means the filing fee prescribed by 28 U.S.C. § 1930(a)(1)–(a)(5) and any other fee 

prescribed by the Judicial Conference of the United States under 

28 U.S.C. § 1930(b) that is payable to the clerk upon the commencement of a case under the Code. 

(b) PAYMENT OF FILING FEE IN INSTALLMENTS. 

(1) Application to Pay Filing Fee in Installments. A voluntary 

petition by an individual shall be accepted for filing if accompanied by the debtor’s signed application, prepared as prescribed by the appropriate Official Form, stating that the 

debtor is unable to pay the filing fee except in installments. 

(2) Action on Application. Prior to the meeting of creditors, 

the court may order the filing fee paid to the clerk or grant 

3 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1007 

leave to pay in installments and fix the number, amount and 

dates of payment. The number of installments shall not exceed 

four, and the final installment shall be payable not later than 

120 days after filing the petition. For cause shown, the court 

may extend the time of any installment, provided the last installment is paid not later than 180 days after filing the petition. 

(3) Postponement of Attorney’s Fees. All installments of the 

filing fee must be paid in full before the debtor or chapter 13 

trustee may make further payments to an attorney or any 

other person who renders services to the debtor in connection 

with the case. 

(c) WAIVER OF FILING FEE. A voluntary chapter 7 petition filed 

by an individual shall be accepted for filing if accompanied by the 

debtor’s application requesting a waiver under 28 U.S.C. § 1930(f), 

prepared as prescribed by the appropriate Official Form. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 1996, eff. Dec. 

1, 1996; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 1007. Lists, Schedules, Statements, and Other Documents; 

Time Limits 

(a) CORPORATE OWNERSHIP STATEMENT, LIST OF CREDITORS AND

EQUITY SECURITY HOLDERS, AND OTHER LISTS. 

(1) Voluntary Case. In a voluntary case, the debtor shall file 

with the petition a list containing the name and address of 

each entity included or to be included on Schedules D, E, F, 

G, and H as prescribed by the Official Forms. If the debtor is 

a corporation, other than a governmental unit, the debtor 

shall file with the petition a corporate ownership statement 

containing the information described in Rule 7007.1. The debtor shall file a supplemental statement promptly upon any 

change in circumstances that renders the corporate ownership 

statement inaccurate. 

(2) Involuntary Case. In an involuntary case, the debtor shall 

file within 14 days after entry of the order for relief, a list containing the name and address of each entity included or to be 

included on Schedules D, E, F, G, and H as prescribed by the 

Official Forms. 

(3) Equity Security Holders. In a chapter 11 reorganization 

case, unless the court orders otherwise, the debtor shall file 

within 14 days after entry of the order for relief a list of the 

debtor’s equity security holders of each class showing the 

number and kind of interests registered in the name of each 

holder, and the last known address or place of business of each 

holder. 

(4) Chapter 15 Case. In addition to the documents required 

under § 1515 of the Code, a foreign representative filing a petition for recognition under chapter 15 shall file with the petition: (A) a corporate ownership statement containing the information described in Rule 7007.1; and (B) unless the court orders otherwise, a list containing the names and addresses of 

all persons or bodies authorized to administer foreign proceedings of the debtor, all parties to litigation pending in the 

United States in which the debtor is a party at the time of the 

Rule 1007 FEDERAL RULES OF BANKRUPTCY PROCEDURE 4 

filing of the petition, and all entities against whom provisional relief is being sought under § 1519 of the Code. 

(5) Extension of Time. Any extension of time for the filing of 

the lists required by this subdivision may be granted only on 

motion for cause shown and on notice to the United States 

trustee and to any trustee, committee elected under § 705 or 

appointed under § 1102 of the Code, or other party as the court 

may direct. 

(b) SCHEDULES, STATEMENTS, AND OTHER DOCUMENTS REQUIRED. 

(1) Except in a chapter 9 municipality case, the debtor, unless the court orders otherwise, shall file the following schedules, statements, and other documents, prepared as prescribed 

by the appropriate Official Forms, if any: 

(A) schedules of assets and liabilities; 

(B) a schedule of current income and expenditures; 

(C) a schedule of executory contracts and unexpired 

leases; 

(D) a statement of financial affairs; 

(E) copies of all payment advices or other evidence of 

payment, if any, received by the debtor from an employer 

within 60 days before the filing of the petition, with redaction of all but the last four digits of the debtor’s social-security number or individual taxpayer-identification number; and 

(F) a record of any interest that the debtor has in an account or program of the type specified in § 521(c) of the 

Code. 

(2) An individual debtor in a chapter 7 case shall file a statement of intention as required by § 521(a) of the Code, prepared 

as prescribed by the appropriate Official Form. A copy of the 

statement of intention shall be served on the trustee and the 

creditors named in the statement on or before the filing of the 

statement. 

(3) Unless the United States trustee has determined that the 

credit counseling requirement of § 109(h) does not apply in the 

district, an individual debtor must file a statement of compliance with the credit counseling requirement, prepared as prescribed by the appropriate Official Form which must include 

one of the following: 

(A) an attached certificate and debt repayment plan, if 

any, required by § 521(b); 

(B) a statement that the debtor has received the credit 

counseling briefing required by § 109(h)(1) but does not have 

the certificate required by § 521(b); 

(C) a certification under § 109(h)(3); or 

(D) a request for a determination by the court under 

§ 109(h)(4). 

(4) Unless § 707(b)(2)(D) applies, an individual debtor in a 

chapter 7 case shall file a statement of current monthly income prepared as prescribed by the appropriate Official Form, 

and, if the current monthly income exceeds the median family 

income for the applicable state and household size, the information, including calculations, required by § 707(b), prepared 

as prescribed by the appropriate Official Form. 

5 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1007 

1So in original. Probably should be only one section symbol. 

(5) An individual debtor in a chapter 11 case shall file a 

statement of current monthly income, prepared as prescribed 

by the appropriate Official Form. 

(6) A debtor in a chapter 13 case shall file a statement of current monthly income, prepared as prescribed by the appropriate Official Form, and, if the current monthly income exceeds the median family income for the applicable state and 

household size, a calculation of disposable income made in accordance with § 1325(b)(3), prepared as prescribed by the appropriate Official Form. 

(7) An individual debtor in a chapter 7 or chapter 13 case 

shall file a statement of completion of a course concerning 

personal financial management, prepared as prescribed by the 

appropriate Official Form. An individual debtor shall file the 

statement in a chapter 11 case in which § 1141(d)(3) applies. 

(8) If an individual debtor in a chapter 11, 12, or 13 case has 

claimed an exemption under § 522(b)(3)(A) in property of the 

kind described in § 522(p)(1) with a value in excess of the 

amount set out in § 522(q)(1), the debtor shall file a statement 

as to whether there is any proceeding pending in which the 

debtor may be found guilty of a felony of a kind described in 

§ 522(q)(1)(A) or found liable for a debt of the kind described in 

§ 522(q)(1)(B). 

(c) TIME LIMITS. In a voluntary case, the schedules, statements, 

and other documents required by subdivision (b)(1), (4), (5), and (6) 

shall be filed with the petition or within 14 days thereafter, except 

as otherwise provided in subdivisions (d), (e), (f), and (h) of this 

rule. In an involuntary case, the list in subdivision (a)(2), and the 

schedules, statements, and other documents required by subdivision (b)(1) shall be filed by the debtor within 14 days of the entry 

of the order for relief. In a voluntary case, the documents required 

by paragraphs (A), (C), and (D) of subdivision (b)(3) shall be filed 

with the petition. Unless the court orders otherwise, a debtor who 

has filed a statement under subdivision (b)(3)(B), shall file the documents required by subdivision (b)(3)(A) within 14 days of the 

order for relief. In a chapter 7 case, the debtor shall file the statement required by subdivision (b)(7) within 45 days after the first 

date set for the meeting of creditors under § 341 of the Code, and 

in a chapter 11 or 13 case no later than the date when the last payment was made by the debtor as required by the plan or the filing 

of a motion for a discharge under § 1141(d)(5)(B) or § 1328(b) of the 

Code. The court may, at any time and in its discretion, enlarge 

the time to file the statement required by subdivision (b)(7). The 

debtor shall file the statement required by subdivision (b)(8) no 

earlier than the date of the last payment made under the plan or 

the date of the filing of a motion for a discharge under 

§§ 1141(d)(5)(B),1 1228(b), or 1328(b) of the Code. Lists, schedules, 

statements, and other documents filed prior to the conversion of 

a case to another chapter shall be deemed filed in the converted 

case unless the court directs otherwise. Except as provided in 

§ 1116(3), any extension of time to file schedules, statements, and 

other documents required under this rule may be granted only on 

Rule 1007 FEDERAL RULES OF BANKRUPTCY PROCEDURE 6 

motion for cause shown and on notice to the United States trustee, any committee elected under § 705 or appointed under § 1102 of 

the Code, trustee, examiner, or other party as the court may direct. Notice of an extension shall be given to the United States 

trustee and to any committee, trustee, or other party as the court 

may direct. 

(d) LIST OF 20 LARGEST CREDITORS IN CHAPTER 9 MUNICIPALITY

CASE OR CHAPTER 11 REORGANIZATION CASE. In addition to the list 

required by subdivision (a) of this rule, a debtor in a chapter 9 municipality case or a debtor in a voluntary chapter 11 reorganization case shall file with the petition a list containing the name, 

address and claim of the creditors that hold the 20 largest unsecured claims, excluding insiders, as prescribed by the appropriate 

Official Form. In an involuntary chapter 11 reorganization case, 

such list shall be filed by the debtor within 2 days after entry of 

the order for relief under § 303(h) of the Code. 

(e) LIST IN CHAPTER 9 MUNICIPALITY CASES. The list required by 

subdivision (a) of this rule shall be filed by the debtor in a chapter 

9 municipality case within such time as the court shall fix. If a 

proposed plan requires a revision of assessments so that the proportion of special assessments or special taxes to be assessed 

against some real property will be different from the proportion 

in effect at the date the petition is filed, the debtor shall also file 

a list showing the name and address of each known holder of title, 

legal or equitable, to real property adversely affected. On motion 

for cause shown, the court may modify the requirements of this 

subdivision and subdivision (a) of this rule. 

(f) STATEMENT OF SOCIAL SECURITY NUMBER. An individual debtor shall submit a verified statement that sets out the debtor’s social security number, or states that the debtor does not have a social security number. In a voluntary case, the debtor shall submit 

the statement with the petition. In an involuntary case, the debtor shall submit the statement within 14 days after the entry of the 

order for relief. 

(g) PARTNERSHIP AND PARTNERS. The general partners of a debtor 

partnership shall prepare and file the list required under subdivision (a), schedules of the assets and liabilities, schedule of current 

income and expenditures, schedule of executory contracts and unexpired leases, and statement of financial affairs of the partnership. The court may order any general partner to file a statement 

of personal assets and liabilities within such time as the court 

may fix. 

(h) INTERESTS ACQUIRED OR ARISING AFTER PETITION. If, as provided by § 541(a)(5) of the Code, the debtor acquires or becomes entitled to acquire any interest in property, the debtor shall within 

14 days after the information comes to the debtor’s knowledge or 

within such further time the court may allow, file a supplemental 

schedule in the chapter 7 liquidation case, chapter 11 reorganization case, chapter 12 family farmer’s debt adjustment case, or 

chapter 13 individual debt adjustment case. If any of the property 

required to be reported under this subdivision is claimed by the 

debtor as exempt, the debtor shall claim the exemptions in the 

supplemental schedule. The duty to file a supplemental schedule 

in accordance with this subdivision continues notwithstanding the 

closing of the case, except that the schedule need not be filed in 

7 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1009 

a chapter 11, chapter 12, or chapter 13 case with respect to property acquired after entry of the order confirming a chapter 11 plan 

or discharging the debtor in a chapter 12 or chapter 13 case. 

(i) DISCLOSURE OF LIST OF SECURITY HOLDERS. After notice and 

hearing and for cause shown, the court may direct an entity other 

than the debtor or trustee to disclose any list of security holders 

of the debtor in its possession or under its control, indicating the 

name, address and security held by any of them. The entity possessing this list may be required either to produce the list or a 

true copy thereof, or permit inspection or copying, or otherwise 

disclose the information contained on the list. 

(j) IMPOUNDING OF LISTS. On motion of a party in interest and for 

cause shown the court may direct the impounding of the lists filed 

under this rule, and may refuse to permit inspection by any entity. The court may permit inspection or use of the lists, however, 

by any party in interest on terms prescribed by the court. 

(k) PREPARATION OF LIST, SCHEDULES, OR STATEMENTS ON DEFAULT OF DEBTOR. If a list, schedule, or statement, other than a 

statement of intention, is not prepared and filed as required by 

this rule, the court may order the trustee, a petitioning creditor, 

committee, or other party to prepare and file any of these papers 

within a time fixed by the court. The court may approve reimbursement of the cost incurred in complying with such an order 

as an administrative expense. 

(l) TRANSMISSION TO UNITED STATES TRUSTEE. The clerk shall 

forthwith transmit to the United States trustee a copy of every 

list, schedule, and statement filed pursuant to subdivision (a)(1), 

(a)(2), (b), (d), or (h) of this rule. 

(m) INFANTS AND INCOMPETENT PERSONS. If the debtor knows 

that a person on the list of creditors or schedules is an infant or 

incompetent person, the debtor also shall include the name, address, and legal relationship of any person upon whom process 

would be served in an adversary proceeding against the infant or 

incompetent person in accordance with Rule 7004(b)(2). 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 23, 2001, eff. Dec. 1, 2001; 

Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 

23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 1008. Verification of Petitions and Accompanying Papers 

All petitions, lists, schedules, statements and amendments 

thereto shall be verified or contain an unsworn declaration as provided in 28 U.S.C. § 1746. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 1009. Amendments of Voluntary Petitions, Lists, Schedules 

and Statements 

(a) GENERAL RIGHT TO AMEND. A voluntary petition, list, schedule, or statement may be amended by the debtor as a matter of 

course at any time before the case is closed. The debtor shall give 

notice of the amendment to the trustee and to any entity affected 

thereby. On motion of a party in interest, after notice and a hearing, the court may order any voluntary petition, list, schedule, or 

statement to be amended and the clerk shall give notice of the 

amendment to entities designated by the court. 

Rule 1010 FEDERAL RULES OF BANKRUPTCY PROCEDURE 8 

(b) STATEMENT OF INTENTION. The statement of intention may be 

amended by the debtor at any time before the expiration of the period provided in § 521(a) of the Code. The debtor shall give notice 

of the amendment to the trustee and to any entity affected thereby. 

(c) STATEMENT OF SOCIAL SECURITY NUMBER. If a debtor becomes 

aware that the statement of social security number submitted 

under Rule 1007(f) is incorrect, the debtor shall promptly submit 

an amended verified statement setting forth the correct social security number. The debtor shall give notice of the amendment to 

all of the entities required to be included on the list filed under 

Rule 1007(a)(1) or (a)(2). 

(d) TRANSMISSION TO UNITED STATES TRUSTEE. The clerk shall 

promptly transmit to the United States trustee a copy of every 

amendment filed or submitted under subdivision (a), (b), or (c) of 

this rule. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 12, 2006, eff. Dec. 1, 2006; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 1010. Service of Involuntary Petition and Summons; Petition 

For Recognition of a Foreign Nonmain Proceeding 

(a) SERVICE OF INVOLUNTARY PETITION AND SUMMONS; SERVICE OF

PETITION FOR RECOGNITION OF FOREIGN NONMAIN PROCEEDING. On 

the filing of an involuntary petition or a petition for recognition 

of a foreign nonmain proceeding, the clerk shall forthwith issue a 

summons for service. When an involuntary petition is filed, service shall be made on the debtor. When a petition for recognition 

of a foreign nonmain proceeding is filed, service shall be made on 

the debtor, any entity against whom provisional relief is sought 

under § 1519 of the Code, and on any other party as the court may 

direct. The summons shall be served with a copy of the petition 

in the manner provided for service of a summons and complaint 

by Rule 7004(a) or (b). If service cannot be so made, the court may 

order that the summons and petition be served by mailing copies 

to the party’s last known address, and by at least one publication 

in a manner and form directed by the court. The summons and petition may be served on the party anywhere. Rule 7004(e) and Rule 

4(l) F.R.Civ.P. apply when service is made or attempted under this 

rule. 

(b) CORPORATE OWNERSHIP STATEMENT. Each petitioner that is a 

corporation shall file with the involuntary petition a corporate 

ownership statement containing the information described in Rule 

7007.1. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 11, 1997, eff. Dec. 1, 1997; 

Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 1011. Responsive Pleading or Motion in Involuntary and 

Cross-Border Cases 

(a) WHO MAY CONTEST PETITION. The debtor named in an involuntary petition, or a party in interest to a petition for recognition 

of a foreign proceeding, may contest the petition. In the case of 

a petition against a partnership under Rule 1004, a nonpetitioning 

9 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1014 

general partner, or a person who is alleged to be a general partner 

but denies the allegation, may contest the petition. 

(b) DEFENSES AND OBJECTIONS; WHEN PRESENTED. Defenses and 

objections to the petition shall be presented in the manner prescribed by Rule 12 F.R.Civ.P. and shall be filed and served within 

21 days after service of the summons, except that if service is 

made by publication on a party or partner not residing or found 

within the state in which the court sits, the court shall prescribe 

the time for filing and serving the response. 

(c) EFFECT OF MOTION. Service of a motion under Rule 12(b) 

F.R.Civ.P. shall extend the time for filing and serving a responsive 

pleading as permitted by Rule 12(a) F.R.Civ.P. 

(d) CLAIMS AGAINST PETITIONERS. A claim against a petitioning 

creditor may not be asserted in the answer except for the purpose 

of defeating the petition. 

(e) OTHER PLEADINGS. No other pleadings shall be permitted, except that the court may order a reply to an answer and prescribe 

the time for filing and service. 

(f) CORPORATE OWNERSHIP STATEMENT. If the entity responding 

to the involuntary petition or the petition for recognition of a foreign proceeding is a corporation, the entity shall file with its first 

appearance, pleading, motion, response, or other request addressed 

to the court a corporate ownership statement containing the information described in Rule 7007.1. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 26, 2004, eff. Dec. 

1, 2004; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

[Rule 1012. Examination of Debtor, Including Discovery, on Issue 

of Nonpayment of Debts in Involuntary Cases.] (Abrogated 

Mar. 30, 1987, eff. Aug. 1, 1987) 

Rule 1013. Hearing and Disposition of a Petition in an Involuntary 

Case 

(a) CONTESTED PETITION. The court shall determine the issues of 

a contested petition at the earliest practicable time and forthwith 

enter an order for relief, dismiss the petition, or enter any other 

appropriate order. 

(b) DEFAULT. If no pleading or other defense to a petition is filed 

within the time provided by Rule 1011, the court, on the next day, 

or as soon thereafter as practicable, shall enter an order for the 

relief requested in the petition. 

[(c) ORDER FOR RELIEF] (Abrogated Apr. 22, 1993, eff. Aug. 1, 1993) 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug. 

1, 1993.) 

Rule 1014. Dismissal and Change of Venue 

(a) DISMISSAL AND TRANSFER OF CASES. 

(1) Cases Filed in Proper District. If a petition is filed in the 

proper district, the court, on the timely motion of a party in 

interest or on its own motion, and after hearing on notice to 

the petitioners, the United States trustee, and other entities 

as directed by the court, may transfer the case to any other 

district if the court determines that the transfer is in the interest of justice or for the convenience of the parties. 

Rule 1015 FEDERAL RULES OF BANKRUPTCY PROCEDURE 10 

(2) Cases Filed in Improper District. If a petition is filed in an 

improper district, the court, on the timely motion of a party 

in interest or on its own motion, and after hearing on notice 

to the petitioners, the United States trustee, and other entities as directed by the court, may dismiss the case or transfer 

it to any other district if the court determines that transfer 

is in the interest of justice or for the convenience of the parties. 

(b) PROCEDURE WHEN PETITIONS INVOLVING THE SAME DEBTOR OR

RELATED DEBTORS ARE FILED IN DIFFERENT COURTS. If petitions 

commencing cases under the Code are filed in different districts 

by or against (1) the same debtor, or (2) a partnership and one or 

more of its general partners, or (3) two or more general partners, 

or (4) a debtor and an affiliate, on motion filed in the district in 

which the petition filed first is pending and after hearing on notice to the petitioners, the United States trustee, and other entities as directed by the court, the court may determine, in the interest of justice or for the convenience of the parties, the district 

or districts in which the case or cases should proceed. Except as 

otherwise ordered by the court in the district in which the petition filed first is pending, the proceedings on the other petitions 

shall be stayed by the courts in which they have been filed until 

the determination is made. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 30, 2007, eff. Dec. 1, 2007.) 

Rule 1015. Consolidation or Joint Administration of Cases Pending 

in Same Court 

(a) CASES INVOLVING SAME DEBTOR. If two or more petitions are 

pending in the same court by or against the same debtor, the 

court may order consolidation of the cases. 

(b) CASES INVOLVING TWO OR MORE RELATED DEBTORS. If a joint 

petition or two or more petitions are pending in the same court 

by or against (1) a husband and wife, or (2) a partnership and one 

or more of its general partners, or (3) two or more general partners, or (4) a debtor and an affiliate, the court may order a joint 

administration of the estates. Prior to entering an order the court 

shall give consideration to protecting creditors of different estates against potential conflicts of interest. An order directing 

joint administration of individual cases of a husband and wife 

shall, if one spouse has elected the exemptions under § 522(b)(2) of 

the Code and the other has elected the exemptions under 

§ 522(b)(3), fix a reasonable time within which either may amend 

the election so that both shall have elected the same exemptions. 

The order shall notify the debtors that unless they elect the same 

exemptions within the time fixed by the court, they will be 

deemed to have elected the exemptions provided by § 522(b)(2). 

(c) EXPEDITING AND PROTECTIVE ORDERS. When an order for consolidation or joint administration of a joint case or two or more 

cases is entered pursuant to this rule, while protecting the rights 

of the parties under the Code, the court may enter orders as may 

tend to avoid unnecessary costs and delay. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 

1, 2008.) 

11 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1017 

Rule 1016. Death or Incompetency of Debtor 

Death or incompetency of the debtor shall not abate a liquidation case under chapter 7 of the Code. In such event the estate 

shall be administered and the case concluded in the same manner, 

so far as possible, as though the death or incompetency had not 

occurred. If a reorganization, family farmer’s debt adjustment, or 

individual’s debt adjustment case is pending under chapter 11, 

chapter 12, or chapter 13, the case may be dismissed; or if further 

administration is possible and in the best interest of the parties, 

the case may proceed and be concluded in the same manner, so far 

as possible, as though the death or incompetency had not occurred. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 1017. Dismissal or Conversion of Case; Suspension 

(a) VOLUNTARY DISMISSAL; DISMISSAL FOR WANT OF PROSECUTION

OR OTHER CAUSE. Except as provided in §§ 707(a)(3), 707(b), 1208(b), 

and 1307(b) of the Code, and in Rule 1017(b), (c), and (e), a case 

shall not be dismissed on motion of the petitioner, for want of 

prosecution or other cause, or by consent of the parties, before a 

hearing on notice as provided in Rule 2002. For the purpose of the 

notice, the debtor shall file a list of creditors with their addresses 

within the time fixed by the court unless the list was previously 

filed. If the debtor fails to file the list, the court may order the 

debtor or another entity to prepare and file it. 

(b) DISMISSAL FOR FAILURE TO PAY FILING FEE. 

(1) If any installment of the filing fee has not been paid, the 

court may, after a hearing on notice to the debtor and the 

trustee, dismiss the case. 

(2) If the case is dismissed or closed without full payment of 

the filing fee, the installments collected shall be distributed in 

the same manner and proportions as if the filing fee had been 

paid in full. 

(c) DISMISSAL OF VOLUNTARY CHAPTER 7 OR CHAPTER 13 CASE FOR

FAILURE TO TIMELY FILE LIST OF CREDITORS, SCHEDULES, AND

STATEMENT OF FINANCIAL AFFAIRS. The court may dismiss a voluntary chapter 7 or chapter 13 case under § 707(a)(3) or § 1307(c)(9) 

after a hearing on notice served by the United States trustee on 

the debtor, the trustee, and any other entities as the court directs. 

(d) SUSPENSION. The court shall not dismiss a case or suspend 

proceedings under § 305 before a hearing on notice as provided in 

Rule 2002(a). 

(e) DISMISSAL OF AN INDIVIDUAL DEBTOR’S CHAPTER 7 CASE, OR

CONVERSION TO A CASE UNDER CHAPTER 11 OR 13, FOR ABUSE. The 

court may dismiss or, with the debtor’s consent, convert an individual debtor’s case for abuse under § 707(b) only on motion and 

after a hearing on notice to the debtor, the trustee, the United 

States trustee, and any other entity as the court directs. 

(1) Except as otherwise provided in § 704(b)(2), a motion to 

dismiss a case for abuse under § 707(b) or (c) may be filed only 

within 60 days after the first date set for the meeting of creditors under § 341(a), unless, on request filed before the time has 

expired, the court for cause extends the time for filing the motion to dismiss. The party filing the motion shall set forth in 

Rule 1018 FEDERAL RULES OF BANKRUPTCY PROCEDURE 12 

the motion all matters to be considered at the hearing. In addition, a motion to dismiss under § 707(b)(1) and (3) shall state 

with particularity the circumstances alleged to constitute 

abuse. 

(2) If the hearing is set on the court’s own motion, notice of 

the hearing shall be served on the debtor no later than 60 days 

after the first date set for the meeting of creditors under 

§ 341(a). The notice shall set forth all matters to be considered 

by the court at the hearing. 

(f) PROCEDURE FOR DISMISSAL, CONVERSION, OR SUSPENSION. 

(1) Rule 9014 governs a proceeding to dismiss or suspend a 

case, or to convert a case to another chapter, except under 

§§ 706(a), 1112(a), 1208(a) or (b), or 1307(a) or (b). 

(2) Conversion or dismissal under §§ 706(a), 1112(a), 1208(b), or 

1307(b) shall be on motion filed and served as required by Rule 

9013. 

(3) A chapter 12 or chapter 13 case shall be converted without 

court order when the debtor files a notice of conversion under 

§§ 1208(a) or 1307(a). The filing date of the notice becomes the 

date of the conversion order for the purposes of applying 

§ 348(c) and Rule 1019. The clerk shall promptly transmit a 

copy of the notice to the United States trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; 

Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 1018. Contested Involuntary Petitions; Contested Petitions 

Commencing Ancillary Cases; Proceedings to Vacate Order for 

Relief; Applicability of Rules in Part VII Governing Adversary 

Proceedings 

The following rules in Part VII apply to all proceedings relating 

to a contested involuntary petition, to proceedings relating to a 

contested petition commencing a case ancillary to a foreign proceeding, and to all proceedings to vacate an order for relief: Rules 

7005, 7008–7010, 7015, 7016, 7024–7026, 7028–7037, 7052, 7054, 7056, and 

7062, except as otherwise provided in Part I of these rules and unless the court otherwise directs. The court may direct that other 

rules in Part VII shall also apply. For the purposes of this rule a 

reference in the Part VII rules to adversary proceedings shall be 

read as a reference to proceedings relating to a contested involuntary petition, or contested ancillary petition, or proceedings to 

vacate an order for relief. Reference in the Federal Rules of Civil 

Procedure to the complaint shall be read as a reference to the petition. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 1019. Conversion of a Chapter 11 Reorganization Case, Chapter 12 Family Farmer’s Debt Adjustment Case, or Chapter 13 

Individual’s Debt Adjustment Case to a Chapter 7 Liquidation 

Case 

When a chapter 11, chapter 12, or chapter 13 case has been converted or reconverted to a chapter 7 case: 

(1) Filing of Lists, Inventories, Schedules, Statements. 

(A) Lists, inventories, schedules, and statements of financial affairs theretofore filed shall be deemed to be filed 

13 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1019 

in the chapter 7 case, unless the court directs otherwise. If 

they have not been previously filed, the debtor shall comply with Rule 1007 as if an order for relief had been entered 

on an involuntary petition on the date of the entry of the 

order directing that the case continue under chapter 7. 

(B) If a statement of intention is required, it shall be 

filed within 30 days after entry of the order of conversion 

or before the first date set for the meeting of creditors, 

whichever is earlier. The court may grant an extension of 

time for cause only on written motion filed, or oral request made during a hearing, before the time has expired. 

Notice of an extension shall be given to the United States 

trustee and to any committee, trustee, or other party as 

the court may direct. 

(2) New Filing Periods. A new time period for filing a motion 

under § 707(b) or (c), a claim, a complaint objecting to discharge, or a complaint to obtain a determination of dischargeability of any debt shall commence under Rules 1017, 

3002, 4004, or 4007, but a new time period shall not commence 

if a chapter 7 case had been converted to a chapter 11, 12, or 

13 case and thereafter reconverted to a chapter 7 case and the 

time for filing a motion under § 707(b) or (c), a claim, a complaint objecting to discharge, or a complaint to obtain a determination of the dischargeability of any debt, or any extension 

thereof, expired in the original chapter 7 case. 

(3) Claims Filed Before Conversion. All claims actually filed by 

a creditor before conversion of the case are deemed filed in the 

chapter 7 case. 

(4) Turnover of Records and Property. After qualification of, or 

assumption of duties by the chapter 7 trustee, any debtor in 

possession or trustee previously acting in the chapter 11, 12, or 

13 case shall, forthwith, unless otherwise ordered, turn over to 

the chapter 7 trustee all records and property of the estate in 

the possession or control of the debtor in possession or trustee. 

(5) Filing Final Report and Schedule of Postpetition Debts. 

(A) Conversion of Chapter 11 or Chapter 12 Case. Unless the 

court directs otherwise, if a chapter 11 or chapter 12 case 

is converted to chapter 7, the debtor in possession or, if the 

debtor is not a debtor in possession, the trustee serving at 

the time of conversion, shall: 

(i) not later than 14 days after conversion of the case, 

file a schedule of unpaid debts incurred after the filing 

of the petition and before conversion of the case, including the name and address of each holder of a claim; 

and 

(ii) not later than 30 days after conversion of the 

case, file and transmit to the United States trustee a 

final report and account; 

(B) Conversion of Chapter 13 Case. Unless the court directs 

otherwise, if a chapter 13 case is converted to chapter 7, 

Rule 1020 FEDERAL RULES OF BANKRUPTCY PROCEDURE 14 

(i) the debtor, not later than 14 days after conversion 

of the case, shall file a schedule of unpaid debts incurred after the filing of the petition and before conversion of the case, including the name and address of 

each holder of a claim; and 

(ii) the trustee, not later than 30 days after conversion of the case, shall file and transmit to the United 

States trustee a final report and account; 

(C) Conversion After Confirmation of a Plan. Unless the 

court orders otherwise, if a chapter 11, chapter 12, or chapter 13 case is converted to chapter 7 after confirmation of 

a plan, the debtor shall file: 

(i) a schedule of property not listed in the final report and account acquired after the filing of the petition but before conversion, except if the case is converted from chapter 13 to chapter 7 and § 348(f)(2) does 

not apply; 

(ii) a schedule of unpaid debts not listed in the final 

report and account incurred after confirmation but before the conversion; and 

(iii) a schedule of executory contracts and unexpired 

leases entered into or assumed after the filing of the 

petition but before conversion. 

(D) Transmission to United States Trustee. The clerk shall 

forthwith transmit to the United States trustee a copy of 

every schedule filed pursuant to Rule 1019(5). 

(6) Postpetition Claims; Preconversion Administrative Expenses; 

Notice. A request for payment of an administrative expense incurred before conversion of the case is timely filed under 

§ 503(a) of the Code if it is filed before conversion or a time 

fixed by the court. If the request is filed by a governmental 

unit, it is timely if it is filed before conversion or within the 

later of a time fixed by the court or 180 days after the date of 

the conversion. A claim of a kind specified in § 348(d) may be 

filed in accordance with Rules 3001(a)–(d) and 3002. Upon the 

filing of the schedule of unpaid debts incurred after commencement of the case and before conversion, the clerk, or 

some other person as the court may direct, shall give notice 

to those entities listed on the schedule of the time for filing 

a request for payment of an administrative expense and, unless a notice of insufficient assets to pay a dividend is mailed 

in accordance with Rule 2002(e), the time for filing a claim of 

a kind specified in § 348(d). 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 11, 1997, eff. Dec. 1, 1997; 

Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 

26, 2009, eff. Dec. 1, 2009.) 

Rule 1020. Small Business Chapter 11 Reorganization Case 

(a) SMALL BUSINESS DEBTOR DESIGNATION. In a voluntary chapter 

11 case, the debtor shall state in the petition whether the debtor 

is a small business debtor. In an involuntary chapter 11 case, the 

debtor shall file within 14 days after entry of the order for relief 

a statement as to whether the debtor is a small business debtor. 

15 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 1021 

Except as provided in subdivision (c), the status of the case as a 

small business case shall be in accordance with the debtor’s statement under this subdivision, unless and until the court enters an 

order finding that the debtor’s statement is incorrect. 

(b) OBJECTING TO DESIGNATION. Except as provided in subdivision 

(c), the United States trustee or a party in interest may file an objection to the debtor’s statement under subdivision (a) no later 

than 30 days after the conclusion of the meeting of creditors held 

under § 341(a) of the Code, or within 30 days after any amendment 

to the statement, whichever is later. 

(c) APPOINTMENT OF COMMITTEE OF UNSECURED CREDITORS. If a 

committee of unsecured creditors has been appointed under 

§ 1102(a)(1), the case shall proceed as a small business case only if, 

and from the time when, the court enters an order determining 

that the committee has not been sufficiently active and representative to provide effective oversight of the debtor and that the 

debtor satisfies all the other requirements for being a small business. A request for a determination under this subdivision may be 

filed by the United States trustee or a party in interest only within a reasonable time after the failure of the committee to be sufficiently active and representative. The debtor may file a request 

for a determination at any time as to whether the committee has 

been sufficiently active and representative. 

(d) PROCEDURE FOR OBJECTION OR DETERMINATION. Any objection 

or request for a determination under this rule shall be governed 

by Rule 9014 and served on: the debtor; the debtor’s attorney; the 

United States trustee; the trustee; any committee appointed 

under § 1102 or its authorized agent, or, if no committee of unsecured creditors has been appointed under § 1102, the creditors included on the list filed under Rule 1007(d); and any other entity as 

the court directs. 

(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Apr. 23, 2008, eff. 

Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 1021. Health Care Business Case 

(a) HEALTH CARE BUSINESS DESIGNATION. Unless the court orders 

otherwise, if a petition in a case under chapter 7, chapter 9, or 

chapter 11 states that the debtor is a health care business, the 

case shall proceed as a case in which the debtor is a health care 

business. 

(b) MOTION. The United States trustee or a party in interest may 

file a motion to determine whether the debtor is a health care 

business. The motion shall be transmitted to the United States 

trustee and served on: the debtor; the trustee; any committee 

elected under § 705 or appointed under § 1102 of the Code or its authorized agent, or, if the case is a chapter 9 municipality case or 

a chapter 11 reorganization case and no committee of unsecured 

creditors has been appointed under § 1102, the creditors included on 

the list filed under Rule 1007(d); and any other entity as the court 

directs. The motion shall be governed by Rule 9014. 

(Added Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 2001 FEDERAL RULES OF BANKRUPTCY PROCEDURE 16 

PART II—OFFICERS AND ADMINISTRATION; NOTICES; MEETINGS; EXAMINATIONS; ELECTIONS; ATTORNEYS AND ACCOUNTANTS 

Rule 2001. Appointment of Interim Trustee Before Order for Relief 

in a Chapter 7 Liquidation Case 

(a) APPOINTMENT. At any time following the commencement of 

an involuntary liquidation case and before an order for relief, the 

court on written motion of a party in interest may order the appointment of an interim trustee under § 303(g) of the Code. The 

motion shall set forth the necessity for the appointment and may 

be granted only after hearing on notice to the debtor, the petitioning creditors, the United States trustee, and other parties in 

interest as the court may designate. 

(b) BOND OF MOVANT. An interim trustee may not be appointed 

under this rule unless the movant furnishes a bond in an amount 

approved by the court, conditioned to indemnify the debtor for 

costs, attorney’s fee, expenses, and damages allowable under 

§ 303(i) of the Code. 

(c) ORDER OF APPOINTMENT. The order directing the appointment 

of an interim trustee shall state the reason the appointment is 

necessary and shall specify the trustee’s duties. 

(d) TURNOVER AND REPORT. Following qualification of the trustee selected under § 702 of the Code, the interim trustee, unless 

otherwise ordered, shall (1) forthwith deliver to the trustee all the 

records and property of the estate in possession or subject to control of the interim trustee and, (2) within 30 days thereafter file 

a final report and account. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2002. Notices to Creditors, Equity Security Holders, Administrators in Foreign Proceedings, Persons Against Whom Provisional Relief is Sought in Ancillary and Other Cross-Border 

Cases, United States, and United States Trustee 

(a) TWENTY-ONE-DAY NOTICES TO PARTIES IN INTEREST. Except as 

provided in subdivisions (h), (i), (l), (p), and (q) of this rule, the 

clerk, or some other person as the court may direct, shall give the 

debtor, the trustee, all creditors and indenture trustees at least 21 

days’ notice by mail of: 

(1) the meeting of creditors under § 341 or § 1104(b) of the 

Code, which notice, unless the court orders otherwise, shall include the debtor’s employer identification number, social security number, and any other federal taxpayer identification 

number; 

(2) a proposed use, sale, or lease of property of the estate 

other than in the ordinary course of business, unless the court 

for cause shown shortens the time or directs another method 

of giving notice; 

(3) the hearing on approval of a compromise or settlement of 

a controversy other than approval of an agreement pursuant 

to Rule 4001(d), unless the court for cause shown directs that 

notice not be sent; 

(4) in a chapter 7 liquidation, a chapter 11 reorganization 

case, or a chapter 12 family farmer debt adjustment case, the 

17 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2002 

hearing on the dismissal of the case or the conversion of the 

case to another chapter, unless the hearing is under § 707(a)(3) 

or § 707(b) or is on dismissal of the case for failure to pay the 

filing fee; 

(5) the time fixed to accept or reject a proposed modification 

of a plan; 

(6) a hearing on any entity’s request for compensation or reimbursement of expenses if the request exceeds $1,000; 

(7) the time fixed for filing proofs of claims pursuant to Rule 

3003(c); and 

(8) the time fixed for filing objections and the hearing to 

consider confirmation of a chapter 12 plan. 

(b) TWENTY-EIGHT-DAY NOTICES TO PARTIES IN INTEREST. Except 

as provided in subdivision (l) of this rule, the clerk, or some other 

person as the court may direct, shall give the debtor, the trustee, 

all creditors and indenture trustees not less than 28 days’ notice 

by mail of the time fixed (1) for filing objections and the hearing 

to consider approval of a disclosure statement or, under § 1125(f), 

to make a final determination whether the plan provides adequate 

information so that a separate disclosure statement is not necessary; and (2) for filing objections and the hearing to consider 

confirmation of a chapter 9, chapter 11, or chapter 13 plan. 

(c) CONTENT OF NOTICE. 

(1) Proposed Use, Sale, or Lease of Property. Subject to Rule 

6004, the notice of a proposed use, sale, or lease of property required by subdivision (a)(2) of this rule shall include the time 

and place of any public sale, the terms and conditions of any 

private sale and the time fixed for filing objections. The notice 

of a proposed use, sale, or lease of property, including real estate, is sufficient if it generally describes the property. The 

notice of a proposed sale or lease of personally identifiable information under § 363(b)(1) of the Code shall state whether the 

sale is consistent with any policy prohibiting the transfer of 

the information. 

(2) Notice of Hearing on Compensation. The notice of a hearing 

on an application for compensation or reimbursement of expenses required by subdivision (a)(6) of this rule shall identify 

the applicant and the amounts requested. 

(3) Notice of Hearing on Confirmation When Plan Provides for 

an Injunction. If a plan provides for an injunction against conduct not otherwise enjoined under the Code, the notice required under Rule 2002(b)(2) shall: 

(A) include in conspicuous language (bold, italic, or underlined text) a statement that the plan proposes an injunction; 

(B) describe briefly the nature of the injunction; and 

(C) identify the entities that would be subject to the injunction. 

(d) NOTICE TO EQUITY SECURITY HOLDERS. In a chapter 11 reorganization case, unless otherwise ordered by the court, the clerk, or 

some other person as the court may direct, shall in the manner 

and form directed by the court give notice to all equity security 

holders of (1) the order for relief; (2) any meeting of equity security holders held pursuant to § 341 of the Code; (3) the hearing on 

the proposed sale of all or substantially all of the debtor’s assets; 

Rule 2002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 18 

(4) the hearing on the dismissal or conversion of a case to another 

chapter; (5) the time fixed for filing objections to and the hearing 

to consider approval of a disclosure statement; (6) the time fixed 

for filing objections to and the hearing to consider confirmation 

of a plan; and (7) the time fixed to accept or reject a proposed 

modification of a plan. 

(e) NOTICE OF NO DIVIDEND. In a chapter 7 liquidation case, if it 

appears from the schedules that there are no assets from which a 

dividend can be paid, the notice of the meeting of creditors may 

include a statement to that effect; that it is unnecessary to file 

claims; and that if sufficient assets become available for the payment of a dividend, further notice will be given for the filing of 

claims. 

(f) OTHER NOTICES. Except as provided in subdivision (l) of this 

rule, the clerk, or some other person as the court may direct, 

shall give the debtor, all creditors, and indenture trustees notice 

by mail of: 

(1) the order for relief; 

(2) the dismissal or the conversion of the case to another 

chapter, or the suspension of proceedings under § 305; 

(3) the time allowed for filing claims pursuant to Rule 3002; 

(4) the time fixed for filing a complaint objecting to the 

debtor’s discharge pursuant to § 727 of the Code as provided in 

Rule 4004; 

(5) the time fixed for filing a complaint to determine the dischargeability of a debt pursuant to § 523 of the Code as provided in Rule 4007; 

(6) the waiver, denial, or revocation of a discharge as provided in Rule 4006; 

(7) entry of an order confirming a chapter 9, 11, or 12 plan; 

(8) a summary of the trustee’s final report in a chapter 7 

case if the net proceeds realized exceed $1,500; 

(9) a notice under Rule 5008 regarding the presumption of 

abuse; 

(10) a statement under § 704(b)(1) as to whether the debtor’s 

case would be presumed to be an abuse under § 707(b); and 

(11) the time to request a delay in the entry of the discharge 

under §§ 1141(d)(5)(C), 1228(f), and 1328(h). Notice of the time 

fixed for accepting or rejecting a plan pursuant to Rule 3017(c) 

shall be given in accordance with Rule 3017(d). 

(g) ADDRESSING NOTICES. 

(1) Notices required to be mailed under Rule 2002 to a creditor, indenture trustee, or equity security holder shall be addressed as such entity or an authorized agent has directed in 

its last request filed in the particular case. For the purposes 

of this subdivision— 

(A) a proof of claim filed by a creditor or indenture 

trustee that designates a mailing address constitutes a 

filed request to mail notices to that address, unless a notice of no dividend has been given under Rule 2002(e) and 

a later notice of possible dividend under Rule 3002(c)(5) has 

not been given; and 

(B) a proof of interest filed by an equity security holder 

that designates a mailing address constitutes a filed request to mail notices to that address. 

19 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2002 

(2) Except as provided in § 342(f) of the Code, if a creditor or 

indenture trustee has not filed a request designating a mailing 

address under Rule 2002(g)(1) or Rule 5003(e), the notices shall 

be mailed to the address shown on the list of creditors or 

schedule of liabilities, whichever is filed later. If an equity security holder has not filed a request designating a mailing address under Rule 2002(g)(1) or Rule 5003(e), the notices shall be 

mailed to the address shown on the list of equity security 

holders. 

(3) If a list or schedule filed under Rule 1007 includes the 

name and address of a legal representative of an infant or incompetent person, and a person other than that representative 

files a request or proof of claim designating a name and mailing address that differs from the name and address of the representative included in the list or schedule, unless the court 

orders otherwise, notices under Rule 2002 shall be mailed to 

the representative included in the list or schedules and to the 

name and address designated in the request or proof of claim. 

(4) Notwithstanding Rule 2002(g)(1)–(3), an entity and a notice provider may agree that when the notice provider is directed by the court to give a notice, the notice provider shall 

give the notice to the entity in the manner agreed to and at 

the address or addresses the entity supplies to the notice provider. That address is conclusively presumed to be a proper address for the notice. The notice provider’s failure to use the 

supplied address does not invalidate any notice that is otherwise effective under applicable law. 

(5) A creditor may treat a notice as not having been brought 

to the creditor’s attention under § 342(g)(1) only if, prior to issuance of the notice, the creditor has filed a statement that 

designates the name and address of the person or organizational subdivision of the creditor responsible for receiving notices under the Code, and that describes the procedures established by the creditor to cause such notices to be delivered to 

the designated person or subdivision. 

(h) NOTICES TO CREDITORS WHOSE CLAIMS ARE FILED. In a chapter 

7 case, after 90 days following the first date set for the meeting of 

creditors under § 341 of the Code, the court may direct that all notices required by subdivision (a) of this rule be mailed only to the 

debtor, the trustee, all indenture trustees, creditors that hold 

claims for which proofs of claim have been filed, and creditors, if 

any, that are still permitted to file claims by reason of an extension granted pursuant to Rule 3002(c)(1) or (c)(2). In a case where 

notice of insufficient assets to pay a dividend has been given to 

creditors pursuant to subdivision (e) of this rule, after 90 days following the mailing of a notice of the time for filing claims pursuant to Rule 3002(c)(5), the court may direct that notices be mailed 

only to the entities specified in the preceding sentence. 

(i) NOTICES TO COMMITTEES. Copies of all notices required to be 

mailed pursuant to this rule shall be mailed to the committees 

elected under § 705 or appointed under § 1102 of the Code or to their 

authorized agents. Notwithstanding the foregoing subdivisions, 

the court may order that notices required by subdivision (a)(2), (3) 

and (6) of this rule be transmitted to the United States trustee 

Rule 2002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 20 

and be mailed only to the committees elected under § 705 or appointed under § 1102 of the Code or to their authorized agents and 

to the creditors and equity security holders who serve on the 

trustee or debtor in possession and file a request that all notices 

be mailed to them. A committee appointed under § 1114 shall receive copies of all notices required by subdivisions (a)(1), (a)(5), 

(b), (f)(2), and (f)(7), and such other notices as the court may direct. 

(j) NOTICES TO THE UNITED STATES. Copies of notices required to 

be mailed to all creditors under this rule shall be mailed (1) in a 

chapter 11 reorganization case, to the Securities and Exchange 

Commission at any place the Commission designates, if the Commission has filed either a notice of appearance in the case or a 

written request to receive notices; (2) in a commodity broker case, 

to the Commodity Futures Trading Commission at Washington, 

D.C.; (3) in a chapter 11 case, to the Internal Revenue Service at 

its address set out in the register maintained under Rule 5003(e) 

for the district in which the case is pending; (4) if the papers in 

the case disclose a debt to the United States other than for taxes, 

to the United States attorney for the district in which the case is 

pending and to the department, agency, or instrumentality of the 

United States through which the debtor became indebted; or (5) if 

the filed papers disclose a stock interest of the United States, to 

the Secretary of the Treasury at Washington, D.C. 

(k) NOTICES TO UNITED STATES TRUSTEE. Unless the case is a 

chapter 9 municipality case or unless the United States trustee requests otherwise, the clerk, or some other person as the court may 

direct, shall transmit to the United States trustee notice of the 

matters described in subdivisions (a)(2), (a)(3), (a)(4), (a)(8), (b), 

(f)(1), (f)(2), (f)(4), (f)(6), (f)(7), (f)(8), and (q) of this rule and notice 

of hearings on all applications for compensation or reimbursement of expenses. Notices to the United States trustee shall be 

transmitted within the time prescribed in subdivision (a) or (b) of 

this rule. The United States trustee shall also receive notice of 

any other matter if such notice is requested by the United States 

trustee or ordered by the court. Nothing in these rules requires 

the clerk or any other person to transmit to the United States 

trustee any notice, schedule, report, application or other document in a case under the Securities Investor Protection Act, 15 

U.S.C. § 78aaa et. seq. 

(l) NOTICE BY PUBLICATION. The court may order notice by publication if it finds that notice by mail is impracticable or that it 

is desirable to supplement the notice. 

(m) ORDERS DESIGNATING MATTER OF NOTICES. The court may 

from time to time enter orders designating the matters in respect 

to which, the entity to whom, and the form and manner in which 

notices shall be sent except as otherwise provided by these rules. 

(n) CAPTION. The caption of every notice given under this rule 

shall comply with Rule 1005. The caption of every notice required 

to be given by the debtor to a creditor shall include the information required to be in the notice by § 342(c) of the Code. 

(o) NOTICE OF ORDER FOR RELIEF IN CONSUMER CASE. In a voluntary case commenced by an individual debtor whose debts are 

primarily consumer debts, the clerk or some other person as the 

21 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2002 

court may direct shall give the trustee and all creditors notice by 

mail of the order for relief within 21 days from the date thereof. 

(p) NOTICE TO A CREDITOR WITH A FOREIGN ADDRESS. 

(1) If, at the request of the United States trustee or a party 

in interest, or on its own initiative, the court finds that a notice mailed within the time prescribed by these rules would 

not be sufficient to give a creditor with a foreign address to 

which notices under these rules are mailed reasonable notice 

under the circumstances, the court may order that the notice 

be supplemented with notice by other means or that the time 

prescribed for the notice by mail be enlarged. 

(2) Unless the court for cause orders otherwise, a creditor 

with a foreign address to which notices under this rule are 

mailed shall be given at least 30 days’ notice of the time fixed 

for filing a proof of claim under Rule 3002(c) or Rule 3003(c). 

(3) Unless the court for cause orders otherwise, the mailing 

address of a creditor with a foreign address shall be determined under Rule 2002(g). 

(q) NOTICE OF PETITION FOR RECOGNITION OF FOREIGN PROCEEDING

AND OF COURT’S INTENTION TO COMMUNICATE WITH FOREIGN COURTS

AND FOREIGN REPRESENTATIVES. 

(1) Notice of Petition for Recognition. The clerk, or some other 

person as the court may direct, shall forthwith give the debtor, all persons or bodies authorized to administer foreign proceedings of the debtor, all entities against whom provisional 

relief is being sought under § 1519 of the Code, all parties to 

litigation pending in the United States in which the debtor is 

a party at the time of the filing of the petition, and such other 

entities as the court may direct, at least 21 days’ notice by 

mail of the hearing on the petition for recognition of a foreign 

proceeding. The notice shall state whether the petition seeks 

recognition as a foreign main proceeding or foreign nonmain 

proceeding. 

(2) Notice of Court’s Intention to Communicate with Foreign 

Courts and Foreign Representatives. The clerk, or some other 

person as the court may direct, shall give the debtor, all persons or bodies authorized to administer foreign proceedings of 

the debtor, all entities against whom provisional relief is 

being sought under § 1519 of the Code, all parties to litigation 

pending in the United States in which the debtor is a party at 

the time of the filing of the petition, and such other entities 

as the court may direct, notice by mail of the court’s intention to communicate with a foreign court or foreign representative. 

(As amended Pub. L. 98–91, § 2(a), Aug. 30, 1983, 97 Stat. 607; Pub. 

L. 98–353, title III, § 321, July 10, 1984, 98 Stat. 357; Mar. 30, 1987, eff. 

Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug. 

1, 1993; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 11, 1997, eff. Dec. 1, 1997; 

Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 

23, 2001, eff. Dec. 1, 2001; Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 26, 2004, 

eff. Dec. 1, 2004; Apr. 25, 2005, eff. Dec. 1, 2005; Apr. 23, 2008, eff. Dec. 

1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 2003 FEDERAL RULES OF BANKRUPTCY PROCEDURE 22 

Rule 2003. Meeting of Creditors or Equity Security Holders 

(a) DATE AND PLACE. Except as otherwise provided in § 341(e) of 

the Code, in a chapter 7 liquidation or a chapter 11 reorganization 

case, the United States trustee shall call a meeting of creditors to 

be held no fewer than 21 and no more than 40 days after the order 

for relief. In a chapter 12 family farmer debt adjustment case, the 

United States trustee shall call a meeting of creditors to be held 

no fewer than 21 and no more than 35 days after the order for relief. In a chapter 13 individual’s debt adjustment case, the United 

States trustee shall call a meeting of creditors to be held no fewer 

than 21 and no more than 50 days after the order for relief. If there 

is an appeal from or a motion to vacate the order for relief, or if 

there is a motion to dismiss the case, the United States trustee 

may set a later date for the meeting. The meeting may be held at 

a regular place for holding court or at any other place designated 

by the United States trustee within the district convenient for the 

parties in interest. If the United States trustee designates a place 

for the meeting which is not regularly staffed by the United 

States trustee or an assistant who may preside at the meeting, 

the meeting may be held not more than 60 days after the order for 

relief. 

(b) ORDER OF MEETING. 

(1) Meeting of Creditors. The United States trustee shall preside at the meeting of creditors. The business of the meeting 

shall include the examination of the debtor under oath and, in 

a chapter 7 liquidation case, may include the election of a 

creditors’ committee and, if the case is not under subchapter 

V of chapter 7, the election of a trustee. The presiding officer 

shall have the authority to administer oaths. 

(2) Meeting of Equity Security Holders. If the United States 

trustee convenes a meeting of equity security holders pursuant to § 341(b) of the Code, the United States trustee shall fix 

a date for the meeting and shall preside. 

(3) Right To Vote. In a chapter 7 liquidation case, a creditor 

is entitled to vote at a meeting if, at or before the meeting, 

the creditor has filed a proof of claim or a writing setting 

forth facts evidencing a right to vote pursuant to § 702(a) of the 

Code unless objection is made to the claim or the proof of 

claim is insufficient on its face. A creditor of a partnership 

may file a proof of claim or writing evidencing a right to vote 

for the trustee for the estate of the general partner notwithstanding that a trustee for the estate of the partnership has 

previously qualified. In the event of an objection to the 

amount or allowability of a claim for the purpose of voting, 

unless the court orders otherwise, the United States trustee 

shall tabulate the votes for each alternative presented by the 

dispute and, if resolution of such dispute is necessary to determine the result of the election, the tabulations for each alternative shall be reported to the court. 

(c) RECORD OF MEETING. Any examination under oath at the 

meeting of creditors held pursuant to § 341(a) of the Code shall be 

recorded verbatim by the United States trustee using electronic 

sound recording equipment or other means of recording, and such 

record shall be preserved by the United States trustee and available for public access until two years after the conclusion of the 

23 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2004 

meeting of creditors. Upon request of any entity, the United 

States trustee shall certify and provide a copy or transcript of 

such recording at the entity’s expense. 

(d) REPORT OF ELECTION AND RESOLUTION OF DISPUTES IN A CHAPTER 7 CASE. 

(1) Report of Undisputed Election. In a chapter 7 case, if the 

election of a trustee or a member of a creditors’ committee is 

not disputed, the United States trustee shall promptly file a 

report of the election, including the name and address of the 

person or entity elected and a statement that the election is 

undisputed. 

(2) Disputed Election. If the election is disputed, the United 

States trustee shall promptly file a report stating that the 

election is disputed, informing the court of the nature of the 

dispute, and listing the name and address of any candidate 

elected under any alternative presented by the dispute. No 

later than the date on which the report is filed, the United 

States trustee shall mail a copy of the report to any party in 

interest that has made a request to receive a copy of the report. Pending disposition by the court of a disputed election 

for trustee, the interim trustee shall continue in office. Unless 

a motion for the resolution of the dispute is filed no later than 

14 days after the United States trustee files a report of a disputed election for trustee, the interim trustee shall serve as 

trustee in the case. 

(e) ADJOURNMENT. The meeting may be adjourned from time to 

time by announcement at the meeting of the adjourned date and 

time without further written notice. 

(f) SPECIAL MEETINGS. The United States trustee may call a special meeting of creditors on request of a party in interest or on 

the United States trustee’s own initiative. 

(g) FINAL MEETING. If the United States trustee calls a final 

meeting of creditors in a case in which the net proceeds realized 

exceed $1,500, the clerk shall mail a summary of the trustee’s final 

account to the creditors with a notice of the meeting, together 

with a statement of the amount of the claims allowed. The trustee 

shall attend the final meeting and shall, if requested, report on 

the administration of the estate. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; 

Mar. 27, 2003, eff. Dec. 1, 2003; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 

26, 2009, eff. Dec. 1, 2009.) 

Rule 2004. Examination 

(a) EXAMINATION ON MOTION. On motion of any party in interest, 

the court may order the examination of any entity. 

(b) SCOPE OF EXAMINATION. The examination of an entity under 

this rule or of the debtor under § 343 of the Code may relate only 

to the acts, conduct, or property or to the liabilities and financial 

condition of the debtor, or to any matter which may affect the administration of the debtor’s estate, or to the debtor’s right to a 

discharge. In a family farmer’s debt adjustment case under chapter 12, an individual’s debt adjustment case under chapter 13, or 

a reorganization case under chapter 11 of the Code, other than for 

Rule 2005 FEDERAL RULES OF BANKRUPTCY PROCEDURE 24 

the reorganization of a railroad, the examination may also relate 

to the operation of any business and the desirability of its continuance, the source of any money or property acquired or to be 

acquired by the debtor for purposes of consummating a plan and 

the consideration given or offered therefor, and any other matter 

relevant to the case or to the formulation of a plan. 

(c) COMPELLING ATTENDANCE AND PRODUCTION OF DOCUMENTS. 

The attendance of an entity for examination and for the production of documents, whether the examination is to be conducted 

within or without the district in which the case is pending, may 

be compelled as provided in Rule 9016 for the attendance of a witness at a hearing or trial. As an officer of the court, an attorney 

may issue and sign a subpoena on behalf of the court for the district in which the examination is to be held if the attorney is admitted to practice in that court or in the court in which the case 

is pending. 

(d) TIME AND PLACE OF EXAMINATION OF DEBTOR. The court may 

for cause shown and on terms as it may impose order the debtor 

to be examined under this rule at any time or place it designates, 

whether within or without the district wherein the case is pending. 

(e) MILEAGE. An entity other than a debtor shall not be required 

to attend as a witness unless lawful mileage and witness fee for 

one day’s attendance shall be first tendered. If the debtor resides 

more than 100 miles from the place of examination when required 

to appear for an examination under this rule, the mileage allowed 

by law to a witness shall be tendered for any distance more than 

100 miles from the debtor’s residence at the date of the filing of 

the first petition commencing a case under the Code or the residence at the time the debtor is required to appear for the examination, whichever is the lesser. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 29, 2002, eff. Dec. 1, 2002.) 

Rule 2005. Apprehension and Removal of Debtor to Compel Attendance for Examination 

(a) ORDER TO COMPEL ATTENDANCE FOR EXAMINATION. On motion 

of any party in interest supported by an affidavit alleging (1) that 

the examination of the debtor is necessary for the proper administration of the estate and that there is reasonable cause to believe 

that the debtor is about to leave or has left the debtor’s residence 

or principal place of business to avoid examination, or (2) that the 

debtor has evaded service of a subpoena or of an order to attend 

for examination, or (3) that the debtor has willfully disobeyed a 

subpoena or order to attend for examination, duly served, the 

court may issue to the marshal, or some other officer authorized 

by law, an order directing the officer to bring the debtor before 

the court without unnecessary delay. If, after hearing, the court 

finds the allegations to be true, the court shall thereupon cause 

the debtor to be examined forthwith. If necessary, the court shall 

fix conditions for further examination and for the debtor’s obedience to all orders made in reference thereto. 

(b) REMOVAL. Whenever any order to bring the debtor before the 

court is issued under this rule and the debtor is found in a district 

25 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2006 

other than that of the court issuing the order, the debtor may be 

taken into custody under the order and removed in accordance 

with the following rules: 

(1) If the debtor is taken into custody under the order at a 

place less than 100 miles from the place of issue of the order, 

the debtor shall be brought forthwith before the court that issued the order. 

(2) If the debtor is taken into custody under the order at a 

place 100 miles or more from the place of issue of the order, 

the debtor shall be brought without unnecessary delay before 

the nearest available United States magistrate judge, bankruptcy judge, or district judge. If, after hearing, the magistrate judge, bankruptcy judge, or district judge finds that an 

order has issued under this rule and that the person in custody 

is the debtor, or if the person in custody waives a hearing, the 

magistrate judge, bankruptcy judge, or district judge shall 

order removal, and the person in custody shall be released on 

conditions ensuring prompt appearance before the court that 

issued the order to compel the attendance. 

(c) CONDITIONS OF RELEASE. In determining what conditions will 

reasonably assure attendance or obedience under subdivision (a) of 

this rule or appearance under subdivision (b) of this rule, the 

court shall be governed by the provisions and policies of title 18, 

U.S.C., § 3146(a) and (b). 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 

1, 1993.) 

Rule 2006. Solicitation and Voting of Proxies in Chapter 7 Liquidation Cases 

(a) APPLICABILITY. This rule applies only in a liquidation case 

pending under chapter 7 of the Code. 

(b) DEFINITIONS. 

(1) Proxy. A proxy is a written power of attorney authorizing 

any entity to vote the claim or otherwise act as the owner’s 

attorney in fact in connection with the administration of the 

estate. 

(2) Solicitation of Proxy. The solicitation of a proxy is any 

communication, other than one from an attorney to a regular 

client who owns a claim or from an attorney to the owner of 

a claim who has requested the attorney to represent the 

owner, by which a creditor is asked, directly or indirectly, to 

give a proxy after or in contemplation of the filing of a petition by or against the debtor. 

(c) AUTHORIZED SOLICITATION. 

(1) A proxy may be solicited only by (A) a creditor owning 

an allowable unsecured claim against the estate on the date of 

the filing of the petition; (B) a committee elected pursuant to 

§ 705 of the Code; (C) a committee of creditors selected by a 

majority in number and amount of claims of creditors (i) 

whose claims are not contingent or unliquidated, (ii) who are 

not disqualified from voting under § 702(a) of the Code and (iii) 

who were present or represented at a meeting of which all 

creditors having claims of over $500 or the 100 creditors having 

the largest claims had at least seven days’ notice in writing 

Rule 2006 FEDERAL RULES OF BANKRUPTCY PROCEDURE 26 

and of which meeting written minutes were kept and are 

available reporting the names of the creditors present or represented and voting and the amounts of their claims; or (D) a 

bona fide trade or credit association, but such association may 

solicit only creditors who were its members or subscribers in 

good standing and had allowable unsecured claims on the date 

of the filing of the petition. 

(2) A proxy may be solicited only in writing. 

(d) SOLICITATION NOT AUTHORIZED. This rule does not permit solicitation (1) in any interest other than that of general creditors; 

(2) by or on behalf of any custodian; (3) by the interim trustee or 

by or on behalf of any entity not qualified to vote under § 702(a) 

of the Code; (4) by or on behalf of an attorney at law; or (5) by or 

on behalf of a transferee of a claim for collection only. 

(e) DATA REQUIRED FROM HOLDERS OF MULTIPLE PROXIES. At any 

time before the voting commences at any meeting of creditors 

pursuant to § 341(a) of the Code, or at any other time as the court 

may direct, a holder of two or more proxies shall file and transmit 

to the United States trustee a verified list of the proxies to be 

voted and a verified statement of the pertinent facts and circumstances in connection with the execution and delivery of each 

proxy, including: 

(1) a copy of the solicitation; 

(2) identification of the solicitor, the forwarder, if the forwarder is neither the solicitor nor the owner of the claim, and 

the proxyholder, including their connections with the debtor 

and with each other. If the solicitor, forwarder, or proxyholder 

is an association, there shall also be included a statement that 

the creditors whose claims have been solicited and the creditors whose claims are to be voted were members or subscribers 

in good standing and had allowable unsecured claims on the 

date of the filing of the petition. If the solicitor, forwarder, or 

proxyholder is a committee of creditors, the statement shall 

also set forth the date and place the committee was organized, 

that the committee was organized in accordance with clause 

(B) or (C) of paragraph (c)(1) of this rule, the members of the 

committee, the amounts of their claims, when the claims were 

acquired, the amounts paid therefor, and the extent to which 

the claims of the committee members are secured or entitled 

to priority; 

(3) a statement that no consideration has been paid or promised by the proxyholder for the proxy; 

(4) a statement as to whether there is any agreement and, if 

so, the particulars thereof, between the proxyholder and any 

other entity for the payment of any consideration in connection with voting the proxy, or for the sharing of compensation 

with any entity, other than a member or regular associate of 

the proxyholder’s law firm, which may be allowed the trustee 

or any entity for services rendered in the case, or for the employment of any person as attorney, accountant, appraiser, 

auctioneer, or other employee for the estate; 

(5) if the proxy was solicited by an entity other than the 

proxyholder, or forwarded to the holder by an entity who is 

neither a solicitor of the proxy nor the owner of the claim, a 

statement signed and verified by the solicitor or forwarder 

27 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2007 

that no consideration has been paid or promised for the proxy, 

and whether there is any agreement, and, if so, the particulars 

thereof, between the solicitor or forwarder and any other entity for the payment of any consideration in connection with 

voting the proxy, or for sharing compensation with any entity 

other than a member or regular associate of the solicitor’s or 

forwarder’s law firm which may be allowed the trustee or any 

entity for services rendered in the case, or for the employment 

of any person as attorney, accountant, appraiser, auctioneer, 

or other employee for the estate; 

(6) if the solicitor, forwarder, or proxyholder is a committee, 

a statement signed and verified by each member as to the 

amount and source of any consideration paid or to be paid to 

such member in connection with the case other than by way 

of dividend on the member’s claim. 

(f) ENFORCEMENT OF RESTRICTIONS ON SOLICITATION. On motion of 

any party in interest or on its own initiative, the court may determine whether there has been a failure to comply with the provisions of this rule or any other impropriety in connection with the 

solicitation or voting of a proxy. After notice and a hearing the 

court may reject any proxy for cause, vacate any order entered in 

consequence of the voting of any proxy which should have been rejected, or take any other appropriate action. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 2007. Review of Appointment of Creditors’ Committee Organized Before Commencement of the Case 

(a) MOTION TO REVIEW APPOINTMENT. If a committee appointed 

by the United States trustee pursuant to § 1102(a) of the Code consists of the members of a committee organized by creditors before 

the commencement of a chapter 9 or chapter 11 case, on motion 

of a party in interest and after a hearing on notice to the United 

States trustee and other entities as the court may direct, the 

court may determine whether the appointment of the committee 

satisfies the requirements of § 1102(b)(1) of the Code. 

(b) SELECTION OF MEMBERS OF COMMITTEE. The court may find 

that a committee organized by unsecured creditors before the 

commencement of a chapter 9 or chapter 11 case was fairly chosen 

if: 

(1) it was selected by a majority in number and amount of 

claims of unsecured creditors who may vote under § 702(a) of 

the Code and were present in person or represented at a meeting of which all creditors having unsecured claims of over 

$1,000 or the 100 unsecured creditors having the largest claims 

had at least seven days’ notice in writing, and of which meeting written minutes reporting the names of the creditors 

present or represented and voting and the amounts of their 

claims were kept and are available for inspection; 

(2) all proxies voted at the meeting for the elected committee were solicited pursuant to Rule 2006 and the lists and 

statements required by subdivision (e) thereof have been 

transmitted to the United States trustee; and 

(3) the organization of the committee was in all other respects fair and proper. 

Rule 2007.1 FEDERAL RULES OF BANKRUPTCY PROCEDURE 28 

(c) FAILURE TO COMPLY WITH REQUIREMENTS FOR APPOINTMENT. 

After a hearing on notice pursuant to subdivision (a) of this rule, 

the court shall direct the United States trustee to vacate the appointment of the committee and may order other appropriate action if the court finds that such appointment failed to satisfy the 

requirements of § 1102(b)(1) of the Code. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 2007.1. Appointment of Trustee or Examiner in a Chapter 11 

Reorganization Case 

(a) ORDER TO APPOINT TRUSTEE OR EXAMINER. In a chapter 11 reorganization case, a motion for an order to appoint a trustee or 

an examiner under § 1104(a) or § 1104(c) of the Code shall be made 

in accordance with Rule 9014. 

(b) ELECTION OF TRUSTEE. 

(1) Request for an Election. A request to convene a meeting of 

creditors for the purpose of electing a trustee in a chapter 11 

reorganization case shall be filed and transmitted to the 

United States trustee in accordance with Rule 5005 within the 

time prescribed by § 1104(b) of the Code. Pending court approval of the person elected, any person appointed by the 

United States trustee under § 1104(d) and approved in accordance with subdivision (c) of this rule shall serve as trustee. 

(2) Manner of Election and Notice. An election of a trustee 

under § 1104(b) of the Code shall be conducted in the manner 

provided in Rules 2003(b)(3) and 2006. Notice of the meeting of 

creditors convened under § 1104(b) shall be given as provided in 

Rule 2002. The United States trustee shall preside at the meeting. A proxy for the purpose of voting in the election may be 

solicited only by a committee of creditors appointed under 

§ 1102 of the Code or by any other party entitled to solicit a 

proxy pursuant to Rule 2006. 

(3) Report of Election and Resolution of Disputes. 

(A) Report of Undisputed Election. If no dispute arises out 

of the election, the United States trustee shall promptly 

file a report certifying the election, including the name 

and address of the person elected and a statement that the 

election is undisputed. The report shall be accompanied by 

a verified statement of the person elected setting forth 

that person’s connections with the debtor, creditors, any 

other party in interest, their respective attorneys and accountants, the United States trustee, or any person employed in the office of the United States trustee. 

(B) Dispute Arising Out of an Election. If a dispute arises 

out of an election, the United States trustee shall promptly file a report stating that the election is disputed, informing the court of the nature of the dispute, and listing 

the name and address of any candidate elected under any 

alternative presented by the dispute. The report shall be 

accompanied by a verified statement by each candidate 

elected under each alternative presented by the dispute, 

setting forth the person’s connections with the debtor, 

creditors, any other party in interest, their respective attorneys and accountants, the United States trustee, or any 

29 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2007.2 

person employed in the office of the United States trustee. 

Not later than the date on which the report of the disputed 

election is filed, the United States trustee shall mail a 

copy of the report and each verified statement to any 

party in interest that has made a request to convene a 

meeting under § 1104(b) or to receive a copy of the report, 

and to any committee appointed under § 1102 of the Code. 

(c) APPROVAL OF APPOINTMENT. An order approving the appointment of a trustee or an examiner under § 1104(d) of the Code shall 

be made on application of the United States trustee. The application shall state the name of the person appointed and, to the best 

of the applicant’s knowledge, all the person’s connections with the 

debtor, creditors, any other parties in interest, their respective 

attorneys and accountants, the United States trustee, or persons 

employed in the office of the United States trustee. The application shall state the names of the parties in interest with whom 

the United States trustee consulted regarding the appointment. 

The application shall be accompanied by a verified statement of 

the person appointed setting forth the person’s connections with 

the debtor, creditors, any other party in interest, their respective 

attorneys and accountants, the United States trustee, or any person employed in the office of the United States trustee. 

(Added Apr. 30, 1991, eff. Aug. 1, 1991; amended Apr. 11, 1997, eff. 

Dec. 1, 1997; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 2007.2. Appointment of Patient Care Ombudsman in a Health 

Care Business Case 

(a) ORDER TO APPOINT PATIENT CARE OMBUDSMAN. In a chapter 7, 

chapter 9, or chapter 11 case in which the debtor is a health care 

business, the court shall order the appointment of a patient care 

ombudsman under § 333 of the Code, unless the court, on motion of 

the United States trustee or a party in interest filed no later than 

21 days after the commencement of the case or within another 

time fixed by the court, finds that the appointment of a patient 

care ombudsman is not necessary under the specific circumstances of the case for the protection of patients. 

(b) MOTION FOR ORDER TO APPOINT OMBUDSMAN. If the court has 

found that the appointment of an ombudsman is not necessary, or 

has terminated the appointment, the court, on motion of the 

United States trustee or a party in interest, may order the appointment at a later time if it finds that the appointment has become necessary to protect patients. 

(c) NOTICE OF APPOINTMENT. If a patient care ombudsman is appointed under § 333, the United States trustee shall promptly file 

a notice of the appointment, including the name and address of 

the person appointed. Unless the person appointed is a State 

Long-Term Care Ombudsman, the notice shall be accompanied by 

a verified statement of the person appointed setting forth the person’s connections with the debtor, creditors, patients, any other 

party in interest, their respective attorneys and accountants, the 

United States trustee, and any person employed in the office of 

the United States trustee. 

(d) TERMINATION OF APPOINTMENT. On motion of the United 

States trustee or a party in interest, the court may terminate the 

Rule 2008 FEDERAL RULES OF BANKRUPTCY PROCEDURE 30 

appointment of a patient care ombudsman if the court finds that 

the appointment is not necessary to protect patients. 

(e) MOTION. A motion under this rule shall be governed by Rule 

9014. The motion shall be transmitted to the United States trustee 

and served on: the debtor; the trustee; any committee elected 

under § 705 or appointed under § 1102 of the Code or its authorized 

agent, or, if the case is a chapter 9 municipality case or a chapter 

11 reorganization case and no committee of unsecured creditors 

has been appointed under § 1102, on the creditors included on the 

list filed under Rule 1007(d); and such other entities as the court 

may direct. 

(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 2008. Notice to Trustee of Selection 

The United States trustee shall immediately notify the person 

selected as trustee how to qualify and, if applicable, the amount 

of the trustee’s bond. A trustee that has filed a blanket bond pursuant to Rule 2010 and has been selected as trustee in a chapter 

7, chapter 12, or chapter 13 case that does not notify the court and 

the United States trustee in writing of rejection of the office within seven days after receipt of notice of selection shall be deemed 

to have accepted the office. Any other person selected as trustee 

shall notify the court and the United States trustee in writing of 

acceptance of the office within seven days after receipt of notice 

of selection or shall be deemed to have rejected the office. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 2009. Trustees for Estates When Joint Administration Ordered 

(a) ELECTION OF SINGLE TRUSTEE FOR ESTATES BEING JOINTLY

ADMINISTERED. If the court orders a joint administration of two or 

more estates under Rule 1015(b), creditors may elect a single 

trustee for the estates being jointly administered, unless the case 

is under subchapter V of chapter 7 of the Code. 

(b) RIGHT OF CREDITORS TO ELECT SEPARATE TRUSTEE. Notwithstanding entry of an order for joint administration under Rule 

1015(b), the creditors of any debtor may elect a separate trustee 

for the estate of the debtor as provided in § 702 of the Code, unless 

the case is under subchapter V of chapter 7. 

(c) APPOINTMENT OF TRUSTEES FOR ESTATES BEING JOINTLY ADMINISTERED. 

(1) Chapter 7 Liquidation Cases. Except in a case governed by 

subchapter V of chapter 7, the United States trustee may appoint one or more interim trustees for estates being jointly 

administered in chapter 7 cases. 

(2) Chapter 11 Reorganization Cases. If the appointment of a 

trustee is ordered, the United States trustee may appoint one 

or more trustees for estates being jointly administered in 

chapter 11 cases. 

(3) Chapter 12 Family Farmer’s Debt Adjustment Cases. The 

United States trustee may appoint one or more trustees for estates being jointly administered in chapter 12 cases. 

31 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2012 

(4) Chapter 13 Individual’s Debt Adjustment Cases. The United 

States trustee may appoint one or more trustees for estates 

being jointly administered in chapter 13 cases. 

(d) POTENTIAL CONFLICTS OF INTEREST. On a showing that creditors or equity security holders of the different estates will be prejudiced by conflicts of interest of a common trustee who has been 

elected or appointed, the court shall order the selection of separate trustees for estates being jointly administered. 

(e) SEPARATE ACCOUNTS. The trustee or trustees of estates being 

jointly administered shall keep separate accounts of the property 

and distribution of each estate. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Mar. 27, 2003, eff. Dec. 1, 2003.) 

Rule 2010. Qualification by Trustee; Proceeding on Bond 

(a) BLANKET BOND. The United States trustee may authorize a 

blanket bond in favor of the United States conditioned on the 

faithful performance of official duties by the trustee or trustees to 

cover (1) a person who qualifies as trustee in a number of cases, 

and (2) a number of trustees each of whom qualifies in a different 

case. 

(b) PROCEEDING ON BOND. A proceeding on the trustee’s bond may 

be brought by any party in interest in the name of the United 

States for the use of the entity injured by the breach of the condition. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2011. Evidence of Debtor in Possession or Qualification of 

Trustee 

(a) Whenever evidence is required that a debtor is a debtor in 

possession or that a trustee has qualified, the clerk may so certify 

and the certificate shall constitute conclusive evidence of that 

fact. 

(b) If a person elected or appointed as trustee does not qualify 

within the time prescribed by § 322(a) of the Code, the clerk shall 

so notify the court and the United States trustee. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 2012. Substitution of Trustee or Successor Trustee; Accounting 

(a) TRUSTEE. If a trustee is appointed in a chapter 11 case or the 

debtor is removed as debtor in possession in a chapter 12 case, the 

trustee is substituted automatically for the debtor in possession 

as a party in any pending action, proceeding, or matter. 

(b) SUCCESSOR TRUSTEE. When a trustee dies, resigns, is removed, or otherwise ceases to hold office during the pendency of 

a case under the Code (1) the successor is automatically substituted as a party in any pending action, proceeding, or matter; 

and (2) the successor trustee shall prepare, file, and transmit to 

the United States trustee an accounting of the prior administration of the estate. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2013 FEDERAL RULES OF BANKRUPTCY PROCEDURE 32 

Rule 2013. Public Record of Compensation Awarded to Trustees, 

Examiners, and Professionals 

(a) RECORD TO BE KEPT. The clerk shall maintain a public record 

listing fees awarded by the court (1) to trustees and attorneys, accountants, appraisers, auctioneers and other professionals employed by trustees, and (2) to examiners. The record shall include 

the name and docket number of the case, the name of the individual or firm receiving the fee and the amount of the fee awarded. 

The record shall be maintained chronologically and shall be kept 

current and open to examination by the public without charge. 

‘‘Trustees,’’ as used in this rule, does not include debtors in possession. 

(b) SUMMARY OF RECORD. At the close of each annual period, the 

clerk shall prepare a summary of the public record by individual 

or firm name, to reflect total fees awarded during the preceding 

year. The summary shall be open to examination by the public 

without charge. The clerk shall transmit a copy of the summary 

to the United States trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2014. Employment of Professional Persons 

(a) APPLICATION FOR AND ORDER OF EMPLOYMENT. An order approving the employment of attorneys, accountants, appraisers, 

auctioneers, agents, or other professionals pursuant to § 327, § 1103, 

or § 1114 of the Code shall be made only on application of the trustee or committee. The application shall be filed and, unless the 

case is a chapter 9 municipality case, a copy of the application 

shall be transmitted by the applicant to the United States trustee. The application shall state the specific facts showing the necessity for the employment, the name of the person to be employed, the reasons for the selection, the professional services to 

be rendered, any proposed arrangement for compensation, and, to 

the best of the applicant’s knowledge, all of the person’s connections with the debtor, creditors, any other party in interest, their 

respective attorneys and accountants, the United States trustee, 

or any person employed in the office of the United States trustee. 

The application shall be accompanied by a verified statement of 

the person to be employed setting forth the person’s connections 

with the debtor, creditors, any other party in interest, their respective attorneys and accountants, the United States trustee, or 

any person employed in the office of the United States trustee. 

(b) SERVICES RENDERED BY MEMBER OR ASSOCIATE OF FIRM OF ATTORNEYS OR ACCOUNTANTS. If, under the Code and this rule, a law 

partnership or corporation is employed as an attorney, or an accounting partnership or corporation is employed as an accountant, or if a named attorney or accountant is employed, any partner, member, or regular associate of the partnership, corporation, 

or individual may act as attorney or accountant so employed, 

without further order of the court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

33 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2015 

Rule 2015. Duty to Keep Records, Make Reports, and Give Notice 

of Case or Change of Status 

(a) TRUSTEE OR DEBTOR IN POSSESSION. A trustee or debtor in 

possession shall: 

(1) in a chapter 7 liquidation case and, if the court directs, 

in a chapter 11 reorganization case file and transmit to the 

United States trustee a complete inventory of the property of 

the debtor within 30 days after qualifying as a trustee or debtor in possession, unless such an inventory has already been 

filed; 

(2) keep a record of receipts and the disposition of money 

and property received; 

(3) file the reports and summaries required by § 704(8) of the 

Code which shall include a statement, if payments are made to 

employees, of the amounts of deductions for all taxes required 

to be withheld or paid for and in behalf of employees and the 

place where these amounts are deposited; 

(4) as soon as possible after the commencement of the case, 

give notice of the case to every entity known to be holding 

money or property subject to withdrawal or order of the debtor, including every bank, savings or building and loan association, public utility company, and landlord with whom the 

debtor has a deposit, and to every insurance company which 

has issued a policy having a cash surrender value payable to 

the debtor, except that notice need not be given to any entity 

who has knowledge or has previously been notified of the case; 

(5) in a chapter 11 reorganization case, on or before the last 

day of the month after each calendar quarter during which 

there is a duty to pay fees under 28 U.S.C. § 1930(a)(6), file and 

transmit to the United States trustee a statement of any disbursements made during that quarter and of any fees payable 

under 28 U.S.C. § 1930(a)(6) for that quarter; and 

(6) in a chapter 11 small business case, unless the court, for 

cause, sets another reporting interval, file and transmit to the 

United States trustee for each calendar month after the order 

for relief, on the appropriate Official Form, the report required by § 308. If the order for relief is within the first 15 days 

of a calendar month, a report shall be filed for the portion of 

the month that follows the order for relief. If the order for relief is after the 15th day of a calendar month, the period for 

the remainder of the month shall be included in the report for 

the next calendar month. Each report shall be filed no later 

than 21 days after the last day of the calendar month following 

the month covered by the report. The obligation to file reports 

under this subparagraph terminates on the effective date of 

the plan, or conversion or dismissal of the case. 

(b) CHAPTER 12 TRUSTEE AND DEBTOR IN POSSESSION. In a chapter 

12 family farmer’s debt adjustment case, the debtor in possession 

shall perform the duties prescribed in clauses (2)–(4) of subdivision 

(a) of this rule and, if the court directs, shall file and transmit to 

the United States trustee a complete inventory of the property of 

the debtor within the time fixed by the court. If the debtor is removed as debtor in possession, the trustee shall perform the duties of the debtor in possession prescribed in this paragraph. 

Rule 2015.1 FEDERAL RULES OF BANKRUPTCY PROCEDURE 34 

(c) CHAPTER 13 TRUSTEE AND DEBTOR. 

(1) Business Cases. In a chapter 13 individual’s debt adjustment case, when the debtor is engaged in business, the debtor 

shall perform the duties prescribed by clauses (2)–(4) of subdivision (a) of this rule and, if the court directs, shall file and 

transmit to the United States trustee a complete inventory of 

the property of the debtor within the time fixed by the court. 

(2) Nonbusiness Cases. In a chapter 13 individual’s debt adjustment case, when the debtor is not engaged in business, the 

trustee shall perform the duties prescribed by clause (2) of subdivision (a) of this rule. 

(d) FOREIGN REPRESENTATIVE. In a case in which the court has 

granted recognition of a foreign proceeding under chapter 15, the 

foreign representative shall file any notice required under § 1518 of 

the Code within 14 days after the date when the representative becomes aware of the subsequent information. 

(e) TRANSMISSION OF REPORTS. In a chapter 11 case the court may 

direct that copies or summaries of annual reports and copies or 

summaries of other reports shall be mailed to the creditors, equity security holders, and indenture trustees. The court may also 

direct the publication of summaries of any such reports. A copy 

of every report or summary mailed or published pursuant to this 

subdivision shall be transmitted to the United States trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 29, 2002, eff. Dec. 1, 2002; 

Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 2015.1. Patient Care Ombudsman 

(a) REPORTS. A patient care ombudsman, at least 14 days before 

making a report under § 333(b)(2) of the Code, shall give notice that 

the report will be made to the court, unless the court orders 

otherwise. The notice shall be transmitted to the United States 

trustee, posted conspicuously at the health care facility that is 

the subject of the report, and served on: the debtor; the trustee; 

all patients; and any committee elected under § 705 or appointed 

under § 1102 of the Code or its authorized agent, or, if the case is 

a chapter 9 municipality case or a chapter 11 reorganization case 

and no committee of unsecured creditors has been appointed under 

§ 1102, on the creditors included on the list filed under Rule 1007(d); 

and such other entities as the court may direct. The notice shall 

state the date and time when the report will be made, the manner 

in which the report will be made, and, if the report is in writing, 

the name, address, telephone number, email address, and website, 

if any, of the person from whom a copy of the report may be obtained at the debtor’s expense. 

(b) AUTHORIZATION TO REVIEW CONFIDENTIAL PATIENT RECORDS. A 

motion by a patient care ombudsman under § 333(c) to review confidential patient records shall be governed by Rule 9014, served on 

the patient and any family member or other contact person whose 

name and address have been given to the trustee or the debtor for 

the purpose of providing information regarding the patient’s 

health care, and transmitted to the United States trustee subject 

to applicable nonbankruptcy law relating to patient privacy. Unless the court orders otherwise, a hearing on the motion may not 

be commenced earlier than 14 days after service of the motion. 

35 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2015.3 

(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 2015.2. Transfer of Patient in Health Care Business Case 

Unless the court orders otherwise, if the debtor is a health care 

business, the trustee may not transfer a patient to another health 

care business under § 704(a)(12) of the Code unless the trustee gives 

at least 14 days’ notice of the transfer to the patient care ombudsman, if any, the patient, and any family member or other contact 

person whose name and address has been given to the trustee or 

the debtor for the purpose of providing information regarding the 

patient’s health care. The notice is subject to applicable nonbankruptcy law relating to patient privacy. 

(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 2015.3. Reports of Financial Information on Entities in Which 

a Chapter 11 Estate Holds a Controlling or Substantial Interest 

(a) REPORTING REQUIREMENT. In a chapter 11 case, the trustee or 

debtor in possession shall file periodic financial reports of the 

value, operations, and profitability of each entity that is not a 

publicly traded corporation or a debtor in a case under title 11, 

and in which the estate holds a substantial or controlling interest. 

The reports shall be prepared as prescribed by the appropriate Official Form, and shall be based upon the most recent information 

reasonably available to the trustee or debtor in possession. 

(b) TIME FOR FILING; SERVICE. The first report required by this 

rule shall be filed no later than seven days before the first date set 

for the meeting of creditors under § 341 of the Code. Subsequent reports shall be filed no less frequently than every six months thereafter, until the effective date of a plan or the case is dismissed or 

converted. Copies of the report shall be served on the United 

States trustee, any committee appointed under § 1102 of the Code, 

and any other party in interest that has filed a request therefor. 

(c) PRESUMPTION OF SUBSTANTIAL OR CONTROLLING INTEREST; JUDICIAL DETERMINATION. For purposes of this rule, an entity of 

which the estate controls or owns at least a 20 percent interest, 

shall be presumed to be an entity in which the estate has a substantial or controlling interest. An entity in which the estate controls or owns less than a 20 percent interest shall be presumed not 

to be an entity in which the estate has a substantial or controlling interest. Upon motion, the entity, any holder of an interest 

therein, the United States trustee, or any other party in interest 

may seek to rebut either presumption, and the court shall, after 

notice and a hearing, determine whether the estate’s interest in 

the entity is substantial or controlling. 

(d) MODIFICATION OF REPORTING REQUIREMENT. The court may, 

after notice and a hearing, vary the reporting requirement established by subdivision (a) of this rule for cause, including that the 

trustee or debtor in possession is not able, after a good faith effort, to comply with those reporting requirements, or that the information required by subdivision (a) is publicly available. 

(e) NOTICE AND PROTECTIVE ORDERS. No later than 14 days before 

filing the first report required by this rule, the trustee or debtor 

Rule 2016 FEDERAL RULES OF BANKRUPTCY PROCEDURE 36 

in possession shall send notice to the entity in which the estate 

has a substantial or controlling interest, and to all holders— 

known to the trustee or debtor in possession—of an interest in 

that entity, that the trustee or debtor in possession expects to file 

and serve financial information relating to the entity in accordance with this rule. The entity in which the estate has a substantial or controlling interest, or a person holding an interest in that 

entity, may request protection of the information under § 107 of 

the Code. 

(f) EFFECT OF REQUEST. Unless the court orders otherwise, the 

pendency of a request under subdivisions (c), (d), or (e) of this rule 

shall not alter or stay the requirements of subdivision (a). 

(Added Apr. 23, 2008, eff. Dec. 1, 2008; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 2016. Compensation for Services Rendered and Reimbursement of Expenses 

(a) APPLICATION FOR COMPENSATION OR REIMBURSEMENT. An entity seeking interim or final compensation for services, or reimbursement of necessary expenses, from the estate shall file an application setting forth a detailed statement of (1) the services rendered, time expended and expenses incurred, and (2) the amounts 

requested. An application for compensation shall include a statement as to what payments have theretofore been made or promised to the applicant for services rendered or to be rendered in any 

capacity whatsoever in connection with the case, the source of the 

compensation so paid or promised, whether any compensation previously received has been shared and whether an agreement or understanding exists between the applicant and any other entity for 

the sharing of compensation received or to be received for services 

rendered in or in connection with the case, and the particulars of 

any sharing of compensation or agreement or understanding 

therefor, except that details of any agreement by the applicant for 

the sharing of compensation as a member or regular associate of 

a firm of lawyers or accountants shall not be required. The requirements of this subdivision shall apply to an application for 

compensation for services rendered by an attorney or accountant 

even though the application is filed by a creditor or other entity. 

Unless the case is a chapter 9 municipality case, the applicant 

shall transmit to the United States trustee a copy of the application. 

(b) DISCLOSURE OF COMPENSATION PAID OR PROMISED TO ATTORNEY FOR DEBTOR. Every attorney for a debtor, whether or not the 

attorney applies for compensation, shall file and transmit to the 

United States trustee within 14 days after the order for relief, or 

at another time as the court may direct, the statement required 

by § 329 of the Code including whether the attorney has shared or 

agreed to share the compensation with any other entity. The 

statement shall include the particulars of any such sharing or 

agreement to share by the attorney, but the details of any agreement for the sharing of the compensation with a member or regular associate of the attorney’s law firm shall not be required. A 

supplemental statement shall be filed and transmitted to the 

United States trustee within 14 days after any payment or agreement not previously disclosed. 

37 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 2018 

(c) DISCLOSURE OF COMPENSATION PAID OR PROMISED TO BANKRUPTCY PETITION PREPARER. Before a petition is filed, every bankruptcy petition preparer for a debtor shall deliver to the debtor, 

the declaration under penalty of perjury required by § 110(h)(2). 

The declaration shall disclose any fee, and the source of any fee, 

received from or on behalf of the debtor within 12 months of the 

filing of the case and all unpaid fees charged to the debtor. The 

declaration shall also describe the services performed and documents prepared or caused to be prepared by the bankruptcy petition preparer. The declaration shall be filed with the petition. The 

petition preparer shall file a supplemental statement within 14 

days after any payment or agreement not previously disclosed. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Mar. 27, 2003, eff. Dec. 1, 2003; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 2017. Examination of Debtor’s Transactions with Debtor’s Attorney 

(a) PAYMENT OR TRANSFER TO ATTORNEY BEFORE ORDER FOR RELIEF. On motion by any party in interest or on the court’s own initiative, the court after notice and a hearing may determine 

whether any payment of money or any transfer of property by the 

debtor, made directly or indirectly and in contemplation of the 

filing of a petition under the Code by or against the debtor or before entry of the order for relief in an involuntary case, to an attorney for services rendered or to be rendered is excessive. 

(b) PAYMENT OR TRANSFER TO ATTORNEY AFTER ORDER FOR RELIEF. On motion by the debtor, the United States trustee, or on 

the court’s own initiative, the court after notice and a hearing 

may determine whether any payment of money or any transfer of 

property, or any agreement therefor, by the debtor to an attorney 

after entry of an order for relief in a case under the Code is excessive, whether the payment or transfer is made or is to be made directly or indirectly, if the payment, transfer, or agreement therefor is for services in any way related to the case. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2018. Intervention; Right to Be Heard 

(a) PERMISSIVE INTERVENTION. In a case under the Code, after 

hearing on such notice as the court directs and for cause shown, 

the court may permit any interested entity to intervene generally 

or with respect to any specified matter. 

(b) INTERVENTION BY ATTORNEY GENERAL OF A STATE. In a chapter 7, 11, 12, or 13 case, the Attorney General of a State may appear and be heard on behalf of consumer creditors if the court determines the appearance is in the public interest, but the Attorney General may not appeal from any judgment, order, or decree 

in the case. 

(c) CHAPTER 9 MUNICIPALITY CASE. The Secretary of the Treasury 

of the United States may, or if requested by the court shall, intervene in a chapter 9 case. Representatives of the state in which the 

debtor is located may intervene in a chapter 9 case with respect 

to matters specified by the court. 

Rule 2019 FEDERAL RULES OF BANKRUPTCY PROCEDURE 38 

(d) LABOR UNIONS. In a chapter 9, 11, or 12 case, a labor union or 

employees’ association, representative of employees of the debtor, 

shall have the right to be heard on the economic soundness of a 

plan affecting the interests of the employees. A labor union or employees’ association which exercises its right to be heard under 

this subdivision shall not be entitled to appeal any judgment, 

order, or decree relating to the plan, unless otherwise permitted 

by law. 

(e) SERVICE ON ENTITIES COVERED BY THIS RULE. The court may 

enter orders governing the service of notice and papers on entities 

permitted to intervene or be heard pursuant to this rule. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2019. Representation of Creditors and Equity Security Holders in Chapter 9 Municipality and Chapter 11 Reorganization 

Cases 

(a) DATA REQUIRED. In a chapter 9 municipality or chapter 11 reorganization case, except with respect to a committee appointed 

pursuant to § 1102 or 1114 of the Code, every entity or committee 

representing more than one creditor or equity security holder and, 

unless otherwise directed by the court, every indenture trustee, 

shall file a verified statement setting forth (1) the name and address of the creditor or equity security holder; (2) the nature and 

amount of the claim or interest and the time of acquisition thereof unless it is alleged to have been acquired more than one year 

prior to the filing of the petition; (3) a recital of the pertinent 

facts and circumstances in connection with the employment of 

the entity or indenture trustee, and, in the case of a committee, 

the name or names of the entity or entities at whose instance, directly or indirectly, the employment was arranged or the committee was organized or agreed to act; and (4) with reference to the 

time of the employment of the entity, the organization or formation of the committee, or the appearance in the case of any indenture trustee, the amounts of claims or interests owned by the entity, the members of the committee or the indenture trustee, the 

times when acquired, the amounts paid therefor, and any sales or 

other disposition thereof. The statement shall include a copy of 

the instrument, if any, whereby the entity, committee, or indenture trustee is empowered to act on behalf of creditors or equity 

security holders. A supplemental statement shall be filed promptly, setting forth any material changes in the facts contained in 

the statement filed pursuant to this subdivision. 

(b) FAILURE TO COMPLY; EFFECT. On motion of any party in interest or on its own initiative, the court may (1) determine whether there has been a failure to comply with the provisions of subdivision (a) of this rule or with any other applicable law regulating the activities and personnel of any entity, committee, or indenture trustee or any other impropriety in connection with any 

solicitation and, if it so determines, the court may refuse to permit that entity, committee, or indenture trustee to be heard further or to intervene in the case; (2) examine any representation 

provision of a deposit agreement, proxy, trust mortgage, trust indenture, or deed of trust, or committee or other authorization, 

39 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3001 

and any claim or interest acquired by any entity or committee in 

contemplation or in the course of a case under the Code and grant 

appropriate relief; and (3) hold invalid any authority, acceptance, 

rejection, or objection given, procured, or received by an entity or 

committee who has not complied with this rule or with § 1125(b) of 

the Code. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 2020. Review of Acts by United States Trustee 

A proceeding to contest any act or failure to act by the United 

States trustee is governed by Rule 9014. 

(Added Apr. 30, 1991, eff. Aug. 1, 1991.) 

PART III—CLAIMS AND DISTRIBUTION TO CREDITORS AND 

EQUITY INTEREST HOLDERS; PLANS 

Rule 3001. Proof of Claim 

(a) FORM AND CONTENT. A proof of claim is a written statement 

setting forth a creditor’s claim. A proof of claim shall conform 

substantially to the appropriate Official Form. 

(b) WHO MAY EXECUTE. A proof of claim shall be executed by the 

creditor or the creditor’s authorized agent except as provided in 

Rules 3004 and 3005. 

(c) CLAIM BASED ON A WRITING. When a claim, or an interest in 

property of the debtor securing the claim, is based on a writing, 

the original or a duplicate shall be filed with the proof of claim. 

If the writing has been lost or destroyed, a statement of the circumstances of the loss or destruction shall be filed with the claim. 

(d) EVIDENCE OF PERFECTION OF SECURITY INTEREST. If a security 

interest in property of the debtor is claimed, the proof of claim 

shall be accompanied by evidence that the security interest has 

been perfected. 

(e) TRANSFERRED CLAIM. 

(1) Transfer of Claim Other Than for Security Before Proof 

Filed. If a claim has been transferred other than for security 

before proof of the claim has been filed, the proof of claim may 

be filed only by the transferee or an indenture trustee. 

(2) Transfer of Claim Other than for Security after Proof Filed. 

If a claim other than one based on a publicly traded note, 

bond, or debenture has been transferred other than for security after the proof of claim has been filed, evidence of the 

transfer shall be filed by the transferee. The clerk shall immediately notify the alleged transferor by mail of the filing of 

the evidence of transfer and that objection thereto, if any, 

must be filed within 21 days of the mailing of the notice or 

within any additional time allowed by the court. If the alleged 

transferor files a timely objection and the court finds, after 

notice and a hearing, that the claim has been transferred 

other than for security, it shall enter an order substituting 

the transferee for the transferor. If a timely objection is not 

filed by the alleged transferor, the transferee shall be substituted for the transferor. 

Rule 3001 FEDERAL RULES OF BANKRUPTCY PROCEDURE 40 

1So in original. Subsec. (g) enacted without a catchline. 

(3) Transfer of Claim for Security Before Proof Filed. If a claim 

other than one based on a publicly traded note, bond, or debenture has been transferred for security before proof of the claim 

has been filed, the transferor or transferee or both may file a 

proof of claim for the full amount. The proof shall be supported by a statement setting forth the terms of the transfer. 

If either the transferor or the transferee files a proof of claim, 

the clerk shall immediately notify the other by mail of the 

right to join in the filed claim. If both transferor and transferee file proofs of the same claim, the proofs shall be consolidated. If the transferor or transferee does not file an agreement regarding its relative rights respecting voting of the 

claim, payment of dividends thereon, or participation in the 

administration of the estate, on motion by a party in interest 

and after notice and a hearing, the court shall enter such orders respecting these matters as may be appropriate. 

(4) Transfer of Claim for Security after Proof Filed. If a claim 

other than one based on a publicly traded note, bond, or debenture has been transferred for security after the proof of claim 

has been filed, evidence of the terms of the transfer shall be 

filed by the transferee. The clerk shall immediately notify the 

alleged transferor by mail of the filing of the evidence of 

transfer and that objection thereto, if any, must be filed within 21 days of the mailing of the notice or within any additional 

time allowed by the court. If a timely objection is filed by the 

alleged transferor, the court, after notice and a hearing, shall 

determine whether the claim has been transferred for security. 

If the transferor or transferee does not file an agreement regarding its relative rights respecting voting of the claim, payment of dividends thereon, or participation in the administration of the estate, on motion by a party in interest and after 

notice and a hearing, the court shall enter such orders respecting these matters as may be appropriate. 

(5) Service of Objection or Motion; Notice of Hearing. A copy of 

an objection filed pursuant to paragraph (2) or (4) or a motion 

filed pursuant to paragraph (3) or (4) of this subdivision together with a notice of a hearing shall be mailed or otherwise 

delivered to the transferor or transferee, whichever is appropriate, at least 30 days prior to the hearing. 

(f) EVIDENTIARY EFFECT. A proof of claim executed and filed in 

accordance with these rules shall constitute prima facie evidence 

of the validity and amount of the claim. 

(g) 1 To the extent not inconsistent with the United States Warehouse Act or applicable State law, a warehouse receipt, scale ticket, or similar document of the type routinely issued as evidence 

of title by a grain storage facility, as defined in section 557 of title 

11, shall constitute prima facie evidence of the validity and 

amount of a claim of ownership of a quantity of grain. 

(As amended Pub. L. 98–353, title III, § 354, July 10, 1984, 98 Stat. 

361; Apr. 30, 1991, eff. Aug. 1, 1991; Mar. 26, 2009, eff. Dec. 1, 2009.) 

41 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3002 

Rule 3002. Filing Proof of Claim or Interest 

(a) NECESSITY FOR FILING. An unsecured creditor or an equity security holder must file a proof of claim or interest for the claim 

or interest to be allowed, except as provided in Rules 1019(3), 3003, 

3004, and 3005. 

(b) PLACE OF FILING. A proof of claim or interest shall be filed 

in accordance with Rule 5005. 

(c) TIME FOR FILING. In a chapter 7 liquidation, chapter 12 family 

farmer’s debt adjustment, or chapter 13 individual’s debt adjustment case, a proof of claim is timely filed if it is filed not later 

than 90 days after the first date set for the meeting of creditors 

called under § 341(a) of the Code, except as follows: 

(1) A proof of claim filed by a governmental unit, other than 

for a claim resulting from a tax return filed under § 1308, is 

timely filed if it is filed not later than 180 days after the date 

of the order for relief. A proof of claim filed by a governmental 

unit for a claim resulting from a tax return filed under § 1308 

is timely filed if it is filed no later than 180 days after the date 

of the order for relief or 60 days after the date of the filing of 

the tax return. The court may, for cause, enlarge the time for 

a governmental unit to file a proof of claim only upon motion 

of the governmental unit made before expiration of the period 

for filing a timely proof of claim. 

(2) In the interest of justice and if it will not unduly delay 

the administration of the case, the court may extend the time 

for filing a proof of claim by an infant or incompetent person 

or the representative of either. 

(3) An unsecured claim which arises in favor of an entity or 

becomes allowable as a result of a judgment may be filed within 30 days after the judgment becomes final if the judgment is 

for the recovery of money or property from that entity or denies or avoids the entity’s interest in property. If the judgment imposes a liability which is not satisfied, or a duty 

which is not performed within such period or such further 

time as the court may permit, the claim shall not be allowed. 

(4) A claim arising from the rejection of an executory contract or unexpired lease of the debtor may be filed within such 

time as the court may direct. 

(5) If notice of insufficient assets to pay a dividend was given 

to creditors under Rule 2002(e), and subsequently the trustee 

notifies the court that payment of a dividend appears possible, 

the clerk shall give at least 90 days’ notice by mail to creditors of that fact and of the date by which proofs of claim must 

be filed. 

(6) If notice of the time to file a proof of claim has been 

mailed to a creditor at a foreign address, on motion filed by 

the creditor before or after the expiration of the time, the 

court may extend the time by not more than 60 days if the 

court finds that the notice was insufficient under the circumstances to give the creditor a reasonable time to file a proof 

of claim. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 3003 FEDERAL RULES OF BANKRUPTCY PROCEDURE 42 

Rule 3003. Filing Proof of Claim or Equity Security Interest in 

Chapter 9 Municipality or Chapter 11 Reorganization Cases 

(a) APPLICABILITY OF RULE. This rule applies in chapter 9 and 11 

cases. 

(b) SCHEDULE OF LIABILITIES AND LIST OF EQUITY SECURITY HOLDERS. 

(1) Schedule of Liabilities. The schedule of liabilities filed pursuant to § 521(l) of the Code shall constitute prima facie evidence of the validity and amount of the claims of creditors, 

unless they are scheduled as disputed, contingent, or unliquidated. It shall not be necessary for a creditor or equity security holder to file a proof of claim or interest except as provided in subdivision (c)(2) of this rule. 

(2) List of Equity Security Holders. The list of equity security 

holders filed pursuant to Rule 1007(a)(3) shall constitute prima 

facie evidence of the validity and amount of the equity security interests and it shall not be necessary for the holders of 

such interests to file a proof of interest. 

(c) FILING PROOF OF CLAIM. 

(1) Who May File. Any creditor or indenture trustee may file 

a proof of claim within the time prescribed by subdivision 

(c)(3) of this rule. 

(2) Who Must File. Any creditor or equity security holder 

whose claim or interest is not scheduled or scheduled as disputed, contingent, or unliquidated shall file a proof of claim or 

interest within the time prescribed by subdivision (c)(3) of this 

rule; any creditor who fails to do so shall not be treated as a 

creditor with respect to such claim for the purposes of voting 

and distribution. 

(3) Time for Filing. The court shall fix and for cause shown 

may extend the time within which proofs of claim or interest 

may be filed. Notwithstanding the expiration of such time, a 

proof of claim may be filed to the extent and under the conditions stated in Rule 3002(c)(2), (c)(3), (c)(4), and (c)(6). 

(4) Effect of Filing Claim or Interest. A proof of claim or interest executed and filed in accordance with this subdivision 

shall supersede any scheduling of that claim or interest pursuant to § 521(a)(1) of the Code. 

(5) Filing by Indenture Trustee. An indenture trustee may file 

a claim on behalf of all known or unknown holders of securities issued pursuant to the trust instrument under which it is 

trustee. 

(d) PROOF OF RIGHT TO RECORD STATUS. For the purposes of 

Rules 3017, 3018 and 3021 and for receiving notices, an entity who 

is not the record holder of a security may file a statement setting 

forth facts which entitle that entity to be treated as the record 

holder. An objection to the statement may be filed by any party 

in interest. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 3004. Filing of Claims by Debtor or Trustee 

If a creditor does not timely file a proof of claim under Rule 

3002(c) or 3003(c), the debtor or trustee may file a proof of the 

43 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3007 

claim within 30 days after the expiration of the time for filing 

claims prescribed by Rule 3002(c) or 3003(c), whichever is applicable. The clerk shall forthwith give notice of the filing to the creditor, the debtor and the trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 2005, eff. Dec. 

1, 2005.) 

Rule 3005. Filing of Claim, Acceptance, or Rejection by Guarantor, 

Surety, Indorser, or Other Codebtor 

(a) FILING OF CLAIM. If a creditor does not timely file a proof of 

claim under Rule 3002(c) or 3003(c), any entity that is or may be 

liable with the debtor to that creditor, or who has secured that 

creditor, may file a proof of the claim within 30 days after the expiration of the time for filing claims prescribed by Rule 3002(c) or 

Rule 3003(c) whichever is applicable. No distribution shall be made 

on the claim except on satisfactory proof that the original debt 

will be diminished by the amount of distribution. 

(b) FILING OF ACCEPTANCE OR REJECTION; SUBSTITUTION OF CREDITOR. An entity which has filed a claim pursuant to the first sentence of subdivision (a) of this rule may file an acceptance or rejection of a plan in the name of the creditor, if known, or if unknown, in the entity’s own name but if the creditor files a proof 

of claim within the time permitted by Rule 3003(c) or files a notice 

prior to confirmation of a plan of the creditor’s intention to act 

in the creditor’s own behalf, the creditor shall be substituted for 

the obligor with respect to that claim. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 25, 2005, eff. Dec. 1, 2005.) 

Rule 3006. Withdrawal of Claim; Effect on Acceptance or Rejection 

of Plan 

A creditor may withdraw a claim as of right by filing a notice 

of withdrawal, except as provided in this rule. If after a creditor 

has filed a proof of claim an objection is filed thereto or a complaint is filed against that creditor in an adversary proceeding, or 

the creditor has accepted or rejected the plan or otherwise has 

participated significantly in the case, the creditor may not withdraw the claim except on order of the court after a hearing on notice to the trustee or debtor in possession, and any creditors’ committee elected pursuant to § 705(a) or appointed pursuant to § 1102 

of the Code. The order of the court shall contain such terms and 

conditions as the court deems proper. Unless the court orders 

otherwise, an authorized withdrawal of a claim shall constitute 

withdrawal of any related acceptance or rejection of a plan. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 3007. Objections to Claims 

(a) OBJECTIONS TO CLAIMS. An objection to the allowance of a 

claim shall be in writing and filed. A copy of the objection with 

notice of the hearing thereon shall be mailed or otherwise delivered to the claimant, the debtor or debtor in possession, and the 

trustee at least 30 days prior to the hearing. 

(b) DEMAND FOR RELIEF REQUIRING AN ADVERSARY PROCEEDING. A 

party in interest shall not include a demand for relief of a kind 

Rule 3008 FEDERAL RULES OF BANKRUPTCY PROCEDURE 44 

specified in Rule 7001 in an objection to the allowance of a claim, 

but may include the objection in an adversary proceeding. 

(c) LIMITATION ON JOINDER OF CLAIMS OBJECTIONS. Unless otherwise ordered by the court or permitted by subdivision (d), objections to more than one claim shall not be joined in a single objection. 

(d) OMNIBUS OBJECTION. Subject to subdivision (e), objections to 

more than one claim may be joined in an omnibus objection if all 

the claims were filed by the same entity, or the objections are 

based solely on the grounds that the claims should be disallowed, 

in whole or in part, because: 

(1) they duplicate other claims; 

(2) they have been filed in the wrong case; 

(3) they have been amended by subsequently filed proofs of 

claim; 

(4) they were not timely filed; 

(5) they have been satisfied or released during the case in accordance with the Code, applicable rules, or a court order; 

(6) they were presented in a form that does not comply with 

applicable rules, and the objection states that the objector is 

unable to determine the validity of the claim because of the 

noncompliance; 

(7) they are interests, rather than claims; or 

(8) they assert priority in an amount that exceeds the maximum amount under § 507 of the Code. 

(e) REQUIREMENTS FOR OMNIBUS OBJECTION. An omnibus objection shall: 

(1) state in a conspicuous place that claimants receiving the 

objection should locate their names and claims in the objection; 

(2) list claimants alphabetically, provide a cross-reference to 

claim numbers, and, if appropriate, list claimants by category 

of claims; 

(3) state the grounds of the objection to each claim and provide a cross-reference to the pages in the omnibus objection 

pertinent to the stated grounds; 

(4) state in the title the identity of the objector and the 

grounds for the objections; 

(5) be numbered consecutively with other omnibus objections filed by the same objector; and 

(6) contain objections to no more than 100 claims. 

(f) FINALITY OF OBJECTION. The finality of any order regarding a 

claim objection included in an omnibus objection shall be determined as though the claim had been subject to an individual objection. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 30, 2007, eff. Dec. 

1, 2007.) 

Rule 3008. Reconsideration of Claims 

A party in interest may move for reconsideration of an order allowing or disallowing a claim against the estate. The court after 

a hearing on notice shall enter an appropriate order. 

45 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3013 

Rule 3009. Declaration and Payment of Dividends in a Chapter 7 

Liquidation Case 

In a chapter 7 case, dividends to creditors shall be paid as 

promptly as practicable. Dividend checks shall be made payable to 

and mailed to each creditor whose claim has been allowed, unless 

a power of attorney authorizing another entity to receive dividends has been executed and filed in accordance with Rule 9010. In 

that event, dividend checks shall be made payable to the creditor 

and to the other entity and shall be mailed to the other entity. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 

1, 1993.) 

Rule 3010. Small Dividends and Payments in Chapter 7 Liquidation, Chapter 12 Family Farmer’s Debt Adjustment, and Chapter 13 Individual’s Debt Adjustment Cases 

(a) CHAPTER 7 CASES. In a chapter 7 case no dividend in an 

amount less than $5 shall be distributed by the trustee to any 

creditor unless authorized by local rule or order of the court. Any 

dividend not distributed to a creditor shall be treated in the same 

manner as unclaimed funds as provided in § 347 of the Code. 

(b) CHAPTER 12 AND CHAPTER 13 CASES. In a chapter 12 or chapter 

13 case no payment in an amount less than $15 shall be distributed 

by the trustee to any creditor unless authorized by local rule or 

order of the court. Funds not distributed because of this subdivision shall accumulate and shall be paid whenever the accumulation aggregates $15. Any funds remaining shall be distributed with 

the final payment. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 3011. Unclaimed Funds in Chapter 7 Liquidation, Chapter 12 

Family Farmer’s Debt Adjustment, and Chapter 13 Individual’s 

Debt Adjustment Cases 

The trustee shall file a list of all known names and addresses of 

the entities and the amounts which they are entitled to be paid 

from remaining property of the estate that is paid into court pursuant to § 347(a) of the Code. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 3012. Valuation of Security 

The court may determine the value of a claim secured by a lien 

on property in which the estate has an interest on motion of any 

party in interest and after a hearing on notice to the holder of the 

secured claim and any other entity as the court may direct. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 3013. Classification of Claims and Interests 

For the purposes of the plan and its acceptance, the court may, 

on motion after hearing on notice as the court may direct, determine classes of creditors and equity security holders pursuant to 

§§ 1122, 1222(b)(1), and 1322(b)(1) of the Code. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 3014 FEDERAL RULES OF BANKRUPTCY PROCEDURE 46 

Rule 3014. Election Under § 1111(b) by Secured Creditor in Chapter 

9 Municipality or Chapter 11 Reorganization Case 

An election of application of § 1111(b)(2) of the Code by a class of 

secured creditors in a chapter 9 or 11 case may be made at any 

time prior to the conclusion of the hearing on the disclosure 

statement or within such later time as the court may fix. If the 

disclosure statement is conditionally approved pursuant to Rule 

3017.1, and a final hearing on the disclosure statement is not held, 

the election of application of § 1111(b)(2) may be made not later 

than the date fixed pursuant to Rule 3017.1(a)(2) or another date 

the court may fix. The election shall be in writing and signed unless made at the hearing on the disclosure statement. The election, if made by the majorities required by § 1111(b)(1)(A)(i), shall 

be binding on all members of the class with respect to the plan. 

(As amended Apr. 11, 1997, eff. Dec. 1, 1997.) 

Rule 3015. Filing, Objection to Confirmation, and Modification of a 

Plan in a Chapter 12 Family Farmer’s Debt Adjustment or a 

Chapter 13 Individual’s Debt Adjustment Case 

(a) CHAPTER 12 PLAN. The debtor may file a chapter 12 plan with 

the petition. If a plan is not filed with the petition, it shall be 

filed within the time prescribed by § 1221 of the Code. 

(b) CHAPTER 13 PLAN. The debtor may file a chapter 13 plan with 

the petition. If a plan is not filed with the petition, it shall be 

filed within 14 days thereafter, and such time may not be further 

extended except for cause shown and on notice as the court may 

direct. If a case is converted to chapter 13, a plan shall be filed 

within 14 days thereafter, and such time may not be further extended except for cause shown and on notice as the court may direct. 

(c) DATING. Every proposed plan and any modification thereof 

shall be dated. 

(d) NOTICE AND COPIES. The plan or a summary of the plan shall 

be included with each notice of the hearing on confirmation 

mailed pursuant to Rule 2002. If required by the court, the debtor 

shall furnish a sufficient number of copies to enable the clerk to 

include a copy of the plan with the notice of the hearing. 

(e) TRANSMISSION TO UNITED STATES TRUSTEE. The clerk shall 

forthwith transmit to the United States trustee a copy of the plan 

and any modification thereof filed pursuant to subdivision (a) or 

(b) of this rule. 

(f) OBJECTION TO CONFIRMATION; DETERMINATION OF GOOD FAITH

IN THE ABSENCE OF AN OBJECTION. An objection to confirmation of 

a plan shall be filed and served on the debtor, the trustee, and any 

other entity designated by the court, and shall be transmitted to 

the United States trustee, before confirmation of the plan. An objection to confirmation is governed by Rule 9014. If no objection 

is timely filed, the court may determine that the plan has been 

proposed in good faith and not by any means forbidden by law 

without receiving evidence on such issues. 

(g) MODIFICATION OF PLAN AFTER CONFIRMATION. A request to 

modify a plan pursuant to § 1229 or § 1329 of the Code shall identify 

the proponent and shall be filed together with the proposed modification. The clerk, or some other person as the court may direct, 

47 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3017 

shall give the debtor, the trustee, and all creditors not less than 

21 days’ notice by mail of the time fixed for filing objections and, 

if an objection is filed, the hearing to consider the proposed modification, unless the court orders otherwise with respect to creditors who are not affected by the proposed modification. A copy of 

the notice shall be transmitted to the United States trustee. A 

copy of the proposed modification, or a summary thereof, shall be 

included with the notice. If required by the court, the proponent 

shall furnish a sufficient number of copies of the proposed modification, or a summary thereof, to enable the clerk to include a 

copy with each notice. Any objection to the proposed modification 

shall be filed and served on the debtor, the trustee, and any other 

entity designated by the court, and shall be transmitted to the 

United States trustee. An objection to a proposed modification is 

governed by Rule 9014. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 22, 1993, eff. Aug. 

1, 1993; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 3016. Filing of Plan and Disclosure Statement in a Chapter 9 

Municipality or Chapter 11 Reorganization Case 

(a) IDENTIFICATION OF PLAN. Every proposed plan and any modification thereof shall be dated and, in a chapter 11 case, identified 

with the name of the entity or entities submitting or filing it. 

(b) DISCLOSURE STATEMENT. In a chapter 9 or 11 case, a disclosure statement under § 1125 of the Code or evidence showing compliance with § 1126(b) shall be filed with the plan or within a time 

fixed by the court, unless the plan is intended to provide adequate 

information under § 1125(f)(1). If the plan is intended to provide 

adequate information under § 1125(f)(1), it shall be so designated 

and Rule 3017.1 shall apply as if the plan is a disclosure statement. 

(c) INJUNCTION UNDER A PLAN. If a plan provides for an injunction against conduct not otherwise enjoined under the Code, the 

plan and disclosure statement shall describe in specific and conspicuous language (bold, italic, or underlined text) all acts to be 

enjoined and identify the entities that would be subject to the injunction. 

(d) STANDARD FORM SMALL BUSINESS DISCLOSURE STATEMENT

AND PLAN. In a small business case, the court may approve a disclosure statement and may confirm a plan that conform substantially to the appropriate Official Forms or other standard forms 

approved by the court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 23, 2001, eff. Dec. 1, 2001; 

Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 3017. Court Consideration of Disclosure Statement in a Chapter 9 Municipality or Chapter 11 Reorganization Case 

(a) HEARING ON DISCLOSURE STATEMENT AND OBJECTIONS. Except 

as provided in Rule 3017.1, after a disclosure statement is filed in 

accordance with Rule 3016(b), the court shall hold a hearing on at 

least 28 days’ notice to the debtor, creditors, equity security holders and other parties in interest as provided in Rule 2002 to consider the disclosure statement and any objections or modifications 

thereto. The plan and the disclosure statement shall be mailed 

Rule 3017 FEDERAL RULES OF BANKRUPTCY PROCEDURE 48 

1So in original. The comma probably should not appear. 

with the notice of the hearing only to the debtor, any trustee or 

committee appointed under the Code, the Securities and Exchange 

Commission and any party in interest who requests in writing a 

copy of the statement or plan. Objections to the disclosure statement shall be filed and served on the debtor, the trustee, any committee appointed under the Code, and any other entity designated 

by the court, at any time before the disclosure statement is approved or by an earlier date as the court may fix. In a chapter 11 

reorganization case, every notice, plan, disclosure statement, and 

objection required to be served or mailed pursuant to this subdivision shall be transmitted to the United States trustee within the 

time provided in this subdivision. 

(b) DETERMINATION ON DISCLOSURE STATEMENT. Following the 

hearing the court shall determine whether the disclosure statement should be approved. 

(c) DATES FIXED FOR VOTING ON PLAN AND CONFIRMATION. On or 

before approval of the disclosure statement, the court shall fix a 

time within which the holders of claims and interests may accept 

or reject the plan and may fix a date for the hearing on confirmation. 

(d) TRANSMISSION AND NOTICE TO UNITED STATES TRUSTEE, CREDITORS, AND EQUITY SECURITY HOLDERS. Upon approval of a disclosure statement,— 1 except to the extent that the court orders 

otherwise with respect to one or more unimpaired classes of creditors or equity security holders—the debtor in possession, trustee, 

proponent of the plan, or clerk as the court orders shall mail to 

all creditors and equity security holders, and in a chapter 11 reorganization case shall transmit to the United States trustee, 

(1) the plan or a court-approved summary of the plan; 

(2) the disclosure statement approved by the court; 

(3) notice of the time within which acceptances and rejections of the plan may be filed; and 

(4) any other information as the court may direct, including 

any court opinion approving the disclosure statement or a 

court-approved summary of the opinion. 

In addition, notice of the time fixed for filing objections and the 

hearing on confirmation shall be mailed to all creditors and equity security holders in accordance with Rule 2002(b), and a form 

of ballot conforming to the appropriate Official Form shall be 

mailed to creditors and equity security holders entitled to vote on 

the plan. If the court opinion is not transmitted or only a summary of the plan is transmitted, the court opinion or the plan 

shall be provided on request of a party in interest at the plan proponent’s expense. If the court orders that the disclosure statement 

and the plan or a summary of the plan shall not be mailed to any 

unimpaired class, notice that the class is designated in the plan 

as unimpaired and notice of the name and address of the person 

from whom the plan or summary of the plan and disclosure statement may be obtained upon request and at the plan proponent’s 

expense, shall be mailed to members of the unimpaired class together with the notice of the time fixed for filing objections to 

and the hearing on confirmation. For the purposes of this subdivision, creditors and equity security holders shall include holders of 

49 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3017.1 

stock, bonds, debentures, notes, and other securities of record on 

the date the order approving the disclosure statement is entered 

or another date fixed by the court, for cause, after notice and a 

hearing. 

(e) TRANSMISSION TO BENEFICIAL HOLDERS OF SECURITIES. At the 

hearing held pursuant to subdivision (a) of this rule, the court 

shall consider the procedures for transmitting the documents and 

information required by subdivision (d) of this rule to beneficial 

holders of stock, bonds, debentures, notes, and other securities, 

determine the adequacy of the procedures, and enter any orders 

the court deems appropriate. 

(f) NOTICE AND TRANSMISSION OF DOCUMENTS TO ENTITIES SUBJECT

TO AN INJUNCTION UNDER A PLAN. If a plan provides for an injunction against conduct not otherwise enjoined under the Code and 

an entity that would be subject to the injunction is not a creditor 

or equity security holder, at the hearing held under Rule 3017(a), 

the court shall consider procedures for providing the entity with: 

(1) at least 28 days’ notice of the time fixed for filing objections and the hearing on confirmation of the plan containing 

the information described in Rule 2002(c)(3); and 

(2) to the extent feasible, a copy of the plan and disclosure 

statement. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 23, 2001, eff. Dec. 1, 2001; 

Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 3017.1. Court Consideration of Disclosure Statement in a 

Small Business Case 

(a) CONDITIONAL APPROVAL OF DISCLOSURE STATEMENT. In a 

small business case, the court may, on application of the plan proponent or on its own initiative, conditionally approve a disclosure 

statement filed in accordance with Rule 3016. On or before conditional approval of the disclosure statement, the court shall: 

(1) fix a time within which the holders of claims and interests may accept or reject the plan; 

(2) fix a time for filing objections to the disclosure statement; 

(3) fix a date for the hearing on final approval of the disclosure statement to be held if a timely objection is filed; and 

(4) fix a date for the hearing on confirmation. 

(b) APPLICATION OF RULE 3017. Rule 3017(a), (b), (c), and (e) do not 

apply to a conditionally approved disclosure statement. Rule 

3017(d) applies to a conditionally approved disclosure statement, 

except that conditional approval is considered approval of the disclosure statement for the purpose of applying Rule 3017(d). 

(c) FINAL APPROVAL. 

(1) Notice. Notice of the time fixed for filing objections and 

the hearing to consider final approval of the disclosure statement shall be given in accordance with Rule 2002 and may be 

combined with notice of the hearing on confirmation of the 

plan. 

(2) Objections. Objections to the disclosure statement shall be 

filed, transmitted to the United States trustee, and served on 

the debtor, the trustee, any committee appointed under the 

Rule 3018 FEDERAL RULES OF BANKRUPTCY PROCEDURE 50 

Code and any other entity designated by the court at any time 

before final approval of the disclosure statement or by an earlier date as the court may fix. 

(3) Hearing. If a timely objection to the disclosure statement 

is filed, the court shall hold a hearing to consider final approval before or combined with the hearing on confirmation of 

the plan. 

(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Apr. 23, 2008, eff. 

Dec. 1, 2008.) 

Rule 3018. Acceptance or Rejection of Plan in a Chapter 9 Municipality or a Chapter 11 Reorganization Case 

(a) ENTITIES ENTITLED TO ACCEPT OR REJECT PLAN; TIME FOR ACCEPTANCE OR REJECTION. A plan may be accepted or rejected in accordance with § 1126 of the Code within the time fixed by the court 

pursuant to Rule 3017. Subject to subdivision (b) of this rule, an 

equity security holder or creditor whose claim is based on a security of record shall not be entitled to accept or reject a plan unless the equity security holder or creditor is the holder of record 

of the security on the date the order approving the disclosure 

statement is entered or on another date fixed by the court, for 

cause, after notice and a hearing. For cause shown, the court after 

notice and hearing may permit a creditor or equity security holder to change or withdraw an acceptance or rejection. Notwithstanding objection to a claim or interest, the court after notice 

and hearing may temporarily allow the claim or interest in an 

amount which the court deems proper for the purpose of accepting 

or rejecting a plan. 

(b) ACCEPTANCES OR REJECTIONS OBTAINED BEFORE PETITION. An 

equity security holder or creditor whose claim is based on a security of record who accepted or rejected the plan before the commencement of the case shall not be deemed to have accepted or rejected the plan pursuant to § 1126(b) of the Code unless the equity 

security holder or creditor was the holder of record of the security 

on the date specified in the solicitation of such acceptance or rejection for the purposes of such solicitation. A holder of a claim 

or interest who has accepted or rejected a plan before the commencement of the case under the Code shall not be deemed to have 

accepted or rejected the plan if the court finds after notice and 

hearing that the plan was not transmitted to substantially all 

creditors and equity security holders of the same class, that an 

unreasonably short time was prescribed for such creditors and equity security holders to accept or reject the plan, or that the solicitation was not in compliance with § 1126(b) of the Code. 

(c) FORM OF ACCEPTANCE OR REJECTION. An acceptance or rejection shall be in writing, identify the plan or plans accepted or rejected, be signed by the creditor or equity security holder or an 

authorized agent, and conform to the appropriate Official Form. If 

more than one plan is transmitted pursuant to Rule 3017, an acceptance or rejection may be filed by each creditor or equity security holder for any number of plans transmitted and if acceptances are filed for more than one plan, the creditor or equity security holder may indicate a preference or preferences among the 

plans so accepted. 

51 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 3020 

(d) ACCEPTANCE OR REJECTION BY PARTIALLY SECURED CREDITOR. 

A creditor whose claim has been allowed in part as a secured 

claim and in part as an unsecured claim shall be entitled to accept 

or reject a plan in both capacities. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 11, 1997, eff. Dec. 1, 1997.) 

Rule 3019. Modification of Accepted Plan in a Chapter 9 Municipality or a Chapter 11 Reorganization Case 

(a) MODIFICATION OF PLAN BEFORE CONFIRMATION. In a chapter 9 

or chapter 11 case, after a plan has been accepted and before its 

confirmation, the proponent may file a modification of the plan. 

If the court finds after hearing on notice to the trustee, any committee appointed under the Code, and any other entity designated 

by the court that the proposed modification does not adversely 

change the treatment of the claim of any creditor or the interest 

of any equity security holder who has not accepted in writing the 

modification, it shall be deemed accepted by all creditors and equity security holders who have previously accepted the plan. 

(b) MODIFICATION OF PLAN AFTER CONFIRMATION IN INDIVIDUAL

DEBTOR CASE. If the debtor is an individual, a request to modify 

the plan under § 1127(e) of the Code is governed by Rule 9014. The 

request shall identify the proponent and shall be filed together 

with the proposed modification. The clerk, or some other person 

as the court may direct, shall give the debtor, the trustee, and all 

creditors not less than 21 days’ notice by mail of the time fixed 

to file objections and, if an objection is filed, the hearing to consider the proposed modification, unless the court orders otherwise 

with respect to creditors who are not affected by the proposed 

modification. A copy of the notice shall be transmitted to the 

United States trustee, together with a copy of the proposed modification. Any objection to the proposed modification shall be filed 

and served on the debtor, the proponent of the modification, the 

trustee, and any other entity designated by the court, and shall 

be transmitted to the United States trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 

1, 1993; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 3020. Deposit; Confirmation of Plan in a Chapter 9 Municipality or Chapter 11 Reorganization Case 

(a) DEPOSIT. In a chapter 11 case, prior to entry of the order confirming the plan, the court may order the deposit with the trustee 

or debtor in possession of the consideration required by the plan 

to be distributed on confirmation. Any money deposited shall be 

kept in a special account established for the exclusive purpose of 

making the distribution. 

(b) OBJECTION TO AND HEARING ON CONFIRMATION IN A CHAPTER 9 

OR CHAPTER 11 CASE. 

(1) Objection. An objection to confirmation of the plan shall 

be filed and served on the debtor, the trustee, the proponent 

of the plan, any committee appointed under the Code, and any 

other entity designated by the court, within a time fixed by 

the court. Unless the case is a chapter 9 municipality case, a 

copy of every objection to confirmation shall be transmitted 

Rule 3021 FEDERAL RULES OF BANKRUPTCY PROCEDURE 52 

by the objecting party to the United States trustee within the 

time fixed for filing objections. An objection to confirmation 

is governed by Rule 9014. 

(2) Hearing. The court shall rule on confirmation of the plan 

after notice and hearing as provided in Rule 2002. If no objection is timely filed, the court may determine that the plan has 

been proposed in good faith and not by any means forbidden by 

law without receiving evidence on such issues. 

(c) ORDER OF CONFIRMATION. 

(1) The order of confirmation shall conform to the appropriate Official Form. If the plan provides for an injunction 

against conduct not otherwise enjoined under the Code, the 

order of confirmation shall (1) describe in reasonable detail all 

acts enjoined; (2) be specific in its terms regarding the injunction; and (3) identify the entities subject to the injunction. 

(2) Notice of entry of the order of confirmation shall be 

mailed promptly to the debtor, the trustee, creditors, equity 

security holders, other parties in interest, and, if known, to 

any identified entity subject to an injunction provided for in 

the plan against conduct not otherwise enjoined under the 

Code. 

(3) Except in a chapter 9 municipality case, notice of entry 

of the order of confirmation shall be transmitted to the United 

States trustee as provided in Rule 2002(k). 

(d) RETAINED POWER. Notwithstanding the entry of the order of 

confirmation, the court may issue any other order necessary to 

administer the estate. 

(e) STAY OF CONFIRMATION ORDER. An order confirming a plan is 

stayed until the expiration of 14 days after the entry of the order, 

unless the court orders otherwise. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; 

Apr. 23, 2001, eff. Dec. 1, 2001; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 3021. Distribution Under Plan 

Except as provided in Rule 3020(e), after a plan is confirmed, distribution shall be made to creditors whose claims have been allowed, to interest holders whose interests have not been disallowed, and to indenture trustees who have filed claims under 

Rule 3003(c)(5) that have been allowed. For purposes of this rule, 

creditors include holders of bonds, debentures, notes, and other 

debt securities, and interest holders include the holders of stock 

and other equity securities, of record at the time of commencement of distribution, unless a different time is fixed by the plan 

or the order confirming the plan. 

(As amended Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 26, 1999, eff. Dec. 

1, 1999.) 

Rule 3022. Final Decree in Chapter 11 Reorganization Case 

After an estate is fully administered in a chapter 11 reorganization case, the court, on its own motion or on motion of a party 

in interest, shall enter a final decree closing the case. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

53 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 4001 

PART IV—THE DEBTOR: DUTIES AND BENEFITS 

Rule 4001. Relief from Automatic Stay; Prohibiting or Conditioning 

the Use, Sale, or Lease of Property; Use of Cash Collateral; Obtaining Credit; Agreements 

(a) RELIEF FROM STAY; PROHIBITING OR CONDITIONING THE USE, 

SALE, OR LEASE OF PROPERTY. 

(1) Motion. A motion for relief from an automatic stay provided by the Code or a motion to prohibit or condition the use, 

sale, or lease of property pursuant to § 363(e) shall be made in 

accordance with Rule 9014 and shall be served on any committee elected pursuant to § 705 or appointed pursuant to § 1102 of 

the Code or its authorized agent, or, if the case is a chapter 

9 municipality case or a chapter 11 reorganization case and no 

committee of unsecured creditors has been appointed pursuant 

to § 1102, on the creditors included on the list filed pursuant to 

Rule 1007(d), and on such other entities as the court may direct. 

(2) Ex Parte Relief. Relief from a stay under § 362(a) or a request to prohibit or condition the use, sale, or lease of property pursuant to § 363(e) may be granted without prior notice 

only if (A) it clearly appears from specific facts shown by affidavit or by a verified motion that immediate and irreparable 

injury, loss, or damage will result to the movant before the 

adverse party or the attorney for the adverse party can be 

heard in opposition, and (B) the movant’s attorney certifies to 

the court in writing the efforts, if any, which have been made 

to give notice and the reasons why notice should not be required. The party obtaining relief under this subdivision and 

§ 362(f) or § 363(e) shall immediately give oral notice thereof to 

the trustee or debtor in possession and to the debtor and forthwith mail or otherwise transmit to such adverse party or parties a copy of the order granting relief. On two days notice to 

the party who obtained relief from the stay without notice or 

on shorter notice to that party as the court may prescribe, the 

adverse party may appear and move reinstatement of the stay 

or reconsideration of the order prohibiting or conditioning the 

use, sale, or lease of property. In that event, the court shall 

proceed expeditiously to hear and determine the motion. 

(3) Stay of Order. An order granting a motion for relief from 

an automatic stay made in accordance with Rule 4001(a)(1) is 

stayed until the expiration of 14 days after the entry of the 

order, unless the court orders otherwise. 

(b) USE OF CASH COLLATERAL. 

(1) Motion; Service. 

(A) Motion. A motion for authority to use cash collateral 

shall be made in accordance with Rule 9014 and shall be accompanied by a proposed form of order. 

(B) Contents. The motion shall consist of or (if the motion is more than five pages in length) begin with a concise 

statement of the relief requested, not to exceed five pages, 

that lists or summarizes, and sets out the location within 

the relevant documents of, all material provisions, including: 

Rule 4001 FEDERAL RULES OF BANKRUPTCY PROCEDURE 54 

(i) the name of each entity with an interest in the 

cash collateral; 

(ii) the purposes for the use of the cash collateral; 

(iii) the material terms, including duration, of the 

use of the cash collateral; and 

(iv) any liens, cash payments, or other adequate protection that will be provided to each entity with an interest in the cash collateral or, if no additional adequate protection is proposed, an explanation of why 

each entity’s interest is adequately protected. 

(C) Service. The motion shall be served on: (1) any entity 

with an interest in the cash collateral; (2) any committee 

elected under § 705 or appointed under § 1102 of the Code, or 

its authorized agent, or, if the case is a chapter 9 municipality case or a chapter 11 reorganization case and no committee of unsecured creditors has been appointed under 

§ 1102, the creditors included on the list filed under Rule 

1007(d); and (3) any other entity that the court directs. 

(2) Hearing. The court may commence a final hearing on a 

motion for authorization to use cash collateral no earlier than 

14 days after service of the motion. If the motion so requests, 

the court may conduct a preliminary hearing before such 14- 

day period expires, but the court may authorize the use of 

only that amount of cash collateral as is necessary to avoid 

immediate and irreparable harm to the estate pending a final 

hearing. 

(3) Notice. Notice of hearing pursuant to this subdivision 

shall be given to the parties on whom service of the motion is 

required by paragraph (1) of this subdivision and to such other 

entities as the court may direct. 

(c) OBTAINING CREDIT. 

(1) Motion; Service. 

(A) Motion. A motion for authority to obtain credit shall 

be made in accordance with Rule 9014 and shall be accompanied by a copy of the credit agreement and a proposed 

form of order. 

(B) Contents. The motion shall consist of or (if the motion is more than five pages in length) begin with a concise 

statement of the relief requested, not to exceed five pages, 

that lists or summarizes, and sets out the location within 

the relevant documents of, all material provisions of the 

proposed credit agreement and form of order, including interest rate, maturity, events of default, liens, borrowing 

limits, and borrowing conditions. If the proposed credit 

agreement or form of order includes any of the provisions 

listed below, the concise statement shall also: briefly list 

or summarize each one; identify its specific location in the 

proposed agreement and form of order; and identify any 

such provision that is proposed to remain in effect if interim approval is granted, but final relief is denied, as provided under Rule 4001(c)(2). In addition, the motion shall 

describe the nature and extent of each provision listed 

below: 

(i) a grant of priority or a lien on property of the estate under § 364(c) or (d); 

55 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 4001 

1So in original. Probably should be only one section symbol. 

(ii) the providing of adequate protection or priority 

for a claim that arose before the commencement of the 

case, including the granting of a lien on property of 

the estate to secure the claim, or the use of property 

of the estate or credit obtained under § 364 to make 

cash payments on account of the claim; 

(iii) a determination of the validity, enforceability, 

priority, or amount of a claim that arose before the 

commencement of the case, or of any lien securing the 

claim; 

(iv) a waiver or modification of Code provisions or 

applicable rules relating to the automatic stay; 

(v) a waiver or modification of any entity’s authority 

or right to file a plan, seek an extension of time in 

which the debtor has the exclusive right to file a plan, 

request the use of cash collateral under § 363(c), or request authority to obtain credit under § 364; 

(vi) the establishment of deadlines for filing a plan of 

reorganization, for approval of a disclosure statement, 

for a hearing on confirmation, or for entry of a confirmation order; 

(vii) a waiver or modification of the applicability of 

nonbankruptcy law relating to the perfection of a lien 

on property of the estate, or on the foreclosure or 

other enforcement of the lien; 

(viii) a release, waiver, or limitation on any claim or 

other cause of action belonging to the estate or the 

trustee, including any modification of the statute of 

limitations or other deadline to commence an action; 

(ix) the indemnification of any entity; 

(x) a release, waiver, or limitation of any right under 

§ 506(c); or 

(xi) the granting of a lien on any claim or cause of 

action arising under §§ 544,1 545, 547, 548, 549, 553(b), 

723(a), or 724(a). 

(C) Service. The motion shall be served on: (1) any committee elected under § 705 or appointed under § 1102 of the 

Code, or its authorized agent, or, if the case is a chapter 

9 municipality case or a chapter 11 reorganization case and 

no committee of unsecured creditors has been appointed 

under § 1102, on the creditors included on the list filed 

under Rule 1007(d); and (2) on any other entity that the 

court directs. 

(2) Hearing. The court may commence a final hearing on a 

motion for authority to obtain credit no earlier than 14 days 

after service of the motion. If the motion so requests, the 

court may conduct a hearing before such 14-day period expires, 

but the court may authorize the obtaining of credit only to 

the extent necessary to avoid immediate and irreparable harm 

to the estate pending a final hearing. 

(3) Notice. Notice of hearing pursuant to this subdivision 

shall be given to the parties on whom service of the motion is 

required by paragraph (1) of this subdivision and to such other 

entities as the court may direct. 

Rule 4001 FEDERAL RULES OF BANKRUPTCY PROCEDURE 56 

(d) AGREEMENT RELATING TO RELIEF FROM THE AUTOMATIC STAY, 

PROHIBITING OR CONDITIONING THE USE, SALE, OR LEASE OF PROPERTY, PROVIDING ADEQUATE PROTECTION, USE OF CASH COLLATERAL, 

AND OBTAINING CREDIT. 

(1) Motion; Service. 

(A) Motion. A motion for approval of any of the following 

shall be accompanied by a copy of the agreement and a 

proposed form of order: 

(i) an agreement to provide adequate protection; 

(ii) an agreement to prohibit or condition the use, 

sale, or lease of property; 

(iii) an agreement to modify or terminate the stay 

provided for in § 362; 

(iv) an agreement to use cash collateral; or 

(v) an agreement between the debtor and an entity 

that has a lien or interest in property of the estate 

pursuant to which the entity consents to the creation 

of a lien senior or equal to the entity’s lien or interest 

in such property. 

(B) Contents. The motion shall consist of or (if the motion is more than five pages in length) begin with a concise 

statement of the relief requested, not to exceed five pages, 

that lists or summarizes, and sets out the location within 

the relevant documents of, all material provisions of the 

agreement. In addition, the concise statement shall briefly 

list or summarize, and identify the specific location of, 

each provision in the proposed form of order, agreement, 

or other document of the type listed in subdivision 

(c)(1)(B). The motion shall also describe the nature and extent of each such provision. 

(C) Service. The motion shall be served on: (1) any committee elected under § 705 or appointed under § 1102 of the 

Code, or its authorized agent, or, if the case is a chapter 

9 municipality case or a chapter 11 reorganization case and 

no committee of unsecured creditors has been appointed 

under § 1102, on the creditors included on the list filed 

under Rule 1007(d); and (2) on any other entity the court 

directs. 

(2) Objection. Notice of the motion and the time within which 

objections may be filed and served on the debtor in possession 

or trustee shall be mailed to the parties on whom service is required by paragraph (1) of this subdivision and to such other 

entities as the court may direct. Unless the court fixes a different time, objections may be filed within 15 days of the mailing of notice. 

(3) Disposition; Hearing. If no objection is filed, the court may 

enter an order approving or disapproving the agreement without conducting a hearing. If an objection is filed or if the 

court determines a hearing is appropriate, the court shall hold 

a hearing on no less than five days’ notice to the objector, the 

movant, the parties on whom service is required by paragraph 

(1) of this subdivision and such other entities as the court may 

direct. 

(4) Agreement in Settlement of Motion. The court may direct 

that the procedures prescribed in paragraphs (1), (2), and (3) of 

57 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 4002 

this subdivision shall not apply and the agreement may be approved without further notice if the court determines that a 

motion made pursuant to subdivisions (a), (b), or (c) of this 

rule was sufficient to afford reasonable notice of the material 

provisions of the agreement and opportunity for a hearing. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 30, 2007, eff. Dec. 1, 2007; 

Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 4002. Duties of Debtor 

(a) IN GENERAL. In addition to performing other duties prescribed by the Code and rules, the debtor shall: 

(1) attend and submit to an examination at the times ordered by the court; 

(2) attend the hearing on a complaint objecting to discharge 

and testify, if called as a witness; 

(3) inform the trustee immediately in writing as to the location of real property in which the debtor has an interest and 

the name and address of every person holding money or property subject to the debtor’s withdrawal or order if a schedule 

of property has not yet been filed pursuant to Rule 1007; 

(4) cooperate with the trustee in the preparation of an inventory, the examination of proofs of claim, and the administration of the estate; and 

(5) file a statement of any change of the debtor’s address. 

(b) INDIVIDUAL DEBTOR’S DUTY TO PROVIDE DOCUMENTATION. 

(1) Personal Identification. Every individual debtor shall bring 

to the meeting of creditors under § 341: 

(A) a picture identification issued by a governmental 

unit, or other personal identifying information that establishes the debtor’s identity; and 

(B) evidence of social-security number(s), or a written 

statement that such documentation does not exist. 

(2) Financial Information. Every individual debtor shall bring 

to the meeting of creditors under § 341, and make available to 

the trustee, the following documents or copies of them, or provide a written statement that the documentation does not 

exist or is not in the debtor’s possession: 

(A) evidence of current income such as the most recent 

payment advice; 

(B) unless the trustee or the United States trustee instructs otherwise, statements for each of the debtor’s depository and investment accounts, including checking, 

savings, and money market accounts, mutual funds and 

brokerage accounts for the time period that includes the 

date of the filing of the petition; and 

(C) documentation of monthly expenses claimed by the 

debtor if required by § 707(b)(2)(A) or (B). 

(3) Tax Return. At least 7 days before the first date set for 

the meeting of creditors under § 341, the debtor shall provide to 

the trustee a copy of the debtor’s federal income tax return for 

the most recent tax year ending immediately before the commencement of the case and for which a return was filed, including any attachments, or a transcript of the tax return, or 

Rule 4003 FEDERAL RULES OF BANKRUPTCY PROCEDURE 58 

provide a written statement that the documentation does not 

exist. 

(4) Tax Returns Provided to Creditors. If a creditor, at least 14 

days before the first date set for the meeting of creditors 

under § 341, requests a copy of the debtor’s tax return that is 

to be provided to the trustee under subdivision (b)(3), the debtor, at least 7 days before the first date set for the meeting of 

creditors under § 341, shall provide to the requesting creditor a 

copy of the return, including any attachments, or a transcript 

of the tax return, or provide a written statement that the documentation does not exist. 

(5) Confidentiality of Tax Information. The debtor’s obligation 

to provide tax returns under Rule 4002(b)(3) and (b)(4) is subject to procedures for safeguarding the confidentiality of tax 

information established by the Director of the Administrative 

Office of the United States Courts. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 

1 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 4003. Exemptions 

(a) CLAIM OF EXEMPTIONS. A debtor shall list the property 

claimed as exempt under § 522 of the Code on the schedule of assets 

required to be filed by Rule 1007. If the debtor fails to claim exemptions or file the schedule within the time specified in Rule 

1007, a dependent of the debtor may file the list within 30 days 

thereafter. 

(b) OBJECTING TO A CLAIM OF EXEMPTIONS. 

(1) Except as provided in paragraphs (2) and (3), a party in interest may file an objection to the list of property claimed as 

exempt within 30 days after the meeting of creditors held 

under § 341(a) is concluded or within 30 days after any amendment to the list or supplemental schedules is filed, whichever 

is later. The court may, for cause, extend the time for filing 

objections if, before the time to object expires, a party in interest files a request for an extension. 

(2) The trustee may file an objection to a claim of exemption 

at any time prior to one year after the closing of the case if 

the debtor fraudulently asserted the claim of exemption. The 

trustee shall deliver or mail the objection to the debtor and 

the debtor’s attorney, and to any person filing the list of exempt property and that person’s attorney. 

(3) An objection to a claim of exemption based on § 522(q) 

shall be filed before the closing of the case. If an exemption is 

first claimed after a case is reopened, an objection shall be 

filed before the reopened case is closed. 

(4) A copy of any objection shall be delivered or mailed to 

the trustee, the debtor and the debtor’s attorney, and the person filing the list and that person’s attorney. 

(c) BURDEN OF PROOF. In any hearing under this rule, the objecting party has the burden of proving that the exemptions are not 

properly claimed. After hearing on notice, the court shall determine the issues presented by the objections. 

(d) AVOIDANCE BY DEBTOR OF TRANSFERS OF EXEMPT PROPERTY. 

A proceeding by the debtor to avoid a lien or other transfer of 

59 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 4004 

property exempt under § 522(f) of the Code shall be by motion in 

accordance with Rule 9014. Notwithstanding the provisions of subdivision (b), a creditor may object to a motion filed under § 522(f) 

by challenging the validity of the exemption asserted to be impaired by the lien. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 4004. Grant or Denial of Discharge 

(a) TIME FOR FILING COMPLAINT OBJECTING TO DISCHARGE; NOTICE

OF TIME FIXED. In a chapter 7 liquidation case a complaint objecting to the debtor’s discharge under § 727(a) of the Code shall be 

filed no later than 60 days after the first date set for the meeting 

of creditors under § 341(a). In a chapter 11 reorganization case, the 

complaint shall be filed no later than the first date set for the 

hearing on confirmation. At least 28 days’ notice of the time so 

fixed shall be given to the United States trustee and all creditors 

as provided in Rule 2002(f) and (k) and to the trustee and the trustee’s attorney. 

(b) EXTENSION OF TIME. On motion of any party in interest, after 

hearing on notice, the court may for cause extend the time to file 

a complaint objecting to discharge. The motion shall be filed before the time has expired. 

(c) GRANT OF DISCHARGE. 

(1) In a chapter 7 case, on expiration of the time fixed for filing a complaint objecting to discharge and the time fixed for 

filing a motion to dismiss the case under Rule 1017(e), the 

court shall forthwith grant the discharge unless: 

(A) the debtor is not an individual; 

(B) a complaint objecting to the discharge has been filed; 

(C) the debtor has filed a waiver under § 727(a)(10); 

(D) a motion to dismiss the case under § 707 is pending; 

(E) a motion to extend the time for filing a complaint 

objecting to the discharge is pending; 

(F) a motion to extend the time for filing a motion to 

dismiss the case under Rule 1017(e)(1) is pending; 

(G) the debtor has not paid in full the filing fee prescribed by 28 U.S.C. § 1930(a) and any other fee prescribed 

by the Judicial Conference of the United States under 28 

U.S.C. § 1930(b) that is payable to the clerk upon the commencement of a case under the Code, unless the court has 

waived the fees under 28 U.S.C. § 1930(f); 

(H) the debtor has not filed with the court a statement 

of completion of a course concerning personal financial 

management as required by Rule 1007(b)(7); 

(I) a motion to delay or postpone discharge under 

§ 727(a)(12) is pending; 

(J) a motion to enlarge the time to file a reaffirmation 

agreement under Rule 4008(a) is pending; 

(K) a presumption has arisen under § 524(m) that a reaffirmation agreement is an undue hardship; or 

(L) a motion is pending to delay discharge, because the 

debtor has not filed with the court all tax documents required to be filed under § 521(f). 

Rule 4005 FEDERAL RULES OF BANKRUPTCY PROCEDURE 60 

(2) Notwithstanding Rule 4004(c)(1), on motion of the debtor, 

the court may defer the entry of an order granting a discharge 

for 30 days and, on motion within that period, the court may 

defer entry of the order to a date certain. 

(3) If the debtor is required to file a statement under Rule 

1007(b)(8), the court shall not grant a discharge earlier than 30 

days after the statement is filed. 

(d) APPLICABILITY OF RULES IN PART VII. A proceeding commenced by a complaint objecting to discharge is governed by Part 

VII of these rules. 

(e) ORDER OF DISCHARGE. An order of discharge shall conform to 

the appropriate Official Form. 

(f) REGISTRATION IN OTHER DISTRICTS. An order of discharge that 

has become final may be registered in any other district by filing 

a certified copy of the order in the office of the clerk of that district. When so registered the order of discharge shall have the 

same effect as an order of the court of the district where registered. 

(g) NOTICE OF DISCHARGE. The clerk shall promptly mail a copy 

of the final order of discharge to those specified in subdivision (a) 

of this rule. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; Apr. 26, 1999, eff. Dec. 1, 1999; 

Apr. 17, 2000, eff. Dec. 1, 2000; Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 

23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 4005. Burden of Proof in Objecting to Discharge 

At the trial on a complaint objecting to a discharge, the plaintiff has the burden of proving the objection. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 4006. Notice of No Discharge 

If an order is entered: denying a discharge; revoking a discharge; 

approving a waiver of discharge; or, in the case of an individual 

debtor, closing the case without the entry of a discharge, the 

clerk shall promptly notify all parties in interest in the manner 

provided by Rule 2002. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 

1, 2008.) 

Rule 4007. Determination of Dischargeability of a Debt 

(a) PERSONS ENTITLED TO FILE COMPLAINT. A debtor or any creditor may file a complaint to obtain a determination of the dischargeability of any debt. 

(b) TIME FOR COMMENCING PROCEEDING OTHER THAN UNDER

§ 523(c) OF THE CODE. A complaint other than under § 523(c) may be 

filed at any time. A case may be reopened without payment of an 

additional filing fee for the purpose of filing a complaint to obtain 

a determination under this rule. 

(c) TIME FOR FILING COMPLAINT UNDER § 523(c) IN A CHAPTER 7 

LIQUIDATION, CHAPTER 11 REORGANIZATION, CHAPTER 12 FAMILY

FARMER’S DEBT ADJUSTMENT CASE, OR CHAPTER 13 INDIVIDUAL’S

61 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 5001 

DEBT ADJUSTMENT CASE; NOTICE OF TIME FIXED. Except as otherwise provided in subdivision (d), a complaint to determine the dischargeability of a debt under § 523(c) shall be filed no later than 

60 days after the first date set for the meeting of creditors under 

§ 341(a). The court shall give all creditors no less than 30 days’ notice of the time so fixed in the manner provided in Rule 2002. On 

motion of a party in interest, after hearing on notice, the court 

may for cause extend the time fixed under this subdivision. The 

motion shall be filed before the time has expired. 

(d) TIME FOR FILING COMPLAINT UNDER § 523(a)(6) IN A CHAPTER 13 

INDIVIDUAL’S DEBT ADJUSTMENT CASE; NOTICE OF TIME FIXED. On 

motion by a debtor for a discharge under § 1328(b), the court shall 

enter an order fixing the time to file a complaint to determine the 

dischargeability of any debt under § 523(a)(6) and shall give no less 

than 30 days’ notice of the time fixed to all creditors in the manner provided in Rule 2002. On motion of any party in interest, after 

hearing on notice, the court may for cause extend the time fixed 

under this subdivision. The motion shall be filed before the time 

has expired. 

(e) APPLICABILITY OF RULES IN PART VII. A proceeding commenced by a complaint filed under this rule is governed by Part 

VII of these rules. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 4008. Filing of Reaffirmation Agreement; Statement in Support of Reaffirmation Agreement 

(a) FILING OF REAFFIRMATION AGREEMENT. A reaffirmation agreement shall be filed no later than 60 days after the first date set 

for the meeting of creditors under § 341(a) of the Code. The reaffirmation agreement shall be accompanied by a cover sheet, prepared as prescribed by the appropriate Official Form. The court 

may, at any time and in its discretion, enlarge the time to file a 

reaffirmation agreement. 

(b) STATEMENT IN SUPPORT OF REAFFIRMATION AGREEMENT. The 

debtor’s statement required under § 524(k)(6)(A) of the Code shall 

be accompanied by a statement of the total income and expenses 

stated on schedules I and J. If there is a difference between the 

total income and expenses stated on those schedules and the 

statement required under § 524(k)(6)(A), the statement required by 

this subdivision shall include an explanation of the difference. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec. 

1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

PART V—COURTS AND CLERKS 

Rule 5001. Courts and Clerks’ Offices 

(a) COURTS ALWAYS OPEN. The courts shall be deemed always 

open for the purpose of filing any pleading or other proper paper, 

issuing and returning process, and filing, making, or entering motions, orders and rules. 

(b) TRIALS AND HEARINGS; ORDERS IN CHAMBERS. All trials and 

hearings shall be conducted in open court and so far as convenient 

in a regular court room. Except as otherwise provided in 28 U.S.C. 

Rule 5002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 62 

§ 152(c), all other acts or proceedings may be done or conducted by 

a judge in chambers and at any place either within or without the 

district; but no hearing, other than one ex parte, shall be conducted outside the district without the consent of all parties affected thereby. 

(c) CLERK’S OFFICE. The clerk’s office with the clerk or a deputy 

in attendance shall be open during business hours on all days except Saturdays, Sundays and the legal holidays listed in Rule 

9006(a). 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 5002. Restrictions on Approval of Appointments 

(a) APPROVAL OF APPOINTMENT OF RELATIVES PROHIBITED. The 

appointment of an individual as a trustee or examiner pursuant to 

§ 1104 of the Code shall not be approved by the court if the individual is a relative of the bankruptcy judge approving the appointment or the United States trustee in the region in which the case 

is pending. The employment of an individual as an attorney, accountant, appraiser, auctioneer, or other professional person pursuant to §§ 327, 1103, or 1114 shall not be approved by the court if 

the individual is a relative of the bankruptcy judge approving the 

employment. The employment of an individual as attorney, accountant, appraiser, auctioneer, or other professional person pursuant to §§ 327, 1103, or 1114 may be approved by the court if the 

individual is a relative of the United States trustee in the region 

in which the case is pending, unless the court finds that the relationship with the United States trustee renders the employment 

improper under the circumstances of the case. Whenever under 

this subdivision an individual may not be approved for appointment or employment, the individual’s firm, partnership, corporation, or any other form of business association or relationship, 

and all members, associates and professional employees thereof 

also may not be approved for appointment or employment. 

(b) JUDICIAL DETERMINATION THAT APPROVAL OF APPOINTMENT OR

EMPLOYMENT IS IMPROPER. A bankruptcy judge may not approve 

the appointment of a person as a trustee or examiner pursuant to 

§ 1104 of the Code or approve the employment of a person as an attorney, accountant, appraiser, auctioneer, or other professional 

person pursuant to §§ 327, 1103, or 1114 of the Code if that person 

is or has been so connected with such judge or the United States 

trustee as to render the appointment or employment improper. 

(As amended Apr. 29, 1985, eff. Aug. 1, 1985; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 5003. Records Kept By the Clerk 

(a) BANKRUPTCY DOCKETS. The clerk shall keep a docket in each 

case under the Code and shall enter thereon each judgment, order, 

and activity in that case as prescribed by the Director of the Administrative Office of the United States Courts. The entry of a 

judgment or order in a docket shall show the date the entry is 

made. 

63 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 5003 

(b) CLAIMS REGISTER. The clerk shall keep in a claims register 

a list of claims filed in a case when it appears that there will be 

a distribution to unsecured creditors. 

(c) JUDGMENTS AND ORDERS. The clerk shall keep, in the form 

and manner as the Director of the Administrative Office of the 

United States Courts may prescribe, a correct copy of every final 

judgment or order affecting title to or lien on real property or for 

the recovery of money or property, and any other order which the 

court may direct to be kept. On request of the prevailing party, 

a correct copy of every judgment or order affecting title to or lien 

upon real or personal property or for the recovery of money or 

property shall be kept and indexed with the civil judgments of the 

district court. 

(d) INDEX OF CASES; CERTIFICATE OF SEARCH. The clerk shall keep 

indices of all cases and adversary proceedings as prescribed by the 

Director of the Administrative Office of the United States Courts. 

On request, the clerk shall make a search of any index and papers 

in the clerk’s custody and certify whether a case or proceeding 

has been filed in or transferred to the court or if a discharge has 

been entered in its records. 

(e) REGISTER OF MAILING ADDRESSES OF FEDERAL AND STATE

GOVERNMENTAL UNITS AND CERTAIN TAXING AUTHORITIES. The 

United States or the state or territory in which the court is located may file a statement designating its mailing address. The 

United States, state, territory, or local governmental unit responsible for collecting taxes within the district in which the case is 

pending may also file a statement designating an address for service of requests under § 505(b) of the Code, and the designation shall 

describe where further information concerning additional requirements for filing such requests may be found. The clerk shall keep, 

in the form and manner as the Director of the Administrative Office of the United States Courts may prescribe, a register that includes the mailing addresses designated under the first sentence of 

this subdivision, and a separate register of the addresses designated for the service of requests under § 505(b) of the Code. The 

clerk is not required to include in any single register more than 

one mailing address for each department, agency, or instrumentality of the United States or the state or territory. If more than 

one address for a department, agency, or instrumentality is included in the register, the clerk shall also include information 

that would enable a user of the register to determine the circumstances when each address is applicable, and mailing notice to 

only one applicable address is sufficient to provide effective notice. The clerk shall update the register annually, effective January 2 of each year. The mailing address in the register is conclusively presumed to be a proper address for the governmental unit, 

but the failure to use that mailing address does not invalidate any 

notice that is otherwise effective under applicable law. 

(f) OTHER BOOKS AND RECORDS OF THE CLERK. The clerk shall 

keep any other books and records required by the Director of the 

Administrative Office of the United States Courts. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 17, 2000, eff. Dec. 

1, 2000; Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 5004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 64 

1So in original. Probably should be ‘‘circumstance’’. 

Rule 5004. Disqualification 

(a) DISQUALIFICATION OF JUDGE. A bankruptcy judge shall be governed by 28 U.S.C. § 455, and disqualified from presiding over the 

proceeding or contested matter in which the disqualifying circumstances 1 arises or, if appropriate, shall be disqualified from presiding over the case. 

(b) DISQUALIFICATION OF JUDGE FROM ALLOWING COMPENSATION. A 

bankruptcy judge shall be disqualified from allowing compensation to a person who is a relative of the bankruptcy judge or with 

whom the judge is so connected as to render it improper for the 

judge to authorize such compensation. 

(As amended Apr. 29, 1985, eff. Aug. 1, 1985; Mar. 30, 1987, eff. Aug. 

1, 1987.) 

Rule 5005. Filing and Transmittal of Papers 

(a) FILING. 

(1) Place of Filing. The lists, schedules, statements, proofs of 

claim or interest, complaints, motions, applications, objections and other papers required to be filed by these rules, except as provided in 28 U.S.C. § 1409, shall be filed with the clerk 

in the district where the case under the Code is pending. The 

judge of that court may permit the papers to be filed with the 

judge, in which event the filing date shall be noted thereon, 

and they shall be forthwith transmitted to the clerk. The 

clerk shall not refuse to accept for filing any petition or other 

paper presented for the purpose of filing solely because it is 

not presented in proper form as required by these rules or any 

local rules or practices. 

(2) Filing by Electronic Means. A court may by local rule permit or require documents to be filed, signed, or verified by 

electronic means that are consistent with technical standards, 

if any, that the Judicial Conference of the United States establishes. A local rule may require filing by electronic means 

only if reasonable exceptions are allowed. A document filed by 

electronic means in compliance with a local rule constitutes 

a written paper for the purpose of applying these rules, the 

Federal Rules of Civil Procedure made applicable by these 

rules, and § 107 of the Code. 

(b) TRANSMITTAL TO THE UNITED STATES TRUSTEE. 

(1) The complaints, motions, applications, objections and 

other papers required to be transmitted to the United States 

trustee by these rules shall be mailed or delivered to an office 

of the United States trustee, or to another place designated by 

the United States trustee, in the district where the case under 

the Code is pending. 

(2) The entity, other than the clerk, transmitting a paper to 

the United States trustee shall promptly file as proof of such 

transmittal a verified statement identifying the paper and 

stating the date on which it was transmitted to the United 

States trustee. 

(3) Nothing in these rules shall require the clerk to transmit 

any paper to the United States trustee if the United States 

trustee requests in writing that the paper not be transmitted. 

65 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 5008 

(c) ERROR IN FILING OR TRANSMITTAL. A paper intended to be 

filed with the clerk but erroneously delivered to the United States 

trustee, the trustee, the attorney for the trustee, a bankruptcy 

judge, a district judge, the clerk of the bankruptcy appellate 

panel, or the clerk of the district court shall, after the date of its 

receipt has been noted thereon, be transmitted forthwith to the 

clerk of the bankruptcy court. A paper intended to be transmitted 

to the United States trustee but erroneously delivered to the 

clerk, the trustee, the attorney for the trustee, a bankruptcy 

judge, a district judge, the clerk of the bankruptcy appellate 

panel, or the clerk of the district court shall, after the date of its 

receipt has been noted thereon, be transmitted forthwith to the 

United States trustee. In the interest of justice, the court may 

order that a paper erroneously delivered shall be deemed filed 

with the clerk or transmitted to the United States trustee as of 

the date of its original delivery. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 23, 1996, eff. Dec. 1, 1996; 

Apr. 12, 2006, eff. Dec. 1, 2006.) 

Rule 5006. Certification of Copies of Papers 

The clerk shall issue a certified copy of the record of any proceeding in a case under the Code or of any paper filed with the 

clerk on payment of any prescribed fee. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 5007. Record of Proceedings and Transcripts 

(a) FILING OF RECORD OR TRANSCRIPT. The reporter or operator 

of a recording device shall certify the original notes of testimony, 

tape recording, or other original record of the proceeding and 

promptly file them with the clerk. The person preparing any transcript shall promptly file a certified copy. 

(b) TRANSCRIPT FEES. The fees for copies of transcripts shall be 

charged at rates prescribed by the Judicial Conference of the 

United States. No fee may be charged for the certified copy filed 

with the clerk. 

(c) ADMISSIBILITY OF RECORD IN EVIDENCE. A certified sound recording or a transcript of a proceeding shall be admissible as 

prima facie evidence to establish the record. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 5008. Notice Regarding Presumption of Abuse in Chapter 7 

Cases of Individual Debtors 

If a presumption of abuse has arisen under § 707(b) in a chapter 

7 case of an individual with primarily consumer debts, the clerk 

shall within 10 days after the date of the filing of the petition notify creditors of the presumption of abuse in accordance with Rule 

2002. If the debtor has not filed a statement indicating whether a 

presumption of abuse has arisen, the clerk shall within 10 days 

after the date of the filing of the petition notify creditors that the 

debtor has not filed the statement and that further notice will be 

given if a later filed statement indicates that a presumption of 

Rule 5009 FEDERAL RULES OF BANKRUPTCY PROCEDURE 66 

abuse has arisen. If a debtor later files a statement indicating 

that a presumption of abuse has arisen, the clerk shall notify 

creditors of the presumption of abuse as promptly as practicable. 

(Added Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 5009. Closing Chapter 7 Liquidation, Chapter 12 Family Farmer’s Debt Adjustment, and Chapter 13 Individual’s Debt Adjustment Cases 

If in a chapter 7, chapter 12, or chapter 13 case the trustee has 

filed a final report and final account and has certified that the estate has been fully administered, and if within 30 days no objection has been filed by the United States trustee or a party in interest, there shall be a presumption that the estate has been fully 

administered. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 5010. Reopening Cases 

A case may be reopened on motion of the debtor or other party 

in interest pursuant to § 350(b) of the Code. In a chapter 7, 12, or 

13 case a trustee shall not be appointed by the United States 

trustee unless the court determines that a trustee is necessary to 

protect the interests of creditors and the debtor or to insure efficient administration of the case. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 5011. Withdrawal and Abstention from Hearing a Proceeding 

(a) WITHDRAWAL. A motion for withdrawal of a case or proceeding shall be heard by a district judge. 

(b) ABSTENTION FROM HEARING A PROCEEDING. A motion for abstention pursuant to 28 U.S.C. § 1334(c) shall be governed by Rule 

9014 and shall be served on the parties to the proceeding. 

(c) EFFECT OF FILING OF MOTION FOR WITHDRAWAL OR ABSTENTION. The filing of a motion for withdrawal of a case or proceeding 

or for abstention pursuant to 28 U.S.C. § 1334(c) shall not stay the 

administration of the case or any proceeding therein before the 

bankruptcy judge except that the bankruptcy judge may stay, on 

such terms and conditions as are proper, proceedings pending disposition of the motion. A motion for a stay ordinarily shall be 

presented first to the bankruptcy judge. A motion for a stay or relief from a stay filed in the district court shall state why it has 

not been presented to or obtained from the bankruptcy judge. Relief granted by the district judge shall be on such terms and conditions as the judge deems proper. 

(Added Mar. 30, 1987, eff. Aug. 1, 1987; amended Apr. 30, 1991, eff. 

Aug. 1, 1991.) 

PART VI—COLLECTION AND LIQUIDATION OF THE ESTATE 

Rule 6001. Burden of Proof As to Validity of Postpetition Transfer 

Any entity asserting the validity of a transfer under § 549 of the 

Code shall have the burden of proof. 

67 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 6004 

Rule 6002. Accounting by Prior Custodian of Property of the Estate 

(a) ACCOUNTING REQUIRED. Any custodian required by the Code 

to deliver property in the custodian’s possession or control to the 

trustee shall promptly file and transmit to the United States 

trustee a report and account with respect to the property of the 

estate and the administration thereof. 

(b) EXAMINATION OF ADMINISTRATION. On the filing and transmittal of the report and account required by subdivision (a) of this 

rule and after an examination has been made into the superseded 

administration, after notice and a hearing, the court shall determine the propriety of the administration, including the reasonableness of all disbursements. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993.) 

Rule 6003. Interim and Final Relief Immediately Following the 

Commencement of the Case—Applications for Employment; 

Motions for Use, Sale, or Lease of Property; and Motions for Assumption or Assignment of Executory Contracts 

Except to the extent that relief is necessary to avoid immediate 

and irreparable harm, the court shall not, within 21 days after the 

filing of the petition, grant relief regarding the following: 

(a) an application under Rule 2014; 

(b) a motion to use, sell, lease, or otherwise incur an obligation regarding property of the estate, including a motion to 

pay all or part of a claim that arose before the filing of the petition, but not a motion under Rule 4001; and 

(c) a motion to assume or assign an executory contract or 

unexpired lease in accordance with § 365. 

(Added Apr. 30, 2007, eff. Dec. 1, 2007; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 6004. Use, Sale, or Lease of Property 

(a) NOTICE OF PROPOSED USE, SALE, OR LEASE OF PROPERTY. Notice of a proposed use, sale, or lease of property, other than cash 

collateral, not in the ordinary course of business shall be given 

pursuant to Rule 2002(a)(2), (c)(1), (i), and (k) and, if applicable, in 

accordance with § 363(b)(2) of the Code. 

(b) OBJECTION TO PROPOSAL. Except as provided in subdivisions 

(c) and (d) of this rule, an objection to a proposed use, sale, or 

lease of property shall be filed and served not less than seven days 

before the date set for the proposed action or within the time 

fixed by the court. An objection to the proposed use, sale, or lease 

of property is governed by Rule 9014. 

(c) SALE FREE AND CLEAR OF LIENS AND OTHER INTERESTS. A motion for authority to sell property free and clear of liens or other 

interests shall be made in accordance with Rule 9014 and shall be 

served on the parties who have liens or other interests in the property to be sold. The notice required by subdivision (a) of this rule 

shall include the date of the hearing on the motion and the time 

within which objections may be filed and served on the debtor in 

possession or trustee. 

Rule 6004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 68 

(d) SALE OF PROPERTY UNDER $2,500. Notwithstanding subdivision (a) of this rule, when all of the nonexempt property of the estate has an aggregate gross value less than $2,500, it shall be sufficient to give a general notice of intent to sell such property other 

than in the ordinary course of business to all creditors, indenture 

trustees, committees appointed or elected pursuant to the Code, 

the United States trustee and other persons as the court may direct. An objection to any such sale may be filed and served by a 

party in interest within 14 days of the mailing of the notice, or 

within the time fixed by the court. An objection is governed by 

Rule 9014. 

(e) HEARING. If a timely objection is made pursuant to subdivision (b) or (d) of this rule, the date of the hearing thereon may be 

set in the notice given pursuant to subdivision (a) of this rule. 

(f) CONDUCT OF SALE NOT IN THE ORDINARY COURSE OF BUSINESS. 

(1) Public or Private Sale. All sales not in the ordinary course 

of business may be by private sale or by public auction. Unless 

it is impracticable, an itemized statement of the property 

sold, the name of each purchaser, and the price received for 

each item or lot or for the property as a whole if sold in bulk 

shall be filed on completion of a sale. If the property is sold 

by an auctioneer, the auctioneer shall file the statement, 

transmit a copy thereof to the United States trustee, and furnish a copy to the trustee, debtor in possession, or chapter 13 

debtor. If the property is not sold by an auctioneer, the trustee, debtor in possession, or chapter 13 debtor shall file the 

statement and transmit a copy thereof to the United States 

trustee. 

(2) Execution of Instruments. After a sale in accordance with 

this rule the debtor, the trustee, or debtor in possession, as 

the case may be, shall execute any instrument necessary or 

ordered by the court to effectuate the transfer to the purchaser. 

(g) SALE OF PERSONALLY IDENTIFIABLE INFORMATION. 

(1) Motion. A motion for authority to sell or lease personally 

identifiable information under § 363(b)(1)(B) shall include a request for an order directing the United States trustee to appoint a consumer privacy ombudsman under § 332. Rule 9014 

governs the motion which shall be served on: any committee 

elected under § 705 or appointed under § 1102 of the Code, or if 

the case is a chapter 11 reorganization case and no committee 

of unsecured creditors has been appointed under § 1102, on the 

creditors included on the list of creditors filed under Rule 

1007(d); and on such other entities as the court may direct. The 

motion shall be transmitted to the United States trustee. 

(2) Appointment. If a consumer privacy ombudsman is appointed under § 332, no later than seven days before the hearing 

on the motion under § 363(b)(1)(B), the United States trustee 

shall file a notice of the appointment, including the name and 

address of the person appointed. The United States trustee’s 

notice shall be accompanied by a verified statement of the 

person appointed setting forth the person’s connections with 

the debtor, creditors, any other party in interest, their respective attorneys and accountants, the United States trustee, or 

any person employed in the office of the United States trustee. 

69 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 6006 

(h) STAY OF ORDER AUTHORIZING USE, SALE, OR LEASE OF PROPERTY. An order authorizing the use, sale, or lease of property other 

than cash collateral is stayed until the expiration of 14 days after 

entry of the order, unless the court orders otherwise. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2008, eff. Dec. 1, 2008; 

Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 6005. Appraisers and Auctioneers 

The order of the court approving the employment of an appraiser or auctioneer shall fix the amount or rate of compensation. No officer or employee of the Judicial Branch of the United 

States or the United States Department of Justice shall be eligible to act as appraiser or auctioneer. No residence or licensing requirement shall disqualify an appraiser or auctioneer from employment. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 6006. Assumption, Rejection or Assignment of an Executory 

Contract or Unexpired Lease 

(a) PROCEEDING TO ASSUME, REJECT, OR ASSIGN. A proceeding to 

assume, reject, or assign an executory contract or unexpired lease, 

other than as part of a plan, is governed by Rule 9014. 

(b) PROCEEDING TO REQUIRE TRUSTEE TO ACT. A proceeding by a 

party to an executory contract or unexpired lease in a chapter 9 

municipality case, chapter 11 reorganization case, chapter 12 family farmer’s debt adjustment case, or chapter 13 individual’s debt 

adjustment case, to require the trustee, debtor in possession, or 

debtor to determine whether to assume or reject the contract or 

lease is governed by Rule 9014. 

(c) NOTICE. Notice of a motion made pursuant to subdivision (a) 

or (b) of this rule shall be given to the other party to the contract 

or lease, to other parties in interest as the court may direct, and, 

except in a chapter 9 municipality case, to the United States 

trustee. 

(d) STAY OF ORDER AUTHORIZING ASSIGNMENT. An order authorizing the trustee to assign an executory contract or unexpired lease 

under § 365(f) is stayed until the expiration of 14 days after the 

entry of the order, unless the court orders otherwise. 

(e) LIMITATIONS. The trustee shall not seek authority to assume 

or assign multiple executory contracts or unexpired leases in one 

motion unless: (1) all executory contracts or unexpired leases to 

be assumed or assigned are between the same parties or are to be 

assigned to the same assignee; (2) the trustee seeks to assume, but 

not assign to more than one assignee, unexpired leases of real 

property; or (3) the court otherwise authorizes the motion to be 

filed. Subject to subdivision (f), the trustee may join requests for 

authority to reject multiple executory contracts or unexpired 

leases in one motion. 

(f) OMNIBUS MOTIONS. A motion to reject or, if permitted under 

subdivision (e), a motion to assume or assign multiple executory 

contracts or unexpired leases that are not between the same parties shall: 

Rule 6007 FEDERAL RULES OF BANKRUPTCY PROCEDURE 70 

(1) state in a conspicuous place that parties receiving the 

omnibus motion should locate their names and their contracts 

or leases listed in the motion; 

(2) list parties alphabetically and identify the corresponding 

contract or lease; 

(3) specify the terms, including the curing of defaults, for 

each requested assumption or assignment; 

(4) specify the terms, including the identity of each assignee 

and the adequate assurance of future performance by each assignee, for each requested assignment; 

(5) be numbered consecutively with other omnibus motions 

to assume, assign, or reject executory contracts or unexpired 

leases; and 

(6) be limited to no more than 100 executory contracts or unexpired leases. 

(g) FINALITY OF DETERMINATION. The finality of any order respecting an executory contract or unexpired lease included in an 

omnibus motion shall be determined as though such contract or 

lease had been the subject of a separate motion. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Apr. 26, 1999, eff. Dec. 1, 1999; 

Apr. 30 2007, eff. Dec. 1, 2007; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 6007. Abandonment or Disposition of Property 

(a) NOTICE OF PROPOSED ABANDONMENT OR DISPOSITION; OBJECTIONS; HEARING. Unless otherwise directed by the court, the trustee or debtor in possession shall give notice of a proposed abandonment or disposition of property to the United States trustee, all 

creditors, indenture trustees, and committees elected pursuant to 

§ 705 or appointed pursuant to § 1102 of the Code. A party in interest may file and serve an objection within 14 days of the mailing 

of the notice, or within the time fixed by the court. If a timely objection is made, the court shall set a hearing on notice to the 

United States trustee and to other entities as the court may direct. 

(b) MOTION BY PARTY IN INTEREST. A party in interest may file 

and serve a motion requiring the trustee or debtor in possession 

to abandon property of the estate. 

[(c) HEARING] (Abrogated Apr. 22, 1993, eff. Aug. 1, 1993) 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 6008. Redemption of Property from Lien or Sale 

On motion by the debtor, trustee, or debtor in possession and 

after hearing on notice as the court may direct, the court may authorize the redemption of property from a lien or from a sale to 

enforce a lien in accordance with applicable law. 

Rule 6009. Prosecution and Defense of Proceedings by Trustee or 

Debtor in Possession 

With or without court approval, the trustee or debtor in possession may prosecute or may enter an appearance and defend any 

pending action or proceeding by or against the debtor, or commence and prosecute any action or proceeding in behalf of the estate before any tribunal. 

71 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 6011 

Rule 6010. Proceeding to Avoid Indemnifying Lien or Transfer to 

Surety 

If a lien voidable under § 547 of the Code has been dissolved by 

the furnishing of a bond or other obligation and the surety thereon has been indemnified by the transfer of, or the creation of a 

lien upon, nonexempt property of the debtor, the surety shall be 

joined as a defendant in any proceeding to avoid the indemnifying 

transfer or lien. Such proceeding is governed by the rules in Part 

VII. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 6011. Disposal of Patient Records in Health Care Business 

Case 

(a) NOTICE BY PUBLICATION UNDER § 351(1)(A). A notice regarding 

the claiming or disposing of patient records under § 351(1)(A) shall 

not identify any patient by name or other identifying information, but shall: 

(1) identify with particularity the health care facility whose 

patient records the trustee proposes to destroy; 

(2) state the name, address, telephone number, email address, and website, if any, of a person from whom information 

about the patient records may be obtained; 

(3) state how to claim the patient records; and 

(4) state the date by which patient records must be claimed, 

and that if they are not so claimed the records will be destroyed. 

(b) NOTICE BY MAIL UNDER § 351(1)(B). Subject to applicable nonbankruptcy law relating to patient privacy, a notice regarding the 

claiming or disposing of patient records under § 351(1)(B) shall, in 

addition to including the information in subdivision (a), direct 

that a patient’s family member or other representative who receives the notice inform the patient of the notice. Any notice 

under this subdivision shall be mailed to the patient and any family member or other contact person whose name and address have 

been given to the trustee or the debtor for the purpose of providing information regarding the patient’s health care, to the Attorney General of the State where the health care facility is located, 

and to any insurance company known to have provided health 

care insurance to the patient. 

(c) PROOF OF COMPLIANCE WITH NOTICE REQUIREMENT. Unless the 

court orders the trustee to file proof of compliance with § 351(1)(B) 

under seal, the trustee shall not file, but shall maintain, the proof 

of compliance for a reasonable time. 

(d) REPORT OF DESTRUCTION OF RECORDS. The trustee shall file, 

no later than 30 days after the destruction of patient records 

under § 351(3), a report certifying that the unclaimed records have 

been destroyed and explaining the method used to effect the destruction. The report shall not identify any patient by name or 

other identifying information. 

(Added Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 7001 FEDERAL RULES OF BANKRUPTCY PROCEDURE 72 

PART VII—ADVERSARY PROCEEDINGS 

Rule 7001. Scope of Rules of Part VII 

An adversary proceeding is governed by the rules of this Part 

VII. The following are adversary proceedings: 

(1) a proceeding to recover money or property, other than a 

proceeding to compel the debtor to deliver property to the 

trustee, or a proceeding under § 554(b) or § 725 of the Code, Rule 

2017, or Rule 6002; 

(2) a proceeding to determine the validity, priority, or extent of a lien or other interest in property, other than a proceeding under Rule 4003(d); 

(3) a proceeding to obtain approval under § 363(h) for the sale 

of both the interest of the estate and of a co-owner in property; 

(4) a proceeding to object to or revoke a discharge; 

(5) a proceeding to revoke an order of confirmation of a 

chapter 11, chapter 12, or chapter 13 plan; 

(6) a proceeding to determine the dischargeability of a debt; 

(7) a proceeding to obtain an injunction or other equitable 

relief, except when a chapter 9, chapter 11, chapter 12, or chapter 13 plan provides for the relief; 

(8) a proceeding to subordinate any allowed claim or interest, except when a chapter 9, chapter 11, chapter 12, or chapter 

13 plan provides for subordination; 

(9) a proceeding to obtain a declaratory judgment relating to 

any of the foregoing; or 

(10) a proceeding to determine a claim or cause of action removed under 28 U.S.C. § 1452. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 26, 1999, eff. Dec. 1, 1999.) 

Rule 7002. References to Federal Rules of Civil Procedure 

Whenever a Federal Rule of Civil Procedure applicable to adversary proceedings makes reference to another Federal Rule of Civil 

Procedure, the reference shall be read as a reference to the Federal Rule of Civil Procedure as modified in this Part VII. 

Rule 7003. Commencement of Adversary Proceeding 

Rule 3 F.R.Civ.P. applies in adversary proceedings. 

Rule 7004. Process; Service of Summons, Complaint 

(a) SUMMONS; SERVICE; PROOF OF SERVICE. 

(1) Except as provided in Rule 7004(a)(2), Rule 4(a), (b), (c)(1), 

(d)(1), (e)–(j), (l), and (m) F.R.Civ.P. applies in adversary proceedings. Personal service under Rule 4(e)–(j) F.R.Civ.P. may 

be made by any person at least 18 years of age who is not a 

party, and the summons may be delivered by the clerk to any 

such person. 

(2) The clerk may sign, seal, and issue a summons electronically by putting an ‘‘s/’’ before the clerk’s name and including 

the court’s seal on the summons. 

(b) SERVICE BY FIRST CLASS MAIL. Except as provided in subdivision (h), in addition to the methods of service authorized by Rule 

73 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 7004 

4(e)–(j) F.R.Civ.P., service may be made within the United States 

by first class mail postage prepaid as follows: 

(1) Upon an individual other than an infant or incompetent, 

by mailing a copy of the summons and complaint to the individual’s dwelling house or usual place of abode or to the place 

where the individual regularly conducts a business or profession. 

(2) Upon an infant or an incompetent person, by mailing a 

copy of the summons and complaint to the person upon whom 

process is prescribed to be served by the law of the state in 

which service is made when an action is brought against such 

a defendant in the courts of general jurisdiction of that state. 

The summons and complaint in that case shall be addressed to 

the person required to be served at that person’s dwelling 

house or usual place of abode or at the place where the person 

regularly conducts a business or profession. 

(3) Upon a domestic or foreign corporation or upon a partnership or other unincorporated association, by mailing a 

copy of the summons and complaint to the attention of an officer, a managing or general agent, or to any other agent authorized by appointment or by law to receive service of process and, if the agent is one authorized by statute to receive 

service and the statute so requires, by also mailing a copy to 

the defendant. 

(4) Upon the United States, by mailing a copy of the summons and complaint addressed to the civil process clerk at the 

office of the United States attorney for the district in which 

the action is brought and by mailing a copy of the summons 

and complaint to the Attorney General of the United States at 

Washington, District of Columbia, and in any action attacking 

the validity of an order of an officer or an agency of the 

United States not made a party, by also mailing a copy of the 

summons and complaint to that officer or agency. The court 

shall allow a reasonable time for service pursuant to this subdivision for the purpose of curing the failure to mail a copy of 

the summons and complaint to multiple officers, agencies, or 

corporations of the United States if the plaintiff has mailed a 

copy of the summons and complaint either to the civil process 

clerk at the office of the United States attorney or to the Attorney General of the United States. 

(5) Upon any officer or agency of the United States, by mailing a copy of the summons and complaint to the United States 

as prescribed in paragraph (4) of this subdivision and also to 

the officer or agency. If the agency is a corporation, the mailing shall be as prescribed in paragraph (3) of this subdivision 

of this rule. The court shall allow a reasonable time for service pursuant to this subdivision for the purpose of curing the 

failure to mail a copy of the summons and complaint to multiple officers, agencies, or corporations of the United States if 

the plaintiff has mailed a copy of the summons and complaint 

either to the civil process clerk at the office of the United 

States attorney or to the Attorney General of the United 

States. If the United States trustee is the trustee in the case 

and service is made upon the United States trustee solely as 

Rule 7004 FEDERAL RULES OF BANKRUPTCY PROCEDURE 74 

trustee, service may be made as prescribed in paragraph (10) of 

this subdivision of this rule. 

(6) Upon a state or municipal corporation or other governmental organization thereof subject to suit, by mailing a copy 

of the summons and complaint to the person or office upon 

whom process is prescribed to be served by the law of the state 

in which service is made when an action is brought against 

such a defendant in the courts of general jurisdiction of that 

state, or in the absence of the designation of any such person 

or office by state law, then to the chief executive officer thereof. 

(7) Upon a defendant of any class referred to in paragraph (1) 

or (3) of this subdivision of this rule, it is also sufficient if a 

copy of the summons and complaint is mailed to the entity 

upon whom service is prescribed to be served by any statute 

of the United States or by the law of the state in which service 

is made when an action is brought against such a defendant in 

the court of general jurisdiction of that state. 

(8) Upon any defendant, it is also sufficient if a copy of the 

summons and complaint is mailed to an agent of such defendant authorized by appointment or by law to receive service of 

process, at the agent’s dwelling house or usual place of abode 

or at the place where the agent regularly carries on a business 

or profession and, if the authorization so requires, by mailing 

also a copy of the summons and complaint to the defendant as 

provided in this subdivision. 

(9) Upon the debtor, after a petition has been filed by or 

served upon the debtor and until the case is dismissed or 

closed, by mailing a copy of the summons and complaint to 

the debtor at the address shown in the petition or to such 

other address as the debtor may designate in a filed writing. 

(10) Upon the United States trustee, when the United States 

trustee is the trustee in the case and service is made upon the 

United States trustee solely as trustee, by mailing a copy of 

the summons and complaint to an office of the United States 

trustee or another place designated by the United States 

trustee in the district where the case under the Code is pending. 

(c) SERVICE BY PUBLICATION. If a party to an adversary proceeding to determine or protect rights in property in the custody of 

the court cannot be served as provided in Rule 4(e)–(j) F.R.Civ.P. 

or subdivision (b) of this rule, the court may order the summons 

and complaint to be served by mailing copies thereof by first class 

mail, postage prepaid, to the party’s last known address, and by 

at least one publication in such manner and form as the court 

may direct. 

(d) NATIONWIDE SERVICE OF PROCESS. The summons and complaint and all other process except a subpoena may be served anywhere in the United States. 

(e) SUMMONS: TIME LIMIT FOR SERVICE WITHIN THE UNITED

STATES. Service made under Rule 4(e), (g), (h)(1), (i), or (j)(2) 

F.R.Civ.P. shall be by delivery of the summons and complaint 

within 14 days after the summons is issued. If service is by any authorized form of mail, the summons and complaint shall be deposited in the mail within 14 days after the summons is issued. If a 

75 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 7007.1 

summons is not timely delivered or mailed, another summons 

shall be issued and served. This subdivision does not apply to service in a foreign country. 

(f) PERSONAL JURISDICTION. If the exercise of jurisdiction is consistent with the Constitution and laws of the United States, serving a summons or filing a waiver of service in accordance with 

this rule or the subdivisions of Rule 4 F.R.Civ.P. made applicable 

by these rules is effective to establish personal jurisdiction over 

the person of any defendant with respect to a case under the Code 

or a civil proceeding arising under the Code, or arising in or related to a case under the Code. 

(g) SERVICE ON DEBTOR’S ATTORNEY. If the debtor is represented 

by an attorney, whenever service is made upon the debtor under 

this Rule, service shall also be made upon the debtor’s attorney by 

any means authorized under Rule 5(b) F.R.Civ.P. 

(h) SERVICE OF PROCESS ON AN INSURED DEPOSITORY INSTITUTION. 

Service on an insured depository institution (as defined in section 

3 of the Federal Deposit Insurance Act) in a contested matter or 

adversary proceeding shall be made by certified mail addressed to 

an officer of the institution unless— 

(1) the institution has appeared by its attorney, in which 

case the attorney shall be served by first class mail; 

(2) the court orders otherwise after service upon the institution by certified mail of notice of an application to permit 

service on the institution by first class mail sent to an officer 

of the institution designated by the institution; or 

(3) the institution has waived in writing its entitlement to 

service by certified mail by designating an officer to receive 

service. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Pub. L. 103–394, title I, § 114, Oct. 22, 1994, 108 Stat. 4118; Apr. 

23, 1996, eff. Dec. 1, 1996; Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 25, 2005, 

eff. Dec. 1, 2005; Apr. 12, 2006, eff. Dec. 1, 2006; Mar. 26, 2009, eff. Dec. 

1, 2009.) 

Rule 7005. Service and Filing of Pleadings and Other Papers 

Rule 5 F.R.Civ.P. applies in adversary proceedings. 

Rule 7007. Pleadings Allowed 

Rule 7 F.R.Civ.P. applies in adversary proceedings. 

Rule 7007.1. Corporate Ownership Statement 

(a) REQUIRED DISCLOSURE. Any corporation that is a party to an 

adversary proceeding, other than the debtor or a governmental 

unit, shall file two copies of a statement that identifies any corporation, other than a governmental unit, that directly or indirectly owns 10% or more of any class of the corporation’s equity 

interests, or states that there are no entities to report under this 

subdivision. 

(b) TIME FOR FILING. A party shall file the statement required 

under Rule 7007.1(a) with its first appearance, pleading, motion, 

response, or other request addressed to the court. A party shall 

file a supplemental statement promptly upon any change in circumstances that this rule requires the party to identify or disclose. 

Rule 7008 FEDERAL RULES OF BANKRUPTCY PROCEDURE 76 

(Added Mar. 27, 2003, eff. Dec. 1, 2003; amended Apr. 30, 2007, eff. 

Dec. 1, 2007.) 

Rule 7008. General Rules of Pleading 

(a) APPLICABILITY OF RULE 8 F.R.CIV.P. Rule 8 F.R.Civ.P. applies 

in adversary proceedings. The allegation of jurisdiction required 

by Rule 8(a) shall also contain a reference to the name, number, 

and chapter of the case under the Code to which the adversary 

proceeding relates and to the district and division where the case 

under the Code is pending. In an adversary proceeding before a 

bankruptcy judge, the complaint, counterclaim, cross-claim, or 

third-party complaint shall contain a statement that the proceeding is core or non-core and, if non-core, that the pleader does or 

does not consent to entry of final orders or judgment by the bankruptcy judge. 

(b) ATTORNEY’S FEES. A request for an award of attorney’s fees 

shall be pleaded as a claim in a complaint, cross-claim, thirdparty complaint, answer, or reply as may be appropriate. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 7009. Pleading Special Matters 

Rule 9 F.R.Civ.P. applies in adversary proceedings. 

Rule 7010. Form of Pleadings 

Rule 10 F.R.Civ.P. applies in adversary proceedings, except that 

the caption of each pleading in such a proceeding shall conform 

substantially to the appropriate Official Form. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 7012. Defenses and Objections—When and How Presented— 

By Pleading or Motion—Motion for Judgment on the Pleadings 

(a) WHEN PRESENTED. If a complaint is duly served, the defendant shall serve an answer within 30 days after the issuance of the 

summons, except when a different time is prescribed by the court. 

The court shall prescribe the time for service of the answer when 

service of a complaint is made by publication or upon a party in 

a foreign country. A party served with a pleading stating a crossclaim shall serve an answer thereto within 21 days after service. 

The plaintiff shall serve a reply to a counterclaim in the answer 

within 21 days after service of the answer or, if a reply is ordered 

by the court, within 21 days after service of the order, unless the 

order otherwise directs. The United States or an officer or agency 

thereof shall serve an answer to a complaint within 35 days after 

the issuance of the summons, and shall serve an answer to a crossclaim, or a reply to a counterclaim, within 35 days after service 

upon the United States attorney of the pleading in which the 

claim is asserted. The service of a motion permitted under this 

rule alters these periods of time as follows, unless a different time 

is fixed by order of the court: (1) if the court denies the motion 

or postpones its disposition until the trial on the merits, the responsive pleading shall be served within 14 days after notice of the 

court’s action; (2) if the court grants a motion for a more definite 

statement, the responsive pleading shall be served within 14 days 

after the service of a more definite statement. 

77 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 7019 

(b) APPLICABILITY OF RULE 12(b)–(i) F.R.CIV.P. Rule 12(b)–(i) 

F.R.Civ.P. applies in adversary proceedings. A responsive pleading 

shall admit or deny an allegation that the proceeding is core or 

non-core. If the response is that the proceeding is non-core, it 

shall include a statement that the party does or does not consent 

to entry of final orders or judgment by the bankruptcy judge. In 

non-core proceedings final orders and judgments shall not be entered on the bankruptcy judge’s order except with the express consent of the parties. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 

1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 7013. Counterclaim and Cross-Claim 

Rule 13 F.R.Civ.P. applies in adversary proceedings, except that 

a party sued by a trustee or debtor in possession need not state 

as a counterclaim any claim that the party has against the debtor, the debtor’s property, or the estate, unless the claim arose 

after the entry of an order for relief. A trustee or debtor in possession who fails to plead a counterclaim through oversight, inadvertence, or excusable neglect, or when justice so requires, may by 

leave of court amend the pleading, or commence a new adversary 

proceeding or separate action. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 7014. Third-Party Practice 

Rule 14 F.R.Civ.P. applies in adversary proceedings. 

Rule 7015. Amended and Supplemental Pleadings 

Rule 15 F.R.Civ.P. applies in adversary proceedings. 

Rule 7016. Pre-Trial Procedure; Formulating Issues 

Rule 16 F.R.Civ.P. applies in adversary proceedings. 

Rule 7017. Parties Plaintiff and Defendant; Capacity 

Rule 17 F.R.Civ.P. applies in adversary proceedings, except as 

provided in Rule 2010(b). 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 7018. Joinder of Claims and Remedies 

Rule 18 F.R.Civ.P. applies in adversary proceedings. 

Rule 7019. Joinder of Persons Needed for Just Determination 

Rule 19 F.R.Civ.P. applies in adversary proceedings, except that 

(1) if an entity joined as a party raises the defense that the court 

lacks jurisdiction over the subject matter and the defense is sustained, the court shall dismiss such entity from the adversary proceedings and (2) if an entity joined as a party properly and timely 

raises the defense of improper venue, the court shall determine, as 

provided in 28 U.S.C. § 1412, whether that part of the proceeding involving the joined party shall be transferred to another district, 

or whether the entire adversary proceeding shall be transferred to 

another district. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 7020 FEDERAL RULES OF BANKRUPTCY PROCEDURE 78 

Rule 7020. Permissive Joinder of Parties 

Rule 20 F.R.Civ.P. applies in adversary proceedings. 

Rule 7021. Misjoinder and Non-Joinder of Parties 

Rule 21 F.R.Civ.P. applies in adversary proceedings. 

Rule 7022. Interpleader 

Rule 22(a) F.R.Civ.P. applies in adversary proceedings. This rule 

supplements—and does not limit—the joinder of parties allowed 

by Rule 7020. 

(As amended Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 7023. Class Proceedings 

Rule 23 F.R.Civ.P. applies in adversary proceedings. 

Rule 7023.1. Derivative Actions 

Rule 23.1 F.R.Civ.P. applies in adversary proceedings. 

(As amended Apr. 23, 2008, eff. Dec. 1, 2008.) 

Rule 7023.2. Adversary Proceedings Relating to Unincorporated 

Associations 

Rule 23.2 F.R.Civ.P. applies in adversary proceedings. 

Rule 7024. Intervention 

Rule 24 F.R.Civ.P. applies in adversary proceedings. 

Rule 7025. Substitution of Parties 

Subject to the provisions of Rule 2012, Rule 25 F.R.Civ.P. applies 

in adversary proceedings. 

Rule 7026. General Provisions Governing Discovery 

Rule 26 F.R.Civ.P. applies in adversary proceedings. 

Rule 7027. Depositions Before Adversary Proceedings or Pending 

Appeal 

Rule 27 F.R.Civ.P. applies to adversary proceedings. 

Rule 7028. Persons Before Whom Depositions May Be Taken 

Rule 28 F.R.Civ.P. applies in adversary proceedings. 

Rule 7029. Stipulations Regarding Discovery Procedure 

Rule 29 F.R.Civ.P. applies in adversary proceedings. 

Rule 7030. Depositions Upon Oral Examination 

Rule 30 F.R.Civ.P. applies in adversary proceedings. 

Rule 7031. Deposition Upon Written Questions 

Rule 31 F.R.Civ.P. applies in adversary proceedings. 

Rule 7032. Use of Depositions in Adversary Proceedings 

Rule 32 F.R.Civ.P. applies in adversary proceedings. 

Rule 7033. Interrogatories to Parties 

Rule 33 F.R.Civ.P. applies in adversary proceedings. 

79 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 7056 

Rule 7034. Production of Documents and Things and Entry Upon 

Land for Inspection and Other Purposes 

Rule 34 F.R.Civ.P. applies in adversary proceedings. 

Rule 7035. Physical and Mental Examination of Persons 

Rule 35 F.R.Civ.P. applies in adversary proceedings. 

Rule 7036. Requests for Admission 

Rule 36 F.R.Civ.P. applies in adversary proceedings. 

Rule 7037. Failure to Make Discovery: Sanctions 

Rule 37 F.R.Civ.P. applies in adversary proceedings. 

Rule 7040. Assignment of Cases for Trial 

Rule 40 F.R.Civ.P. applies in adversary proceedings. 

Rule 7041. Dismissal of Adversary Proceedings 

Rule 41 F.R.Civ.P. applies in adversary proceedings, except that 

a complaint objecting to the debtor’s discharge shall not be dismissed at the plaintiff’s instance without notice to the trustee, 

the United States trustee, and such other persons as the court 

may direct, and only on order of the court containing terms and 

conditions which the court deems proper. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 7042. Consolidation of Adversary Proceedings; Separate 

Trials 

Rule 42 F.R.Civ.P. applies in adversary proceedings. 

Rule 7052. Findings by the Court 

Rule 52 F.R.Civ.P. applies in adversary proceedings, except that 

any motion under subdivision (b) of that rule for amended or additional findings shall be filed no later than 14 days after entry of 

judgment. In these proceedings, the reference in Rule 52 

F.R.Civ.P. to the entry of judgment under Rule 58 F.R.Civ.P. shall 

be read as a reference to the entry of a judgment or order under 

Rule 5003(a). 

(As amended Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 7054. Judgments; Costs 

(a) JUDGMENTS. Rule 54(a)–(c) F.R.Civ.P. applies in adversary 

proceedings. 

(b) COSTS. The court may allow costs to the prevailing party except when a statute of the United States or these rules otherwise 

provides. Costs against the United States, its officers and agencies 

shall be imposed only to the extent permitted by law. Costs may 

be taxed by the clerk on one day’s notice; on motion served within 

five days thereafter, the action of the clerk may be reviewed by 

the court. 

Rule 7055. Default 

Rule 55 F.R.Civ.P. applies in adversary proceedings. 

Rule 7056. Summary Judgment 

Rule 56 F.R.Civ.P. applies in adversary proceedings. 

Rule 7058 FEDERAL RULES OF BANKRUPTCY PROCEDURE 80 

Rule 7058. Entering Judgment in Adversary Proceeding 

Rule 58 F.R.Civ.P. applies in adversary proceedings. In these 

proceedings, the reference in Rule 58 F.R.Civ.P. to the civil docket 

shall be read as a reference to the docket maintained by the clerk 

under Rule 5003(a). 

(Added Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 7062. Stay of Proceedings to Enforce a Judgment 

Rule 62 F.R.Civ.P. applies in adversary proceedings. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 26, 1999, eff. Dec. 

1, 1999.) 

Rule 7064. Seizure of Person or Property 

Rule 62 F.R.Civ.P. applies in adversary proceedings. 

Rule 7065. Injunctions 

Rule 65 F.R.Civ.P. applies in adversary proceedings, except that 

a temporary restraining order or preliminary injunction may be 

issued on application of a debtor, trustee, or debtor in possession 

without compliance with Rule 65(c). 

Rule 7067. Deposit in Court 

Rule 67 F.R.Civ.P. applies in adversary proceedings. 

Rule 7068. Offer of Judgment 

Rule 68 F.R.Civ.P. applies in adversary proceedings. 

Rule 7069. Execution 

Rule 69 F.R.Civ.P. applies in adversary proceedings. 

Rule 7070. Judgment for Specific Acts; Vesting Title 

Rule 70 F.R.Civ.P. applies in adversary proceedings and the 

court may enter a judgment divesting the title of any party and 

vesting title in others whenever the real or personal property involved is within the jurisdiction of the court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 7071. Process in Behalf of and Against Persons Not Parties 

Rule 71 F.R.Civ.P. applies in adversary proceedings. 

Rule 7087. Transfer of Adversary Proceeding 

On motion and after a hearing, the court may transfer an adversary proceeding or any part thereof to another district pursuant 

to 28 U.S.C. § 1412, except as provided in Rule 7019(2). 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

PART VIII—APPEALS TO DISTRICT COURT OR BANKRUPTCY 

APPELLATE PANEL 

Rule 8001. Manner of Taking Appeal; Voluntary Dismissal; Certification to Court of Appeals 

(a) APPEAL AS OF RIGHT; HOW TAKEN. An appeal from a judgment, order, or decree of a bankruptcy judge to a district court or 

81 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8001 

bankruptcy appellate panel as permitted by 28 U.S.C. § 158(a)(1) or 

(a)(2) shall be taken by filing a notice of appeal with the clerk 

within the time allowed by Rule 8002. An appellant’s failure to 

take any step other than timely filing a notice of appeal does not 

affect the validity of the appeal, but is ground only for such action as the district court or bankruptcy appellate panel deems appropriate, which may include dismissal of the appeal. The notice 

of appeal shall (1) conform substantially to the appropriate Official Form, (2) contain the names of all parties to the judgment, 

order, or decree appealed from and the names, addresses, and telephone numbers of their respective attorneys, and (3) be accompanied by the prescribed fee. Each appellant shall file a sufficient 

number of copies of the notice of appeal to enable the clerk to 

comply promptly with Rule 8004. 

(b) APPEAL BY LEAVE; HOW TAKEN. An appeal from an interlocutory judgment, order, or decree of a bankruptcy judge as permitted by 28 U.S.C. § 158(a)(3) shall be taken by filing a notice of 

appeal, as prescribed in subdivision (a) of this rule, accompanied 

by a motion for leave to appeal prepared in accordance with Rule 

8003 and with proof of service in accordance with Rule 8008. 

(c) VOLUNTARY DISMISSAL. 

(1) Before Docketing. If an appeal has not been docketed, the 

appeal may be dismissed by the bankruptcy judge on the filing 

of a stipulation for dismissal signed by all the parties, or on 

motion and notice by the appellant. 

(2) After Docketing. If an appeal has been docketed and the 

parties to the appeal sign and file with the clerk of the district 

court or the clerk of the bankruptcy appellate panel an agreement that the appeal be dismissed and pay any court costs or 

fees that may be due, the clerk of the district court or the 

clerk of the bankruptcy appellate panel shall enter an order 

dismissing the appeal. An appeal may also be dismissed on motion of the appellant on terms and conditions fixed by the district court or bankruptcy appellate panel. 

[(d) EFFECT OF TAKING A DIRECT APPEAL TO THE COURT OF APPEALS] (Abrogated Mar. 30, 1987, eff. Aug. 1, 1987) 

(e) ELECTION TO HAVE APPEAL HEARD BY DISTRICT COURT INSTEAD OF BANKRUPTCY APPELLATE PANEL; WITHDRAWAL OF ELECTION. 

(1) Separate Writing for Election. An election to have an appeal heard by the district court under 28 U.S.C. § 158(c)(1) may 

be made only by a statement of election contained in a separate writing filed within the time prescribed by 28 U.S.C. 

§ 158(c)(1). 

(2) Withdrawal of Election. A request to withdraw the election 

may be filed only by written stipulation of all the parties to 

the appeal or their attorneys of record. Upon such a stipulation, the district court may either transfer the appeal to the 

bankruptcy appellate panel or retain the appeal in the district 

court. 

(f) CERTIFICATION FOR DIRECT APPEAL TO COURT OF APPEALS. 

(1) Timely Appeal Required. A certification of a judgment, 

order, or decree of a bankruptcy court to a court of appeals 

under 28 U.S.C. § 158(d)(2) shall not be effective until a timely 

appeal has been taken in the manner required by subdivisions 

Rule 8001 FEDERAL RULES OF BANKRUPTCY PROCEDURE 82 

(a) or (b) of this rule and the notice of appeal has become effective under Rule 8002. 

(2) Court Where Certification Made and Filed. A certification 

that a circumstance specified in 28 U.S.C. § 158(d)(2)(A)(i)–(iii) 

exists shall be filed in the court in which a matter is pending 

for purposes of 28 U.S.C. § 158(d)(2) and this rule. A matter is 

pending in a bankruptcy court until the docketing, in accordance with Rule 8007(b), of an appeal taken under 28 U.S.C. 

§ 158(a)(1) or (2), or the grant of leave to appeal under 28 U.S.C. 

§ 158(a)(3). A matter is pending in a district court or bankruptcy appellate panel after the docketing, in accordance with 

Rule 8007(b), of an appeal taken under 28 U.S.C. § 158(a)(1) or 

(2), or the grant of leave to appeal under 28 U.S.C. § 158(a)(3). 

(A) Certification by Court on Request or Court’s Own Initiative. 

(i) Before Docketing or Grant of Leave to Appeal. 

Only a bankruptcy court may make a certification on 

request or on its own initiative while the matter is 

pending in the bankruptcy court. 

(ii) After Docketing or Grant of Leave to Appeal. 

Only the district court or bankruptcy appellate panel 

involved may make a certification on request of the 

parties or on its own initiative while the matter is 

pending in the district court or bankruptcy appellate 

panel. 

(B) Certification by All Appellants and Appellees Acting 

Jointly. A certification by all the appellants and appellees, 

if any, acting jointly may be made by filing the appropriate Official Form with the clerk of the court in which 

the matter is pending. The certification may be accompanied by a short statement of the basis for the certification, which may include the information listed in subdivision (f)(3)(C) of this rule. 

(3) Request for Certification; Filing; Service; Contents. 

(A) A request for certification shall be filed, within the 

time specified by 28 U.S.C. § 158(d)(2), with the clerk of the 

court in which the matter is pending. 

(B) Notice of the filing of a request for certification shall 

be served in the manner required for service of a notice of 

appeal under Rule 8004. 

(C) A request for certification shall include the following: 

(i) the facts necessary to understand the question 

presented; 

(ii) the question itself; 

(iii) the relief sought; 

(iv) the reasons why the appeal should be allowed and 

is authorized by statute or rule, including why a circumstance specified in 28 U.S.C. § 158(d)(2)(A)(i)–(iii) exists; and 

(v) an attached copy of the judgment, order, or decree complained of and any related opinion or memorandum. 

(D) A party may file a response to a request for certification or a cross request within 14 days after the notice of 

the request is served, or another time fixed by the court. 

83 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8002 

(E) Rule 9014 does not govern a request, cross request, or 

any response. The matter shall be submitted without oral 

argument unless the court otherwise directs. 

(F) A certification of an appeal under 28 U.S.C. § 158(d)(2) 

shall be made in a separate document served on the parties. 

(4) Certification on Court’s Own Initiative. 

(A) A certification of an appeal on the court’s own initiative under 28 U.S.C. § 158(d)(2) shall be made in a separate 

document served on the parties in the manner required for 

service of a notice of appeal under Rule 8004. The certification shall be accompanied by an opinion or memorandum that contains the information required by subdivision 

(f)(3)(C)(i)–(iv) of this rule. 

(B) A party may file a supplementary short statement of 

the basis for certification within 14 days after the certification. 

(5) Duties of Parties After Certification. A petition for permission to appeal in accordance with F.R.App.P. 5 shall be filed 

no later than 30 days after a certification has become effective 

as provided in subdivision (f)(1). 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 11, 1997, eff. Dec. 1, 1997; Apr. 23, 2008, eff. Dec. 1, 2008; 

Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 8002. Time for Filing Notice of Appeal 

(a) FOURTEEN-DAY PERIOD. The notice of appeal shall be filed 

with the clerk within 14 days of the date of the entry of the judgment, order, or decree appealed from. If a timely notice of appeal 

is filed by a party, any other party may file a notice of appeal 

within 14 days of the date on which the first notice of appeal was 

filed, or within the time otherwise prescribed by this rule, whichever period last expires. A notice of appeal filed after the announcement of a decision or order but before entry of the judgment, order, or decree shall be treated as filed after such entry 

and on the day thereof. If a notice of appeal is mistakenly filed 

with the district court or the bankruptcy appellate panel, the 

clerk of the district court or the clerk of the bankruptcy appellate 

panel shall note thereon the date on which it was received and 

transmit it to the clerk and it shall be deemed filed with the clerk 

on the date so noted. 

(b) EFFECT OF MOTION ON TIME FOR APPEAL. If any party makes 

a timely motion of a type specified immediately below, the time 

for appeal for all parties runs from the entry of the order disposing of the last such motion outstanding. This provision applies to 

a timely motion: 

(1) to amend or make additional findings of fact under Rule 

7052, whether or not granting the motion would alter the judgment; 

(2) to alter or amend the judgment under Rule 9023; 

(3) for a new trial under Rule 9023; or 

(4) for relief under Rule 9024 if the motion is filed no later 

than 14 days after the entry of judgment. A notice of appeal 

filed after announcement or entry of the judgment, order, or 

Rule 8003 FEDERAL RULES OF BANKRUPTCY PROCEDURE 84 

decree but before disposition of any of the above motions is ineffective to appeal from the judgment, order, or decree, or part 

thereof, specified in the notice of appeal, until the entry of the 

order disposing of the last such motion outstanding. Appellate 

review of an order disposing of any of the above motions requires the party, in compliance with Rule 8001, to amend a previously filed notice of appeal. A party intending to challenge 

an alteration or amendment of the judgment, order, or decree 

shall file a notice, or an amended notice, of appeal within the 

time prescribed by this Rule 8002 measured from the entry of 

the order disposing of the last such motion outstanding. No 

additional fees will be required for filing an amended notice. 

(c) EXTENSION OF TIME FOR APPEAL. 

(1) The bankruptcy judge may extend the time for filing the 

notice of appeal by any party, unless the judgment, order, or 

decree appealed from: 

(A) grants relief from an automatic stay under § 362, § 922, 

§ 1201, or § 1301; 

(B) authorizes the sale or lease of property or the use of 

cash collateral under § 363; 

(C) authorizes the obtaining of credit under § 364; 

(D) authorizes the assumption or assignment of an executory contract or unexpired lease under § 365; 

(E) approves a disclosure statement under § 1125; or 

(F) confirms a plan under § 943, § 1129, § 1225, or § 1325 of 

the Code. 

(2) A request to extend the time for filing a notice of appeal 

must be made by written motion filed before the time for filing a notice of appeal has expired, except that such a motion 

filed not later than 21 days after the expiration of the time for 

filing a notice of appeal may be granted upon a showing of excusable neglect. An extension of time for filing a notice of appeal may not exceed 21 days from the expiration of the time 

for filing a notice of appeal otherwise prescribed by this rule 

or 14 days from the date of entry of the order granting the motion, whichever is later. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 29, 1994, eff. Aug. 1, 1994; Apr. 11, 1997, eff. Dec. 1, 1997; 

Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 8003. Leave to Appeal 

(a) CONTENT OF MOTION; ANSWER. A motion for leave to appeal 

under 28 U.S.C. § 158(a) shall contain: (1) a statement of the facts 

necessary to an understanding of the questions to be presented by 

the appeal; (2) a statement of those questions and of the relief 

sought; (3) a statement of the reasons why an appeal should be 

granted; and (4) a copy of the judgment, order, or decree complained of and of any opinion or memorandum relating thereto. 

Within 14 days after service of the motion, an adverse party may 

file with the clerk an answer in opposition. 

(b) TRANSMITTAL; DETERMINATION OF MOTION. The clerk shall 

transmit the notice of appeal, the motion for leave to appeal and 

any answer thereto to the clerk of the district court or the clerk 

of the bankruptcy appellate panel as soon as all parties have filed 

85 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8005 

answers or the time for filing an answer has expired. The motion 

and answer shall be submitted without oral argument unless 

otherwise ordered. 

(c) APPEAL IMPROPERLY TAKEN REGARDED AS A MOTION FOR

LEAVE TO APPEAL. If a required motion for leave to appeal is not 

filed, but a notice of appeal is timely filed, the district court or 

bankruptcy appellate panel may grant leave to appeal or direct 

that a motion for leave to appeal be filed. The district court or the 

bankruptcy appellate panel may also deny leave to appeal but in 

so doing shall consider the notice of appeal as a motion for leave 

to appeal. Unless an order directing that a motion for leave to appeal be filed provides otherwise, the motion shall be filed within 

14 days of entry of the order. 

(d) REQUIREMENT OF LEAVE TO APPEAL. If leave to appeal is required by 28 U.S.C. § 158(a) and has not earlier been granted, the 

authorization of a direct appeal by a court of appeals under 28 

U.S.C. § 158(d)(2) shall be deemed to satisfy the requirement for 

leave to appeal. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 2008, eff. Dec. 

1, 2008; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 8004. Service of the Notice of Appeal 

The clerk shall serve notice of the filing of a notice of appeal by 

mailing a copy thereof to counsel of record of each party other 

than the appellant or, if a party is not represented by counsel, to 

the party’s last known address. Failure to serve notice shall not 

affect the validity of the appeal. The clerk shall note on each copy 

served the date of the filing of the notice of appeal and shall note 

in the docket the names of the parties to whom copies are mailed 

and the date of the mailing. The clerk shall forthwith transmit to 

the United States trustee a copy of the notice of appeal, but failure to transmit such notice shall not affect the validity of the appeal. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 8005. Stay Pending Appeal 

A motion for a stay of the judgment, order, or decree of a bankruptcy judge, for approval of a supersedeas bond, or for other relief pending appeal must ordinarily be presented to the bankruptcy judge in the first instance. Notwithstanding Rule 7062 but 

subject to the power of the district court and the bankruptcy appellate panel reserved hereinafter, the bankruptcy judge may suspend or order the continuation of other proceedings in the case 

under the Code or make any other appropriate order during the 

pendency of an appeal on such terms as will protect the rights of 

all parties in interest. A motion for such relief, or for modification or termination of relief granted by a bankruptcy judge, may 

be made to the district court or the bankruptcy appellate panel, 

but the motion shall show why the relief, modification, or termination was not obtained from the bankruptcy judge. The district 

court or the bankruptcy appellate panel may condition the relief 

it grants under this rule on the filing of a bond or other appropriate security with the bankruptcy court. When an appeal is 

Rule 8006 FEDERAL RULES OF BANKRUPTCY PROCEDURE 86 

taken by a trustee, a bond or other appropriate security may be 

required, but when an appeal is taken by the United States or an 

officer or agency thereof or by direction of any department of the 

Government of the United States a bond or other security shall 

not be required. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 8006. Record and Issues on Appeal 

Within 14 days after filing the notice of appeal as provided by 

Rule 8001(a), entry of an order granting leave to appeal, or entry 

of an order disposing of the last timely motion outstanding of a 

type specified in Rule 8002(b), whichever is later, the appellant 

shall file with the clerk and serve on the appellee a designation 

of the items to be included in the record on appeal and a statement of the issues to be presented. Within 14 days after the service 

of the appellant’s statement the appellee may file and serve on the 

appellant a designation of additional items to be included in the 

record on appeal and, if the appellee has filed a cross appeal, the 

appellee as cross appellant shall file and serve a statement of the 

issues to be presented on the cross appeal and a designation of additional items to be included in the record. A cross appellee may, 

within 14 days of service of the cross appellant’s statement, file 

and serve on the cross appellant a designation of additional items 

to be included in the record. The record on appeal shall include 

the items so designated by the parties, the notice of appeal, the 

judgment, order, or decree appealed from, and any opinion, findings of fact, and conclusions of law of the court. Any party filing 

a designation of the items to be included in the record shall provide to the clerk a copy of the items designated or, if the party 

fails to provide the copy, the clerk shall prepare the copy at the 

party’s expense. If the record designated by any party includes a 

transcript of any proceeding or a part thereof, the party shall, immediately after filing the designation, deliver to the reporter and 

file with the clerk a written request for the transcript and make 

satisfactory arrangements for payment of its cost. All parties 

shall take any other action necessary to enable the clerk to assemble and transmit the record. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 29, 1994, eff. Aug. 1, 1994; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 8007. Completion and Transmission of the Record; Docketing 

of the Appeal 

(a) DUTY OF REPORTER TO PREPARE AND FILE TRANSCRIPT. On receipt of a request for a transcript, the reporter shall acknowledge 

on the request the date it was received and the date on which the 

reporter expects to have the transcript completed and shall transmit the request, so endorsed, to the clerk or the clerk of the bankruptcy appellate panel. On completion of the transcript the reporter shall file it with the clerk and, if appropriate, notify the 

clerk of the bankruptcy appellate panel. If the transcript cannot 

be completed within 30 days of receipt of the request the reporter 

shall seek an extension of time from the clerk or the clerk of the 

bankruptcy appellate panel and the action of the clerk shall be entered in the docket and the parties notified. If the reporter does 

87 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8008 

not file the transcript within the time allowed, the clerk or the 

clerk of the bankruptcy appellate panel shall notify the bankruptcy judge. 

(b) DUTY OF CLERK TO TRANSMIT COPY OF RECORD; DOCKETING OF

APPEAL. When the record is complete for purposes of appeal, the 

clerk shall transmit a copy thereof forthwith to the clerk of the 

district court or the clerk of the bankruptcy appellate panel. On 

receipt of the transmission the clerk of the district court or the 

clerk of the bankruptcy appellate panel shall enter the appeal in 

the docket and give notice promptly to all parties to the judgment, order, or decree appealed from of the date on which the appeal was docketed. If the bankruptcy appellate panel directs that 

additional copies of the record be furnished, the clerk of the bankruptcy appellate panel shall notify the appellant and, if the appellant fails to provide the copies, the clerk shall prepare the copies 

at the expense of the appellant. 

(c) RECORD FOR PRELIMINARY HEARING. If prior to the time the 

record is transmitted a party moves in the district court or before 

the bankruptcy appellate panel for dismissal, for a stay pending 

appeal, for additional security on the bond on appeal or on a supersedeas bond, or for any intermediate order, the clerk at the request of any party to the appeal shall transmit to the clerk of the 

district court or the clerk of the bankruptcy appellate panel a 

copy of the parts of the record as any party to the appeal shall 

designate. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 8008. Filing and Service 

(a) FILING. Papers required or permitted to be filed with the 

clerk of the district court or the clerk of the bankruptcy appellate 

panel may be filed by mail addressed to the clerk, but filing is not 

timely unless the papers are received by the clerk within the time 

fixed for filing, except that briefs are deemed filed on the day of 

mailing. An original and one copy of all papers shall be filed when 

an appeal is to the district court; an original and three copies 

shall be filed when an appeal is to a bankruptcy appellate panel. 

The district court or bankruptcy appellate panel may require that 

additional copies be furnished. Rule 5005(a)(2) applies to papers 

filed with the clerk of the district court or the clerk of the bankruptcy appellate panel if filing by electronic means is authorized 

by local rule promulgated pursuant to Rule 8018. 

(b) SERVICE OF ALL PAPERS REQUIRED. Copies of all papers filed 

by any party and not required by these rules to be served by the 

clerk of the district court or the clerk of the bankruptcy appellate 

panel shall, at or before the time of filing, be served by the party 

or a person acting for the party on all other parties to the appeal. 

Service on a party represented by counsel shall be made on counsel. 

(c) MANNER OF SERVICE. Service may be personal or by mail. 

Personal service includes delivery of the copy to a clerk or other 

responsible person at the office of counsel. Service by mail is complete on mailing. 

(d) PROOF OF SERVICE. Papers presented for filing shall contain 

an acknowledgment of service by the person served or proof of 

Rule 8009 FEDERAL RULES OF BANKRUPTCY PROCEDURE 88 

service in the form of a statement of the date and manner of service and of the names of the persons served, certified by the person 

who made service. The clerk of the district court or the clerk of 

the bankruptcy appellate panel may permit papers to be filed 

without acknowledgment or proof of service but shall require the 

acknowledgment or proof of service to be filed promptly thereafter. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 23, 1996, eff. Dec. 

1, 1996.) 

Rule 8009. Briefs and Appendix; Filing and Service 

(a) BRIEFS. Unless the district court or the bankruptcy appellate 

panel by local rule or by order excuses the filing of briefs or specifies different time limits: 

(1) The appellant shall serve and file a brief within 14 days 

after entry of the appeal on the docket pursuant to Rule 8007. 

(2) The appellee shall serve and file a brief within 14 days 

after service of the brief of appellant. If the appellee has filed 

a cross appeal, the brief of the appellee shall contain the issues and argument pertinent to the cross appeal, denominated 

as such, and the response to the brief of the appellant. 

(3) The appellant may serve and file a reply brief within 14 

days after service of the brief of the appellee, and if the appellee has cross-appealed, the appellee may file and serve a reply 

brief to the response of the appellant to the issues presented 

in the cross appeal within 14 days after service of the reply 

brief of the appellant. No further briefs may be filed except 

with leave of the district court or the bankruptcy appellate 

panel. 

(b) APPENDIX TO BRIEF. If the appeal is to a bankruptcy appellate panel, the appellant shall serve and file with the appellant’s 

brief excerpts of the record as an appendix, which shall include the 

following: 

(1) The complaint and answer or other equivalent pleadings; 

(2) Any pretrial order; 

(3) The judgment, order, or decree from which the appeal is 

taken; 

(4) Any other orders relevant to the appeal; 

(5) The opinion, findings of fact, or conclusions of law filed 

or delivered orally by the court and citations of the opinion if 

published; 

(6) Any motion and response on which the court rendered decision; 

(7) The notice of appeal; 

(8) The relevant entries in the bankruptcy docket; and 

(9) The transcript or portion thereof, if so required by a rule 

of the bankruptcy appellate panel. 

An appellee may also serve and file an appendix which contains 

material required to be included by the appellant but omitted by 

appellant. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 26, 2009, eff. Dec. 

1, 2009.) 

89 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8011 

Rule 8010. Form of Briefs; Length 

(a) FORM OF BRIEFS. Unless the district court or the bankruptcy 

appellate panel by local rule otherwise provides, the form of brief 

shall be as follows: 

(1) Brief of the Appellant. The brief of the appellant shall contain under appropriate headings and in the order here indicated: 

(A) A table of contents, with page references, and a table 

of cases alphabetically arranged, statutes and other authorities cited, with references to the pages of the brief 

where they are cited. 

(B) A statement of the basis of appellate jurisdiction. 

(C) A statement of the issues presented and the applicable standard of appellate review. 

(D) A statement of the case. The statement shall first indicate briefly the nature of the case, the course of the proceedings, and the disposition in the court below. There 

shall follow a statement of the facts relevant to the issues 

presented for review, with appropriate references to the 

record. 

(E) An argument. The argument may be preceded by a 

summary. The argument shall contain the contentions of 

the appellant with respect to the issues presented, and the 

reasons therefor, with citations to the authorities, statutes and parts of the record relied on. 

(F) A short conclusion stating the precise relief sought. 

(2) Brief of the Appellee. The brief of the appellee shall conform to the requirements of paragraph (1)(A)–(E) of this subdivision, except that a statement of the basis of appellate jurisdiction, of the issues, or of the case need not be made unless 

the appellee is dissatisfied with the statement of the appellant. 

(b) REPRODUCTION OF STATUTES, RULES, REGULATIONS, OR SIMILAR MATERIAL. If determination of the issues presented requires 

reference to the Code or other statutes, rules, regulations, or similar material, relevant parts thereof shall be reproduced in the 

brief or in an addendum or they may be supplied to the court in 

pamphlet form. 

(c) LENGTH OF BRIEFS. Unless the district court or the bankruptcy appellate panel by local rule or order otherwise provides, 

principal briefs shall not exceed 50 pages, and reply briefs shall 

not exceed 25 pages, exclusive of pages containing the table of contents, tables of citations and any addendum containing statutes, 

rules, regulations, or similar material. 

Rule 8011. Motions 

(a) CONTENT OF MOTIONS; RESPONSE; REPLY. A request for an 

order or other relief shall be made by filing with the clerk of the 

district court or the clerk of the bankruptcy appellate panel a motion for such order or relief with proof of service on all other parties to the appeal. The motion shall contain or be accompanied by 

any matter required by a specific provision of these rules governing such a motion, shall state with particularity the grounds on 

which it is based, and shall set forth the order or relief sought. If 

Rule 8012 FEDERAL RULES OF BANKRUPTCY PROCEDURE 90 

a motion is supported by briefs, affidavits or other papers, they 

shall be served and filed with the motion. Any party may file a response in opposition to a motion other than one for a procedural 

order within seven days after service of the motion, but the district court or the bankruptcy appellate panel may shorten or extend the time for responding to any motion. 

(b) DETERMINATION OF MOTIONS FOR PROCEDURAL ORDERS. Notwithstanding subdivision (a) of this rule, motions for procedural 

orders, including any motion under Rule 9006, may be acted on at 

any time, without awaiting a response thereto and without hearing. Any party adversely affected by such action may move for reconsideration, vacation, or modification of the action. 

(c) DETERMINATION OF ALL MOTIONS. All motions will be decided 

without oral argument unless the court orders otherwise. A motion for a stay, or for other emergency relief may be denied if not 

presented promptly. 

(d) EMERGENCY MOTIONS. Whenever a movant requests expedited 

action on a motion on the ground that, to avoid irreparable harm, 

relief is needed in less time than would normally be required for 

the district court or bankruptcy appellate panel to receive and 

consider a response, the word ‘‘Emergency’’ shall precede the title 

of the motion. The motion shall be accompanied by an affidavit 

setting forth the nature of the emergency. The motion shall state 

whether all grounds advanced in support thereof were submitted 

to the bankruptcy judge and, if any grounds relied on were not 

submitted, why the motion should not be remanded to the bankruptcy judge for reconsideration. The motion shall include the office addresses and telephone numbers of moving and opposing 

counsel and shall be served pursuant to Rule 8008. Prior to filing 

the motion, the movant shall make every practicable effort to notify opposing counsel in time for counsel to respond to the motion. The affidavit accompanying the motion shall also state when 

and how opposing counsel was notified or if opposing counsel was 

not notified why it was not practicable to do so. 

(e) POWER OF A SINGLE JUDGE TO ENTERTAIN MOTIONS. A single 

judge of a bankruptcy appellate panel may grant or deny any request for relief which under these rules may properly be sought by 

motion, except that a single judge may not dismiss or otherwise 

decide an appeal or a motion for leave to appeal. The action of a 

single judge may be reviewed by the panel. 

Rule 8012. Oral Argument 

Oral argument shall be allowed in all cases unless the district 

judge or the judges of the bankruptcy appellate panel unanimously determine after examination of the briefs and record, or 

appendix to the brief, that oral argument is not needed. Any party 

shall have an opportunity to file a statement setting forth the 

reason why oral argument should be allowed. 

Oral argument will not be allowed if (1) the appeal is frivolous; 

(2) the dispositive issue or set of issues has been recently authoritatively decided; or (3) the facts and legal arguments are adequately presented in the briefs and record and the decisional process would not be significantly aided by oral argument. 

91 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 8016 

Rule 8013. Disposition of Appeal; Weight Accorded Bankruptcy 

Judge’s Findings of Fact 

On an appeal the district court or bankruptcy appellate panel 

may affirm, modify, or reverse a bankruptcy judge’s judgment, 

order, or decree or remand with instructions for further proceedings. Findings of fact, whether based on oral or documentary evidence, shall not be set aside unless clearly erroneous, and due regard shall be given to the opportunity of the bankruptcy court to 

judge the credibility of the witnesses. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 8014. Costs 

Except as otherwise provided by law, agreed to by the parties, 

or ordered by the district court or the bankruptcy appellate panel, 

costs shall be taxed against the losing party on an appeal. If a 

judgment is affirmed or reversed in part, or is vacated, costs shall 

be allowed only as ordered by the court. Costs incurred in the production of copies of briefs, the appendices, and the record and in 

the preparation and transmission of the record, the cost of the reporter’s transcript, if necessary for the determination of the appeal, the premiums paid for cost of supersedeas bonds or other 

bonds to preserve rights pending appeal and the fee for filing the 

notice of appeal shall be taxed by the clerk as costs of the appeal 

in favor of the party entitled to costs under this rule. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 8015. Motion for Rehearing 

Unless the district court or the bankruptcy appellate panel by 

local rule or by court order otherwise provides, a motion for rehearing may be filed within 14 days after entry of the judgment 

of the district court or the bankruptcy appellate panel. If a timely 

motion for rehearing is filed, the time for appeal to the court of 

appeals for all parties shall run from the entry of the order denying rehearing or the entry of subsequent judgment. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 26, 2009, eff. Dec. 

1, 2009.) 

Rule 8016. Duties of Clerk of District Court and Bankruptcy Appellate Panel 

(a) ENTRY OF JUDGMENT. The clerk of the district court or the 

clerk of the bankruptcy appellate panel shall prepare, sign and 

enter the judgment following receipt of the opinion of the court 

or the appellate panel or, if there is no opinion, following the instruction of the court or the appellate panel. The notation of a 

judgment in the docket constitutes entry of judgment. 

(b) NOTICE OF ORDERS OR JUDGMENTS; RETURN OF RECORD. Immediately on the entry of a judgment or order the clerk of the district court or the clerk of the bankruptcy appellate panel shall 

transmit a notice of the entry to each party to the appeal, to the 

United States trustee, and to the clerk, together with a copy of 

any opinion respecting the judgment or order, and shall make a 

note of the transmission in the docket. Original papers transmitted as the record on appeal shall be returned to the clerk on disposition of the appeal. 

Rule 8017 FEDERAL RULES OF BANKRUPTCY PROCEDURE 92 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 8017. Stay of Judgment of District Court or Bankruptcy Appellate Panel 

(a) AUTOMATIC STAY OF JUDGMENT ON APPEAL. Judgments of the 

district court or the bankruptcy appellate panel are stayed until 

the expiration of 14 days after entry, unless otherwise ordered by 

the district court or the bankruptcy appellate panel. 

(b) STAY PENDING APPEAL TO THE COURT OF APPEALS. On motion 

and notice to the parties to the appeal, the district court or the 

bankruptcy appellate panel may stay its judgment pending an appeal to the court of appeals. The stay shall not extend beyond 30 

days after the entry of the judgment of the district court or the 

bankruptcy appellate panel unless the period is extended for cause 

shown. If before the expiration of a stay entered pursuant to this 

subdivision there is an appeal to the court of appeals by the party 

who obtained the stay, the stay shall continue until final disposition by the court of appeals. A bond or other security may be required as a condition to the grant or continuation of a stay of the 

judgment. A bond or other security may be required if a trustee 

obtains a stay but a bond or security shall not be required if a 

stay is obtained by the United States or an officer or agency 

thereof or at the direction of any department of the Government 

of the United States. 

(c) POWER OF COURT OF APPEALS NOT LIMITED. This rule does not 

limit the power of a court of appeals or any judge thereof to stay 

proceedings during the pendency of an appeal or to suspend, modify, restore, or grant an injunction during the pendency of an appeal or to make any order appropriate to preserve the status quo 

or the effectiveness of the judgment subsequently to be entered. 

(As amended Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 8018. Rules by Circuit Councils and District Courts; Procedure When There is No Controlling Law 

(a) LOCAL RULES BY CIRCUIT COUNCILS AND DISTRICT COURTS. 

(1) Circuit councils which have authorized bankruptcy appellate panels pursuant to 28 U.S.C. § 158(b) and the district courts 

may, acting by a majority of the judges of the council or district court, make and amend rules governing practice and procedure for appeals from orders or judgments of bankruptcy 

judges to the respective bankruptcy appellate panel or district 

court consistent with—but not duplicative of—Acts of Congress and the rules of this Part VIII. Local rules shall conform 

to any uniform numbering system prescribed by the Judicial 

Conference of the United States. Rule 83 F.R.Civ.P. governs 

the procedure for making and amending rules to govern appeals. 

(2) A local rule imposing a requirement of form shall not be 

enforced in a manner that causes a party to lose rights because of a nonwillful failure to comply with the requirement. 

(b) PROCEDURE WHEN THERE IS NO CONTROLLING LAW. A bankruptcy appellate panel or district judge may regulate practice in 

any manner consistent with federal law, these rules, Official 

93 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9001 

Forms, and local rules of the circuit council or district court. No 

sanction or other disadvantage may be imposed for noncompliance 

with any requirement not in federal law, federal rules, Official 

Forms, or the local rules of the circuit council or district court 

unless the alleged violator has been furnished in the particular 

case with actual notice of the requirement. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 27, 1995, eff. Dec. 

1, 1995.) 

Rule 8019. Suspension of Rules in Part VIII 

In the interest of expediting decision or for other cause, the district court or the bankruptcy appellate panel may suspend the requirements or provisions of the rules in Part VIII, except Rules 

8001, 8002 and 8013, and may order proceedings in accordance with 

the direction. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 8020. Damages and Costs for Frivolous Appeal 

If a district court or bankruptcy appellate panel determines 

that an appeal from an order, judgment, or decree of a bankruptcy 

judge is frivolous, it may, after a separately filed motion or notice 

from the district court or bankruptcy appellate panel and reasonable opportunity to respond, award just damages and single or 

double costs to the appellee. 

(Added Apr. 11, 1997, eff. Dec. 1, 1997.) 

PART IX—GENERAL PROVISIONS 

Rule 9001. General Definitions 

The definitions of words and phrases in § 101, § 902 and § 1101 and 

the rules of construction in § 102 of the Code govern their use in 

these rules. In addition, the following words and phrases used in 

these rules have the meanings indicated: 

(1) ‘‘Bankruptcy clerk’’ means a clerk appointed pursuant to 

28 U.S.C. § 156(b). 

(2) ‘‘Bankruptcy Code’’ or ‘‘Code’’ means title 11 of the 

United States Code. 

(3) ‘‘Clerk’’ means bankruptcy clerk, if one has been appointed, otherwise clerk of the district court. 

(4) ‘‘Court’’ or ‘‘judge’’ means the judicial officer before 

whom a case or proceeding is pending. 

(5) ‘‘Debtor.’’ When any act is required by these rules to be 

performed by a debtor or when it is necessary to compel attendance of a debtor for examination and the debtor is not a 

natural person: (A) if the debtor is a corporation, ‘‘debtor’’ includes, if designated by the court, any or all of its officers, 

members of its board of directors or trustees or of a similar 

controlling body, a controlling stockholder or member, or any 

other person in control; (B) if the debtor is a partnership, 

‘‘debtor’’ includes any or all of its general partners or, if designated by the court, any other person in control. 

(6) ‘‘Firm’’ includes a partnership or professional corporation of attorneys or accountants. 

Rule 9002 FEDERAL RULES OF BANKRUPTCY PROCEDURE 94 

(7) ‘‘Judgment’’ means any appealable order. 

(8) ‘‘Mail’’ means first class, postage prepaid. 

(9) ‘‘Notice provider’’ means any entity approved by the Administrative Office of the United States Courts to give notice 

to creditors under Rule 2002(g)(4). 

(10) ‘‘Regular associate’’ means any attorney regularly employed by, associated with, or counsel to an individual or firm. 

(11) ‘‘Trustee’’ includes a debtor in possession in a chapter 11 

case. 

(12) ‘‘United States trustee’’ includes an assistant United 

States trustee and any designee of the United States trustee. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 25, 2005, eff. Dec. 1, 2005.) 

Rule 9002. Meanings of Words in the Federal Rules of Civil Procedure When Applicable to Cases Under the Code 

The following words and phrases used in the Federal Rules of 

Civil Procedure made applicable to cases under the Code by these 

rules have the meanings indicated unless they are inconsistent 

with the context: 

(1) ‘‘Action’’ or ‘‘civil action’’ means an adversary proceeding or, when appropriate, a contested petition, or proceedings 

to vacate an order for relief or to determine any other contested matter. 

(2) ‘‘Appeal’’ means an appeal as provided by 28 U.S.C. § 158. 

(3) ‘‘Clerk’’ or ‘‘clerk of the district court’’ means the court 

officer responsible for the bankruptcy records in the district. 

(4) ‘‘District Court,’’ ‘‘trial court,’’ ‘‘court,’’ ‘‘district 

judge,’’ or ‘‘judge’’ means bankruptcy judge if the case or proceeding is pending before a bankruptcy judge. 

(5) ‘‘Judgment’’ includes any order appealable to an appellate court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 22, 1993, eff. Aug. 

1, 1993.) 

Rule 9003. Prohibition of Ex Parte Contacts 

(a) GENERAL PROHIBITION. Except as otherwise permitted by applicable law, any examiner, any party in interest, and any attorney, accountant, or employee of a party in interest shall refrain 

from ex parte meetings and communications with the court concerning matters affecting a particular case or proceeding. 

(b) UNITED STATES TRUSTEE. Except as otherwise permitted by 

applicable law, the United States trustee and assistants to and 

employees or agents of the United States trustee shall refrain 

from ex parte meetings and communications with the court concerning matters affecting a particular case or proceeding. This 

rule does not preclude communications with the court to discuss 

general problems of administration and improvement of bankruptcy administration, including the operation of the United 

States trustee system. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

95 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9006 

Rule 9004. General Requirements of Form 

(a) LEGIBILITY; ABBREVIATIONS. All petitions, pleadings, schedules and other papers shall be clearly legible. Abbreviations in 

common use in the English language may be used. 

(b) CAPTION. Each paper filed shall contain a caption setting 

forth the name of the court, the title of the case, the bankruptcy 

docket number, and a brief designation of the character of the 

paper. 

Rule 9005. Harmless Error 

Rule 61 F.R.Civ.P. applies in cases under the Code. When appropriate, the court may order the correction of any error or defect 

or the cure of any omission which does not affect substantial 

rights. 

Rule 9005.1. Constitutional Challenge to a Statute—Notice, Certification, and Intervention 

Rule 5.1 F.R.Civ.P. applies in cases under the Code. 

(Added Apr. 30, 2007, eff. Dec. 1, 2007.) 

Rule 9006. Computing and Extending Time 

(a) COMPUTING TIME. The following rules apply in computing any 

time period specified in these rules, in the Federal Rules of Civil 

Procedure, in any local rule or court order, or in any statute that 

does not specify a method of computing time. 

(1) Period Stated in Days or a Longer Unit. When the period is 

stated in days or a longer unit of time: 

(A) exclude the day of the event that triggers the period; 

(B) count every day, including intermediate Saturdays, 

Sundays, and legal holidays; and 

(C) include the last day of the period, but if the last day 

is a Saturday, Sunday, or legal holiday, the period continues to run until the end of the next day that is not a 

Saturday, Sunday, or legal holiday. 

(2) Period Stated in Hours. When the period is stated in hours: 

(A) begin counting immediately on the occurrence of the 

event that triggers the period; 

(B) count every hour, including hours during intermediate Saturdays, Sundays, and legal holidays; and 

(C) if the period would end on a Saturday, Sunday, or 

legal holiday, then continue the period until the same 

time on the next day that is not a Saturday, Sunday, or 

legal holiday. 

(3) Inaccessibility of Clerk’s Office. Unless the court orders 

otherwise, if the clerk’s office is inaccessible: 

(A) on the last day for filing under Rule 9006(a)(1), then 

the time for filing is extended to the first accessible day 

that is not a Saturday, Sunday, or legal holiday; or 

(B) during the last hour for filing under Rule 9006(a)(2), 

then the time for filing is extended to the same time on 

the first accessible day that is not a Saturday, Sunday, or 

legal holiday. 

(4) ‘‘Last Day’’ Defined. Unless a different time is set by a 

statute, local rule, or order in the case, the last day ends: 

Rule 9006 FEDERAL RULES OF BANKRUPTCY PROCEDURE 96 

(A) for electronic filing, at midnight in the court’s time 

zone; and 

(B) for filing by other means, when the clerk’s office is 

scheduled to close. 

(5) ‘‘Next Day’’ Defined. The ‘‘next day’’ is determined by 

continuing to count forward when the period is measured after 

an event and backward when measured before an event. 

(6) ‘‘Legal Holiday’’ Defined. ‘‘Legal holiday’’ means: 

(A) the day set aside by statute for observing New Year’s 

Day, Martin Luther King Jr.’s Birthday, Washington’s 

Birthday, Memorial Day, Independence Day, Labor Day, 

Columbus Day, Veterans’ Day, Thanksgiving Day, or 

Christmas Day; 

(B) any day declared a holiday by the President or Congress; and 

(C) for periods that are measured after an event, any 

other day declared a holiday by the state where the district court is located. (In this rule, ‘‘state’’ includes the 

District of Columbia and any United States commonwealth or territory.) 

(b) ENLARGEMENT. 

(1) In General. Except as provided in paragraphs (2) and (3) of 

this subdivision, when an act is required or allowed to be done 

at or within a specified period by these rules or by a notice 

given thereunder or by order of court, the court for cause 

shown may at any time in its discretion (1) with or without 

motion or notice order the period enlarged if the request 

therefor is made before the expiration of the period originally 

prescribed or as extended by a previous order or (2) on motion 

made after the expiration of the specified period permit the 

act to be done where the failure to act was the result of excusable neglect. 

(2) Enlargement Not Permitted. The court may not enlarge the 

time for taking action under Rules 1007(d), 2003(a) and (d), 7052, 

9023, and 9024. 

(3) Enlargement Governed By Other Rules. The court may enlarge the time for taking action under Rules 1006(b)(2), 1017(e), 

3002(c), 4003(b), 4004(a), 4007(c), 4008(a), 8002, and 9033, only to 

the extent and under the conditions stated in those rules. In 

addition, the court may enlarge the time to file the statement 

required under Rule 1007(b)(7), and to file schedules and statements in a small business case under § 1116(3) of the Code, only 

to the extent and under the conditions stated in Rule 1007(c). 

(c) REDUCTION. 

(1) In General. Except as provided in paragraph (2) of this 

subdivision, when an act is required or allowed to be done at 

or within a specified time by these rules or by a notice given 

thereunder or by order of court, the court for cause shown 

may in its discretion with or without motion or notice order 

the period reduced. 

(2) Reduction Not Permitted. The court may not reduce the 

time for taking action under Rules 2002(a)(7), 2003(a), 3002(c), 

3014, 3015, 4001(b)(2), (c)(2), 4003(a), 4004(a), 4007(c), 4008(a), 8002, 

and 9033(b). In addition, the court may not reduce the time 

97 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9009 

under Rule 1007(c) to file the statement required by Rule 

1007(b)(7). 

(d) FOR MOTIONS—AFFIDAVITS. A written motion, other than one 

which may be heard ex parte, and notice of any hearing shall be 

served not later than seven days before the time specified for such 

hearing, unless a different period is fixed by these rules or by 

order of the court. Such an order may for cause shown be made on 

ex parte application. When a motion is supported by affidavit, the 

affidavit shall be served with the motion; and, except as otherwise 

provided in Rule 9023, opposing affidavits may be served not later 

than one day before the hearing, unless the court permits them to 

be served at some other time. 

(e) TIME OF SERVICE. Service of process and service of any paper 

other than process or of notice by mail is complete on mailing. 

(f) ADDITIONAL TIME AFTER SERVICE BY MAIL OR UNDER RULE

5(b)(2)(D), (E), OR (F) F.R.CIV.P. When there is a right or requirement to act or undertake some proceedings within a prescribed period after service and that service is by mail or under Rule 

5(b)(2)(D), (E), or (F) F.R.Civ.P., three days are added after the 

prescribed period would otherwise expire under Rule 9006(a). 

(g) GRAIN STORAGE FACILITY CASES. This rule shall not limit the 

court’s authority under § 557 of the Code to enter orders governing 

procedures in cases in which the debtor is an owner or operator of 

a grain storage facility. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 25, 1989, eff. Aug. 

1, 1989; Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 1996, eff. Dec. 1, 1996; 

Apr. 26, 1999, eff. Dec. 1, 1999; Apr. 23, 2001, eff. Dec. 1, 2001; Apr. 

25, 2005, eff. Dec. 1, 2005; Apr. 23, 2008, eff. Dec. 1, 2008; Mar. 26, 2009, 

eff. Dec. 1, 2009.) 

Rule 9007. General Authority to Regulate Notices 

When notice is to be given under these rules, the court shall designate, if not otherwise specified herein, the time within which, 

the entities to whom, and the form and manner in which the notice shall be given. When feasible, the court may order any notices 

under these rules to be combined. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9008. Service or Notice by Publication 

Whenever these rules require or authorize service or notice by 

publication, the court shall, to the extent not otherwise specified 

in these rules, determine the form and manner thereof, including 

the newspaper or other medium to be used and the number of publications. 

Rule 9009. Forms 

Except as otherwise provided in Rule 3016(d), the Official Forms 

prescribed by the Judicial Conference of the United States shall be 

observed and used with alterations as may be appropriate. Forms 

may be combined and their contents rearranged to permit economies in their use. The Director of the Administrative Office of the 

United States Courts may issue additional forms for use under the 

Code. The forms shall be construed to be consistent with these 

rules and the Code. 

Rule 9010 FEDERAL RULES OF BANKRUPTCY PROCEDURE 98 

1So in original. The comma probably should not appear. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec. 

1, 2008.) 

Rule 9010. Representation and Appearances; Powers of Attorney 

(a) AUTHORITY TO ACT PERSONALLY OR BY ATTORNEY. A debtor, 

creditor, equity security holder, indenture trustee, committee or 

other party may (1) appear in a case under the Code and act either 

in the entity’s own behalf or by an attorney authorized to practice 

in the court, and (2) perform any act not constituting the practice 

of law, by an authorized agent, attorney in fact, or proxy. 

(b) NOTICE OF APPEARANCE. An attorney appearing for a party in 

a case under the Code shall file a notice of appearance with the 

attorney’s name, office address and telephone number, unless the 

attorney’s appearance is otherwise noted in the record. 

(c) POWER OF ATTORNEY. The authority of any agent, attorney in 

fact, or proxy to represent a creditor for any purpose other than 

the execution and filing of a proof of claim or the acceptance or 

rejection of a plan shall be evidenced by a power of attorney conforming substantially to the appropriate Official Form. The execution of any such power of attorney shall be acknowledged before 

one of the officers enumerated in 28 U.S.C. § 459, § 953, Rule 9012, or 

a person authorized to administer oaths under the laws of the 

state where the oath is administered. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 9011. Signing of Papers; Representations to the Court; Sanctions; Verification and Copies of Papers 

(a) SIGNATURE. Every petition, pleading, written motion, and 

other paper, except a list, schedule, or statement, or amendments 

thereto, shall be signed by at least one attorney of record in the 

attorney’s individual name. A party who is not represented by an 

attorney shall sign all papers. Each paper shall state the signer’s 

address and telephone number, if any. An unsigned paper shall be 

stricken unless omission of the signature is corrected promptly 

after being called to the attention of the attorney or party. 

(b) REPRESENTATIONS TO THE COURT. By presenting to the court 

(whether by signing, filing, submitting, or later advocating) a petition, pleading, written motion, or other paper, an attorney or 

unrepresented party is certifying that to the best of the person’s 

knowledge, information, and belief, formed after an inquiry reasonable under the circumstances,— 1

(1) it is not being presented for any improper purpose, such 

as to harass or to cause unnecessary delay or needless increase 

in the cost of litigation; 

(2) the claims, defenses, and other legal contentions therein 

are warranted by existing law or by a nonfrivolous argument 

for the extension, modification, or reversal of existing law or 

the establishment of new law; 

(3) the allegations and other factual contentions have evidentiary support or, if specifically so identified, are likely to 

have evidentiary support after a reasonable opportunity for 

further investigation or discovery; and 

99 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9011 

(4) the denials of factual contentions are warranted on the 

evidence or, if specifically so identified, are reasonably based 

on a lack of information or belief. 

(c) SANCTIONS. If, after notice and a reasonable opportunity to 

respond, the court determines that subdivision (b) has been violated, the court may, subject to the conditions stated below, impose an appropriate sanction upon the attorneys, law firms, or 

parties that have violated subdivision (b) or are responsible for 

the violation. 

(1) How Initiated. 

(A) By Motion. A motion for sanctions under this rule 

shall be made separately from other motions or requests 

and shall describe the specific conduct alleged to violate 

subdivision (b). It shall be served as provided in Rule 7004. 

The motion for sanctions may not be filed with or presented to the court unless, within 21 days after service of 

the motion (or such other period as the court may prescribe), the challenged paper, claim, defense, contention, 

allegation, or denial is not withdrawn or appropriately 

corrected, except that this limitation shall not apply if the 

conduct alleged is the filing of a petition in violation of 

subdivision (b). If warranted, the court may award to the 

party prevailing on the motion the reasonable expenses 

and attorney’s fees incurred in presenting or opposing the 

motion. Absent exceptional circumstances, a law firm 

shall be held jointly responsible for violations committed 

by its partners, associates, and employees. 

(B) On Court’s Initiative. On its own initiative, the court 

may enter an order describing the specific conduct that 

appears to violate subdivision (b) and directing an attorney, law firm, or party to show cause why it has not violated subdivision (b) with respect thereto. 

(2) Nature of Sanction; Limitations. A sanction imposed for 

violation of this rule shall be limited to what is sufficient to 

deter repetition of such conduct or comparable conduct by 

others similarly situated. Subject to the limitations in subparagraphs (A) and (B), the sanction may consist of, or include, directives of a nonmonetary nature, an order to pay a 

penalty into court, or, if imposed on motion and warranted for 

effective deterrence, an order directing payment to the movant of some or all of the reasonable attorneys’ fees and other 

expenses incurred as a direct result of the violation. 

(A) Monetary sanctions may not be awarded against a 

represented party for a violation of subdivision (b)(2). 

(B) Monetary sanctions may not be awarded on the 

court’s initiative unless the court issues its order to show 

cause before a voluntary dismissal or settlement of the 

claims made by or against the party which is, or whose attorneys are, to be sanctioned. 

(3) Order. When imposing sanctions, the court shall describe 

the conduct determined to constitute a violation of this rule 

and explain the basis for the sanction imposed. 

Rule 9012 FEDERAL RULES OF BANKRUPTCY PROCEDURE 100 

(d) INAPPLICABILITY TO DISCOVERY. Subdivisions (a) through (c) 

of this rule do not apply to disclosures and discovery requests, responses, objections, and motions that are subject to the provisions 

of Rules 7026 through 7037. 

(e) VERIFICATION. Except as otherwise specifically provided by 

these rules, papers filed in a case under the Code need not be verified. Whenever verification is required by these rules, an unsworn 

declaration as provided in 28 U.S.C. § 1746 satisfies the requirement 

of verification. 

(f) COPIES OF SIGNED OR VERIFIED PAPERS. When these rules require copies of a signed or verified paper, it shall suffice if the 

original is signed or verified and the copies are conformed to the 

original. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 11, 1997, eff. Dec. 1, 1997.) 

Rule 9012. Oaths and Affirmations 

(a) PERSONS AUTHORIZED TO ADMINISTER OATHS. The following 

persons may administer oaths and affirmations and take acknowledgments: a bankruptcy judge, clerk, deputy clerk, United States 

trustee, officer authorized to administer oaths in proceedings before the courts of the United States or under the laws of the state 

where the oath is to be taken, or a diplomatic or consular officer 

of the United States in any foreign country. 

(b) AFFIRMATION IN LIEU OF OATH. When in a case under the Code 

an oath is required to be taken a solemn affirmation may be accepted in lieu thereof. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991.) 

Rule 9013. Motions: Form and Service 

A request for an order, except when an application is authorized 

by these rules, shall be by written motion, unless made during a 

hearing. The motion shall state with particularity the grounds 

therefor, and shall set forth the relief or order sought. Every written motion other than one which may be considered ex parte shall 

be served by the moving party on the trustee or debtor in possession and on those entities specified by these rules or, if service is 

not required or the entities to be served are not specified by these 

rules, the moving party shall serve the entities the court directs. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9014. Contested Matters 

(a) MOTION. In a contested matter not otherwise governed by 

these rules, relief shall be requested by motion, and reasonable notice and opportunity for hearing shall be afforded the party 

against whom relief is sought. No response is required under this 

rule unless the court directs otherwise. 

(b) SERVICE. The motion shall be served in the manner provided 

for service of a summons and complaint by Rule 7004. Any paper 

served after the motion shall be served in the manner provided by 

Rule 5(b) F. R. Civ. P. 

101 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9016 

(c) APPLICATION OF PART VII RULES. Except as otherwise provided in this rule, and unless the court directs otherwise, the following rules shall apply: 7009, 7017, 7021, 7025, 7026, 7028-7037, 7041, 

7042, 7052, 7054-7056, 7064, 7069, and 7071. The following subdivisions 

of Fed. R. Civ. P. 26, as incorporated by Rule 7026, shall not apply 

in a contested matter unless the court directs otherwise: 26(a)(1) 

(mandatory disclosure), 26(a)(2) (disclosures regarding expert testimony) and 26(a)(3) (additional pre-trial disclosure), and 26(f) 

(mandatory meeting before scheduling conference/discovery plan). 

An entity that desires to perpetuate testimony may proceed in 

the same manner as provided in Rule 7027 for the taking of a deposition before an adversary proceeding. The court may at any stage 

in a particular matter direct that one or more of the other rules 

in Part VII shall apply. The court shall give the parties notice of 

any order issued under this paragraph to afford them a reasonable 

opportunity to comply with the procedures prescribed by the 

order. 

(d) TESTIMONY OF WITNESSES. Testimony of witnesses with respect to disputed material factual issues shall be taken in the 

same manner as testimony in an adversary proceeding. 

(e) ATTENDANCE OF WITNESSES. The court shall provide procedures that enable parties to ascertain at a reasonable time before 

any scheduled hearing whether the hearing will be an evidentiary 

hearing at which witnesses may testify. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 26, 1999, eff. Dec. 

1, 1999; Apr. 29, 2002, eff. Dec. 1, 2002; Apr. 26, 2004, eff. Dec. 1, 2004.) 

Rule 9015. Jury Trials 

(a) APPLICABILITY OF CERTAIN FEDERAL RULES OF CIVIL PROCEDURE. Rules 38, 39, 47–49, and 51, F.R.Civ.P., and Rule 81(c) 

F.R.Civ.P. insofar as it applies to jury trials, apply in cases and 

proceedings, except that a demand made under Rule 38(b) 

F.R.Civ.P. shall be filed in accordance with Rule 5005. 

(b) CONSENT TO HAVE TRIAL CONDUCTED BY BANKRUPTCY JUDGE. 

If the right to a jury trial applies, a timely demand has been filed 

pursuant to Rule 38(b) F.R.Civ.P., and the bankruptcy judge has 

been specially designated to conduct the jury trial, the parties 

may consent to have a jury trial conducted by a bankruptcy judge 

under 28 U.S.C. § 157(e) by jointly or separately filing a statement 

of consent within any applicable time limits specified by local 

rule. 

(c) APPLICABILITY OF RULE 50 F.R.CIV.P. Rule 50 F.R.Civ.P. applies in cases and proceedings, except that any renewed motion for 

judgment or request for a new trial shall be filed no later than 14 

days after the entry of judgment. 

(Added Apr. 11, 1997, eff. Dec. 1, 1997; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 9016. Subpoena 

Rule 45 F.R.Civ.P. applies in cases under the Code. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9017 FEDERAL RULES OF BANKRUPTCY PROCEDURE 102 

Rule 9017. Evidence 

The Federal Rules of Evidence and Rules 43, 44 and 44.1 

F.R.Civ.P. apply in cases under the Code. 

Rule 9018. Secret, Confidential, Scandalous, or Defamatory Matter 

On motion or on its own initiative, with or without notice, the 

court may make any order which justice requires (1) to protect 

the estate or any entity in respect of a trade secret or other confidential research, development, or commercial information, (2) to 

protect any entity against scandalous or defamatory matter contained in any paper filed in a case under the Code, or (3) to protect 

governmental matters that are made confidential by statute or 

regulation. If an order is entered under this rule without notice, 

any entity affected thereby may move to vacate or modify the 

order, and after a hearing on notice the court shall determine the 

motion. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9019. Compromise and Arbitration 

(a) COMPROMISE. On motion by the trustee and after notice and 

a hearing, the court may approve a compromise or settlement. Notice shall be given to creditors, the United States trustee, the 

debtor, and indenture trustees as provided in Rule 2002 and to any 

other entity as the court may direct. 

(b) AUTHORITY TO COMPROMISE OR SETTLE CONTROVERSIES WITHIN

CLASSES. After a hearing on such notice as the court may direct, 

the court may fix a class or classes of controversies and authorize 

the trustee to compromise or settle controversies within such 

class or classes without further hearing or notice. 

(c) ARBITRATION. On stipulation of the parties to any controversy affecting the estate the court may authorize the matter 

to be submitted to final and binding arbitration. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 22, 1993, eff. Aug. 1, 1993.) 

Rule 9020. Contempt Proceedings 

Rule 9014 governs a motion for an order of contempt made by the 

United States trustee or a party in interest. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 2001, eff. Dec. 1, 2001.) 

Rule 9021. Entry of Judgment 

A judgment or order is effective when entered under Rule 5003. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Mar. 26, 2009, eff. Dec. 

1, 2009.) 

Rule 9022. Notice of Judgment or Order 

(a) JUDGMENT OR ORDER OF BANKRUPTCY JUDGE. Immediately on 

the entry of a judgment or order the clerk shall serve a notice of 

entry in the manner provided in Rule 5(b) F.R.Civ.P. on the contesting parties and on other entities as the court directs. Unless 

the case is a chapter 9 municipality case, the clerk shall forthwith 

transmit to the United States trustee a copy of the judgment or 

103 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9027 

order. Service of the notice shall be noted in the docket. Lack of 

notice of the entry does not affect the time to appeal or relieve 

or authorize the court to relieve a party for failure to appeal within the time allowed, except as permitted in Rule 8002. 

(b) JUDGMENT OR ORDER OF DISTRICT JUDGE. Notice of a judgment or order entered by a district judge is governed by Rule 77(d) 

F.R.Civ.P. Unless the case is a chapter 9 municipality case, the 

clerk shall forthwith transmit to the United States trustee a copy 

of a judgment or order entered by a district judge. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 23, 2001, eff. Dec. 1, 2001.) 

Rule 9023. New Trials; Amendment of Judgments 

Except as provided in this rule and Rule 3008, Rule 59 F.R.Civ.P. 

applies in cases under the Code. A motion for a new trial or to 

alter or amend a judgment shall be filed, and a court may on its 

own order a new trial, no later than 14 days after entry of judgment. 

(As amended Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 9024. Relief from Judgment or Order 

Rule 60 F.R.Civ.P. applies in cases under the Code except that (1) 

a motion to reopen a case under the Code or for the reconsideration of an order allowing or disallowing a claim against the estate entered without a contest is not subject to the one year limitation prescribed in Rule 60(c), (2) a complaint to revoke a discharge in a chapter 7 liquidation case may be filed only within the 

time allowed by § 727(e) of the Code, and (3) a complaint to revoke 

an order confirming a plan may be filed only within the time allowed by § 1144, § 1230, or § 1330. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991; Apr. 23, 2008, eff. Dec. 

1, 2008.) 

Rule 9025. Security: Proceedings Against Sureties 

Whenever the Code or these rules require or permit the giving 

of security by a party, and security is given in the form of a bond 

or stipulation or other undertaking with one or more sureties, 

each surety submits to the jurisdiction of the court, and liability 

may be determined in an adversary proceeding governed by the 

rules in Part VII. 

Rule 9026. Exceptions Unnecessary 

Rule 46 F.R.Civ.P. applies in cases under the Code. 

Rule 9027. Removal 

(a) NOTICE OF REMOVAL. 

(1) Where Filed; Form and Content. A notice of removal shall 

be filed with the clerk for the district and division within 

which is located the state or federal court where the civil action is pending. The notice shall be signed pursuant to Rule 

9011 and contain a short and plain statement of the facts 

which entitle the party filing the notice to remove, contain a 

statement that upon removal of the claim or cause of action 

Rule 9027 FEDERAL RULES OF BANKRUPTCY PROCEDURE 104 

the proceeding is core or non-core and, if non-core, that the 

party filing the notice does or does not consent to entry of 

final orders or judgment by the bankruptcy judge, and be accompanied by a copy of all process and pleadings. 

(2) Time for Filing; Civil Action Initiated Before Commencement 

of the Case Under the Code. If the claim or cause of action in 

a civil action is pending when a case under the Code is commenced, a notice of removal may be filed only within the longest of (A) 90 days after the order for relief in the case under 

the Code, (B) 30 days after entry of an order terminating a 

stay, if the claim or cause of action in a civil action has been 

stayed under § 362 of the Code, or (C) 30 days after a trustee 

qualifies in a chapter 11 reorganization case but not later than 

180 days after the order for relief. 

(3) Time for filing; civil action initiated after commencement of 

the case under the Code. If a claim or cause of action is asserted 

in another court after the commencement of a case under the 

Code, a notice of removal may be filed with the clerk only 

within the shorter of (A) 30 days after receipt, through service 

or otherwise, of a copy of the initial pleading setting forth the 

claim or cause of action sought to be removed, or (B) 30 days 

after receipt of the summons if the initial pleading has been 

filed with the court but not served with the summons. 

(b) NOTICE. Promptly after filing the notice of removal, the 

party filing the notice shall serve a copy of it on all parties to the 

removed claim or cause of action. 

(c) FILING IN NON-BANKRUPTCY COURT. Promptly after filing the 

notice of removal, the party filing the notice shall file a copy of 

it with the clerk of the court from which the claim or cause of action is removed. Removal of the claim or cause of action is effected on such filing of a copy of the notice of removal. The parties shall proceed no further in that court unless and until the 

claim or cause of action is remanded. 

(d) REMAND. A motion for remand of the removed claim or cause 

of action shall be governed by Rule 9014 and served on the parties 

to the removed claim or cause of action. 

(e) PROCEDURE AFTER REMOVAL. 

(1) After removal of a claim or cause of action to a district 

court the district court or, if the case under the Code has been 

referred to a bankruptcy judge of the district, the bankruptcy 

judge, may issue all necessary orders and process to bring before it all proper parties whether served by process issued by 

the court from which the claim or cause of action was removed or otherwise. 

(2) The district court or, if the case under the Code has been 

referred to a bankruptcy judge of the district, the bankruptcy 

judge, may require the party filing the notice of removal to 

file with the clerk copies of all records and proceedings relating to the claim or cause of action in the court from which the 

claim or cause of action was removed. 

(3) Any party who has filed a pleading in connection with the 

removed claim or cause of action, other than the party filing 

the notice of removal, shall file a statement admitting or denying any allegation in the notice of removal that upon removal of the claim or cause of action the proceeding is core 

105 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9027 

or non-core. If the statement alleges that the proceeding is 

non-core, it shall state that the party does or does not consent 

to entry of final orders or judgment by the bankruptcy judge. 

A statement required by this paragraph shall be signed pursuant to Rule 9011 and shall be filed not later than 14 days after 

the filing of the notice of removal. Any party who files a 

statement pursuant to this paragraph shall mail a copy to 

every other party to the removed claim or cause of action. 

(f) PROCESS AFTER REMOVAL. If one or more of the defendants 

has not been served with process, the service has not been perfected prior to removal, or the process served proves to be defective, such process or service may be completed or new process issued pursuant to Part VII of these rules. This subdivision shall 

not deprive any defendant on whom process is served after removal of the defendant’s right to move to remand the case. 

(g) APPLICABILITY OF PART VII. The rules of Part VII apply to a 

claim or cause of action removed to a district court from a federal 

or state court and govern procedure after removal. Repleading is 

not necessary unless the court so orders. In a removed action in 

which the defendant has not answered, the defendant shall answer 

or present the other defenses or objections available under the 

rules of Part VII within 21 days following the receipt through 

service or otherwise of a copy of the initial pleading setting forth 

the claim for relief on which the action or proceeding is based, or 

within 21 days following the service of summons on such initial 

pleading, or within seven days following the filing of the notice of 

removal, whichever period is longest. 

(h) RECORD SUPPLIED. When a party is entitled to copies of the 

records and proceedings in any civil action or proceeding in a federal or a state court, to be used in the removed civil action or proceeding, and the clerk of the federal or state court, on demand accompanied by payment or tender of the lawful fees, fails to deliver 

certified copies, the court may, on affidavit reciting the facts, direct such record to be supplied by affidavit or otherwise. Thereupon the proceedings, trial and judgment may be had in the court, 

and all process awarded, as if certified copies had been filed. 

(i) ATTACHMENT OR SEQUESTRATION; SECURITIES. When a claim or 

cause of action is removed to a district court, any attachment or 

sequestration of property in the court from which the claim or 

cause of action was removed shall hold the property to answer the 

final judgment or decree in the same manner as the property 

would have been held to answer final judgment or decree had it 

been rendered by the court from which the claim or cause of action was removed. All bonds, undertakings, or security given by 

either party to the claim or cause of action prior to its removal 

shall remain valid and effectual notwithstanding such removal. 

All injunctions issued, orders entered and other proceedings had 

prior to removal shall remain in full force and effect until dissolved or modified by the court. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 29, 2002, eff. Dec. 1, 2002; Mar. 26, 2009, eff. Dec. 1, 2009.) 

Rule 9028 FEDERAL RULES OF BANKRUPTCY PROCEDURE 106 

Rule 9028. Disability of a Judge 

Rule 63 F.R.Civ.P. applies in cases under the Code. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9029. Local Bankruptcy Rules; Procedure When There is No 

Controlling Law 

(a) LOCAL BANKRUPTCY RULES. 

(1) Each district court acting by a majority of its district 

judges may make and amend rules governing practice and procedure in all cases and proceedings within the district court’s 

bankruptcy jurisdiction which are consistent with—but not 

duplicative of—Acts of Congress and these rules and which do 

not prohibit or limit the use of the Official Forms. Rule 83 

F.R.Civ.P. governs the procedure for making local rules. A district court may authorize the bankruptcy judges of the district, subject to any limitation or condition it may prescribe 

and the requirements of 83 F.R.Civ.P., to make and amend 

rules of practice and procedure which are consistent with—but 

not duplicative of—Acts of Congress and these rules and which 

do not prohibit or limit the use of the Official Forms. Local 

rules shall conform to any uniform numbering system prescribed by the Judicial Conference of the United States. 

(2) A local rule imposing a requirement of form shall not be 

enforced in a manner that causes a party to lose rights because of a nonwillful failure to comply with the requirement. 

(b) PROCEDURE WHEN THERE IS NO CONTROLLING LAW. A judge 

may regulate practice in any manner consistent with federal law, 

these rules, Official Forms, and local rules of the district. No 

sanction or other disadvantage may be imposed for noncompliance 

with any requirement not in federal law, federal rules, Official 

Forms, or the local rules of the district unless the alleged violator 

has been furnished in the particular case with actual notice of the 

requirement. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987; Apr. 30, 1991, eff. Aug. 

1, 1991; Apr. 27, 1995, eff. Dec. 1, 1995.) 

Rule 9030. Jurisdiction and Venue Unaffected 

These rules shall not be construed to extend or limit the jurisdiction of the courts or the venue of any matters therein. 

(As amended Mar. 30, 1987, eff. Aug. 1, 1987.) 

Rule 9031. Masters Not Authorized 

Rule 53 F.R.Civ.P. does not apply in cases under the Code. 

Rule 9032. Effect of Amendment of Federal Rules of Civil Procedure 

The Federal Rules of Civil Procedure which are incorporated by 

reference and made applicable by these rules shall be the Federal 

Rules of Civil Procedure in effect on the effective date of these 

rules and as thereafter amended, unless otherwise provided by 

such amendment or by these rules. 

(As amended Apr. 30, 1991, eff. Aug. 1, 1991.) 

107 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9034 

Rule 9033. Review of Proposed Findings of Fact and Conclusions 

of Law in Non-Core Proceedings 

(a) SERVICE. In non-core proceedings heard pursuant to 28 U.S.C. 

§ 157(c)(1), the bankruptcy judge shall file proposed findings of fact 

and conclusions of law. The clerk shall serve forthwith copies on 

all parties by mail and note the date of mailing on the docket. 

(b) OBJECTIONS: TIME FOR FILING. Within 14 days after being 

served with a copy of the proposed findings of fact and conclusions 

of law a party may serve and file with the clerk written objections 

which identify the specific proposed findings or conclusions objected to and state the grounds for such objection. A party may 

respond to another party’s objections within 14 days after being 

served with a copy thereof. A party objecting to the bankruptcy 

judge’s proposed findings or conclusions shall arrange promptly 

for the transcription of the record, or such portions of it as all 

parties may agree upon or the bankruptcy judge deems sufficient, 

unless the district judge otherwise directs. 

(c) EXTENSION OF TIME. The bankruptcy judge may for cause extend the time for filing objections by any party for a period not 

to exceed 21 days from the expiration of the time otherwise prescribed by this rule. A request to extend the time for filing objections must be made before the time for filing objections has expired, except that a request made no more than 21 days after the 

expiration of the time for filing objections may be granted upon 

a showing of excusable neglect. 

(d) STANDARD OF REVIEW. The district judge shall make a de 

novo review upon the record or, after additional evidence, of any 

portion of the bankruptcy judge’s findings of fact or conclusions 

of law to which specific written objection has been made in accordance with this rule. The district judge may accept, reject, or 

modify the proposed findings of fact or conclusions of law, receive 

further evidence, or recommit the matter to the bankruptcy judge 

with instructions. 

(Added Mar. 30, 1987, eff. Aug. 1, 1987; amended Mar. 26, 2009, eff. 

Dec. 1, 2009.) 

Rule 9034. Transmittal of Pleadings, Motion Papers, Objections, 

and Other Papers to the United States Trustee 

Unless the United States trustee requests otherwise or the case 

is a chapter 9 municipality case, any entity that files a pleading, 

motion, objection, or similar paper relating to any of the following matters shall transmit a copy thereof to the United States 

trustee within the time required by these rules for service of the 

paper: 

(a) a proposed use, sale, or lease of property of the estate 

other than in the ordinary course of business; 

(b) the approval of a compromise or settlement of a controversy; 

(c) the dismissal or conversion of a case to another chapter; 

(d) the employment of professional persons; 

(e) an application for compensation or reimbursement of expenses; 

(f) a motion for, or approval of an agreement relating to, the 

use of cash collateral or authority to obtain credit; 

Rule 9035 FEDERAL RULES OF BANKRUPTCY PROCEDURE 108 

(g) the appointment of a trustee or examiner in a chapter 11 

reorganization case; 

(h) the approval of a disclosure statement; 

(i) the confirmation of a plan; 

(j) an objection to, or waiver or revocation of, the debtor’s 

discharge; 

(k) any other matter in which the United States trustee requests copies of filed papers or the court orders copies transmitted to the United States trustee. 

(Added Apr. 30, 1991, eff. Aug. 1, 1991.) 

Rule 9035. Applicability of Rules in Judicial Districts in Alabama 

and North Carolina 

In any case under the Code that is filed in or transferred to a 

district in the State of Alabama or the State of North Carolina 

and in which a United States trustee is not authorized to act, 

these rules apply to the extent that they are not inconsistent with 

any federal statute effective in the case. 

(Added Apr. 30, 1991, eff. Aug. 1, 1991; amended Apr. 11, 1997, eff. 

Dec. 1, 1997.) 

Rule 9036. Notice by Electronic Transmission 

Whenever the clerk or some other person as directed by the 

court is required to send notice by mail and the entity entitled to 

receive the notice requests in writing that, instead of notice by 

mail, all or part of the information required to be contained in the 

notice be sent by a specified type of electronic transmission, the 

court may direct the clerk or other person to send the information by such electronic transmission. Notice by electronic means 

is complete on transmission. 

(Added Apr. 22, 1993, eff. Aug. 1, 1993; amended Apr. 25, 2005, eff. 

Dec. 1, 2005.) 

Rule 9037. Privacy Protection For Filings Made with the Court 

(a) REDACTED FILINGS. Unless the court orders otherwise, in an 

electronic or paper filing made with the court that contains an individual’s social-security number, taxpayer-identification number, or birth date, the name of an individual, other than the debtor, known to be and identified as a minor, or a financial-account 

number, a party or nonparty making the filing may include only: 

(1) the last four digits of the social-security number and taxpayer-identification number; 

(2) the year of the individual’s birth; 

(3) the minor’s initials; and 

(4) the last four digits of the financial-account number. 

(b) EXEMPTIONS FROM THE REDACTION REQUIREMENT. The redaction requirement does not apply to the following: 

(1) a financial-account number that identifies the property 

allegedly subject to forfeiture in a forfeiture proceeding; 

(2) the record of an administrative or agency proceeding unless filed with a proof of claim; 

(3) the official record of a state-court proceeding; 

(4) the record of a court or tribunal, if that record was not 

subject to the redaction requirement when originally filed; 

109 FEDERAL RULES OF BANKRUPTCY PROCEDURE Rule 9037 

(5) a filing covered by subdivision (c) of this rule; and 

(6) a filing that is subject to § 110 of the Code. 

(c) FILINGS MADE UNDER SEAL. The court may order that a filing 

be made under seal without redaction. The court may later unseal 

the filing or order the entity that made the filing to file a redacted version for the public record. 

(d) PROTECTIVE ORDERS. For cause, the court may by order in a 

case under the Code: 

(1) require redaction of additional information; or 

(2) limit or prohibit a nonparty’s remote electronic access to 

a document filed with the court. 

(e) OPTION FOR ADDITIONAL UNREDACTED FILING UNDER SEAL. An 

entity making a redacted filing may also file an unredacted copy 

under seal. The court must retain the unredacted copy as part of 

the record. 

(f) OPTION FOR FILING A REFERENCE LIST. A filing that contains 

redacted information may be filed together with a reference list 

that identifies each item of redacted information and specifies an 

appropriate identifier that uniquely corresponds to each item listed. The list must be filed under seal and may be amended as of 

right. Any reference in the case to a listed identifier will be construed to refer to the corresponding item of information. 

(g) WAIVER OF PROTECTION OF IDENTIFIERS. An entity waives the 

protection of subdivision (a) as to the entity’s own information by 

filing it without redaction and not under seal. 

(Added Apr. 30, 2007, eff. Dec. 1, 2007.) 

[PART X—UNITED STATES TRUSTEES] (Abrogated Apr. 30, 

1991, eff. Aug. 1, 1991) 

Æ