Prepared by the

Committee on Rules of Practice and Procedure

Judicial Conference of the United States

August 2023

PRELIMINARY DRAFT 

Proposed Amendments to the Federal Rules of Appellate, 

Bankruptcy, and Civil Procedure

Request for Comments on Amendments to:

Appellate Rules 6 and 39;

Bankruptcy Rules 3002.1 and 8006; Official Forms 410, 410C13-

M1, 410C13-M1R, 410C13-N, 410C13-NR, 

410C13-M2, and 410C13-M2R; and 

Civil Rules 16, 26, and new Rule 16.1

Written Comments Due By 

February 16, 2024 
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

H. THOMAS BYRON III

SECRETARY

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

REBECCA B. CONNELLY

BANKRUPTCY RULES

ROBIN L. ROSENBERG

CIVIL RULES

JAMES C. DEVER III

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: The Bench, Bar, and Public 

FROM: Honorable John D. Bates, Chair 

 Committee on Rules of Practice and Procedure 

DATE: August 15, 2023 

RE: Request for Comments on Proposed Amendments to Federal Rules and Forms

____________________________________________________________________________ 

The Judicial Conference Committee on Rules of Practice and Procedure (Standing 

Committee) has approved for publication for public comment the following proposed amendments 

to existing rules and forms, as well as one new rule: 

• Appellate Rules 6 and 39; 

• Bankruptcy Rules 3002.1 and 8006; 

• Bankruptcy Official Forms 410, 410C13-M1, 410C13-M1R, 410C13-N, 410C13-

NR, 410C13-M2, and 410C13-M2R; and 

• Civil Rules 16, 26, and new Rule 16.1. 

The proposals, supporting materials, and instructions on submitting written comments are 

posted on the Judiciary’s website at: 

https://www.uscourts.gov/rules-policies/proposed-amendments-published-public-comment 

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Memorandum to the Bench, Bar, and Public 

Page 2 

Opportunity to Submit Written Comments

Comments concerning the proposals must be submitted electronically no later than 

February 16, 2024. Please note that comments are part of the official record and publicly 

available. 

Opportunity to Appear at Public Hearings

On the following dates, the advisory committees will conduct public hearings on the 

proposals either virtually or in person: 

• Appellate Rules on October 18, 2023, and January 24, 2024; 

• Bankruptcy Rules on January 12, 2024, and January 19, 2024; and 

• Civil Rules on October 16, 2023, January 16, 2024, and February 6, 2024. 

If you wish to appear and present testimony regarding a proposed rule or form, you must 

notify the office of Rules Committee Staff at least 30 days before the scheduled hearing by 

emailing RulesCommittee_Secretary@ao.uscourts.gov. Hearings are subject to cancellation due 

to lack of requests to testify. 

At this time, the Standing Committee has only approved the proposals for publication and

comment. After the public comment period closes, all comments will be carefully considered by 

the relevant advisory committee as part of its consideration of whether to proceed with a proposal. 

Under the Rules Enabling Act, 28 U.S.C. §§ 2072-2077, if any of the published proposals 

are later approved, with or without revision, by the relevant advisory committee, the next steps are 

approval by the Standing Committee and the Judicial Conference, and then adoption by the 

Supreme Court. If adopted by the Court and transmitted to Congress by May 1, 2025, absent 

congressional action, the proposals would take effect on December 1, 2025. 

If you have questions about the rulemaking process or pending rules amendments, please 

contact the Rules Committee Staff at 202-502-1820 or visit https://www.uscourts.gov/rulespolicies. 

Preliminary Draft of Proposed Amendments | August 2023 Page 3 of 157
TABLE OF CONTENTS 

 Page

PART I: FEDERAL RULES OF APPELLATE 

PROCEDURE 

Excerpt from the Report of the Advisory Committee on 

Appellate Rules (May 2023) ............................................................. 6 

Rule 6. Appeal in a Bankruptcy Case ............................. 26 

Rule 39. Costs ................................................................... 47 

PART II: FEDERAL RULES OF BANKRUPTCY

PROCEDURE

Excerpt from the Report of the Advisory Committee on 

Bankruptcy Rules (December 2022) ............................................... 54 

Excerpt from the Report of the Advisory Committee on 

Bankruptcy Rules (May 2023) ........................................................ 56 

Rule 3002.1. Notice Relating to Claims Secured by a Security 

Interest in the Debtor’s Principal Residence in 

a Chapter 13 Case............................................... 61 

Rule 8006. Request for Leave to Take a Direct Appeal to a 

Court of Appeals After Certification ................. 80 

Official Bankruptcy Forms 

Form 410. Proof of Claim .................................................... 82 

Form 410C13- Motion Under Rule 3002.1(f)(1) to Determine 

M1 the Status of the Mortgage Claim ...................... 88 

Form 410C13- Response to Motion Under Rule 3002.1(f)(1) to 

M1R Determine the Status of the Mortgage Claim ..... 90 

Form 410C13-N Trustee’s Notice of Payments Made .................. 93 

Form 410C13- Response to Trustee’s Notice of Payments

NR Made ................................................................... 95 

Form 410C13- Motion Under Rule 3002.1(g)(4) to Determine

M2 Final Cure and Payment of Mortgage Claim......98 

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TABLE OF CONTENTS 

 Page 

Form 410C13- Response to Motion to Determine Final Cure 

M2R and Payment of Mortgage Claim ..................... 100

PART III: FEDERAL RULES OF CIVIL PROCEDURE 

Excerpt from the Report of the Advisory Committee on 

Civil Rules (May 2023) ................................................................. 106 

Rule 16. Pretrial Conferences; Scheduling; Management ... 120 

Rule 16.1. Multidistrict Litigation .......................................... 123 

Rule 26. Duty to Disclose; General Provisions Governing 

 Discovery .............................................................. 137 

APPENDIX: 

Procedures for Committees on Rules 

of Practice and Procedure ............................................................ 142 

List of Committee Members ........................................................ 147 

Preliminary Draft of Proposed Amendments | August 2023 Page 5 of 157
Excerpt from the May 11, 2023 Report of the Advisory Committee on Appellate Rules 

(revised July 14, 2023) 

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE 

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES 

WASHINGTON, D.C. 20544 

JOHN D. BATES 

CHAIR 

H. THOMAS BYRON III 

SECRETARY 

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE 

APPELLATE RULES 

REBECCA B. CONNELLY 

BANKRUPTCY RULES 

ROBIN L. ROSENBERG 

CIVIL RULES 

JAMES C. DEVER III 

CRIMINAL RULES 

PATRICK J. SCHILTZ 

EVIDENCE RULES 

MEMORANDUM 

TO: Hon. John D. Bates, Chair 

 Committee on Rules of Practice and Procedure 

FROM: Judge Jay Bybee, Chair 

 Advisory Committee on Appellate Rules 

RE: Report of the Advisory Committee on Appellate Rules 

DATE: May 11, 2023*

_____________________________________________________________________________ 

I. Introduction 

The Advisory Committee on Appellate Rules met on Wednesday, March 29, 

2023, in West Palm Beach, Florida. * * * 

* * * * * 

* Revised to incorporate changes that were made by the Committee on Rules of Practice and 

Procedure (Standing Committee) at its June 6, 2023 meeting.

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Appellate Rules 

(revised July 14, 2023) 

It also seeks publication of two proposed amendments, one to Rule 39, dealing 

with costs on appeal, and one to Rule 6, dealing with appeals in bankruptcy cases. 

(Part III of this report.) 

* * * * * 

III. Action Items for Approval for Publication 

A. Costs on Appeal (21-AP-D)

Rule 39 governs costs on appeal. Some costs are taxable in the court of appeals, 

while others are taxable in the district court. In City of San Antonio v. Hotels.com, 

141 S. Ct. 1628 (2021), the Supreme Court held that Rule 39 does not permit a district 

court to alter a court of appeals’ allocation of costs, even those costs that are taxed by 

the district court. The Court also observed that “the current Rules and the relevant 

statutes could specify more clearly the procedure that such a party should follow to 

bring their arguments to the court of appeals.” Id. at 1638. 

 The Advisory Committee seeks publication of proposed amendments to Rule 

39. The proposal is designed to accomplish several things: 

First, it clarifies the distinction between (1) the court of appeals deciding which 

parties must bear the costs and, if appropriate, in what percentages and (2) the court 

of appeals, the district court (or the clerk of either) calculating and taxing the dollar 

amount of costs upon the proper party or parties. It uses the term “allocated” for the 

former and the term “taxed” for the latter. Rule 39(a) established default rules for the 

allocation of costs; these default rules can be displaced by party agreement or court 

order. 

Second, it codifies the holding in Hotels.com, providing that the allocation of 

costs by the court of appeals applies to both the costs taxable in the court of appeals 

and the costs taxable in the district court. 

Third, it responds to the need identified in Hotels.com for a clearer procedure 

that a party should follow if it wants to ask the court of appeals to reconsider the 

allocation of costs. It does this by providing for a motion for reconsideration of the 

allocation. To prevent delay, it provides that the mandate must not be delayed while 

awaiting determination of such a motion for reconsideration while making clear that 

the court of appeals retains jurisdiction to decide the motion. 

Fourth, it makes Rule 39’s structure more parallel. The current Rule lists the 

costs taxable in the district court but not the costs taxable in the court of appeals. 

The proposed amendment lists the costs taxable in the court of appeals. 

The proposal does not, however, deal with one significant issue. Most costs on 

appeal are modest. The Advisory Committee learned that some parties do not even 

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Appellate Rules 

(revised July 14, 2023) 

bother to file bills of costs because the price of lawyer time to do so exceeds the value 

of the costs themselves. But one cost on appeal—indeed, the cost involved in 

Hotels.com—can be quite significant: the premium paid for a supersedeas bond. 

Because of the bond premium, the bill of costs in Hotels.com was for more than $2.3 

million. 

The Advisory Committee was unable to come up with a good way to make sure 

that the judgment winner in the district court is aware of the cost of the supersedeas 

bond early enough to ask the court of appeals to reallocate the costs. Allowing a party 

to move for reallocation in the court of appeals after the bill of costs is filed in the 

district court would mean that both courts are dealing with the same costs issue at 

the same time. Creating a long period to seek reallocation in the court of appeals 

would mean that the case would be less fresh in the judges’ minds and begin to look 

like a wholly separate appeal. Requiring disclosure in the bill of costs filed in the 

court of appeals would be odd because those costs are not sought in the court of 

appeals. Plus, a party might forego the relatively minor costs taxable in the court of 

appeals and care only about costs taxable in the district court. It would be possible to 

have the court of appeals tax the costs itself, but that would be a major departure 

from the principle, endorsed by the Supreme Court in Hotels.com, that the court 

closest to the cost should tax it. 

For this reason, the Appellate Rules Committee believes that the easiest and 

most obvious time for disclosure is when the bond is before the district court for 

approval. It has requested the Civil Rules Committee to consider amending Civil Rule 

62 to require that disclosure. 

Even without such an amendment to Civil Rule 62, however, the Appellate 

Rules Committee believes that the following proposed amendment to Appellate Rule 

39 is worthwhile and therefore asks the Standing Committee to publish it for public 

comment. The proposal has been revised since the Advisory Committee’s March 2023 

meeting in accordance with the suggestions of the style consultants. 

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Appellate Rules 

(revised July 14, 2023) 

1 Rule 39. Costs 

2 (a) Against Whom AssessedAllocating Costs Among the Parties. The 

3 following rules apply to allocating costs among the parties unless the law 

4 provides, the parties agree, or the court orders otherwise: 

5 (1) if an appeal is dismissed, costs are taxed allocated against the appellant; 

6 (2) if a judgment is affirmed, costs are taxed allocated against the appellant; 

7 (3) if a judgment is reversed, costs are taxed allocated against the appellee; 

8 (4) if a judgment is affirmed in part, reversed in part, modified, or vacated, 

9 each party bears its own costs costs are taxed only as the court orders.

10 (b) Reconsideration. Once the allocation of costs is established by the entry of 

11 judgment, a party may seek reconsideration of that allocation by filing a 

12 motion in the court of appeals within 14 days after the entry of judgment. But 

13 issuance of the mandate under Rule 41 must not be delayed awaiting a 

14 determination of the motion. The court of appeals retains jurisdiction to decide 

15 the motion after the mandate issues.

16 (c) Costs Governed by Allocation Determination. The allocation of costs 

17 applies both to costs taxable in the court of appeals under (e) and to costs 

18 taxable in district court under (f). 

19 (b)(d) Costs For and Against the United States. Costs for or against the United 

20 States, its agency, or officer will be assessed allocated under Rule 39(a) only if 

21 authorized by law. 

22 (e) Costs on Appeal Taxable in the Court of Appeals. 

23 (1) Costs Taxable. The following costs on appeal are taxable in the court 

24 of appeals for the benefit of the party entitled to costs:

25 (A) the production of necessary copies of a brief or appendix, or copies 

26 of records authorized by Rule 30(f); 

27 (B) the docketing fee; and

28 (C) a filing fee paid in the court of appeals. 

29 (c)(2) Costs of Copies. Each court of appeals must, by local rule, setfix the 

30 maximum rate for taxing the cost of producing necessary copies of a brief 

31 or appendix, or copies of records authorized by Rule 30(f). The rate must 

32 not exceed that generally charged for such work in the area where the 

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(revised July 14, 2023) 

33 clerk’s office is located and should encourage economical methods of 

34 copying. 

35 (d)(3) Bill of Costs; Objections; Insertion in Mandate. 

36 (1)(A) A party who wants costs taxed in the court of appeals must—

37 within 14 days after entry of judgment is entered—file with the 

38 circuit clerk and serve an itemized and verified bill of those costs. 

39 (2)(B) Objections must be filed within 14 days after service of the bill of 

40 costs is served, unless the court extends the time. 

41 (3)(C) The clerk must prepare and certify an itemized statement of costs 

42 for insertion in the mandate, but issuance of the mandate must 

43 not be delayed for taxing costs. If the mandate issues before costs 

44 are finally determined, the district clerk must—upon the circuit 

45 clerk’s request—add the statement of costs, or any amendment of 

46 it, to the mandate. 

47 (e)(f) Costs on Appeal Taxable in the District Court. The following costs on 

48 appeal are taxable in the district court for the benefit of the party entitled to 

49 costs under this rule: 

50 (1) the preparation and transmission of the record; 

51 (2) the reporter’s transcript, if needed to determine the appeal; 

52 (3) premiums paid for a bond or other security to preserve rights pending 

53 appeal; and 

54 (4) the fee for filing the notice of appeal. 

55 Committee Note 

56 In City of San Antonio v. Hotels.com, 141 S. Ct. 1628 (2021), the Supreme Court 

57 held that Rule 39 does not permit a district court to alter a court of appeals’ allocation 

58 of the costs listed in subdivision (e) of that Rule. The Court also observed that “the 

59 current Rules and the relevant statutes could specify more clearly the procedure that 

60 such a party should follow to bring their arguments to the court of appeals.” Id. at 

61 1638. The amendment does so. Stylistic changes are also made. 

62 Subdivision (a). Both the heading and the body of the Rule are amended to 

63 clarify that allocation of the costs among the parties is done by the court of appeals. 

64 The court may allow the default rules specified in subdivision (a) to operate based on 

65 the judgment, or it may allocate them differently based on the equities of the 

66 situation. Subdivision (a) is not concerned with calculating the amounts owed; it is 

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(revised July 14, 2023) 

67 concerned with who bears those costs, and in what proportion. The amendment also 

68 specifies a default for mixed judgments: each party bears its own costs. 

69 Subdivision (b). The amendment specifies a procedure for a party to ask the 

70 court of appeals to reconsider the allocation of costs established pursuant to 

71 subdivision (a). A party may do so by motion in the court of appeals within 14 days 

72 after the entry of judgment. The mandate is not stayed pending resolution of this 

73 motion, but the court of appeals retains jurisdiction to decide the motion after the 

74 mandate issues. 

75 Subdivision (c). Codifying the decision in Hotels.com, the amendment also 

76 makes clear that the allocation of costs by the court of appeals governs the taxation 

77 of costs both in the court of appeals and in the district court. 

78 Subdivision (d). The amendment uses the word “allocated” to match 

79 subdivision (a). 

80 Subdivision (e). The amendment specifies which costs are taxable in the 

81 court of appeals and clarifies that the procedure in that subdivision governs the 

82 taxation of costs taxable in the court of appeals. The docketing fee, currently $500, is 

83 established by the Judicial Conference of the United States pursuant to 28 U.S.C. § 

84 1913. The reference to filing fees paid in the court of appeals is not a reference to the 

85 $5 fee paid to the district court required by 28 U.S.C. § 1917 for filing a notice of 

86 appeal from the district court to the court of appeals. Instead, the reference is to filing 

87 fees paid in the court of appeals, such as the fee to file a notice of appeal from a 

88 bankruptcy appellate panel. 

89 Subdivision (f). The provisions governing costs taxable in the district court 

90 are lettered (f) rather than (e). The filing fee referred to in this subdivision is the $5 

91 fee required by 28 U.S.C. § 1917 for filing a notice of appeal from the district court to 

92 the court of appeals. 

B. Appeals in Bankruptcy Cases

The Advisory Committee on Bankruptcy Rules has asked the Advisory 

Committee on Appellate Rules to consider amendments to Appellate Rule 6 dealing 

with appeals in bankruptcy cases. Two different concerns led to this request. 

Resetting time to appeal. The first concern involves resetting the time to 

appeal in cases where a district court is exercising original jurisdiction in a 

bankruptcy case. Federal Rule of Appellate Procedure 4(a)(4)(A) resets the time to 

appeal if various post-judgment motions are timely made in the district court. To be 

timely in an ordinary civil case, the motion must be made within 28 days of the 

judgment. Fed. R. Civ. P. 50(b), 52(b), 59. But in a bankruptcy case, the equivalent 

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Appellate Rules 

(revised July 14, 2023) 

motions must be made within 14 days of the judgment. Fed. R. Bankr. P. 7052, 

9015(c), 9023. 

So what happens if a district court itself—rather than a bankruptcy court—

decides a bankruptcy proceeding in the first instance and a post-judgment motion is 

made on the 20th day after judgment? Does the motion have resetting effect or not? 

The Court of Appeals for the First Circuit has said no. In re Lac-Mégantic Train 

Derailment Litigation, 999 F.3d 72, 84 (1st Cir. 2021). The Bankruptcy Rules and their 

time limits apply to a bankruptcy case heard in the district court. 

This result, while sensible, is not obvious from the text of the Federal Rules of 

Appellate Procedure. That’s because Rule 6 provides: 

(a) Appeal From a Judgment, Order, or Decree of a District 

Court Exercising Original Jurisdiction in a Bankruptcy Case. An 

appeal to a court of appeals from a final judgment, order, or decree of a 

district court exercising jurisdiction under 28 U.S.C. §1334 is taken as 

any other civil appeal under these rules. 

And Rule 4(a)(4)(A) gives resetting effect to motions that are filed “within the time 

allowed” by “the Federal Rules of Civil Procedure”—which is 28 days, not 14 days . 

 The Bankruptcy Rules Committee considered amending Bankruptcy Rules 

7052, 9015(c), and 9023 to provide 28 days for the motions if the proceeding is heard 

by the district court, but that would undermine the goal of expedition and disrupt the 

uniformity of bankruptcy rules. It considered asking the Appellate Rules Committee 

to consider amending Appellate Rule 4(a)(4)(A) to acknowledge the different timing 

rules, but that would complicate an already quite complicated rule with material that 

doesn’t apply to non-bankruptcy cases. It settled on asking the Appellate Rules 

Committee to consider amending Appellate Rule 6(a)—the rule that deals with 

bankruptcy appeals where the district court exercised original jurisdiction—to 

acknowledge the different timing rules. 

The Appellate Rules Committee agreed.* It proposes to add a sentence to 

Appellate Rule 6(a): “But the reference in Rule 4(a)(4)(A) to the time allowed for 

motions under certain Federal Rules of Civil Procedure must be read as a reference 

to the time allowed for the equivalent motions under the applicable Federal Rule of 

Bankruptcy Procedure, which may be shorter than the time allowed under the Civil 

Rules.” The Committee Note provides a table of the equivalent motions and the time 

allowed under the current version of the applicable Bankruptcy Rule. 

* At the meeting, the Committee agreed in principle and asked the subcommittee to refine 

the language and provide a Committee Note for its consideration by email. The subcommittee 

did so, and the full Advisory Committee without dissent approved the proposal below.

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Appellate Rules 

(revised July 14, 2023) 

Direct appeals. The second concern involves direct appeals in bankruptcy 

cases. Appeals in bankruptcy are governed by 28 U.S.C. § 158. The default rule for 

appeals from an order of the bankruptcy court is that such appeals go either to the 

district court for the district where the bankruptcy court is located or (in the circuits 

that have established a bankruptcy appellate panel (BAP)) to the BAP for that circuit. 

Under § 158, the losing party then has a further appeal as of right to the court of 

appeals from a final judgment of the district court or BAP. 

The bankruptcy appeal process thus creates a redundancy whenever an appeal 

is taken to the court of appeals under § 158(d)(1), and the two-tiered procedure can 

be quite time-consuming. That can be problematic in the bankruptcy context, where 

quick resolution of the parties’ disputes is sometimes critical. 

In response to these concerns, as part of the Bankruptcy Abuse Prevention and 

Consumer Protection Act of 2005 (BAPCPA), Congress amended § 158(d) to provide 

that, in certain circumstances, appeals may be taken directly from orders of the 

bankruptcy court to the courts of appeals, bypassing the intervening appeal to the 

district court or BAP. To do so, Congress added § 158(d)(2), which provides: 

(A)The appropriate court of appeals shall have jurisdiction of appeals 

described in the first sentence of subsection (a) if the bankruptcy court, 

the district court, or the bankruptcy appellate panel involved, acting on 

its own motion or on the request of a party to the judgment, order, or 

decree described in such first sentence, or all the appellants and 

appellees (if any) acting jointly, certify that— 

(i) the judgment, order, or decree involves a question of law as 

to which there is no controlling decision of the court of 

appeals for the circuit or of the Supreme Court of the United 

States, or involves a matter of public importance; 

(ii) the judgment, order, or decree involves a question of law 

requiring resolution of conflicting decisions; or 

(iii) an immediate appeal from the judgment, order, or decree 

may materially advance the progress of the case or 

proceeding in which the appeal is taken; 

and if the court of appeals authorizes the direct appeal of the judgment, 

order, or decree. 

(B) If the bankruptcy court, the district court, or the bankruptcy appellate 

panel— 

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(revised July 14, 2023) 

(i) on its own motion or on the request of a party, determines that a 

circumstance specified in clause (i), (ii), or (iii) of subparagraph 

(A) exists; or 

(ii) receives a request made by a majority of the appellants and a 

majority of appellees (if any) to make the certification described 

in subparagraph (A); 

then the bankruptcy court, the district court, or the bankruptcy 

appellate panel shall make the certification described in subparagraph 

(A). 

(C)The parties may supplement the certification with a short statement of 

the basis for the certification. 

(D)An appeal under this paragraph does not stay any proceeding of the 

bankruptcy court, the district court, or the bankruptcy appellate panel 

from which the appeal is taken, unless the respective bankruptcy court, 

district court, or bankruptcy appellate panel, or the court of appeals in 

which the appeal is pending, issues a stay of such proceeding pending 

the appeal. 

(E)Any request under subparagraph (B) for certification shall be made not 

later than 60 days after the entry of the judgment, order, or decree. 

28 U.S.C. § 158(d)(2). 

Under this statute, any order of the bankruptcy court—final or interlocutory—

can be certified for direct appeal to the court of appeals if it meets the remaining 

statutory requirements. Those requirements are similar to, but looser than, the 

standards for certification under 28 U.S.C. § 1292(b), which permits courts of appeals 

to hear appeals of interlocutory orders of the district courts in certain circumstances. 

Moreover, the certification can be made by the bankruptcy court, district court, BAP, 

or the parties. Under the Bankruptcy Rules, even if a bankruptcy court order has 

been certified for direct appeal to the court of appeals, the appellant must still file a 

notice of appeal to the district court or BAP in order to render the certification 

effective. As with § 1292(b), the court of appeals must also authorize the direct appeal. 

Under this structure, a court of appeals’ decision to authorize a direct appeal 

does not determine whether an appeal will go forward, but instead in what court the 

appeal will be heard. The party asking that the appeal from the bankruptcy court be 

heard directly in the court of appeals might be an appellee rather than an appellant. 

Accordingly, the Bankruptcy Rules Committee seeks a clarifying amendment to 

Bankruptcy Rule 8006(g) providing that any party to the appeal may file a request 

that the court of appeals authorize a direct appeal: 

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(revised July 14, 2023) 

(g) Request After Certification for a Court of Appeals To 

Authorize a Direct Appeal. 

Within 30 days after the certification has become effective under 

(a), any party to the appeal may ask the court of appeals to authorize a 

direct appeal by filing a petition with the circuit clerk in accordance with 

Fed. R. App. P. 6(c). 

 Current Appellate Rule 6(c), which governs direct appeals, largely relies on 

Rule 5, which governs appeals by permission. But the proposed amendment to the 

Bankruptcy Rules revealed that Appellate Rule 5 is not a good fit for direct appeals 

in bankruptcy cases. That’s because Rule 5 was designed for the situation in which 

the court of appeals is deciding whether to allow an appeal at all. But in the direct 

appeal context, that’s not the question. Instead, in the direct appeal context, there is 

an appeal; the question is which court is going to hear that appeal.1 

More generally, experience with direct appeals shows considerable confusion 

in applying the Appellate Rules. This is primarily due to the manner in which Rule 

6(c) cross-references Rule 5 and to its failure to take into account that an appeal of 

the bankruptcy court order in question is already proceeding in the district court or 

BAP, which results in uncertainty about precisely what steps are necessary to perfect 

an appeal after the court of appeals authorizes a direct appeal. 

For these reasons, the Appellate Rules Committee proposes to overhaul Rule 

6(c) and make it largely self-contained. Parties will not need to refer to Rule 5 unless 

expressly referred to a specific provision of Rule 5 by Rule 6(c) itself. Rule 6(c) makes 

Rule 5 inapplicable except to the extent provided for in other parts of Rule 6(c). 

The proposed amendments also spell out in more detail how parties should 

handle initial procedural steps in the court of appeals once authorization for a direct 

appeal is granted, taking into account that an appeal from the same order will already 

be pending in the district court or BAP. The proposed Rule 6(c)(2) permits any party 

to the appeal to ask the court of appeals to authorize a direct appeal. It also adds 

provisions governing contents of the petition, answer or cross-petition, oral argument, 

form of papers, number of copies, and length limits. It also makes clear that no notice 

of appeal to the court of appeals needs to be filed, and provides for calculating time, 

notification of the order authorizing a direct appeal, and payment of fees. It adds a 

provision governing stays pending appeal, makes clear that steps already taken in 

1 A caveat: 28 U.S.C. § 158(a)(3) allows appeals from a bankruptcy court to a district court 

(or BAP) of otherwise unappealable interlocutory orders with leave of court. Authorization of 

a direct appeal under § 158(d)(2) subsumes leave to appeal. Fed. R. Bankr. P. 8004(e). (“If 

leave to appeal an interlocutory order or decree is required under 28 U.S.C. § 158(a)(3), an 

authorization of a direct appeal by the court of appeals under 28 U.S.C. § 158(d)(2) satisfies 

the requirement.”). 

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(revised July 14, 2023) 

pursuing the appeal need not be repeated, and provides for making the record 

available to the circuit clerk. It requires all parties, not just the appellant or applicant 

for direct appeal, to file a representation statement. Additional changes in language 

are made to better match the relevant statutes. 

None of these are intended to make major changes to existing procedures but 

to clarify those procedures. The proposal has been revised since the Advisory 

Committee’s March 2023 meeting in accordance with the suggestions of the style 

consultants.

1 Rule 6. Appeal in a Bankruptcy Case or Proceeding

2 (a) Appeal From a Judgment, Order, or Decree of a District Court 

3 Exercising Original Jurisdiction in a Bankruptcy Case or Proceeding.

4 An appeal to a court of appeals from a final judgment, order, or decree of a 

5 district court exercising original jurisdiction in a bankruptcy case or 

6 proceeding under 28 U.S.C. §1334 is taken as any other civil appeal under 

7 these rules. But the reference in Rule 4(a)(4)(A) to the time allowed for motions 

8 under certain Federal Rules of Civil Procedure must be read as a reference to 

9 the time allowed for the equivalent motions under the applicable Federal Rule*

10 of Bankruptcy Procedure, which may be shorter than the time allowed under 

11 the Civil Rules.

12 (b) Appeal From a Judgment, Order, or Decree of a District Court or 

13 Bankruptcy Appellate Panel Exercising Appellate Jurisdiction in a 

14 Bankruptcy Case or Proceeding.

15 (1) Applicability of Other Rules. These rules apply to an appeal to a 

16 court of appeals under 28 U.S.C. §158(d)(1) from a final judgment, order, 

17 or decree of a district court or bankruptcy appellate panel exercising 

18 appellate jurisdiction in a bankruptcy case or proceeding under 28 

19 U.S.C. §158(a) or (b), but with these qualifications: 

20 (A) Rules 4(a)(4), 4(b), 9, 10, 11, 12(c), 13–20, 22–23, and 24(b) do not 

21 apply; 

22 (B) the reference in Rule 3(c) to “Forms 1A and 1B in the Appendix of 

23 Forms” must be read as a reference to Form 5; 

24 (C) when the appeal is from a bankruptcy appellate panel, “district 

25 court,” as used in any applicable rule, means “bankruptcy 

26 appellate panel”; and 

* “Rule” was changed to “Rules” by the Standing Committee at its June 6, 2023 meeting. 

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27 (D) in Rule 12.1, "district court" includes a bankruptcy court or 

28 bankruptcy appellate panel. 

29 (2) Additional Rules. In addition to the rules made applicable by Rule 

30 6(b)(1), the following rules apply: 

31 (A) Motion for Rehearing.

32 (i) If a timely motion for rehearing under Bankruptcy Rule 

33 8022 is filed, the time to appeal for all parties runs from 

34 the entry of the order disposing of the motion. A notice of 

35 appeal filed after the district court or bankruptcy appellate 

36 panel announces or enters a judgment, order, or decree—

37 but before disposition of the motion for rehearing—

38 becomes effective when the order disposing of the motion 

39 for rehearing is entered. 

40 (ii) If a party intends to challenge the order disposing of the 

41 motion—or the alteration or amendment of a judgment, 

42 order, or decree upon the motion—then the party, in 

43 compliance accordance with Rules 3(c) and 6(b)(1)(B), must 

44 file a notice of appeal or amended notice of appeal. The 

45 notice or amended notice must be filed within the time 

46 prescribed by Rule 4—excluding Rules 4(a)(4) and 4(b)—

47 measured from the entry of the order disposing of the 

48 motion. 

49 (iii) No additional fee is required to file an amended notice. 

50 (B) The record on appeal.

51 (i) Within 14 days after filing the notice of appeal, the 

52 appellant must file with the clerk possessing the record 

53 assembled in accordance with Bankruptcy Rule 8009—and 

54 serve on the appellee—a statement of the issues to be 

55 presented on appeal and a designation of the record to be 

56 certified and made available to the circuit clerk. 

57 (ii) An appellee who believes that other parts of the record are 

58 necessary must, within 14 days after being served with the 

59 appellant's designation, file with the clerk and serve on the 

60 appellant a designation of additional parts to be included. 

61 (iii) The record on appeal consists of: 

62 • the redesignated record as provided above; 

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(revised July 14, 2023) 

63 • the proceedings in the district court or bankruptcy 

64 appellate panel; and 

65 • a certified copy of the docket entries prepared by the 

66 clerk under Rule 3(d). 

67 (C) Making the Record Available.

68 (i) When the record is complete, the district clerk or 

69 bankruptcy-appellate-panel clerk must number the 

70 documents constituting the record and promptly make it 

71 available to the circuit clerk. If the clerk makes the record 

72 available in paper form, the clerk will not send documents 

73 of unusual bulk or weight, physical exhibits other than 

74 documents, or other parts of the record designated for 

75 omission by local rule of the court of appeals, unless 

76 directed to do so by a party or the circuit clerk. If unusually 

77 bulky or heavy exhibits are to be made available in paper 

78 form, a party must arrange with the clerks in advance for 

79 their transportation and receipt. 

80 (ii) All parties must do whatever else is necessary to enable the 

81 clerk to assemble the record and make it available. When 

82 the record is made available in paper form, the court of 

83 appeals may provide by rule or order that a certified copy 

84 of the docket entries be made available in place of the 

85 redesignated record. But at any time during the appeal’s 

86 pendency, any party may request at any time during the 

87 pendency of the appeal that the redesignated record be 

88 made available. 

89 (D) Filing the Record. When the district clerk or bankruptcy90 appellate-panel clerk has made the record available, the circuit 

91 clerk must note that fact on the docket. The date as noted on the 

92 docket serves as the filing date of the record. The circuit clerk 

93 must immediately notify all parties of that the filing date. 

94 (c) Direct Appeal Review from a Judgment, Order, or Decree of a 

95 Bankruptcy Court by Permission Authorization Under 28 U.S.C. § 

96 158(d)(2). 

97 (1) Applicability of Other Rules. These rules apply to a direct appeal 

98 from a judgment, order, or decree of a bankruptcy court by permission 

99 authorization under 28 U.S.C. § 158(d)(2), but with these qualifications: 

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100 (A) Rules 3–4, 5(a)(3) (except as provided in this subdivision (c)), 6(a), 

101 6(b), 8(a), 8(c), 9–12, 13–20, 22–23, and 24(b) do not apply; and

102 (B) as used in any applicable rule, ‘‘district court’’ or ‘‘district clerk’’ 

103 includes—to the extent appropriate—a bankruptcy court or 

104 bankruptcy appellate panel or its clerk; and 

105 (C) the reference to “Rules 11 and 12(c)” in Rule 5(d)(3) must be read 

106 as a reference to Rules 6(c)(2)(B) and (C).

107 (2) Additional Rules. In addition to the rules made applicable by (c)(1), 

108 the following rules apply: 

109 (A) Petition to Authorize a Direct Appeal. Within 30 days after a 

110 certification of a bankruptcy court’s order for direct appeal to the 

111 court of appeals under 28 U.S.C. § 158(d)(2) becomes effective 

112 under Bankruptcy Rule 8006(a), any party to the appeal may ask 

113 the court of appeals to authorize a direct appeal by filing a 

114 petition with the circuit clerk under Bankruptcy Rule 8006(g).

115 (B) Contents of the Petition. The petition must include the 

116 material required by Rule 5(b)(1) and an attached copy of:

117 (i) the certification; and 

118 (ii) the notice of appeal of the bankruptcy court’s judgment, order, 

119 or decree filed under Bankruptcy Rule 8003 or 8004. 

120 (C) Answer or Cross-Petition; Oral Argument. Rule 5(b)(2) 

121 governs an answer or cross-petition. Rule 5(b)(3) governs oral 

122 argument. 

123 (D) Form of Papers; Number of Copies; Length Limits. Rule 

124 5(c) governs the required form, number of copies to be filed, and 

125 length limits applicable to the petition and any answer or cross126 petition. 

127 (E) Notice of Appeal; Calculating Time. A notice of appeal to the 

128 court of appeals need not be filed. The date when the order 

129 authorizing the direct appeal is entered serves as the date of the 

130 notice of appeal for calculating time under these rules. 

131 (F) Notification of the Order Authorizing Direct Appeal; Fees; 

132 Docketing the Appeal. 

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133 (i) When the court of appeals enters the order authorizing the 

134 direct appeal, the circuit clerk must notify the bankruptcy 

135 clerk and the district court clerk or bankruptcy-appellate136 panel clerk of the entry. 

137 (ii) Within 14 days after the order authorizing the direct 

138 appeal is entered, the appellant must pay the bankruptcy 

139 clerk any unpaid required fee, including: 

140  the fee required for the appeal to the district court 

141 or bankruptcy appellate panel; and 

142  the difference between the fee for an appeal to the 

143 district court or bankruptcy appellate panel and the 

144 fee required for an appeal to the court of appeals. 

145 (iii) The bankruptcy clerk must notify the circuit clerk once the 

146 appellant has paid all required fees. Upon receiving the 

147 notice, the circuit clerk must enter the direct appeal on the 

148 docket. 

149 (G) Stay Pending Appeal. Bankruptcy Rule 8007 applies to any 

150 stay pending appeal. 

151 (A)(H) The Record on Appeal. Bankruptcy Rule 8009 governs the 

152 record on appeal. If a party has already filed a document or 

153 completed a step required to assemble the record for the appeal 

154 to the district court or bankruptcy appellate panel, the party need 

155 not repeat that filing or step. 

156 (B)(I) Making the Record Available. Bankruptcy Rule 8010 governs 

157 completing the record and making it available. When the court of 

158 appeals enters the order authorizing the direct appeal, the 

159 bankruptcy clerk must make the record available to the circuit 

160 clerk. 

161 (C) Stays Pending Appeal. Bankruptcy Rule 8007 applies to stays 

162 pending appeal. 

163 

164 (D)(J) Duties of the Circuit Clerk. When the bankruptcy clerk has 

165 made the record available, the circuit clerk must note that fact on 

166 the docket. The date as noted on the docket serves as the filing 

167 date of the record. The circuit clerk must immediately notify all 

168 parties of that the filing date. 

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169 (E)(K) Filing a Representation Statement. Unless the court of 

170 appeals designates another time, within 14 days after entry of the 

171 order granting permission to appeal authorizing the direct appeal 

172 is entered, the attorney for each party to the appeal the attorney 

173 who sought permission must file a statement with the circuit 

174 clerk naming the parties that the attorney represents on appeal. 

175 Committee Note 

176 Subdivision (a). Minor stylistic and clarifying changes are made to 

177 subdivision (a). In addition, subdivision (a) is amended to clarify that, when a district 

178 court is exercising original jurisdiction in a bankruptcy case or proceeding under 28 

179 U.S.C. § 1334, the time in which to file post-judgment motions that can reset the time 

180 to appeal under Rule 4(a)(4)(A) is controlled by the Federal Rules of Bankruptcy 

181 Procedure, rather than the Federal Rules of Civil Procedure. 

182 The Bankruptcy Rules partially incorporate the relevant Civil Rules but in 

183 some instances shorten the deadlines for motions set out in the Civil Rules. See Fed. 

184 R. Bankr. P. 9015(c) (any renewed motion for judgment under Civil Rule 50(b) must 

185 be filed within 14 days of entry of judgment); Fed. R. Bankr. P. 7052 (any motion to 

186 amend or make additional findings under Civil Rule 52(b) must be filed within 14 

187 days of entry of judgment); Fed. R. Bankr. P. 9023 (any motion to alter or amend the 

188 judgment or for a new trial under Civil Rule 59 must be filed within 14 days of entry 

189 of judgment). 

190 Motions for attorney’s fees in bankruptcy cases or proceedings are governed by 

191 Bankruptcy Rule 7054(b)(2)(A), which incorporates without change the 14-day 

192 deadline set in Civil Rule 54(d)(2)(B). Under Appellate Rule 4(a)(4)(A)(iii), such a 

193 motion resets the time to appeal only if the district court so orders pursuant to Civil 

194 Rule 58(e), which is made applicable to bankruptcy cases and proceedings by 

195 Bankruptcy Rule 7058. 

196 Motions for relief under Civil Rule 60 in bankruptcy cases or proceedings are 

197 governed by Bankruptcy Rule 9024. Appellate Rule 4(a)(4)(A)(vi) provides that a 

198 motion for relief under Civil Rule 60 resets the time to appeal only if the motion is 

199 made within the time allowed for filing a motion under Civil Rule 59. In a bankruptcy 

200 case or proceeding, motions under Civil Rule 59 are governed by Bankruptcy Rule 

201 9023, which, as noted above, requires such motions to be filed within 14 days of entry 

202 of judgment. 

Civil Rule Bankruptcy Rule Time Under Bankruptcy Rule 

50(b) 9015(c) 14 days 

52(b) 7052 14 days 

59 9023 14 days 

54(d)(2)(B) 7054(b)(2)(A) 14 days 

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(revised July 14, 2023) 

60 9024 14 days 

203 Of course, the Bankruptcy Rules may be amended in the future. If that 

204 happens, the time allowed for the equivalent motions under the applicable 

205 Bankruptcy Rule may change. 

206 Subdivision (b). Minor stylistic and clarifying changes are made to the 

207 header of subdivision (b) and to subdivision (b)(1). Subdivision (b)(1)(C) is amended 

208 to correct the omission of the word “bankruptcy” from the phrase “bankruptcy 

appellate panel.” Stylistic changes are made to subdivision (b)(2)(D). 209 *

210 Subdivision (c). Subdivision (c) was added to Rule 6 in 2014 to set out 

211 procedures governing discretionary direct appeals from orders, judgments, or decrees 

212 of the bankruptcy court to the court of appeals under 28 U.S.C. § 158(d)(2). 

213 Typically, an appeal from an order, judgment, or decree of a bankruptcy court 

214 may be taken either to the district court for the relevant district or, in circuits that 

215 have established bankruptcy appellate panels, to the bankruptcy appellate panel for 

216 that circuit. 28 U.S.C. § 158(a). Final orders of the district court or bankruptcy 

217 appellate panel resolving appeals under § 158(a) are then appealable as of right to 

218 the court of appeals under § 158(d)(1). 

219 That two-step appeals process can be redundant and time-consuming and 

220 could in some circumstances potentially jeopardize the value of a bankruptcy estate 

221 by impeding quick resolution of disputes over disposition of estate assets. In the 

222 Bankruptcy Abuse Prevention and Consumer Protection Act of 2005, Congress 

223 enacted 28 U.S.C. § 158(d)(2) to provide that, in certain circumstances, appeals may 

224 be taken directly from orders of the bankruptcy court to the courts of appeals, 

225 bypassing the intervening appeal to the district court or bankruptcy appellate panel. 

226 Specifically, § 158(d)(2) grants the court of appeals jurisdiction of appeals from 

227 any order, judgment, or decree of the bankruptcy court if (a) the bankruptcy court, 

228 the district court, the bankruptcy appellate panel, or all parties to the appeal certify 

229 that (1) “the judgment, order, or decree involves a question of law as to which there 

230 is no controlling decision of the court of appeals for the circuit or of the Supreme Court 

231 of the United States, or involves a matter of public importance”; (2) “the judgment, 

232 order, or decree involves a question of law requiring resolution of conflicting 

233 decisions”; or (3) “an immediate appeal from the judgment, order, or decree may 

234 materially advance the progress of the case or proceeding in which the appeal is 

235 taken” and (b) “the court of appeals authorizes the direct appeal of the judgment, 

236 order, or decree.” 28 U.S.C. § 158(d)(2). 

* The Standing Committee removed the “(D)” from the citation for the subsection reference at its June 6, 

2023 meeting.

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237 Bankruptcy Rule 8006 governs the procedures for certification of a bankruptcy 

238 court order for direct appeal to the court of appeals. Among other things, Rule 8006 

239 provides that, to become effective, the certification must be filed in the appropriate 

240 court, the appellant must file a notice of appeal of the bankruptcy court order to the 

241 district court or bankruptcy appellate panel, and the notice of appeal must become 

242 effective. Fed. R. Bankr. P. 8006(a). Once the certification becomes effective under 

243 Rule 8006(a), a petition seeking authorization of the direct appeal must be filed with 

244 the court of appeals within 30 days. Id. 8006(g). 

245 Rule 6(c) governs the procedures applicable to a petition for authorization of a 

246 direct appeal and, if the court of appeals grants the petition, the initial procedural 

247 steps required to prosecute the direct appeal in the court of appeals. 

248 As promulgated in 2014, Rule 6(c) incorporated by reference most of Rule 5, 

249 which governs petitions for permission to appeal to the court of appeals from 

250 otherwise non-appealable district court orders. It has become evident over time, 

251 however, that Rule 5 is not a perfect fit for direct appeals of bankruptcy court orders 

252 to the courts of appeals. The primary difference is that Rule 5 governs discretionary 

253 appeals from district court orders that are otherwise non-appealable, and an order 

254 granting a petition for permission to appeal under Rule 5 thus initiates an appeal 

255 that otherwise would not occur. By contrast, an order granting a petition to authorize 

256 a direct appeal under Rule 6(c) means that an appeal that has already been filed and 

257 is pending in the district court or bankruptcy appellate panel will instead be heard 

258 in the court of appeals. As a result, it is not always clear precisely how to apply the 

259 provisions of Rule 5 to a Rule 6(c) direct appeal. 

260 The new amendments to Rule 6(c) are intended to address that problem by 

261 making Rule 6(c) self-contained. Thus, Rule 6(c)(1) is amended to provide that Rule 5 

262 is not applicable to Rule 6(c) direct appeals except as specified in Rule 6(c) itself. Rule 

263 6(c)(2) is also amended to include the substance of applicable provisions of Rule 5, 

264 modified to apply more clearly to Rule 6(c) direct appeals. In addition, stylistic and 

265 clarifying amendments are made to conform to other provisions of the Appellate Rules 

266 and Bankruptcy Rules and to ensure that all the procedures governing direct appeals 

267 of bankruptcy court orders are as clear as possible to both courts and practitioners. 

268 Subdivision (c)—Title. The title of subdivision (c) is amended to change 

269 “Direct Review” to “Direct Appeal” and “Permission” to “Authorization,” to be 

270 consistent with the language of 28 U.S.C. § 158(d)(2). In addition, the language “from 

271 a Judgment, Order, or Decree of a Bankruptcy Court” is added for clarity and to be 

272 consistent with other subdivisions of Rule 6. 

273 Subdivision (c)(1). The language of the first sentence is amended to be 

274 consistent with the title of subdivision (c). In addition, the list of rules in subdivision 

275 (c)(1)(A) that are inapplicable to direct appeals is modified to include Rule 5, except 

276 as provided in subdivision (c) itself. Subdivision (c)(1)(C), which modified certain 

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(revised July 14, 2023) 

277 language in Rule 5 in the context of direct appeals, is therefore deleted. As set out in 

278 more detail below, the provisions of Rule 5 that are applicable to direct appeals have 

279 been added, with appropriate modifications to take account of the direct appeal 

280 context, as new provisions in subdivision (c)(2). 

281 Subdivision (c)(2). The language “to the rules made applicable by (c)(1)” is 

282 added to the first sentence for consistency with other subdivisions of Rule 6. 

283 Subdivision (c)(2)(A). Subdivision (c)(2)(A) is a new provision that sets out 

284 the basic procedure and timeline for filing a petition to authorize a direct appeal in 

285 the court of appeals. It is intended to be substantively identical to Bankruptcy Rule 

286 8006(g), with minor stylistic changes made in light of the context of the Appellate 

287 Rules. 

288 Subdivision (c)(2)(B). Subdivision (c)(2)(B) is a new provision that specifies 

289 the contents of a petition to authorize a direct appeal. It provides that, in addition to 

290 the material required by Rule 5, the petition must include an attached copy of the 

291 certification under § 158(d)(2) and a copy of the notice of appeal to the district court 

292 or bankruptcy appellate panel. 

293 Subdivision (c)(2)(C). Subdivision (c)(2)(C) is a new provision. For clarity, it 

294 specifies that answers or cross-petitions are governed by Rule 5(b)(2) and oral 

295 argument is governed by Rule 5(b)(3). 

296 Subdivision (c)(2)(D). Subdivision (c)(2)(D) is a new provision. For clarity, 

297 it specifies that the required form, number of copies to be filed, and length limits 

298 applicable to the petition and any answer or cross-petition are governed by Rule 5(c). 

299 Subdivision (c)(2)(E). Subdivision (c)(2)(E) is a new provision that 

300 incorporates the substance of Rule 5(d)(2), modified to take into account that the 

301 appellant will already have filed a notice of appeal to the district court or bankruptcy 

302 appellate panel. It makes clear that a second notice of appeal to the court of appeals 

303 need not be filed, and that the date of entry of the order authorizing the direct appeal 

304 serves as the date of the notice of appeal for the purpose of calculating time under the 

305 Appellate Rules. 

306 Subdivision (c)(2)(F). Subdivision (c)(2)(F) is a new provision. It largely 

307 incorporates the substance of Rules 5(d)(1)(A) and 5(d)(3), with some modifications. 

308 Subdivision (c)(2)(F)(i) now requires that when the court of appeals enters an 

309 order authorizing a direct appeal, the circuit clerk must notify the bankruptcy clerk 

310 and the clerk of the district court or the clerk of the bankruptcy appellate panel of the 

311 order. 

312 Subdivision (c)(2)(F)(ii) requires that, within 14 days of entry of the order 

313 authorizing the direct appeal, the appellant must pay the bankruptcy clerk any 

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(revised July 14, 2023) 

314 required filing or docketing fees that have not yet been paid. Thus, if the appellant 

315 has not yet paid the required fee for the initial appeal to the district court or 

316 bankruptcy appellate panel, the appellant must do so. In addition, the appellant 

317 must pay the bankruptcy clerk the difference between the fee for the appeal to the 

318 district court or bankruptcy appellate panel and the fee for an appeal to the court of 

319 appeals, so that the appellant has paid the full fee required for an appeal to the court 

320 of appeals. 

321 Subdivision (c)(2)(F)(iii) then requires the bankruptcy clerk to notify the circuit 

322 clerk that all fees have been paid, which triggers the circuit clerk’s duty to docket the 

323 direct appeal. 

324 Subdivision (c)(2)(G). Subdivision (c)(2)(G) was formerly subdivision 

325 (c)(2)(C). It is substantively unchanged, continuing to provide that Bankruptcy Rule 

326 8007 governs stays pending appeal, but reflects minor stylistic revisions. 

327 Subdivision (c)(2)(H). Subdivision (c)(2)(H) was formerly subdivision 

328 (c)(2)(A). It continues to provide that Bankruptcy Rule 8009 governs the record on 

329 appeal, but adds a sentence clarifying that steps taken to assemble the record under 

330 Bankruptcy Rule 8009 before the court of appeals authorizes the direct appeal need 

331 not be repeated after the direct appeal is authorized. 

332 Subdivision (c)(2)(I). Subdivision (c)(2)(I) was formerly subdivision (c)(2)(B). 

333 It continues to provide that Bankruptcy Rule 8010 governs provision of the record to 

334 the court of appeals. It adds a sentence clarifying that when the court of appeals 

335 authorizes the direct appeal, the bankruptcy clerk must make the record available to 

336 the court of appeals. 

337 Subdivision (c)(2)(J). Subdivision (c)(2)(J) was formerly subdivision 

338 (c)(2)(D). It is unchanged other than a stylistic change and being renumbered. 

339 Subdivision (c)(2)(K). Subdivision (c)(2)(K) was formerly subdivision 

340 (c)(2)(E). Because any party may file a petition to authorize a direct appeal, it is 

341 modified to provide that the attorney for each party—rather than only the attorney 

342 for the party filing the petition—must file a representation statement. In addition, 

343 the phrase “granting permission to appeal” is changed to “authorizing the direct 

344 appeal” to conform to the language used throughout the rest of subdivision (c), and a 

345 stylistic change is made. 

* * * * * 

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PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF APPELLATE PROCEDURE1

1 Rule 6. Appeal in a Bankruptcy Case or 

2 Proceeding 

3 (a) Appeal From a Judgment, Order, or Decree of a 

4 District Court Exercising Original Jurisdiction in 

5 a Bankruptcy Case or Proceeding. An appeal to a 

6 court of appeals from a final judgment, order, or 

7 decree of a district court exercising original

8 jurisdiction in a bankruptcy case or proceeding under 

9 28 U.S.C. § 1334 is taken as any other civil appeal 

10 under these rules. But the reference in 

11 Rule 4(a)(4)(A) to the time allowed for motions 

12 under certain Federal Rules of Civil Procedure must 

13 be read as a reference to the time allowed for the 

14 equivalent motions under the applicable Federal 

1

 New material is underlined in red; matter to be omitted 

is lined through. 

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2 FEDERAL RULES OF APPELLATE PROCEDURE 

15 Rules of Bankruptcy Procedure, which may be 

16 shorter than the time allowed under the Civil Rules.

17 (b) Appeal From a Judgment, Order, or Decree of a 

18 District Court or Bankruptcy Appellate Panel 

19 Exercising Appellate Jurisdiction in a 

20 Bankruptcy Case or Proceeding. 

21 (1) Applicability of Other Rules. These rules 

22 apply to an appeal to a court of appeals under 

23 28 U.S.C. § 158(d)(1) from a final judgment, 

24 order, or decree of a district court or 

25 bankruptcy appellate panel exercising 

26 appellate jurisdiction in a bankruptcy case or 

27 proceeding under 28 U.S.C. § 158(a) or (b), 

28 but with these qualifications: 

29 * * * * * 

30 (C) when the appeal is from a bankruptcy 

31 appellate panel, ‘‘district court,’’ as 

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FEDERAL RULES OF APPELLATE PROCEDURE 3 

32 used in any applicable rule, means 

33 ‘‘bankruptcy appellate panel’’; and 

34 * * * * * 

35 (2) Additional Rules. In addition to the rules 

36 made applicable by Rule 6(b)(1), the 

37 following rules apply: 

38 (A) Motion for Rehearing. 

39 * * * * * 

40 (ii) If a party intends to challenge 

41 the order disposing of the 

42 motion—or the alteration or 

43 amendment of a judgment, 

44 order, or decree upon the 

45 motion—then the party, in 

46 compliance accordance with 

47 Rules 3(c) and 6(b)(1)(B), 

48 must file a notice of appeal or 

49 amended notice of appeal. 

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4 FEDERAL RULES OF APPELLATE PROCEDURE 

50 The notice or amended notice 

51 must be filed within the time 

52 prescribed by Rule 4—

53 excluding Rules 4(a)(4) and 

54 4(b)—measured from the 

55 entry of the order disposing of 

56 the motion. 

57 * * * * * 

58 (C) Making the Record Available. 

59 * * * * * 

60 (ii) All parties must do whatever 

61 else is necessary to enable the 

62 clerk to assemble the record 

63 and make it available. When 

64 the record is made available in 

65 paper form, the court of 

66 appeals may provide by rule 

67 or order that a certified copy 

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FEDERAL RULES OF APPELLATE PROCEDURE 5 

68 of the docket entries be made 

69 available in place of the 

70 redesignated record. But at 

71 any time during the appeal’s 

72 pendency, any party may 

73 request at any time during the 

74 pendency of the appeal that 

75 the redesignated record be 

76 made available. 

77 (D) Filing the Record. When the district 

78 clerk or bankruptcy-appellate-panel 

79 clerk has made the record available, 

80 the circuit clerk must note that fact on 

81 the docket. The date as noted on the 

82 docket serves as the filing date of the 

83 record. The circuit clerk must 

84 immediately notify all parties of that

85 the filing date. 

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6 FEDERAL RULES OF APPELLATE PROCEDURE 

86 (c) Direct Appeal Review from a Judgment, Order, 

87 or Decree of a Bankruptcy Court by Permission 

88 Authorization Under 28 U.S.C. § 158(d)(2). 

89 (1) Applicability of Other Rules. These rules 

90 apply to a direct appeal from a judgment, 

91 order, or decree of a bankruptcy court by 

92 permission authorization under 28 U.S.C. 

93 § 158(d)(2), but with these qualifications: 

94 (A) Rules 3–4, 5(a)(3) (except as 

95 provided in this subdivision (c)), 6(a), 

96 6(b), 8(a), 8(c), 9–12, 13–20, 22–23, 

97 and 24(b) do not apply; and 

98 (B) as used in any applicable rule, 

99 ‘‘district court’’ or ‘‘district clerk’’ 

100 includes—to the extent appropriate—

101 a bankruptcy court or bankruptcy 

102 appellate panel or its clerk; and 

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FEDERAL RULES OF APPELLATE PROCEDURE 7 

103 (C) the reference to ‘‘Rules 11 and 

104 12(c)’’ in Rule 5(d)(3) must be read 

105 as a reference to Rules 6(c)(2)(B) and 

106 (C). 

107 (2) Additional Rules. In addition to the rules 

108 made applicable by (c)(1), the following rules 

109 apply: 

110 (A) Petition to Authorize a Direct 

111 Appeal. Within 30 days after a 

112 certification of a bankruptcy court’s 

113 order for direct appeal to the court of 

114 appeals under 28 U.S.C. § 158(d)(2) 

115 becomes effective under Bankruptcy 

116 Rule 8006(a), any party to the appeal 

117 may ask the court of appeals to 

118 authorize a direct appeal by filing a 

119 petition with the circuit clerk under 

120 Bankruptcy Rule 8006(g). 

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8 FEDERAL RULES OF APPELLATE PROCEDURE 

121 (B) Contents of the Petition. The 

122 petition must include the material 

123 required by Rule 5(b)(1) and an 

124 attached copy of: 

125 (i) the certification; and 

126 (ii) the notice of appeal of the 

127 bankruptcy court’s judgment, 

128 order, or decree filed under 

129 Bankruptcy Rule 8003 or 

130 8004. 

131 (C) Answer or Cross-Petition; Oral 

132 Argument. Rule 5(b)(2) governs an 

133 answer or cross-petition. Rule 5(b)(3) 

134 governs oral argument. 

135 (D) Form of Papers; Number of 

136 Copies; Length Limits. Rule 5(c) 

137 governs the required form, number of 

138 copies to be filed, and length limits 

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FEDERAL RULES OF APPELLATE PROCEDURE 9 

139 applicable to the petition and any 

140 answer or cross-petition. 

141 (E) Notice of Appeal; Calculating 

142 Time. A notice of appeal to the court 

143 of appeals need not be filed. The date 

144 when the order authorizing the direct 

145 appeal is entered serves as the date of 

146 the notice of appeal for calculating 

147 time under these rules. 

148 (F) Notification of the Order 

149 Authorizing Direct Appeal; Fees; 

150 Docketing the Appeal. 

151 (i) When the court of appeals 

152 enters the order authorizing 

153 the direct appeal, the circuit 

154 clerk must notify the 

155 bankruptcy clerk and the 

156 district court clerk or 

Preliminary Draft of Proposed Amendments | August 2023 Page 34 of 157
10 FEDERAL RULES OF APPELLATE PROCEDURE 

157 bankruptcy-appellate-panel 

158 clerk of the entry. 

159 (ii) Within 14 days after the order 

160 authorizing the direct appeal 

161 is entered, the appellant must 

162 pay the bankruptcy clerk any 

163 unpaid required fee, 

164 including: 

165 • the fee required for the 

166 appeal to the district court 

167 or bankruptcy appellate 

168 panel; and 

169 • the difference between the 

170 fee for an appeal to the 

171 district court or 

172 bankruptcy appellate 

173 panel and the fee required 

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FEDERAL RULES OF APPELLATE PROCEDURE 11 

174 for an appeal to the court 

175 of appeals. 

176 (iii) The bankruptcy clerk must 

177 notify the circuit clerk once 

178 the appellant has paid all 

179 required fees. Upon receiving 

180 the notice, the circuit clerk 

181 must enter the direct appeal on 

182 the docket. 

183 (G) Stay Pending Appeal. Bankruptcy 

184 Rule 8007 applies to any stay pending 

185 appeal. 

186 (A)(H) The Record on Appeal. Bankruptcy 

187 Rule 8009 governs the record on 

188 appeal. If a party has already filed a 

189 document or completed a step 

190 required to assemble the record for 

191 the appeal to the district court or 

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12 FEDERAL RULES OF APPELLATE PROCEDURE 

192 bankruptcy appellate panel, the party 

193 need not repeat that filing or step. 

194 (B)(I) Making the Record Available. 

195 Bankruptcy Rule 8010 governs 

196 completing the record and making it 

197 available. When the court of appeals 

198 enters the order authorizing the direct 

199 appeal, the bankruptcy clerk must 

200 make the record available to the 

201 circuit clerk.

202 (C) Stays Pending Appeal. Bankruptcy 

203 Rule 8007 applies to stays pending 

204 appeal. 

205 (D)(J) Duties of the Circuit Clerk. When 

206 the bankruptcy clerk has made the 

207 record available, the circuit clerk 

208 must note that fact on the docket. The 

209 date as noted on the docket serves as 

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FEDERAL RULES OF APPELLATE PROCEDURE 13 

210 the filing date of the record. The 

211 circuit clerk must immediately notify 

212 all parties of that the filing date. 

213 (E)(K) Filing a Representation Statement. 

214 Unless the court of appeals designates 

215 another time, within 14 days after 

216 entry of the order granting permission 

217 to appeal authorizing the direct appeal 

218 is entered, the attorney for each party 

219 to the appeal the attorney who sought 

220 permission must file a statement with 

221 the circuit clerk naming the parties 

222 that the attorney represents on appeal. 

223 Committee Note 

224 Subdivision (a). Minor stylistic and clarifying 

225 changes are made to subdivision (a). In addition, 

226 subdivision (a) is amended to clarify that, when a district 

227 court is exercising original jurisdiction in a bankruptcy case 

228 or proceeding under 28 U.S.C. § 1334, the time in which to 

229 file post-judgment motions that can reset the time to appeal 

230 under Rule 4(a)(4)(A) is controlled by the Federal Rules of 

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14 FEDERAL RULES OF APPELLATE PROCEDURE 

231 Bankruptcy Procedure, rather than the Federal Rules of Civil 

232 Procedure. 

233 The Bankruptcy Rules partially incorporate the 

234 relevant Civil Rules but in some instances shorten the 

235 deadlines for motions set out in the Civil Rules. See Fed. R. 

236 Bankr. P. 9015(c) (any renewed motion for judgment under 

237 Civil Rule 50(b) must be filed within 14 days of entry of 

238 judgment); Fed. R. Bankr. P. 7052 (any motion to amend or 

239 make additional findings under Civil Rule 52(b) must be 

240 filed within 14 days of entry of judgment); Fed. R. Bankr. P. 

241 9023 (any motion to alter or amend the judgment or for a 

242 new trial under Civil Rule 59 must be filed within 14 days 

243 of entry of judgment). 

244 Motions for attorney’s fees in bankruptcy cases or 

245 proceedings are governed by Bankruptcy Rule 

246 7054(b)(2)(A), which incorporates without change the 14-

247 day deadline set in Civil Rule 54(d)(2)(B). Under Appellate 

248 Rule 4(a)(4)(A)(iii), such a motion resets the time to appeal 

249 only if the district court so orders pursuant to Civil Rule 

250 58(e), which is made applicable to bankruptcy cases and 

251 proceedings by Bankruptcy Rule 7058. 

252 Motions for relief under Civil Rule 60 in bankruptcy 

253 cases or proceedings are governed by Bankruptcy Rule 

254 9024. Appellate Rule 4(a)(4)(A)(vi) provides that a motion 

255 for relief under Civil Rule 60 resets the time to appeal only 

256 if the motion is made within the time allowed for filing a 

257 motion under Civil Rule 59. In a bankruptcy case or 

258 proceeding, motions under Civil Rule 59 are governed by 

259 Bankruptcy Rule 9023, which, as noted above, requires such 

260 motions to be filed within 14 days of entry of judgment. 

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FEDERAL RULES OF APPELLATE PROCEDURE 15 

Civil Rule Bankruptcy 

Rule 

Time Under 

Bankruptcy Rule 

50(b) 9015(c) 14 days 

52(b) 7052 14 days 

59 9023 14 days 

54(d)(2)(B) 7054(b)(2)(A) 14 days 

60 9024 14 days 

261 Of course, the Bankruptcy Rules may be amended in 

262 the future. If that happens, the time allowed for the 

263 equivalent motions under the applicable Bankruptcy Rule 

264 may change. 

265 Subdivision (b). Minor stylistic and clarifying 

266 changes are made to the header of subdivision (b) and to 

267 subdivision (b)(1). Subdivision (b)(1)(C) is amended to 

268 correct the omission of the word “bankruptcy” from the 

269 phrase “bankruptcy appellate panel.” Stylistic changes are 

270 made to subdivision (b)(2). 

271 Subdivision (c). Subdivision (c) was added to Rule 

272 6 in 2014 to set out procedures governing discretionary 

273 direct appeals from orders, judgments, or decrees of the 

274 bankruptcy court to the court of appeals under 28 U.S.C. § 

275 158(d)(2). 

276 Typically, an appeal from an order, judgment, or 

277 decree of a bankruptcy court may be taken either to the 

278 district court for the relevant district or, in circuits that have 

279 established bankruptcy appellate panels, to the bankruptcy 

280 appellate panel for that circuit. 28 U.S.C. § 158(a). Final 

281 orders of the district court or bankruptcy appellate panel 

282 resolving appeals under § 158(a) are then appealable as of 

283 right to the court of appeals under § 158(d)(1). 

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16 FEDERAL RULES OF APPELLATE PROCEDURE 

284 That two-step appeals process can be redundant and 

285 time-consuming and could in some circumstances 

286 potentially jeopardize the value of a bankruptcy estate by 

287 impeding quick resolution of disputes over disposition of 

288 estate assets. In the Bankruptcy Abuse Prevention and 

289 Consumer Protection Act of 2005, Congress enacted 28 

290 U.S.C. § 158(d)(2) to provide that, in certain circumstances, 

291 appeals may be taken directly from orders of the bankruptcy 

292 court to the courts of appeals, bypassing the intervening 

293 appeal to the district court or bankruptcy appellate panel. 

294 Specifically, § 158(d)(2) grants the court of appeals 

295 jurisdiction of appeals from any order, judgment, or decree 

296 of the bankruptcy court if (a) the bankruptcy court, the 

297 district court, the bankruptcy appellate panel, or all parties to 

298 the appeal certify that (1) “the judgment, order, or decree 

299 involves a question of law as to which there is no controlling 

300 decision of the court of appeals for the circuit or of the 

301 Supreme Court of the United States, or involves a matter of 

302 public importance”; (2) “the judgment, order, or decree 

303 involves a question of law requiring resolution of conflicting 

304 decisions”; or (3) “an immediate appeal from the judgment, 

305 order, or decree may materially advance the progress of the 

306 case or proceeding in which the appeal is taken” and (b) “the 

307 court of appeals authorizes the direct appeal of the judgment, 

308 order, or decree.” 28 U.S.C. § 158(d)(2). 

309 Bankruptcy Rule 8006 governs the procedures for 

310 certification of a bankruptcy court order for direct appeal to 

311 the court of appeals. Among other things, Rule 8006 

312 provides that, to become effective, the certification must be 

313 filed in the appropriate court, the appellant must file a notice 

314 of appeal of the bankruptcy court order to the district court 

315 or bankruptcy appellate panel, and the notice of appeal must 

316 become effective. Fed. R. Bankr. P. 8006(a). Once the 

317 certification becomes effective under Rule 8006(a), a 

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FEDERAL RULES OF APPELLATE PROCEDURE 17 

318 petition seeking authorization of the direct appeal must be 

319 filed with the court of appeals within 30 days. Id. 8006(g). 

320 Rule 6(c) governs the procedures applicable to a 

321 petition for authorization of a direct appeal and, if the court 

322 of appeals grants the petition, the initial procedural steps 

323 required to prosecute the direct appeal in the court of 

324 appeals. 

325 As promulgated in 2014, Rule 6(c) incorporated by 

326 reference most of Rule 5, which governs petitions for 

327 permission to appeal to the court of appeals from otherwise 

328 non-appealable district court orders. It has become evident 

329 over time, however, that Rule 5 is not a perfect fit for direct 

330 appeals of bankruptcy court orders to the courts of appeals. 

331 The primary difference is that Rule 5 governs discretionary 

332 appeals from district court orders that are otherwise non333 appealable, and an order granting a petition for permission 

334 to appeal under Rule 5 thus initiates an appeal that otherwise 

335 would not occur. By contrast, an order granting a petition to 

336 authorize a direct appeal under Rule 6(c) means that an 

337 appeal that has already been filed and is pending in the 

338 district court or bankruptcy appellate panel will instead be 

339 heard in the court of appeals. As a result, it is not always 

340 clear precisely how to apply the provisions of Rule 5 to a 

341 Rule 6(c) direct appeal. 

342 The new amendments to Rule 6(c) are intended to 

343 address that problem by making Rule 6(c) self-contained. 

344 Thus, Rule 6(c)(1) is amended to provide that Rule 5 is not 

345 applicable to Rule 6(c) direct appeals except as specified in 

346 Rule 6(c) itself. Rule 6(c)(2) is also amended to include the 

347 substance of applicable provisions of Rule 5, modified to 

348 apply more clearly to Rule 6(c) direct appeals. In addition, 

349 stylistic and clarifying amendments are made to conform to 

350 other provisions of the Appellate Rules and Bankruptcy 

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18 FEDERAL RULES OF APPELLATE PROCEDURE 

351 Rules and to ensure that all the procedures governing direct 

352 appeals of bankruptcy court orders are as clear as possible to 

353 both courts and practitioners. 

354 Subdivision (c)—Title. The title of subdivision (c) 

355 is amended to change “Direct Review” to “Direct Appeal” 

356 and “Permission” to “Authorization,” to be consistent with 

357 the language of 28 U.S.C. § 158(d)(2). In addition, the 

358 language “from a Judgment, Order, or Decree of a 

359 Bankruptcy Court” is added for clarity and to be consistent 

360 with other subdivisions of Rule 6. 

361 Subdivision (c)(1). The language of the first 

362 sentence is amended to be consistent with the title of 

363 subdivision (c). In addition, the list of rules in subdivision 

364 (c)(1)(A) that are inapplicable to direct appeals is modified 

365 to include Rule 5, except as provided in subdivision (c) itself. 

366 Subdivision (c)(1)(C), which modified certain language in 

367 Rule 5 in the context of direct appeals, is therefore deleted. 

368 As set out in more detail below, the provisions of Rule 5 that 

369 are applicable to direct appeals have been added, with 

370 appropriate modifications to take account of the direct 

371 appeal context, as new provisions in subdivision (c)(2). 

372 Subdivision (c)(2). The language “to the rules made 

373 applicable by (c)(1)” is added to the first sentence for 

374 consistency with other subdivisions of Rule 6. 

375 Subdivision (c)(2)(A). Subdivision (c)(2)(A) is a 

376 new provision that sets out the basic procedure and timeline 

377 for filing a petition to authorize a direct appeal in the court 

378 of appeals. It is intended to be substantively identical to 

379 Bankruptcy Rule 8006(g), with minor stylistic changes made 

380 in light of the context of the Appellate Rules. 

381 Subdivision (c)(2)(B). Subdivision (c)(2)(B) is a 

382 new provision that specifies the contents of a petition to 

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FEDERAL RULES OF APPELLATE PROCEDURE 19 

383 authorize a direct appeal. It provides that, in addition to the 

384 material required by Rule 5, the petition must include an 

385 attached copy of the certification under § 158(d)(2) and a 

386 copy of the notice of appeal to the district court or 

387 bankruptcy appellate panel. 

388 Subdivision (c)(2)(C). Subdivision (c)(2)(C) is a 

389 new provision. For clarity, it specifies that answers or cross390 petitions are governed by Rule 5(b)(2) and oral argument is 

391 governed by Rule 5(b)(3). 

392 Subdivision (c)(2)(D). Subdivision (c)(2)(D) is a 

393 new provision. For clarity, it specifies that the required form, 

394 number of copies to be filed, and length limits applicable to 

395 the petition and any answer or cross-petition are governed 

396 by Rule 5(c). 

397 Subdivision (c)(2)(E). Subdivision (c)(2)(E) is a 

398 new provision that incorporates the substance of Rule 

399 5(d)(2), modified to take into account that the appellant will 

400 already have filed a notice of appeal to the district court or 

401 bankruptcy appellate panel. It makes clear that a second 

402 notice of appeal to the court of appeals need not be filed, and 

403 that the date of entry of the order authorizing the direct 

404 appeal serves as the date of the notice of appeal for the 

405 purpose of calculating time under the Appellate Rules. 

406 Subdivision (c)(2)(F). Subdivision (c)(2)(F) is a 

407 new provision. It largely incorporates the substance of 

408 Rules 5(d)(1)(A) and 5(d)(3), with some modifications. 

409 Subdivision (c)(2)(F)(i) now requires that when the 

410 court of appeals enters an order authorizing a direct appeal, 

411 the circuit clerk must notify the bankruptcy clerk and the 

412 clerk of the district court or the clerk of the bankruptcy 

413 appellate panel of the order. 

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20 FEDERAL RULES OF APPELLATE PROCEDURE 

414 Subdivision (c)(2)(F)(ii) requires that, within 14 days 

415 of entry of the order authorizing the direct appeal, the 

416 appellant must pay the bankruptcy clerk any required filing 

417 or docketing fees that have not yet been paid. Thus, if the 

418 appellant has not yet paid the required fee for the initial 

419 appeal to the district court or bankruptcy appellate panel, the 

420 appellant must do so. In addition, the appellant must pay the 

421 bankruptcy clerk the difference between the fee for the 

422 appeal to the district court or bankruptcy appellate panel and 

423 the fee for an appeal to the court of appeals, so that the 

424 appellant has paid the full fee required for an appeal to the 

425 court of appeals. 

426 Subdivision (c)(2)(F)(iii) then requires the 

427 bankruptcy clerk to notify the circuit clerk that all fees have 

428 been paid, which triggers the circuit clerk’s duty to docket 

429 the direct appeal. 

430 Subdivision (c)(2)(G). Subdivision (c)(2)(G) was 

431 formerly subdivision (c)(2)(C). It is substantively 

432 unchanged, continuing to provide that Bankruptcy 

433 Rule 8007 governs stays pending appeal, but reflects minor 

434 stylistic revisions. 

435 Subdivision (c)(2)(H). Subdivision (c)(2)(H) was 

436 formerly subdivision (c)(2)(A). It continues to provide that 

437 Bankruptcy Rule 8009 governs the record on appeal, but 

438 adds a sentence clarifying that steps taken to assemble the 

439 record under Bankruptcy Rule 8009 before the court of 

440 appeals authorizes the direct appeal need not be repeated 

441 after the direct appeal is authorized. 

442 Subdivision (c)(2)(I). Subdivision (c)(2)(I) was 

443 formerly subdivision (c)(2)(B). It continues to provide that 

444 Bankruptcy Rule 8010 governs provision of the record to the 

445 court of appeals. It adds a sentence clarifying that when the 

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FEDERAL RULES OF APPELLATE PROCEDURE 21 

446 court of appeals authorizes the direct appeal, the bankruptcy 

447 clerk must make the record available to the court of appeals. 

448 Subdivision (c)(2)(J). Subdivision (c)(2)(J) was 

449 formerly subdivision (c)(2)(D). It is unchanged other than a 

450 stylistic change and being renumbered. 

451 Subdivision (c)(2)(K). Subdivision (c)(2)(K) was 

452 formerly subdivision (c)(2)(E). Because any party may file a 

453 petition to authorize a direct appeal, it is modified to provide 

454 that the attorney for each party—rather than only the 

455 attorney for the party filing the petition—must file a 

456 representation statement. In addition, the phrase “granting 

457 permission to appeal” is changed to “authorizing the direct 

458 appeal” to conform to the language used throughout the rest 

459 of subdivision (c), and a stylistic change is made. 

Preliminary Draft of Proposed Amendments | August 2023 Page 46 of 157
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF APPELLATE PROCEDURE1

1 Rule 39. Costs 

2 (a) Against Whom Assessed Allocating Costs Among 

3 the Parties. The following rules apply to allocating costs 

4 among the parties unless the law provides, the parties agree,

5 or the court orders otherwise: 

6 (1) if an appeal is dismissed, costs are taxed

7 allocated against the appellant, unless the 

8 parties agree otherwise; 

9 (2) if a judgment is affirmed, costs are taxed

10 allocated against the appellant;

11 (3) if a judgment is reversed, costs are taxed

12 allocated against the appellee;

13 (4) if a judgment is affirmed in part, reversed in 

14 part, modified, or vacated, each party bears 

1 New material is underlined in red; matter to be omitted 

is lined through. 

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2 FEDERAL RULES OF APPELLATE PROCEDURE

15 its own costs costs are taxed only as the court 

16 orders. 

17 (b) Reconsideration. Once the allocation of costs is 

18 established by the entry of judgment, a party may 

19 seek reconsideration of that allocation by filing a 

20 motion in the court of appeals within 14 days after 

21 the entry of judgment. But issuance of the mandate 

22 under Rule 41 must not be delayed awaiting a 

23 determination of the motion. The court of appeals 

24 retains jurisdiction to decide the motion after the 

25 mandate issues.

26 (c) Costs Governed by Allocation Determination. The 

27 allocation of costs applies both to costs taxable in the 

28 court of appeals under (e) and to costs taxable in 

29 district court under (f). 

30 (b)(d) Costs For and Against the United States. Costs for 

31 or against the United States, its agency, or officer 

Preliminary Draft of Proposed Amendments | August 2023 Page 48 of 157
FEDERAL RULES OF APPELLATE PROCEDURE 3 

32 will be assessed allocated under Rule 39(a) only if 

33 authorized by law. 

34 (e) Costs on Appeal Taxable in the Court of Appeals. 

35 (1) Costs Taxable. The following costs on 

36 appeal are taxable in the court of appeals for 

37 the benefit of the party entitled to costs:

38 (A) the production of necessary copies of 

39 a brief or appendix, or copies of 

40 records authorized by Rule 30(f); 

41 (B) the docketing fee; and 

42 (C) a filing fee paid in the court of 

43 appeals.

44 (c) (2) Costs of Copies. Each court of appeals must, 

45 by local rule, set fix the maximum rate for 

46 taxing the cost of producing necessary copies

47 of a brief or appendix, or copies of records 

48 authorized by Rule 30(f). The rate must not 

49 exceed that generally charged for such work 

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4 FEDERAL RULES OF APPELLATE PROCEDURE

50 in the area where the clerk’s office is located 

51 and should encourage economical methods of 

52 copying. 

53 (d) (3) Bill of Costs: Objections; Insertion in 

54 Mandate.

55 (1) (A) A party who wants costs taxed in the

56 court of appeals must—within 14 

57 days after entry of judgment is 

58 entered—file with the circuit clerk 

59 and serve an itemized and verified bill 

60 of those costs.

61 (2) (B) Objections must be filed within 14 

62 days after service of the bill of costs

63 is served, unless the court extends the 

64 time. 

65 (3) (C) The clerk must prepare and certify an 

66 itemized statement of costs for 

67 insertion in the mandate, but issuance 

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FEDERAL RULES OF APPELLATE PROCEDURE 5 

68 of the mandate must not be delayed 

69 for taxing costs. If the mandate issues 

70 before costs are finally determined, 

71 the district clerk must—upon the 

72 circuit clerk’s request—add the 

73 statement of costs, or any amendment 

74 of it, to the mandate. 

75 (e)(f) Costs on Appeal Taxable in the District Court. 

76 The following costs on appeal are taxable in the 

77 district court for the benefit of the party entitled to 

78 costs under this rule: 

79 * * * * *

80 Committee Note

81 In City of San Antonio v. Hotels.com, 141 S. Ct. 1628 

82 (2021), the Supreme Court held that Rule 39 does not permit 

83 a district court to alter a court of appeals’ allocation of the 

84 costs listed in subdivision (e) of that Rule. The Court also 

85 observed that “the current Rules and the relevant statutes 

86 could specify more clearly the procedure that such a party 

87 should follow to bring their arguments to the court of 

88 appeals....” Id. at 1638. The amendment does so. Stylistic 

89 changes are also made.

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6 FEDERAL RULES OF APPELLATE PROCEDURE

90 Subdivision (a). Both the heading and the body of 

91 the Rule are amended to clarify that allocation of the costs 

92 among the parties is done by the court of appeals. The court 

93 may allow the default rules specified in subdivision (a) to 

94 operate based on the judgment, or it may allocate them 

95 differently based on the equities of the situation. Subdivision 

96 (a) is not concerned with calculating the amounts owed; it is 

97 concerned with who bears those costs, and in what 

98 proportion. The amendment also specifies a default for 

99 mixed judgments: each party bears its own costs.

100 Subdivision (b). The amendment specifies a 

101 procedure for a party to ask the court of appeals to reconsider 

102 the allocation of costs established pursuant to subdivision 

103 (a). A party may do so by motion in the court of appeals 

104 within 14 days after the entry of judgment. The mandate is 

105 not stayed pending resolution of this motion, but the court of 

106 appeals retains jurisdiction to decide the motion after the 

107 mandate issues. 

108 Subdivision (c). Codifying the decision in 

109 Hotels.com, the amendment also makes clear that the 

110 allocation of costs by the court of appeals governs the 

111 taxation of costs both in the court of appeals and in the 

112 district court. 

113 Subdivision (d). The amendment uses the word 

114 “allocated” to match subdivision (a).

115 Subdivision (e). The amendment specifies which 

116 costs are taxable in the court of appeals and clarifies that the 

117 procedure in that subdivision governs the taxation of costs 

118 taxable in the court of appeals. The docketing fee, currently 

119 $500, is established by the Judicial Conference of the United 

120 States pursuant to 28 U.S.C. § 1913. The reference to filing 

121 fees paid in the court of appeals is not a reference to the $5 

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FEDERAL RULES OF APPELLATE PROCEDURE 7 

122 fee paid to the district court required by 28 U.S.C. § 1917 for 

123 filing a notice of appeal from the district court to the court of 

124 appeals. Instead, the reference is to filing fees paid in the 

125 court of appeals, such as the fee to file a notice of appeal 

126 from a bankruptcy appellate panel. 

127 Subdivision (f). The provisions governing costs 

128 taxable in the district court are lettered (f) rather than (e). 

129 The filing fee referred to in this subdivision is the $5 fee 

130 required by 28 U.S.C. § 1917 for filing a notice of appeal 

131 from the district court to the court of appeals. 

Preliminary Draft of Proposed Amendments | August 2023 Page 53 of 157
Excerpt from the December 5, 2022 Report of the Advisory Committee on Bankruptcy Rules

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

H. THOMAS BYRON III

SECRETARY

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

REBECCA BUEHLER CONNELLY

BANKRUPTCY RULES

ROBIN L. ROSENBERG

CIVIL RULES

JAMES C. DEVER III

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Honorable John D. Bates, Chair 

 Standing Committee on Rules of Practice and Procedure

FROM: Honorable Rebecca B. Connelly, Chair 

 Advisory Committee on Bankruptcy Rules 

RE: Report of the Advisory Committee on Bankruptcy Rules 

DATE: December 5, 2022 

I. Introduction

The Advisory Committee on Bankruptcy Rules met in Washington, D.C., on September

15, 2022. One Committee member participated remotely by means of Microsoft Teams; the rest 

of the Committee met in person. * * * 

At the meeting, the Advisory Committee voted to seek publication for comment of an 

amendment to Official Form 410. Part II of this report presents that action item. 

* * * * * 

Preliminary Draft of Proposed Amendments | August 2023 Page 54 of 157
Excerpt from the December 5, 2022 Report of the Advisory Committee on Bankruptcy Rules

II. Action Item

Item for Publication

The Advisory Committee recommends that an amendment to Official Form 410 

(Proof of Claim) be published for public comment in August 2023. The form as proposed for 

amendment appears in the appendix to this report. 

The proposed amendment would eliminate on the proof-of-claim form the language that 

restricts use of a uniform claim identifier (“UCI”) to electronic payments in chapter 13. It would 

allow the UCI to be used in cases filed under all chapters of the Bankruptcy Code and for all 

payments whether or not electronic. Use of the UCI is entirely voluntary on the part of the creditor. 

The amended language allows a creditor to list a UCI on the proof-of-claim form in any case if it 

chooses to do so. 

 Part 1, Box 3, of Official Form 410 currently provides space for a “Uniform claim 

identifier for electronic payments in chapter 13 (if you use one).” Dana C. McWay, chair of the 

Administrative Office of the U.S. Courts’ Unclaimed Funds Expert Panel, recommended that the 

quoted language be modified so that it is no longer limited to chapter 13. She explained that 

“[c]ase trustees make payments to creditors in chapter 7 asset cases, chapter 12 cases, chapter 13 

cases, and when acting also as a disbursing agent, in Subchapter V chapter 11 cases. Allowing 

any creditor to provide this identifier can assist trustees in all case types to issue electronic 

payments in lieu of paper checks.” Suggestion 22-BK-C at 1. 

 The Advisory Committee agreed with the suggestion, but on the recommendation of the 

Forms Subcommittee, it voted to expand the amendment even further. Rather than simply 

removing the words “in chapter 13,” the Advisory Committee concluded that the entire phrase 

“for electronic payments in chapter 13” should be removed, finding no reason that the UCI could 

not be used for paper checks as well as electronic payments. Indeed, the Advisory Committee 

was informed that the UCI is currently being used for payments by check. 

* * * * * 

 

Preliminary Draft of Proposed Amendments | August 2023 Page 55 of 157
Excerpt from the May 17, 2023 Report of the Advisory Committee on Bankruptcy Rules 

(revised July 13, 2023) 

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE 

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES 

WASHINGTON, D.C. 20544

JOHN D. BATES 

CHAIR 

H. THOMAS BYRON III 

SECRETARY 

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE 

APPELLATE RULES 

REBECCA B. CONNELLY 

BANKRUPTCY RULES 

ROBIN L. ROSENBERG 

CIVIL RULES 

JAMES C. DEVER III 

CRIMINAL RULES 

PATRICK J. SCHILTZ 

EVIDENCE RULES 

MEMORANDUM

TO: Honorable John D. Bates, Chair 

 Standing Committee on Rules of Practice and Procedure 

FROM: Honorable Rebecca B. Connelly, Chair 

 Advisory Committee on Bankruptcy Rules 

RE: Report of the Advisory Committee on Bankruptcy Rules 

DATE: May 17, 2023*

I. Introduction 

 The Advisory Committee on Bankruptcy Rules met in West Palm Beach, Florida, on March 

30, 2023. Two Committee members were unable to attend; the rest of the Committee met in 

person. * * * 

* * * * * 

 

* Revised to incorporate changes that were made during the June 6, 2023, meeting of the Committee on 

Rules of Practice and Procedure.

Preliminary Draft of Proposed Amendments | August 2023 Page 56 of 157
Excerpt from the May 17, 2023 Report of the Advisory Committee on Bankruptcy Rules 

(revised July 13, 2023) 

The Advisory Committee also voted to seek republication for comment of amendments to 

Bankruptcy Rule 3002.1 (Notice Relating to Claims Secured by a Security Interest in the Debtor’s 

Principal Residence in a Chapter 13 Case) and related forms. Previously, at the fall 2022 meeting, 

the Advisory Committee voted to seek publication for comment of proposed amendments to 

Bankruptcy Rule 8006(g) (Request for Leave to Take a Direct Appeal to a Court of Appeals After 

Certification). 

 Part II of this report presents those action items and is organized as follows: 

* * * * * 

B. Items for Publication 

 Rule 3002.1; 

 Rule 8006(g); and 

 Official Forms 410C13-M1, 410C13-M1R, 410C13-N, 410C13-NR, 410C13-M2, 

and 410C13-M2R. 

* * * * * 

 

B. Items for Publication 

The Advisory Committee recommends that the following rule and form amendments 

be published for public comment in August 2023. The rules and forms in this group appear in 

Bankruptcy Appendix B.

 Action Item 6. Rule 3002.1 (Notice Relating to Claims Secured by a Security Interest 

in the Debtor’s Principal Residence in a Chapter 13 Case). In response to suggestions 

submitted by the National Association of Chapter Thirteen Trustees and the American Bankruptcy 

Institute’s Commission on Consumer Bankruptcy, the Advisory Committee proposed amendments 

to Rule 3002.1 that were published for comment in 2021. The amendments were intended to 

encourage a greater degree of compliance with the rule’s provisions and to provide a more straightforward and familiar procedure for determining the status of a mortgage claim at the end of a 

chapter 13 case. The amended rule as published provided for a new midcase assessment of the 

mortgage claim’s status in order to give the debtor an opportunity to cure any postpetition defaults 

that might have occurred. Provisions were added to prescribe the effective date of late paymentchange notices and to provide more detailed provisions about notice of payment changes for home 

equity lines of credit (“HELOC”). The assessment of the status of the mortgage at the end of a 

chapter 13 case was changed from a notice to a motion procedure that would result in a binding 

order. 

 Twenty-seven comments were submitted on the proposed amendments. They included a 

letter from a group of 68 chapter 13 trustees who questioned whether there was a need for the 

amendments. They were particularly concerned about the midcase review because they said that 

it would impose an unnecessary burden on them and that the needed information about home 

mortgages is already available. They and other trustees also contended that the new requirements 

for the end-of-case motion would not work well in a case in which the debtor made mortgage 

Preliminary Draft of Proposed Amendments | August 2023 Page 57 of 157
Excerpt from the May 17, 2023 Report of the Advisory Committee on Bankruptcy Rules 

(revised July 13, 2023) 

payments directly to the servicer because the trustee would lack records about the postpetition 

payments. The comments from some debtors’ attorneys, on the other hand, welcomed the 

requirement of a midcase review. They pointed out that mortgage servicers’ records are often 

inconsistent with trustees’ and debtors’ records and that an earlier opportunity to reconcile them 

would be beneficial. The National Conference of Bankruptcy Judges, while stating that it did not 

oppose the amendments, raised questions about the authority to promulgate several provisions. It 

also questioned whether the benefits of a midcase assessment and the revised end-of-case 

procedures were sufficient to outweigh the added burden on courts and parties imposed by the 

provisions. 

 At the fall 2022 meeting and by email afterwards, the Advisory Committee approved 

republication changes to the proposed Rule 3002.1 amendments in response to the comments. 

Among the changes were the following: 

 The provision for giving only annual notices of HELOC payment changes was made 

optional. The provision is intended to be for the benefit of the claim holder, so if such a 

claim holder prefers to provide notices more frequently, there would be no reason not to 

allow it to do so. 

 Significant changes were made to subdivision (f), which as published required a midcase 

review of the status of the mortgage claim. As revised, it would be optional, not 

mandatory; could be initiated by either the trustee or the debtor, not just the trustee; could 

be sought at any time during the case, not just between 18 and 24 months after the petition 

was filed; and would be initiated by a motion, not a notice. The claim holder would have 

to respond to the motion only if it disagreed with the facts set forth in the motion, rather 

than in all cases.

 Rather than starting with a motion by the trustee, as the published rule did, the end-ofcase procedure would, like the current rule, start with a notice by the trustee indicating 

whether and in what amounts he or she had cured any prepetition arrearage and made 

any payments to the claim holder that came due postpetition. Rather than being triggered 

by the debtor’s final cure payment, the notice would have to be filed “within 45 days 

after the debtor completes all payments due to the trustee” under the plan. As under the 

current rule, the claim holder would be required to file a response to the notice. 

 If thereafter the trustee or debtor wanted the court to determine whether the debtor had 

cured all defaults and paid all required postpetition amounts, either one could file a 

motion for a court determination. 

 * * **

*

 During the June 6, 2023 Standing Committee meeting, the Chair of the Advisory Committee withdrew a 

proposed amendment to current Rule 3002.1(i)(2) (which would become proposed Rule 3002.1(h)(2)) that 

would have specified that the relief awarded if a claim holder failed to provide information as required by 

Rule 3002.1 could include “in appropriate circumstances, noncompensatory sanctions.” This proposed 

Preliminary Draft of Proposed Amendments | August 2023 Page 58 of 157
Excerpt from the May 17, 2023 Report of the Advisory Committee on Bankruptcy Rules 

(revised July 13, 2023) 

The Advisory Committee approved a few additional substantive and stylistic changes at 

the spring meeting. 

Because the changes to the originally published amendments are substantial and further 

public input would be beneficial, the Advisory Committee asks to have the proposed amendments 

to Rule 3002.1 republished. 

 

 Action Item 7. Rule 8006(g) (Request for Leave to Take a Direct Appeal to a Court 

of Appeals After Certification). Rule 8006(g) currently requires that, within 30 days after the 

date the certification becomes effective, “a request for permission to take a direct appeal to the 

court of appeals must be filed with the circuit clerk in accordance with Fed. R. App. P. 6(c).” The 

rule is written in the passive voice and does not specify who is supposed to file that request for 

permission to take a direct appeal. 

Bankruptcy Judge A. Benjamin Goldgar suggested that the rule be rewritten to clarify the 

existing meaning, which he (and the Advisory Committee) believes is that any party to the 

judgment, order, or decree can file the request for permission to take a direct appeal, not just the 

appellant who initiated the appeal. 

At the spring 2022 meeting of the Advisory Committee, the Subcommittee on Privacy, 

Public Access, and Appeals recommended an amendment to Rule 8006(g) for publication. The 

reporter to the Standing Committee was concerned that the revised Rule 8006(g) might not work 

properly with Fed. R. App. P. 6(c)—which also addresses direct appeals from a bankruptcy court 

to a court of appeals—and asked the reporters for the Bankruptcy Rules Committee and the 

Appellate Rules Committee to work with their respective committees to ensure that the rules 

worked in a coordinated fashion. 

An amendment to Rule 8006(g) that was the product of that collaboration was approved by 

the Advisory Committee at its fall 2022 meeting. Because the Appellate Rules Committee at its 

fall meeting created a subcommittee to consider related amendments to Fed. R. App. P. 6(c) and 

to report back at its spring meeting, the Advisory Committee decided to wait to seek approval from 

the Standing Committee for publication of Rule 8006(g) until publication was also sought for 

amendments to the appellate rule. The Appellate Rules Committee has now completed its work 

and is presenting amendments to Fed. R. App. P. 6 at this meeting for publication. 

 Action Item 8. Official Forms 410C13-M1, 410C13-M1R, 410C13-N, 410C13-NR, 

410C13-M2, and 410C13-M2R. In 2021 the Standing Committee published five forms drafted 

to implement proposed amendments to Rule 3002.1 (Official Forms 410C13-1N, 410C13-1R, 

410C13-10C, 410C13-10NC, 410C13-10R). The Advisory Committee deferred considering the 

comments submitted on the forms until after it approved changes to the rule in response to 

comments. 

 At the spring 2023 meeting, the Advisory Committee approved for publication 6 new forms 

to implement the revised amendments to Rule 3002.1. The new forms no longer include a 

change was withdrawn to allow for further consideration by the Advisory Committee and possible 

resubmission later. 

Preliminary Draft of Proposed Amendments | August 2023 Page 59 of 157
Excerpt from the May 17, 2023 Report of the Advisory Committee on Bankruptcy Rules 

(revised July 13, 2023) 

mandatory midcase-trustee notice of the status of the mortgage. Instead, either the trustee or the 

debtor may choose to file a motion to determine the status of the mortgage claim at any point 

during the case prior to the trustee’s Final Notice of Payments Made. Official Form 410C13-M1 

was drafted for that purpose. No distinction is made between cases in which the trustee makes 

postpetition mortgage payments and those in which the debtor does so. The moving party—either 

the trustee or debtor—must only provide the information that she has knowledge of. Official Form 

410C13-M1R is the form for the claim holder’s response to that motion. 

 After the debtor completes all payments due to the trustee under a chapter 13 plan, the 

trustee must file a notice of payments made on the mortgage. Official Form 410C13-N was drafted 

for that purpose. The claim holder then must file a response, using Official Form 410C13-NR. 

 If either the trustee or debtor wants a final determination of the mortgage’s status at the 

end of the case, he can file a Motion to Determine Final Cure and Payment, using Official Form 

410C13-M2. The claim holder, if it disputes any facts in the motion, must then file a response, 

using Official Form 410C13-M2R. 

* * * * * 

 

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PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

1 Rule 3002.1. Notice Relating to Chapter 13—

2 Claims Claim Secured by a 

3 Security Interest in the Debtor’s 

4 Principal Residence in a Chapter 

13 Case2 5 

6 (a) In General. This rule applies in a Chapter 13 case to 

7 a claim that is secured by a security interest in the 

8 debtor’s principal residence and for which the plan 

9 provides for the trustee or debtor to make contractual

10 installment payments. Unless the court orders 

11 otherwise, the notice requirements of this rule cease 

12 when an order terminating or annulling the automatic 

13 stay related to that residence becomes effective.

1 New material is underlined in red; matter to be omitted 

is lined through. 

2 The changes indicated are to the restyled version of

Rule 3002.1, not yet in effect. 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 2

14 (b) Notice of a Payment Change; Home-Equity Line 

15 of Credit; Effect of an Untimely Notice; 

16 Objection. 

17 (1) Notice by the Claim Holder—In General.

18 The claim holder must file a notice of any

19 change in the payment amount,—of an 

20 installment payment including any change

21 one resulting from an interest-rate or escrow22 account adjustment. At least 21 days before 

23 the new payment is due, the The notice must 

24 be filed and served on:

25 • the debtor; 

26 • the debtor’s attorney; and

27 • the trustee.

28 Except as provided in (b)(2), it must be 

29 filed and served at least 21 days before the 

30 new payment is due.If the claim arises from 

31 a home-equity line of credit, the court may 

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3 FEDERAL RULES OF BANKRUPTCY PROCEDURE

32 modify this requirement.

33 (2) Notice of a Change in a Home-Equity Line 

34 of Credit. 

35 (A) Deadline for the Initial Filing; Later 

36 Annual Filing. If the claim arises 

37 from a home-equity line of credit, the 

38 notice of a payment change must be 

39 filed and served either as provided in 

40 (b)(1) or within one year after the 

41 bankruptcy-petition filing, and then at 

42 least annually.

43 (B) Content of the Annual Notice. The 

44 annual notice must: 

45 (i) state the payment amount due 

46 for the month when the notice 

47 is filed; and 

48 (ii) include a reconciliation 

49 amount to account for any 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 4

50 overpayment or 

51 underpayment during the 

52 prior year. 

53 (C) Amount of the Next Payment. The 

54 first payment due at least 21 days 

55 after the annual notice is filed and 

56 served must be increased or decreased 

57 by the reconciliation amount. 

58 (D) Effective Date. The new payment 

59 amount stated in the annual notice 

60 (disregarding the reconciliation 

61 amount) is effective on the first 

62 payment due date after the payment

63 under (C) has been made and remains 

64 effective until a new notice becomes 

65 effective.

66 (E) Payment Changes Greater Than $10. 

67 If the claim holder chooses to give 

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5 FEDERAL RULES OF BANKRUPTCY PROCEDURE

68 annual notices under (b)(2) and the 

69 monthly payment increases or 

70 decreases by more than $10 in any 

71 month, the holder must file and serve 

72 (in addition to the annual notice) a 

73 notice under (b)(1) for that month. 

74 (3) Effect of an Untimely Notice. If the claim 

75 holder does not timely file and serve the 

76 notice required by (b)(1) or (b)(2), the 

77 effective date of the new payment amount is 

78 as follows: 

79 (A) when the notice concerns a payment 

80 increase, on the first payment due

81 date that is at least 21 days after the 

82 untimely notice was filed and served; 

83 or 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 6

84 (B) when the notice concerns a payment 

85 decrease, on the first payment due 

86 date after the date of the notice. 

87 (4) Party in Interest’s Objection. A party in 

88 interest who objects to the a payment 

89 change noticed under (b)(1) or (b)(2) may

90 file and serve a motion to determine 

91 whether the change is required to maintain

92 payments under § 1322(b)(5)the change’s 

93 validity. Unless the court orders otherwise, 

94 if no motion is filed by before the day 

95 before the new payment is due, the change 

96 goes into effect on that date. 

97 (c) Fees, Expenses, and Charges Incurred After the 

98 Case Was Filed; Notice by the Claim Holder. 

99 The claim holder must file a notice itemizing all

100 fees, expenses, and charges incurred after the case 

101 was filed that the holder asserts are recoverable 

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7 FEDERAL RULES OF BANKRUPTCY PROCEDURE

102 against the debtor or the debtor’s principal 

103 residence. Within 180 days after the fees, 

104 expenses, or charges were are incurred, the notice 

105 must be filed and served on the individuals listed 

106 in (b)(1).: 

107 • the debtor; 

108 • the debtor’s attorney; and

109 • the trustee.

110 (d) Filing Notice as a Supplement to a Proof of Claim. 

111 A notice under (b) or (c) must be filed as a 

112 supplement to the a proof of claim using Form 410S113 1 or 410S-2, respectively. The notice is not subject 

114 to Rule 3001(f). 

115 (e) Determining Fees, Expenses, or Charges. On a 

116 party in interest’s motion filed within one year after 

117 the notice in (c) was served, the court must, after 

118 notice and a hearing, determine whether paying any 

119 claimed fee, expense, or charge is required by the

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 8

120 underlying agreement and applicable nonbankruptcy 

121 law. to cure a default or maintain payments under 

122 § 1322(b)(5).The motion must be filed within one 

123 year after the notice under (c) was served, unless a 

124 party in interest requests and the court orders a 

125 shorter period. 

126 (f) Motion to Determine Status; Response; Court 

127 Determination. 

128 (1) Timing; Content and Service. At any time 

129 after the date of the order for relief under 

130 Chapter 13 and until the trustee files the 

131 notice under (g)(1), the trustee or debtor may 

132 file a motion to determine the status of any 

133 claim described in (a). The motion must be 

134 prepared using Form 410C13-M1 and be 

135 served on: 

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9 FEDERAL RULES OF BANKRUPTCY PROCEDURE

136 • the debtor and the debtor’s 

137 attorney, if the trustee is the 

138 movant; 

139 • the trustee, if the debtor is the 

140 movant; and 

141 • the claim holder.

142 (2) Response; Content and Service. If the claim 

143 holder disagrees with facts set forth in the 

144 motion, it must file a response within 21 days 

145 after the motion is served. The response must 

146 be prepared using Form 410C13-M1R and be 

147 served on the individuals listed in (b)(1). 

148 (3) Court Determination. If the claim holder’s 

149 response asserts a disagreement with facts set 

150 forth in the motion, the court must, after 

151 notice and a hearing, determine the status of 

152 the claim and enter an appropriate order. If 

153 the claim holder does not respond to the 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 10

154 motion or files a response agreeing with the 

155 facts set forth in it, the court may grant the 

156 motion based on those facts. 

157 (fg) Notice of the Final Cure Payment. Trustee’s End158 of-Case Notice of Payments Made; Response; Court 

159 Determination.

160 (1) Contents of a Notice Timing and Content.

161 Within 30 45 days after the debtor completes 

162 all payments due to the trustee under a 

163 Chapter 13 plan, the trustee must file a notice:

164 (A) stating that the debtor has paid infull 

165 the what amount required, if any, the 

166 trustee paid to the claim holder to cure

167 any default on the claimand whether 

168 it has been cured; and

169 (B) the stating what amount, if any, the 

170 trustee paid to the claim holder for 

171 contractual payments that came due 

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11 FEDERAL RULES OF BANKRUPTCY PROCEDURE

172 during the pendency of the case and 

173 whether contractual payments are 

174 current as of the date of the notice; 

175 andthe claim holder of itsobligation to 

176 file and serve a response under (g).

177 (C) informing the claim holder of its 

178 obligation to file and serve a response 

179 respond under (g)(3). 

180 (2) Serving the Notice Service. The notice must 

181 be prepared using Form 410C13-N and be 

182 served on: 

183 • the claim holder;

184 • the debtor; and

185 • the debtor’s attorney. 

186 (3) Response. The claim holder must file a 

187 response to the notice within 28 days after its 

188 service. The response, which is not subject 

189 to Rule 3001(f), must be filed as a 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 12

190 supplement to the claim holder’s proof of 

191 claim. The response must be prepared using 

192 Form 410C13-NR and be served on the 

193 individuals listed in (b)(1).

194 (3) The Debtor’s Right to File. The debtor may

195 file and serve the notice if:

196 (A) the trustee fails to do so; and the 

197 debtor contends that the final cure 

198 payment has been made andall plan 

199 payments have been completed. 

200 (4) Court Determination of a Final Cure and 

201 Payment. 

202 (A) Motion. After service of the response 

203 under (g)(3) or within 45 days after 

204 service of the trustee’s notice under 

205 (g)(1) if no response is filed by the 

206 claim holder, the debtor or trustee

207 may file a motion to determine 

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13 FEDERAL RULES OF BANKRUPTCY PROCEDURE

208 whether the debtor has cured all

209 defaults and paid all required 

210 postpetition amounts on a claim 

211 described in (a). The motion must be 

212 prepared using Form 410C13-M2 and 

213 be served on the entities listed in 

214 (f)(1).

215 (B) Response. If the claim holder 

216 disagrees with the facts set forth in the 

217 motion, it must file a response within 

218 21 days after the motion is served. 

219 The response must be prepared using 

220 Form 410C13-M2R and be served on 

221 the individuals listed in (b)(1). 

222 (C) Court Determination. After notice 

223 and a hearing, the court must 

224 determine whether the debtor has 

225 cured all defaults and paid all 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 14

226 required postpetition amounts. If the 

227 claim holder does not respond to the 

228 motion or files a response agreeing 

229 with the facts set forth in it, the court 

230 may enter an appropriate order based 

231 on those facts. 

232 (g) Response to a Notice of the Final Cure Payment. 

233 (1) Required Statement. Within 21 days after the 

234 notice under (f) is served, the claim holder 

235 must file and serve a statement that:

236 (A) indicates whether:

237 (i) the claim holder agrees that

238 the debtor has paid in full the 

239 amount required to cure any

240 default on the claim; and

241 (ii) the debtor is otherwise 

242 current on all payments under 

243 § 1322(b)(5); and

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15 FEDERAL RULES OF BANKRUPTCY PROCEDURE

244 (B) itemizes the required cure or

245 postpetition amounts, if any, that the

246 claim holder contends remain unpaid

247 as of the statement’s date.

248 (2) Persons to be Served. The holdermust serve 

249 the statement on:

250 • the debtor; 

251 • the debtor’s attorney; and

252 • the trustee.

253 (3) Statement to be a Supplement. The statement 

254 must be filed as a supplement to the proof of 

255 claim and is not subject to Rule 3001(f). 

256 (h) Determining the Final Cure Payment. On the 

257 debtor’s or trustee’s motion filed within 21 days after 

258 the statement under (g)is served, the court must, after 

259 notice and ahearing, determine whether the debtor 

260 has cured the default and made all required

261 postpetition payments. 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 16

262 (ih) Claim Holder’s Failure to Give Notice or 

263 Respond. If the claim holder fails to provide any 

264 information as required by (b), (c), or (g)this rule, the 

265 court may, after notice and a hearing, take one or both 

266 of these actionsdo one or more of the following: 

267 (1) preclude the holder from presenting the 

268 omitted information in any form as evidence 

269 in a contested matter or adversary proceeding 

270 in the case—unless the court determines that 

271 the failure was substantially justified or is

272 harmless; and

273 (2) award other appropriate relief, including 

274 reasonable expenses and attorney’s fees

275 caused by the failure; and

276 (3) take any other action authorized by this rule. 

277 Committee Note

278 The rule is amended to encourage a greater degree of 

279 compliance with its provisions and to allow assessments of 

280 a mortgage claim’s status while a chapter 13 case is pending

281 in order to give the debtor an opportunity to cure any 

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17 FEDERAL RULES OF BANKRUPTCY PROCEDURE

282 postpetition defaults that may have occurred. Stylistic 

283 changes are made throughout the rule, and its title and 

284 subdivision headings have been changed to reflect the 

285 amended content.

286 Subdivision (a), which describes the rule’s 

287 applicability, is amended to delete the word “installment” in 

288 the phrase “contractual installment payment” in order to 

289 clarify the rule’s applicability to reverse mortgages, which

290 are not paid in installments.

291 In addition to stylistic changes, subdivision (b) is 

292 amended to provide more detailed provisions about notice of 

293 payment changes for home-equity lines of credit 

294 (“HELOCs”) and to add provisions about the effective date 

295 of late payment change notices. The treatment of HELOCs 

296 presents a special issue under this rule because the amount 

297 owed changes frequently, often in small amounts. Requiring 

298 a notice for each change can be overly burdensome. Under 

299 new subdivision (b)(2), a HELOC claimant may choose to 

300 file only annual payment change notices―including a 

301 reconciliation figure (net overpayment or underpayment for 

302 the past year)―unless the payment change in a single month 

303 is for more than $10. This provision also ensures at least 21 

304 days’ notice before a payment change takes effect.

305 As a sanction for noncompliance, subdivision (b)(3) 

306 now provides that late notices of a payment increase do not 

307 go into effect until the first payment due date after the 

308 required notice period (at least 21 days) expires. The claim 

309 holder will not be permitted to collect the increase for the 

310 interim period. There is no delay, however, in the effective 

311 date of an untimely notice of a payment decrease. 

312 The changes made to subdivisions (c) and (d) are 

313 largely stylistic. Stylistic changes are also made to 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 18

314 subdivision (e). In addition, the court is given authority, 

315 upon motion of a party in interest, to shorten the time for 

316 seeking a determination of the fees, expenses, or charges 

317 owed. Such a shortening, for example, might be appropriate 

318 in the later stages of a chapter 13 case.

319 Subdivision (f) is new. It provides a procedure for

320 assessing the status of the mortgage at any point before the 

321 trustee files the notice under (g)(1). This optional procedure, 

322 which should be used only when necessary and appropriate 

323 for carrying out the plan, allows the debtor and the trustee to 

324 be informed of any deficiencies in payment and to reconcile 

325 records with the claim holder in time to become current 

326 before the case is closed. The procedure is initiated by 

327 motion of the trustee or debtor. An Official Form has been 

328 adopted for this purpose. The claim holder then must 

329 respond if it disagrees with facts stated in the motion, again 

330 using an Official Form to provide the required information. 

331 If the claim holder’s response asserts such a disagreement, 

332 the court, after notice and a hearing, will determine the status 

333 of the mortgage claim. If the claim holder fails to respond or 

334 does not dispute the facts set forth in the motion, the court 

335 may enter an order favorable to the moving party based on 

336 those facts. 

337 Under subdivision (g), within 45 days after the last 

338 plan payment is made to the trustee, the trustee must file a 

339 notice of final cure and payment. An Official Form has been 

340 adopted for this purpose. The notice will state the amount 

341 that the trustee has paid to cure any default on the claim and 

342 whether the default has been cured. It will also state the 

343 amount, if any, that the trustee has paid on contractual 

344 obligations that came due during the case and whether those 

345 payments are current as of the date of the notice. The claim 

346 holder then must respond within 28 days after service of the 

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19 FEDERAL RULES OF BANKRUPTCY PROCEDURE

347 notice, again using an Official Form to provide the required 

348 information. 

349 Either the trustee or the debtor may file a motion for 

350 a determination of final cure and payment. The motion, 

351 using the appropriate Official Form, may be filed after the 

352 claim holder responds to the trustee’s notice under (g)(1), or, 

353 if the claim holder fails to respond to the notice, within 45 

354 days after the notice was served. If the claim holder 

355 disagrees with any facts in the motion, it must respond 

356 within 21 days after the motion is served, using the 

357 appropriate Official Form. The court will then determine the 

358 status of the mortgage. A Director’s Form provides guidance 

359 on the type of information that should be included in the 

360 order.

361 Subdivision (h) was previously subdivision (i). It has 

362 been amended to clarify that the listed sanctions are 

363 authorized in addition to any other actions that the rule 

364 authorizes the court to take if the claim holder fails to 

365 provide notice or respond as required by the rule. Stylistic 

366 changes have also been made to the subdivision.

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PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

1 Rule 8006. Certifying a Direct Appeal to the 

Court of Appeals2 2 

3 * * * * *

4 (g) Request After Certification for Leave to Take a 

5 Direct Appeal to a Court of Appeals After

6 Certification to Authorize a Direct Appeal. Within 

7 30 days after the certification has become effective

8 under (a), a request for leave to take a direct appeal 

9 to a court of appeals must be filed any party to the 

10 appeal may ask the court of appeals to authorize a 

11 direct appeal by filing a petition with the circuit clerk 

12 in accordance with Fed. R. App. P. 6(c).

1 New material is underlined in red; matter to be omitted 

is lined through. 

2 The changes indicated are to the restyled version of 

Rule 8006, not yet in effect. 

Preliminary Draft of Proposed Amendments | August 2023 Page 80 of 157
FEDERAL RULES OF BANKRUPTCY PROCEDURE 2

13 Committee Note

14 Rule 8006(g) is revised to clarify that any party to the 

15 appeal may file a request that a court of appeals authorize a 

16 direct appeal. There is no obligation to do so if no party 

17 wishes the court of appeals to authorize a direct appeal.

Preliminary Draft of Proposed Amendments | August 2023 Page 81 of 157
 Official Form 410 Proof of Claim page 1 

Official Form 410

Proof of Claim 12/24

Read the instructions before filling out this form. This form is for making a claim for payment in a bankruptcy case. Do not use this form to 

make a request for payment of an administrative expense. Make such a request according to 11 U.S.C. § 503.

Filers must leave out or redact information that is entitled to privacy on this form or on any attached documents. Attach redacted copies of any 

documents that support the claim, such as promissory notes, purchase orders, invoices, itemized statements of running accounts, contracts, judgments, 

mortgages, and security agreements. Do not send original documents; they may be destroyed after scanning. If the documents are not available, 

explain in an attachment.

A person who files a fraudulent claim could be fined up to $500,000, imprisoned for up to 5 years, or both. 18 U.S.C. §§ 152, 157, and 3571.

Fill in all the information about the claim as of the date the case was filed. That date is on the notice of bankruptcy (Form 309) that you received.

Part 1: Identify the Claim

1. Who is the current

creditor? ___________________________________________________________________________________________________________

Name of the current creditor (the person or entity to be paid for this claim)

Other names the creditor used with the debtor ________________________________________________________________________

2. Has this claim been

acquired from

someone else?

 No

 Yes. From whom? ______________________________________________________________________________________________________

3. Where should notices

and payments to the

creditor be sent?

Federal Rule of

Bankruptcy Procedure

(FRBP) 2002(g)

Where should notices to the creditor be sent? Where should payments to the creditor be sent? (if 

different)

_____________________________________________________

Name

______________________________________________________

Number Street

______________________________________________________

City State ZIP Code 

Contact phone ________________________

Contact email ________________________ 

_____________________________________________________

Name

______________________________________________________

Number Street

______________________________________________________

City State ZIP Code 

Contact phone ________________________

Contact email ________________________

Uniform claim identifier for electronic payments in chapter 13 (if you use one):

__ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __

4. Does this claim amend

one already filed?

 No

 Yes. Claim number on court claims registry (if known) ________ Filed on ________________________

MM / DD / YYYY

5. Do you know if anyone

else has filed a proof

of claim for this claim?

 No

 Yes. Who made the earlier filing? _____________________________

Debtor 1 __________________________________________________________________ 

Debtor 2 ________________________________________________________________

(Spouse, if filing)

United States Bankruptcy Court for the: ______________________ District of __________

(State) 

Case number ___________________________________________

 Fill in this information to identify the case:

Preliminary Draft of Proposed Amendments | August 2023

Page 82 of 157
Official Form 410 Proof of Claim page 2 

Part 2: Give Information About the Claim as of the Date the Case Was Filed

6. Do you have any number

you use to identify the

debtor?

 No

 Yes. Last 4 digits of the debtor’s account or any number you use to identify the debtor: ____ ____ ____ ____

7. How much is the claim? $_____________________________. Does this amount include interest or other charges?

 No

 Yes. Attach statement itemizing interest, fees, expenses, or other

charges required by Bankruptcy Rule 3001(c)(2)(A).

8. What is the basis of the

claim?

Examples: Goods sold, money loaned, lease, services performed, personal injury or wrongful death, or credit card.

Attach redacted copies of any documents supporting the claim required by Bankruptcy Rule 3001(c).

Limit disclosing information that is entitled to privacy, such as health care information. 

______________________________________________________________________________

9. Is all or part of the claim

secured?

 No

 Yes. The claim is secured by a lien on property.

Nature of property:

 Real estate. If the claim is secured by the debtor’s principal residence, file a Mortgage Proof of Claim

Attachment (Official Form 410-A) with this Proof of Claim.

 Motor vehicle

 Other. Describe: _____________________________________________________________

Basis for perfection: _____________________________________________________________

Attach redacted copies of documents, if any, that show evidence of perfection of a security interest (for 

example, a mortgage, lien, certificate of title, financing statement, or other document that shows the lien has 

been filed or recorded.) 

Value of property: $__________________

Amount of the claim that is secured: $__________________

Amount of the claim that is unsecured: $__________________(The sum of the secured and unsecured 

amounts should match the amount in line 7.)

Amount necessary to cure any default as of the date of the petition: $____________________

Annual Interest Rate (when case was filed)_______% 

 Fixed

 Variable

10. Is this claim based on a

lease?

 No

 Yes. Amount necessary to cure any default as of the date of the petition. $____________________

11. Is this claim subject to a

right of setoff?

 No

 Yes. Identify the property: ___________________________________________________________________

Preliminary Draft of Proposed Amendments | August 2023 Page 83 of 157
Official Form 410 Proof of Claim page 3 

12. Is all or part of the claim 

entitled to priority under 

11 U.S.C. § 507(a)?

A claim may be partly 

priority and partly 

nonpriority. For example, 

in some categories, the 

law limits the amount 

entitled to priority.

 No

 Yes. Check one: Amount entitled to priority

 Domestic support obligations (including alimony and child support) under 

11 U.S.C. § 507(a)(1)(A) or (a)(1)(B). $____________________

 Up to $3,350* of deposits toward purchase, lease, or rental of property or services for 

personal, family, or household use. 11 U.S.C. § 507(a)(7). $____________________

 Wages, salaries, or commissions (up to $15,150*) earned within 180 days before the 

bankruptcy petition is filed or the debtor’s business ends, whichever is earlier. 

11 U.S.C. § 507(a)(4). 

$____________________

 Taxes or penalties owed to governmental units. 11 U.S.C. § 507(a)(8). $____________________

 Contributions to an employee benefit plan. 11 U.S.C. § 507(a)(5). $____________________

 Other. Specify subsection of 11 U.S.C. § 507(a)(__) that applies. $____________________

* Amounts are subject to adjustment on 4/01/25 and every 3 years after that for cases begun on or after the date of adjustment.

Part 3: Sign Below

The person completing 

this proof of claim must 

sign and date it. 

FRBP 9011(b).

If you file this claim 

electronically, FRBP 

5005(a)(2) authorizes courts 

to establish local rules 

specifying what a signature 

is. 

A person who files a 

fraudulent claim could be 

fined up to $500,000, 

imprisoned for up to 5 

years, or both. 

18 U.S.C. §§ 152, 157, and 

3571.

Check the appropriate box: 

 I am the creditor. 

 I am the creditor’s attorney or authorized agent. 

 I am the trustee, or the debtor, or their authorized agent. Bankruptcy Rule 3004.

 I am a guarantor, surety, endorser, or other codebtor. Bankruptcy Rule 3005.

I understand that an authorized signature on this Proof of Claim serves as an acknowledgment that when calculating the 

amount of the claim, the creditor gave the debtor credit for any payments received toward the debt. 

I have examined the information in this Proof of Claim and have a reasonable belief that the information is true 

and correct.

I declare under penalty of perjury that the foregoing is true and correct. 

Executed on date _________________

MM / DD / YYYY

________________________________________________________________________

Signature

Print the name of the person who is completing and signing this claim:

Name _______________________________________________________________________________________________

First name Middle name Last name

Title _______________________________________________________________________________________________

Company _______________________________________________________________________________________________

Identify the corporate servicer as the company if the authorized agent is a servicer.

Address _______________________________________________________________________________________________

Number Street

_______________________________________________________________________________________________

City State ZIP Code

Contact phone _____________________________ Email ____________________________________

Preliminary Draft of Proposed Amendments | August 2023 Page 84 of 157
Official Form 410 (Committee Note) (12/24)

Committee Note

The last line of Part 1, Box 3, is amended to permit 

use of the uniform claim identifier for all payments in cases 

filed under all chapters of the Code, not merely electronic 

payments in chapter 13 cases.

Preliminary Draft of Proposed Amendments | August 2023 Page 85 of 157
Official Form 410

Instructions for Proof of Claim

United States Bankruptcy Court 12/24

These instructions and definitions generally explain the law. In certain circumstances, such as bankruptcy cases that debtors 

do not file voluntarily, exceptions to these general rules may apply. You should consider obtaining the advice of an attorney, 

especially if you are unfamiliar with the bankruptcy process and privacy regulations.

How to fill out this form

 Fill in all of the information about the claim as of the 

date the case was filed.

 Fill in the caption at the top of the form. 

 If the claim has been acquired from someone else, 

then state the identity of the last party who owned the 

claim or was the holder of the claim and who transferred 

it to you before the initial claim was filed.

 Attach any supporting documents to this form.

Attach redacted copies of any documents that show that the 

debt exists, a lien secures the debt, or both. (See the 

definition of redaction on the next page.)

Also attach redacted copies of any documents that show

perfection of any security interest or any assignments or 

transfers of the debt. In addition to the documents, a 

summary may be added. Federal Rule of Bankruptcy 

Procedure (called “Bankruptcy Rule”) 3001(c) and (d). 

 Do not attach original documents because 

attachments may be destroyed after scanning.

 If the claim is based on delivering health care goods 

or services, do not disclose confidential health care 

information. Leave out or redact confidential 

information both in the claim and in the attached 

documents. 

 A Proof of Claim form and any attached documents 

must show only the last 4 digits of any social security 

number, individual’s tax identification number, or 

financial account number, and only the year of any 

person’s date of birth. See Bankruptcy Rule 9037.

 For a minor child, fill in only the child’s initials and the 

full name and address of the child’s parent or 

guardian. For example, write A.B., a minor child (John 

Doe, parent, 123 Main St., City, State). See Bankruptcy 

Rule 9037.

Confirmation that the claim has been filed

To receive confirmation that the claim has been filed, either

enclose a stamped self-addressed envelope and a copy of this 

form or go to the court’s PACER system 

(www.pacer.psc.uscourts.gov) to view the filed form. 

Understand the terms used in this form

Administrative expense: Generally, an expense that arises

after a bankruptcy case is filed in connection with operating, 

liquidating, or distributing the bankruptcy estate. 

11 U.S.C. § 503.

Claim: A creditor’s right to receive payment for a debt that the 

debtor owed on the date the debtor filed for bankruptcy. 11 

U.S.C. §101 (5). A claim may be secured or unsecured.

A person who files a fraudulent claim could be fined up 

to $500,000, imprisoned for up to 5 years, or both. 

18 U.S.C. §§ 152, 157 and 3571.

Preliminary Draft of Proposed Amendments | August 2023 Page 86 of 157
Creditor: A person, corporation, or other entity to whom a 

debtor owes a debt that was incurred on or before the date the 

debtor filed for bankruptcy. 11 U.S.C. §101 (10). 

Debtor: A person, corporation, or other entity who is in 

bankruptcy. Use the debtor’s name and case number as shown 

in the bankruptcy notice you received. 11 U.S.C. § 101 (13). 

Evidence of perfection: Evidence of perfection of a security 

interest may include documents showing that a security 

interest has been filed or recorded, such as a mortgage, lien, 

certificate of title, or financing statement. 

Information that is entitled to privacy: A Proof of Claim

form and any attached documents must show only the last 4 

digits of any social security number, an individual’s tax 

identification number, or a financial account number, only the 

initials of a minor’s name, and only the year of any person’s 

date of birth. If a claim is based on delivering health care 

goods or services, limit the disclosure of the goods or services 

to avoid embarrassment or disclosure of confidential health 

care information. You may later be required to give more 

information if the trustee or someone else in interest objects to 

the claim.

Priority claim: A claim within a category of unsecured 

claims that is entitled to priority under 11 U.S.C. §507(a). 

These claims are paid from the available money or 

property in a bankruptcy case before other unsecured 

claims are paid. Common priority unsecured claims 

include alimony, child support, taxes, and certain unpaid 

wages.

Proof of claim: A form that shows the amount of debt the 

debtor owed to a creditor on the date of the bankruptcy filing. 

The form must be filed in the district where the case is 

pending. 

Redaction of information: Masking, editing out, or deleting

certain information to protect privacy. Filers must redact or 

leave out information entitled to privacy on the Proof of 

Claim form and any attached documents. 

Secured claim under 11 U.S.C. §506(a): A claim backed by 

a lien on particular property of the debtor. A claim is secured 

to the extent that a creditor has the right to be paid from the 

property before other creditors are paid. The amount of a 

secured claim usually cannot be more than the value of the

particular property on which the creditor has a lien. Any 

amount owed to a creditor that is more than the value of the 

property normally may be an unsecured claim. But exceptions 

exist; for example, see 11 U.S.C. § 1322(b) and the final 

sentence of 1325(a). 

Examples of liens on property include a mortgage on real 

estate or a security interest in a car. A lien may be voluntarily 

granted by a debtor or may be obtained through a court 

proceeding. In some states, a court judgment may be a lien. 

Setoff: Occurs when a creditor pays itself with money 

belonging to the debtor that it is holding, or by canceling a 

debt it owes to the debtor. 

Uniform claim identifier: An optional 24-character identifier 

that some creditors use to facilitate electronic payment.

Unsecured claim: A claim that does not meet the 

requirements of a secured claim. A claim may be unsecured in 

part to the extent that the amount of the claim is more than the 

value of the property on which a creditor has a lien.

Offers to purchase a claim

Certain entities purchase claims for an amount that is less than 

the face value of the claims. These entities may contact 

creditors offering to purchase their claims. Some written 

communications from these entities may easily be confused 

with official court documentation or communications from the 

debtor. These entities do not represent the bankruptcy court, 

the bankruptcy trustee, or the debtor. A creditor has no 

obligation to sell its claim. However, if a creditor decides to 

sell its claim, any transfer of that claim is subject to 

Bankruptcy Rule 3001(e), any provisions of the Bankruptcy 

Code (11 U.S.C. § 101 et seq.) that apply, and any orders of 

the bankruptcy court that apply. 

Do not file these instructions with your form. 

Preliminary Draft of Proposed Amendments | August 2023 Page 87 of 157
Official Form 410C13-M1 (12/25) 

United States Bankruptcy Court

_______________ District of _______________

In re _____________________________, Debtor Case No. ________

 Chapter 13

Motion Under Rule 3002.1(f)(1) to Determine the Status of the Mortgage Claim 

The [trustee/debtor] states as follows:

1. The following information relates to the mortgage claim at issue:

Name of Claim Holder:________________ Court claim no. (if known):____________

Last 4 digits of any number used to identify the debtor’s account: ___ ____ ____ ____

Property address: _____________________________________________________

_____________________________________________________

City State ZIP Code

2. As of the date of this motion, [I have/the trustee has] disbursed payments to cure 

arrearages as follows:

a. Allowed amount of the prepetition arrearage, if any: $ ___________________

b. Total amount of the prepetition arrearage paid, if known: $ ___________________

c. Allowed amount of postpetition arrearage, if any: $ ___________________

d. Total amount of postpetition arrearage paid, if known: $ ___________________

e. Total amount of arrearages paid: $ ___________________

3. As of the date of this motion, [I have/the trustee has] disbursed payments for 

postpetition fees, expenses, and charges as follows:

a. Amount of postpetition fees, expenses, and charges 

noticed and allowed under Rule 3002.1(c): $ ___________________

b. Amount of postpetition fees, expenses, and charges 

paid: $ ___________________

Preliminary Draft of Proposed Amendments | August 2023 Page 88 of 157
Official Form 410C13-M1 Motion to Determine the Status of the Mortgage Claim page 2 

4. As of the date of this motion, [I have/the trustee has] made the following payments

on the postpetition contractual obligations: $ __________________

5. I ask the court for an order under Rule 3002.1(f)(3) determining the status of 

the mortgage claim addressed by this motion and whether the payments required 

by the plan to be made as of the date of this motion have been made. 

Signed: _______________________________ (Trustee/Debtor) 

Date: ____/____/________

Preliminary Draft of Proposed Amendments | August 2023 Page 89 of 157
Official Form 410C13-M1R (12/25) 

United States Bankruptcy Court

_______________ District of _______________

In re _____________________________, Debtor Case No. ________

 Chapter 13 

Response to [Trustee’s/Debtor’s] Motion Under Rule 3002.1(f)(1) to Determine the 

Status of the Mortgage Claim

____________________________ (claim holder) states as follows:

1. The following information relates to the mortgage claim at issue:

Name of Claim Holder:________________ Court claim no. (if known):____________

Last 4 digits of any number used to identify the debtor’s account: ___ ____ ____ ____

Property address: _____________________________________________________

_____________________________________________________

City State ZIP Code

2. Arrearages 

Check one: 

 As of the date of this response, the debtor has paid in full the amount required to 

cure any arrearage on this mortgage claim. 

 As of the date of this response, the debtor has not paid in full the amount 

required to cure any arrearage on this mortgage claim. The total arrearage 

amount remaining unpaid as of the date of this response is:

$ ___________________.

3. Postpetition Contractual Payments

Check all that apply:

 The debtor is current on all postpetition contractual payments, including all fees, 

charges, expenses, escrow, and costs. The claim holder attaches a payoff 

statement and provides the following information as of the date of this response:

Date last payment was received on the mortgage: ____/_____/______

Date next postpetition payment from the debtor is due: ____/_____/______

Preliminary Draft of Proposed Amendments | August 2023 Page 90 of 157
Official Form 410C13-M1R Response to Motion to Determine the Status of the Mortgage Claim page 2 

Amount of the next postpetition payment that is due: $____________

Unpaid principal balance of the loan: $____________

Additional amounts due for any deferred or accrued interest: $____________

Balance of the escrow account: $____________

Balance of unapplied funds or funds held in a suspense 

account: $____________ 

 The debtor is not current on all postpetition payments. The debtor is obligated for 

the postpetition payment(s) that first became due on: ____/_____/______

 

 The debtor has fees, charges, expenses, negative escrow amounts, or costs due 

and owing. The total amount remaining unpaid as of the date of this response is 

$_____________________. 

4. Itemized Payment History

Include if applicable: 

Because the claim holder asserts that the arrearages have not been paid in full or states 

that the debtor is not current on all postpetition payments or that fees, charges, 

expenses, escrow, and costs are due and owing, the claim holder attaches an itemized 

payment history—using the format of Official Form 410A, Part 5—disclosing the 

following amounts from the date of the bankruptcy filing through the date of this 

response:

• all prepetition and postpetition payments received;

• the application of all payments received;

• all fees, costs, escrow, and expenses assessed to the mortgage; and

• all amounts the creditor contends remain unpaid.

_______________________________________________ Date ____/_____/______

Signature

Print ________________________________________ Title ____________________

Name 

Company ___________________________________________________________

Preliminary Draft of Proposed Amendments | August 2023 Page 91 of 157
Official Form 410C13-M1R Response to Motion to Determine the Status of the Mortgage Claim page 3 

If different from the notice address listed on the proof of claim to which this response 

applies:

Address ____________________________________________________

 Number Street

___________________________________________________

 City State ZIP Code

Contact phone (______) _____– _________ Email ________________________

The person completing this response must sign it. Check the appropriate box:

 I am the claim holder. 

 I am the claim holder’s authorized agent.

Preliminary Draft of Proposed Amendments | August 2023 Page 92 of 157
Official Form 410C13-N Trustee’s Notice of Payments Made page 1

Official Form 410C13-N 

Trustee’s Notice of Payments Made 12/25 

The trustee must file this notice in a chapter 13 case within 45 days after the debtor completes all payments due to the trustee. Rule 

3002.1(g)(1).

Part 1: Mortgage Information

Name of claim holder: ______________________________________ Court claim no. (if known): 

______________

Last 4 digits of any number you use to identify the debtor’s account: ____ ____ ____ ____ 

Property address: ________________________________________________

Number Street

________________________________________________

________________________________________________ 

City State ZIP Code 

Part 2: Statement of Completion

On _______________, debtor completed all payments due the trustee under the chapter 13 plan. A copy of the 

trustee’s disbursement ledger for all payments to the claim holder is attached or may be accessed here: 

_____________ (web address). 

Part 3: Amount Needed to Cure Default

Amount

a. Allowed amount of prepetition arrearage, if any: $ __________

b. Total amount prepetition arrearage paid by the trustee as of date of notice: $ __________

c. Allowed amount of postpetition arrearage, if any: $ __________

d. Total postpetition arrearage paid by the trustee as of date of notice: $ __________

e. Total amount of arrearages paid as of date of notice $ __________

Has the debtor cured all arrearages?

 Yes

 No

Debtor 1 __________________________________________________________________

Debtor 2 _________________________________________________________________ 

(Spouse, if filing)

United States Bankruptcy Court for the: ______________________ District of ______________ 

(State) 

Case number ___________________________________________

 Fill in this information to identify the case:

Preliminary Draft of Proposed Amendments | August 2023 Page 93 of 157
Official Form 410C13-N Trustee’s Notice of Payments Made page 2

Part 4: Postpetition Contractual Payment

Check one: 

 Postpetition contractual payments are made by the debtor.

 Postpetition contractual payments are paid through the trustee.

If the trustee has made postpetition contractual payments, complete a-c below; otherwise leave 

blank.

a. Total amount of postpetition contractual payments made by the trustee as of date of notice: $ _________

b. Is the debtor current on postpetition contractual payments as of date of notice?

 Yes

 No

c. Next mortgage payment due: ____/______

MM / YYYY

Part 5: Postpetition Fees, Expenses, and Charges

Amount of allowed postpetition fees, expenses, and charges:

Amount of postpetition fees, expenses, and charges paid by the trustee as of date of notice:

$ __________

$ __________

Part 6: A Response Is Required by Bankruptcy Rule 3002.1(g)(3)

Within 28 days after service of this notice, the holder of the claim must file a response using Official Form 410C13-NR.

__________________________________________________ Date ____/_____/________

Signature

Trustee _________________________________________________________ 

First Name Middle Name Last Name

Address _________________________________________________________

Number Street

___________________________________________________

City State ZIP Code

Contact phone (______) _____– _________ Email ____________________

Preliminary Draft of Proposed Amendments | August 2023 Page 94 of 157
Official Form 410C13-NR Response to Trustee’s Notice of Payments Made page 1

Official Form 410C13-NR 

Response to Trustee’s Notice of Payments Made 12/25 

The claim holder must respond to the Trustee’s Notice of Payments Made within 28 days after it was served. Rule 3002.1(g)(2). 

Part 1: Mortgage Information

Name of claim holder: ______________________________________ Court claim no. (if known): 

______________

Last 4 digits of any number you use to identify the debtor’s account: ____ ____ ____ ____ 

Property address: ________________________________________________

Number Street

________________________________________________

________________________________________________ 

City State ZIP Code 

Part 2: Amount Needed to Cure Default

Check all that are applicable:

 The amount required to cure any prepetition arrearage has been paid in full. 

 The amount required to cure the prepetition arrearage has not been paid in full. Amount of prepetition arrearage remaining unpaid 

as of the date of this notice: $ _________________. 

 The amount required to cure any postpetition arrearage has been paid in full.

 The amount required to cure the postpetition arrearage has not been paid in full. Amount of postpetition arrearage remaining 

unpaid as of the date of this notice: $ _________________.

Part 3: Postpetition Contractual Payment

 Debtor is current on all postpetition contractual payments, including all fees, charges, expenses, 

escrow, and costs. The claim holder attaches a payoff statement and provides the following 

information as of the date of this response:

Date last payment was received on the mortgage: ____/_____/______

Debtor 1 __________________________________________________________________

Debtor 2 _________________________________________________________________ 

(Spouse, if filing)

United States Bankruptcy Court for the: ______________________ District of ______________ 

(State) 

Case number ___________________________________________

 Fill in this information to identify the case:

Preliminary Draft of Proposed Amendments | August 2023 Page 95 of 157
Official Form 410C13-NR Response to Trustee’s Notice of Payments Made page 2

Date next postpetition payment from the debtor is due: ____/_____/______

Amount of the next postpetition payment that is due: $____________

Unpaid principal balance of the loan: $____________

Additional amounts due for any deferred or accrued interest: $____________

Balance of the escrow account: $____________

Balance of unapplied funds or funds held in a suspense account: 

 $____________ 

 Debtor is not current on all postpetition contractual payments. The claim holder asserts that the 

debtor is obligated for the postpetition payment(s) that first became due on: 

____/_____/______.

 Debtor has fees, charges, expenses, negative escrow amounts, or costs due and owing. The 

claim holder asserts that the total amount remaining unpaid as of the date of this response is 

$_____________________. 

Part 4 Itemized Payment History

If the claim holder disagrees that the prepetition arrearage has been paid in full, states that the debtor is not current on all postpetition 

payments, or states that fees, charges, expenses, escrow, and costs are due and owing, it must attach an itemized payment history—

using the format of Official Form 410A, Part 5—disclosing the following amounts from the date of the bankruptcy filing through the date 

of this response:

• all prepetition and postpetition payments received;

• the application of all payments received;

• all fees, costs, escrow, and expenses assessed to the mortgage; and

• all amounts the claim holder contends remain unpaid.

Part 5: Sign Here

The person completing this response must sign it. Check the appropriate box:

 I am the claim holder. 

 I am the claim holder’s authorized agent.

Preliminary Draft of Proposed Amendments | August 2023 Page 96 of 157
Official Form 410C13-NR Response to Trustee’s Notice of Payments Made page 3

I declare under penalty of perjury that the information provided in this response is true and correct to the best of my 

knowledge, information, and reasonable belief.

__________________________________________________ Date ____/_____/________

Signature

_________________________________________________________ 

First Name Middle Name Last Name

_________________________________________________________

Number Street

___________________________________________________

City State ZIP Code

Contact phone (______) _____– _________ Email ________________________

Preliminary Draft of Proposed Amendments | August 2023 Page 97 of 157
Official Form 410C13-M2 (12/25) 

United States Bankruptcy Court

_______________ District of _______________

In re _____________________________, Debtor Case No. ________

 Chapter 13

Motion Under Rule 3002.1(g)(4) to Determine Final Cure and Payment of Mortgage 

Claim 

The [trustee/debtor] states as follows:

1. The following information relates to the mortgage claim at issue:

Name of Claim Holder:________________ Court claim no. (if known):____________

Last 4 digits of any number used to identify the debtor’s account: ___ ____ ____ ____

Property address: _____________________________________________________

_____________________________________________________

City State ZIP Code

2. As of the date of this motion, [I have/the trustee has] disbursed payments to cure 

arrearages as follows:

a. Allowed amount of the prepetition arrearage, if any: $ ___________________

b. Total amount of the prepetition arrearage paid, if known: $ ___________________

c. Allowed amount of postpetition arrearage, if any: $ ___________________

d. Total amount of postpetition arrearage paid, if known: $ ___________________

e. Total amount of arrearages paid: $ ___________________

3. As of the date of this motion, [I have/the trustee has] disbursed payments for 

postpetition fees, expenses, and charges as follows:

a. Amount of postpetition fees, expenses, and charges 

noticed and allowed under Rule 3002.1(c): $ ___________________

b. Amount of postpetition fees, expenses, and charges 

paid: $ ___________________

Preliminary Draft of Proposed Amendments | August 2023 Page 98 of 157
Official Form 410C13-M2 Motion to Determine Final Cure and Payment page 2 

4. As of the date of this motion, [I have/the trustee has] made the following payments

on the postpetition contractual obligations: $ __________________

5. I ask the court for an order under Rule 3002.1(g)(4) determining whether the 

debtor has cured all arrearages, if any, and paid all postpetition amounts required 

by the plan to be made as of the date of this motion. 

Signed: _______________________________ (Trustee/Debtor) 

Date: ____/____/________

Preliminary Draft of Proposed Amendments | August 2023 Page 99 of 157
Official Form 410C13-M2R (12/25) 

United States Bankruptcy Court

_______________ District of _______________

In re _____________________________, Debtor Case No. ________

 Chapter 13 

Response to [Trustee’s/Debtor’s] Motion to Determine Final Cure and Payment of 

the Mortgage Claim

____________________________ (claim holder) states as follows:

1. The following information relates to the mortgage claim at issue:

Name of Claim Holder:________________ Court claim no. (if known):____________

Last 4 digits of any number used to identify the debtor’s account: ___ ____ ____ ____

Property address: _____________________________________________________

_____________________________________________________

City State ZIP Code

2. Arrearage Provided for by the Plan

Check one: 

 As of the date of this response, Debtor has paid in full the amount required to 

cure any arrearage on this mortgage claim. 

 As of the date of this response, Debtor has not paid in full the amount required to 

cure any arrearage on this mortgage claim. The total arrearage amount 

remaining unpaid as of the date of this response is:

$ ___________________.

3. Postpetition Contractual Payments

Check all that apply:

 Debtor is current on all postpetition contractual payments, including all fees, 

charges, expenses, escrow, and costs. The claim holder attaches a payoff 

statement and provides the following information as of the date of this response:

Date last payment was received on the mortgage: ___/___/____

Date next postpetition payment from the debtor is due: ___/___/____

Preliminary Draft of Proposed Amendments | August 2023 Page 100 of 157
Official Form 410C13-M2R Motion to Determine the Status of the Mortgage Claim page 2 

Amount of the next postpetition payment that is due: $____________

Unpaid principal balance of the loan: $____________

Additional amounts due for any deferred or accrued interest: $____________

Balance of the escrow account: $____________

Balance of unapplied funds or funds held in a suspense 

account: $____________ 

 Debtor is not current on all postpetition payments. The debtor is obligated for the 

postpetition payment(s) that first became due on: ____/_____/______.

 

 Debtor has fees, charges, expenses, negative escrow amounts, or costs due and 

owing. The total amount remaining unpaid as of the date of this response is 

$_____________________. 

4. Itemized Payment History

Include if applicable: 

Because the claim holder disagrees that the arrearages have been paid in full or states 

that the debtor is not current on all postpetition payments or that fees, charges, 

expenses, escrow, and costs are due and owing, the claim holder attaches an itemized 

payment history—using the format of Official Form 410A, Part 5—disclosing the 

following amounts from the date of the bankruptcy filing through the date of this 

response:

• all prepetition and postpetition payments received;

• the application of all payments received;

• all fees, costs, escrow, and expenses assessed to the mortgage; and

• all amounts the creditor contends remain unpaid.

_______________________________________________ Date ____/_____/______

Signature

Print ________________________________________ Title ____________________

Name 

Company ___________________________________________________________

Preliminary Draft of Proposed Amendments | August 2023 Page 101 of 157
Official Form 410C13-M2R Motion to Determine the Status of the Mortgage Claim page 3 

If different from the notice address listed on the proof of claim to which this response 

applies:

Address ____________________________________________________

 Number Street

___________________________________________________

 City State ZIP Code

Contact phone (______) _____– _________ Email ________________________

The person completing this response must sign it. Check the appropriate box:

 I am the claim holder. 

 I am the claim holder’s authorized agent.

Preliminary Draft of Proposed Amendments | August 2023 Page 102 of 157
Official Form 410 (Committee Note) (12/25)

1 Committee Note

2 Official Forms 410C13-M1, 410C13-M1R, 410C13-

3 N, 410C13-NR, 410C13-M2, and 410C13-M2R are new. 

4 They are adopted to implement new and revised provisions 

5 of Rule 3002.1 that prescribe procedures for determining the 

6 status of a home mortgage claim in a chapter 13 case.

7 Official Forms 410C13-M1 and 410C13-M1R 

8 implement Rule 3002.1(f). Form 410C13-M1 is used if 

9 either the trustee or the debtor moves to determine the status 

10 of a home mortgage at any time during a chapter 13 case 

11 prior to the trustee’s Final Notice of Payments Made. If the 

12 trustee files the motion, she must disclose the payments she 

13 has made to the holder of the mortgage claim so far in the 

14 case. If the debtor, rather than the trustee, has been making 

15 the postpetition contractual payments, the trustee should 

16 state in part 4 that she has paid $0. If the debtor files the 

17 motion, he should provide information about any payments 

18 he has made and any payments made by the trustee of which 

19 the debtor has knowledge. 

20 Within 21 days after service of the trustee’s or 

21 debtor’s motion, the holder of the mortgage claim must file 

22 a response, using Official Form 410C13-M1R, if it disputes 

23 any facts set forth in the motion. See Rule 3002.1(f)(2). The 

24 claim holder must indicate whether the debtor has paid the 

25 full amount required to cure any arrearage and whether the 

26 debtor is current on all postpetition payments. The claim 

27 holder must provide a payoff statement, or, if the claim 

28 holder says that the debtor is not current on all payments, it 

29 must attach an itemized payment history for the postpetition 

30 period, using the format of Official Form 410A, Part 5. 

Preliminary Draft of Proposed Amendments | August 2023 Page 103 of 157
Official Form 410 (Committee Note) (12/25)

31 Official Form 410C13-N is to be used by a trustee to 

32 provide the notice required by Rule 3002.1(g)(1) to be filed 

33 at the end of the case. This notice must be filed within 45 

34 days after the debtor completes all payments due to the 

35 trustee, and it requires the trustee to report on the amounts 

36 the trustee paid to cure any arrearage, for postpetition 

37 mortgage obligations, and for postpetition fees, expenses, 

38 and charges. The trustee must also provide her disbursement 

39 ledger for all payments she made to the claim holder.

40 Within 28 days after service of the trustee’s notice, 

41 the holder of the mortgage claim must file a response using 

42 Official Form 410C13-NR. See Rule 3002.1(g)(3). The 

43 claim holder must indicate whether the debtor has paid the 

44 full amount required to cure any arrearage and whether the 

45 debtor is current on all postpetition payments. If the claim 

46 holder says that the debtor is not current on all payments, it 

47 must attach an itemized payment history for the postpetition 

48 period, using the format of Official Form 410A, Part 5. The 

49 response, which is not subject to Rule 3001(f), must be filed 

50 as a supplement to the claim holder’s proof of claim. 

51 Official Forms 410C13-M2 and 410C13-M2R 

52 implement Rule 3002.1(g)(4). Form 410C13-M2 is used if 

53 either the trustee or the debtor moves at the end of the case 

54 to determine whether the debtor has cured all arrearages and 

55 paid all required postpetition amounts. If the trustee files the 

56 motion, she must disclose the payments she has made to the 

57 holder of the mortgage claim. If the debtor, rather than the 

58 trustee, has been making the postpetition contractual 

59 payments, the trustee should state in part 4 that she has paid 

60 $0. If the debtor files the motion, he should provide 

61 information about any payments he has made and any 

Preliminary Draft of Proposed Amendments | August 2023 Page 104 of 157
Official Form 410 (Committee Note) (12/25)

62 payments made by the trustee of which the debtor has 

63 knowledge. 

64 Within 21 days after service of the trustee’s or 

65 debtor’s motion, the holder of the mortgage claim must file 

66 a response, using Official Form 410C13-M2R, if it disputes

67 any facts set forth in the motion. See Rule 3002.1(g)(4)(B). 

68 The claim holder must indicate whether the debtor has paid 

69 the full amount required to cure any arrearage and whether 

70 the debtor is current on all postpetition payments. The claim 

71 holder must provide a payoff statement, or, if the claim 

72 holder says that the debtor is not current on all payments, it 

73 must attach an itemized payment history for the postpetition 

74 period, using the format of Official Form 410A, Part 5. 

Preliminary Draft of Proposed Amendments | August 2023 Page 105 of 157
Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE 

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES 

WASHINGTON, D.C. 20544

JOHN D. BATES 

CHAIR 

H. THOMAS BYRON III 

SECRETARY 

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE 

APPELLATE RULES 

REBECCA B. CONNELLY 

BANKRUPTCY RULES 

ROBIN L. ROSENBERG 

CIVIL RULES 

JAMES C. DEVER III 

CRIMINAL RULES 

PATRICK J. SCHILTZ 

EVIDENCE RULES 

TO: Hon. John D. Bates, Chair 

Committee on Rules of Practice and Procedure 

FROM: Hon. Robin L. Rosenberg, Chair 

Advisory Committee on Civil Rules 

RE: Report of the Advisory Committee on Civil Rules 

DATE: May 11, 2023*

Introduction

 The Civil Rules Advisory Committee met in West Palm Beach, FL, on March 28, 2023. 

Members of the public attended in person, and public on-line attendance was also provided. * * * 

 Part I of this report presents three items for action at this meeting: 

* * * * * 

(b) Rule 16(b)(3) and 26(f)(3) amendments—privilege logs: These small amendments were 

presented to the Standing Committee at its January 2023 meeting. At that time the Standing 

* Revised to incorporate changes that were made during the June 6, 2023 meeting of the Committee on 

Rules of Practice and Procedure.

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

Committee had no problems with the rule changes, but questioned the length of the 

Committee Note. The Note has been shortened, and the Advisory Committee unanimously 

recommends that this preliminary draft of rule amendments be published for public 

comment in August 2023. 

(c) New Rule 16.1 on managing MDL Proceedings: After several years of work by its MDL 

Subcommittee, the Advisory Committee unanimously recommended that the preliminary 

draft of a new Rule 16.1 to deal with MDL proceedings be published for public comment 

in August 2023. 

I. Action Items

* * * * * 

B. For publication: Amendments to Rule 26(f) and Rule 16(b) to call for 

development early in the litigation of a method for complying with 

Rule 26(b)(5)(A)

 These amendment proposals deal with what is called the “privilege log” problem. During 

the Standing Committee’s January 2023 meeting, the proposed rule amendments elicited no 

concerns, but the length of the Committee Note was questioned by several members of the 

Standing Committee. The matter was remanded to the Advisory Committee. The Committee Note 

was shortened, and the Advisory Committee unanimously approved recommending that the 

amendment and Note be published, as revised, for public comment in August 2023. 

* * * * * 

Rule 26. Duty to Disclose; General Provisions Governing Discovery

* * * * * 

(f) Conference of the Parties; Planning for Discovery.

* * * * * 

(3) Discovery Plan. A discovery plan must state the parties’ views and proposals on: 

* * * * * 

(D) any issues about claims of privilege or of protection as trial-preparation 

materials, including the timing and method for complying with 

Rule 26(b)(5)(A) and—if the parties agree on a procedure to assert these 

claims after production—whether to ask the court to include their agreement 

in an order under Federal Rule of Evidence 502; 

* * * * * 

Preliminary Draft of Proposed Amendments | August 2023 Page 107 of 157
Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

DRAFT COMMITTEE NOTE

 Rule 26(f)(3)(D) is amended to address concerns about application of the requirement in 

Rule 26(b)(5)(A) that producing parties describe materials withheld on grounds of privilege or as 

trial-preparation materials. Compliance with Rule 26(b)(5)(A) can involve very large costs, often 

including a document-by-document “privilege log.” 

 Rule 26(b)(5)(A) was adopted in 1993, and from the outset was intended to recognize the 

need for flexibility. Nevertheless, the rule has not been consistently applied in a flexible manner, 

sometimes imposing undue burdens. 

This amendment directs the parties to address the question how they will comply with 

Rule 26(b)(5)(A) in their discovery plan, and report to the court about this topic. A companion 

amendment to Rule 16(b)(3)(B)(iv) seeks to prompt the court to include provisions about 

complying with Rule 26(b)(5)(A) in scheduling or case management orders. 

 This amendment also seeks to grant the parties maximum flexibility in designing an 

appropriate method for identifying the grounds for withholding materials. Depending on the nature 

of the litigation, the nature of the materials sought through discovery, and the nature of the 

privilege or protection involved, what is needed in one case may not be necessary in another. No 

one-size-fits-all approach would actually be suitable in all cases. 

 In some cases, it may be suitable to have the producing party deliver a document-bydocument listing with explanations of the grounds for withholding the listed materials. 

 In some cases, some sort of categorical approach might be effective to relieve the producing 

party of the need to list many withheld documents. For example, it may be that communications 

between a party and outside litigation counsel could be excluded from the listing, and in some 

cases a date range might be a suitable method of excluding some materials from the listing 

requirement. These or other methods may enable counsel to reduce the burden and increase the 

effectiveness of complying with Rule 26(b)(5)(A). But the use of categories calls for careful 

drafting and application keyed to the specifics of the action. 

 Requiring that discussion of this topic begin at the outset of the litigation and that the court 

be advised of the parties’ plans or disagreements in this regard is a key purpose of this amendment. 

Production of a privilege log near the close of the discovery period can create serious problems. 

Often it will be valuable to provide for “rolling” production of materials and an appropriate 

description of the nature of the withheld material. In that way, areas of potential dispute may be 

identified and, if the parties cannot resolve them, presented to the court for resolution. 

 Early design of methods to comply with Rule 26(b)(5)(A) may also reduce the frequency 

of claims that producing parties have over-designated responsive materials. Such concerns may 

arise, in part, due to failure of the parties to communicate meaningfully about the nature of the 

privileges and materials involved in the given case. It can be difficult to determine whether certain 

materials are subject to privilege protection, and candid early communication about the difficulties 

to be encountered in making and evaluating such determinations can avoid later disputes. 

Preliminary Draft of Proposed Amendments | August 2023 Page 108 of 157
Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

Rule 16. Pretrial Conferences; Scheduling; Management

* * * * * 

(b) Scheduling and Management.

* * * * * 

(3) Contents of the Order.

* * * * * 

(B) Permitted Contents.

* * * * * 

(iv) include the timing and method for complying with Rule 26(b)(5)(A) 

and any agreements the parties reach for asserting claims of privilege or of 

protection as trial-preparation material after information is produced, 

including agreements reached under Federal Rule of Evidence 502; 

* * * * * 

DRAFT COMMITTEE NOTE

 Rule 16(b) is amended in tandem with an amendment to Rule 26(f)(3)(D). In addition, two 

words—“and management”—are added to the title of this rule in recognition that it contemplates 

that the court will in many instances do more than establish a schedule in its Rule 16(b) order; the 

focus of this amendment is an illustration of such activity. 

 The amendment to Rule 26(f)(3)(D) directs the parties to discuss and include in their 

discovery plan a method for complying with the requirements in Rule 26(b)(5)(A). It also directs 

that the discovery plan address the timing for compliance with this requirement, in order to avoid 

problems that can arise if issues about compliance emerge only at the end of the discovery period. 

 Early attention to the particulars on this subject can avoid problems later in the litigation 

by establishing case-specific procedures up front. It may be desirable for the Rule 16(b) order to 

provide for “rolling” production that may identify possible disputes about whether certain withheld 

materials are indeed protected. If the parties are unable to resolve those disputes between 

themselves, it is often desirable to have them resolved at an early stage by the court, in part so that 

the parties can apply the court’s resolution of the issues in further discovery in the case. 

 Because the specific method of complying with Rule 26(b)(5)(A) depends greatly on the 

specifics of a given case there is no overarching standard for all cases. In the first instance, the 

parties themselves should discuss these specifics during their Rule 26(f) conference; these 

amendments to Rule 16(b) recognize that the court can provide direction early in the case. Though 

the court ordinarily will give much weight to the parties’ preferences, the court’s order prescribing 

the method for complying with Rule 26(b)(5)(A) does not depend on party agreement. 

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

* * * * * 

C. New Rule 16.1 on MDL proceedings—recommendation to publish for public 

comment

 After a great deal of effort, the MDL Subcommittee of the Advisory Committee has 

developed an amendment proposal set forth below—the addition of a new Rule 16.1 on managing 

MDL proceedings. The MDL Subcommittee was originally appointed in 2017. It has had three 

chairs (two of whom went on to become Chairs of the Advisory Committee). After considering 

many proposed rule amendments, it reached a consensus on the appropriate way to address MDL 

proceedings in the Civil Rules—adoption of new Rule 16.1, addressed particularly to those 

proceedings. 

 Because the process of development involved consideration of a wide variety of issues and 

took a long time, it seems useful to introduce the current proposal with some background on the 

evolution of the Subcommittee’s work. The initial submissions to the Committee raised a wide 

variety of issues. At the Committee’s April 2018, meeting the MDL Subcommittee made its first 

report to the full Committee, listing ten discussion issues: 

(1) The scope of any rule; 

(2) The handling of master complaints and answers; 

(3) Use of plaintiff fact sheets or requiring particularized pleading or requiring immediate 

submission of evidence by plaintiffs; 

(4) Requiring each plaintiff to pay a full filing fee; with possible effect on Rule 20 joinder; 

(5) Sequencing discovery; 

(6) Requiring disclosure of third party litigation funding; 

(7) Handling of bellwether trials, and requiring consent to holding such trials: 

(8) Expanding interlocutory review of certain decisions in certain MDL proceedings; 

(9) Coordinating MDL proceedings with parallel proceedings in state courts or other 

federal courts; and 

(10) Formation of leadership counsel for plaintiffs and common fund arrangements. 

 A great deal of effort was spent examining the proposal to require disclosure of third party 

litigation funding. Eventually, the conclusion was that this topic, while perhaps very important, 

was not particularly salient in MDL proceedings. So TPLF remains on the Committee’s agenda, 

and disclosure of such arrangements has been endorsed in some bills introduced in Congress, but 

it is no longer a feature of the MDL Subcommittee’s work. 

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

 Even more effort was spent examining the possibility of expanded interlocutory review. 

As it developed, the proposal was to emulate Rule 23(f) on immediate review of class certification 

decisions. Very helpful submissions favoring and opposing such a rule change were submitted, 

and Subcommittee members participated in a large number of conferences and meetings with bar 

groups about this possibility. Eventually the decision was made that there was not such a need for 

expanded review in light of existing methods (including certification under 28 U.S.C. § 1292(b)), 

and that idea was put aside. 

 Attention focused, instead, on adding provisions specifically calibrated to MDL 

proceedings to Rule 26(f) and Rule 16(b), which were included in the agenda book for the full 

Committee’s March 2022 meeting. By the time that meeting occurred, however, further outreach 

by the Subcommittee (including a conference involving transferee judges, plaintiff attorneys and 

defense attorneys organized by the Emory University’s Institute for Complex Litigation and Mass 

Claims) had pointed up some difficulties with relying on Rule 26(f) as a vehicle for managing 

MDL proceedings. In particular: 

(1) It might often happen that a Rule 26(f) conference had already occurred in some actions 

before a Panel transfer order centralizing them in the transferee court, and perhaps that a 

schedule for activity in those actions had already been adopted in the transferor court. There 

would ordinarily be no occasion under Rule 26(f) for a second planning conference or 

report to the court. And after transfer by the Panel, there might not be any Rule 26(f) 

conferences in actions in which they had not already occurred before transfer. 

(2) It increasingly seemed valuable to provide the transferee court in MDL proceedings 

with the opportunity to appoint “coordinating counsel” to oversee the initial organization 

of the proceedings and assist the court in making its initial management order to guide the 

future course of the MDL proceedings. 

 These issues prompted the idea of a new Rule 16.1 to address MDL proceedings. Such a 

rule could assist the transferee court in addressing a variety of matters that often proved important 

in MDL proceedings. It could also provide a substitute for MDL proceedings for the Rule 26(f) 

meeting that is to occur in ordinary litigation. Initial sketches of such a rule, including alternative 

versions, were appended to the agenda book for the Standing Committee’s June 2022 meeting. 

 After that Standing Committee meeting, these Rule 16.1 sketches were the focus of several 

further conferences. Both the American Association for Justice and the Lawyers for Civil Justice 

arranged for representatives of the Subcommittee to participate in conference with members of 

their organizations about the Rule 16.1 ideas. Importantly, three judicial representatives of the 

Subcommittee also attended the transferee judges conference, put on by the Judicial Panel. At that 

conference there was a special session with the transferee judges to receive feedback about the 

Rule 16.1 sketches, including the question which alternative approach seemed most suitable. 

 At its January 2023 meeting, the Standing Committee received a thorough report about 

progress on this front along the lines initially introduced during its June 2022 meeting. 

 With the extensive resulting information base, the Subcommittee went to work refining the 

Rule 16.1 proposal. This work included multiple meetings via Zoom and many more exchanges 

Preliminary Draft of Proposed Amendments | August 2023 Page 111 of 157
Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

of email about evolving drafts. Eventually, the Subcommittee reached consensus on a proposal to 

recommend for public comment. At its March 2023 meeting, the Advisory Committee 

unanimously recommended publication of this proposal for public comment in August 2023. The 

proposal has been revised since the Advisory Committee’s March 2023 meeting in accordance 

with the suggestions of the style consultants. 

 One point discussed during the Advisory Committee meeting deserves mention. Proposed 

Rule 16.1(a), (c), and (d) all use the verb “should” with regard to the court’s management of MDL 

proceedings. During the Advisory Committee meeting, concerns were raised about whether use of 

this verb made the proposed rule mere advice and not a genuine rule. One alternative suggested 

was “must, if appropriate.” 

 The MDL Subcommittee caucused during the lunch break in the Advisory Committee 

meeting and concluded that the rule ought to use “should” in the points where the draft used that 

word. On the one hand, as the Committee Note recognizes, there may be some MDL proceedings 

in which no initial management conference is needed, so “must” would be too strong. And “must, 

if appropriate” would seem not significantly different from “should.” The view was that “should” 

is the correct word to use in 16.1. 

 As also noted during the Advisory Committee meeting, quite a few other rules already use 

“should.” See, e.g., Rule 1 (the rules “should be construed * * * to secure the just, speedy, and 

inexpensive determination”); 15(a)(2) (court “should freely give leave [to amend]”); 15(b)(1) 

(court “should freely permit an amendment” if there is an objection at trial that evidence is not 

within the issues raised in the pleadings): 16(d) (after a pretrial conference “the court should issue 

an order reciting the action taken”); 25(a)(2) (if a party dies, the death “should be noted on the 

record”); 54(c) (final judgment “should grant the relief to which each party is entitled”); 56(a) (if 

the court grants summary judgment it “should state on the record the reasons for granting the 

motion”). At the same time, it might also be noted that the use of “must” in some rules may be 

questioned. See Rule 55(b)(1) (clerk “must” enter default judgment if a claim “is for a sum certain 

or that can be made certain by computation”). Though the public comment period may raise 

questions about this choice of word, “should” has been retained for purposes of publication. 

 Rule 16.1. Managing Multidistrict Litigation*

(a) INITIAL MDL MANAGEMENT CONFERENCE. After the Judicial Panel on 

Multidistrict Litigation orders the transfer of actions, the transferee court should 

schedule an initial management conference to develop a management plan for 

orderly pretrial activity in the MDL proceedings. 

(b) DESIGNATING COORDINATING COUNSEL FOR THE CONFERENCE. The 

transferee court may designate coordinating counsel to: 

(1) assist the court with the conference; and 

* At its June 6, 2023 meeting, the Standing Committee removed the word “Managing” from the title of 

proposed new Rule 16.1. Except where otherwise noted, other changes the Standing Committee made were 

stylistic in nature or to correct a typographical issue.

Preliminary Draft of Proposed Amendments | August 2023 Page 112 of 157
Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

(2) work with plaintiffs or with defendants to prepare for the conference and prepare 

any report ordered under Rule 16.1(c). 

(c) PREPARING A REPORT FOR THE CONFERENCE. The transferee court should 

order the parties to meet and prepare a report to be submitted to the court before the 

conference begins. The report must address any matter designated by the court, 

which may include any matter addressed in the list below or in Rule 16. The report 

may also address any other matter the parties wish to bring to the court’s attention. 

(1) whether leadership counsel should be appointed, and if so: 

(A) the procedure for selecting them and whether the appointment should 

be reviewed periodically during the MDL proceedings; 

(B) the structure of leadership counsel, including their responsibilities and 

authority in conducting pretrial activities; 

(C) their role in settlement activities; 

(D) proposed methods for them to regularly communicate with and report 

to the court and nonleadership counsel; 

(E) any limits on activity by nonleadership counsel; and 

(F) whether and, if so, when to establish a means for compensating 

leadership counsel; 

(2) identifying any previously entered scheduling or other orders and stating 

whether they should be vacated or modified; 

(3) identifying the principal factual and legal issues likely to be presented in the 

MDL proceedings; 

(4) how and when the parties will exchange information about the factual bases for 

their claims and defenses; 

 (5) whether consolidated pleadings should be prepared to account for multiple 

actions included in the MDL proceedings; 

(6) a proposed plan for discovery, including methods to handle it efficiently; 

(7) any likely pretrial motions and a plan for addressing them; 

(8) a schedule for additional management conferences with the court; 

(9) whether the court should consider measures to facilitate settlement of some or 

all actions before the court, including measures identified in Rule 16(c)(2)(I); 

Preliminary Draft of Proposed Amendments | August 2023 Page 113 of 157
Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

(10) how to manage the filing of new actions in the MDL proceedings; 

(11) whether related actions have been filed or are expected to be filed in other 

courts, and whether to consider possible methods for coordinating with them; and 

(12) whether matters should be referred to a magistrate judge or a master. 

(d) INITIAL MDL MANAGEMENT ORDER. After the conference, the court should 

enter an initial MDL management order addressing the matters designated under 

Rule 16.1(c)—and any other matters in the court’s discretion. This order controls 

the MDL proceedings until the court modifies it. 

DRAFT COMMITTEE NOTE

 The Multidistrict Litigation Act, 28 U.S.C. § 1407, was adopted in 1968. It empowers the 

Judicial Panel on Multidistrict Litigation to transfer one or more actions for coordinated or 

consolidated pretrial proceedings, to promote the just and efficient conduct of such actions. The 

number of civil actions subject to transfer orders from the Panel has increased significantly since 

the statute was enacted. In recent years, these actions have accounted for a substantial portion of 

the federal civil docket. There previously was no reference to multidistrict litigation in the Civil 

Rules and, thus, the addition of Rule 16.1 is designed to provide a framework for the initial 

management of MDL proceedings. 

 Not all MDL proceedings present the type of management challenges this rule addresses. 

On the other hand, other multiparty litigation that did not result from a Judicial Panel transfer order 

may present similar management challenges. For example, multiple actions in a single district 

(sometimes called related cases and assigned by local rule to a single judge) may exhibit 

characteristics similar to MDL proceedings. In such situations, courts may find it useful to employ 

procedures similar to those Rule 16.1 identifies for MDL proceedings in their handling of those 

multiparty proceedings. In both MDL proceedings and other multiparty litigation, the Manual for 

Complex Litigation also may be a source of guidance. 

Rule 16.1(a). Rule 16.1(a) recognizes that the transferee judge regularly schedules an 

initial MDL management conference soon after the Judicial Panel transfer occurs to develop a 

management plan for the MDL proceedings. That initial MDL management conference ordinarily 

would not be the only management conference held during the MDL proceedings. Although 

holding an initial MDL management conference in MDL proceedings is not mandatory under Rule 

16.1(a), early attention to the matters identified in Rule 16.1(c) may be of great value to the 

transferee judge and the parties. 

Rule 16.1(b). Rule 16.1(b) recognizes the court may designate coordinating counsel—

perhaps more often on the plaintiff than the defendant side—to ensure effective and coordinated 

discussion and to provide an informative report for the court to use during the initial MDL 

management conference. 

 While there is no requirement that the court designate coordinating counsel, the court 

should consider whether such a designation could facilitate the organization and management of 

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(revised July 11, 2023) 

the action at the initial MDL management conference. The court may designate coordinating 

counsel to assist the court before appointing leadership counsel. In some MDL proceedings, 

counsel may be able to organize themselves prior to the initial MDL management conference such 

that the designation of coordinating counsel may not be necessary. 

Rule 16.1(c). The court ordinarily should order the parties to meet to provide a report to 

the court about the matters designated in the court’s Rule 16.1(c) order prior to the initial MDL 

management conference. This should be a single report, but it may reflect the parties’ divergent 

views on these matters. The court may select which matters listed in Rule 16.1(c) or Rule 16 should 

be included in the report submitted to the court, and may also include any other matter, whether or 

not listed in those rules. Rules 16.1(c) and 16 provide a series of prompts for the court and do not 

constitute a mandatory checklist for the transferee judge to follow. Experience has shown, 

however, that the matters identified in Rule 16.1(c)(1)-(12) are often important to the management 

of MDL proceedings. In addition to the matters the court has directed counsel to address, the parties 

may choose to discuss and report about other matters that they believe the transferee judge should 

address at the initial MDL management conference. 

Rule 16.1(c)(1). Appointment of leadership counsel is not universally needed in MDL 

proceedings. But, to manage the MDL proceedings, the court may decide to appoint leadership 

counsel. This provision calls attention to a number of topics the court might consider if 

appointment of leadership counsel seems warranted. 

 The first is the procedure for selecting such leadership counsel, addressed in subparagraph 

(A). There is no single method that is best for all MDL proceedings. The transferee judge has a 

responsibility in the selection process to ensure that the lawyers appointed to leadership positions 

are capable and experienced and that they will responsibly and fairly represent all*

 plaintiffs, 

keeping in mind the benefits of different experiences, skill, knowledge, geographical distributions, 

and backgrounds. Courts have considered the nature of the actions and parties, the qualifications 

of each individual applicant, litigation needs, access to resources, the different skills and 

experience each lawyer will bring to the role, and how the lawyers will complement one another 

and work collectively. 

 MDL proceedings do not have the same commonality requirements as class actions, so 

substantially different categories of claims or parties may be included in the same MDL proceeding 

and leadership may be comprised of attorneys who represent parties asserting a range of claims in 

the MDL proceeding. For example, in some MDL proceedings there may be claims by individuals 

who suffered injuries, and also claims by third-party payors who paid for medical treatment. The 

court may sometimes need to take these differences into account in making leadership 

appointments. 

 Courts have selected leadership counsel through combinations of formal applications, 

interviews, and recommendations from other counsel and judges who have experience with MDL 

proceedings. If the court has appointed coordinating counsel under Rule 16.1(b), experience with 

coordinating counsel’s performance in that role may support consideration of coordinating counsel 

for a leadership position, but appointment under Rule 16(b) is primarily focused on coordination 

* At its June 6, 2023 meeting, the Standing Committee removed the word “all”.

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

of the Rule 16.1(c) meeting and preparation of the resulting report to the court for use at the initial 

MDL management conference under Rule 16.1(a). 

 The rule also calls for a report to the court on whether appointment to leadership should be 

reviewed periodically. Periodic review can be an important method for the court to manage the 

MDL proceeding. 

 In some MDL proceedings it may be important that leadership counsel be organized into 

committees with specific duties and responsibilities. Subparagraph (B) of the rule therefore 

prompts counsel to provide the court with specifics on the leadership structure that should be 

employed. 

 Subparagraph (C) recognizes that, in addition to managing pretrial proceedings, another 

important role for leadership counsel in some MDL proceedings is to facilitate possible settlement. 

Even in large MDL proceedings, the question whether the parties choose to settle a claim is just 

that—a decision to be made by those particular parties. Nevertheless, leadership counsel ordinarily 

play a key role in communicating with opposing counsel and the court about settlement and 

facilitating discussions about resolution. It is often important that the court be regularly apprised 

of developments regarding potential settlement of some or all actions in the MDL proceeding. In 

its supervision of leadership counsel, the court should make every effort to ensure that leadership 

counsel’s participation in any settlement process is appropriate. 

 One of the important tasks of leadership counsel is to communicate with the court and with 

nonleadership counsel as proceedings unfold. Subparagraph (D) directs the parties to report how 

leadership counsel will communicate with the court and nonleadership counsel. In some instances, 

the court or leadership counsel have created websites that permit nonleadership counsel to monitor 

the MDL proceedings, and sometimes online access to court hearings provides a method for 

monitoring the proceedings. 

 Another responsibility of leadership counsel is to organize the MDL proceedings in accord 

with the court’s management order under Rule 16.1(d). In some MDLs, there may be tension 

between the approach that leadership counsel takes in handling pretrial matters and the preferences 

of individual parties and nonleadership counsel. As subparagraph (E) recognizes, it may be 

necessary for the court to give priority to leadership counsel’s pretrial plans when they conflict 

with initiatives sought by nonleadership counsel. The court should, however, ensure that 

nonleadership counsel have suitable opportunities to express their views to the court, and take care 

not to interfere with the responsibilities non-leadership counsel owe their clients. 

 Finally, subparagraph (F) addresses whether and when to establish a means to compensate 

leadership counsel for their added responsibilities. Courts have entered orders pursuant to the 

common benefit doctrine establishing specific protocols for common benefit work and expenses. 

But it may be best to defer entering a specific order until well into the proceedings, when the court 

is more familiar with the proceedings. 

Rule 16.1(c)(2). When multiple actions are transferred to a single district pursuant to 28 

U.S.C. § 1407, those actions may have reached different procedural stages in the district courts 

from which cases were transferred (“transferor district courts”). In some, Rule 26(f) conferences 

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

may have occurred and Rule 16(b) scheduling orders may have been entered. Those scheduling 

orders are likely to vary. Managing the centralized MDL proceedings in a consistent manner may 

warrant vacating or modifying scheduling orders or other orders entered in the transferor district 

courts, as well as any scheduling orders previously entered by the transferee judge. 

Rule 16.1(c)(3). Orderly and efficient pretrial activity in MDL proceedings can be 

facilitated by early identification of the principal factual and legal issues likely to be presented. 

Depending on the issues presented, the court may conclude that certain factual issues should be 

pursued through early discovery, and certain legal issues should be addressed through early motion 

practice. 

Rule 16.1(c)(4). Experience has shown that in MDL proceedings an exchange of 

information about the factual bases for claims and defenses can facilitate efficient management. 

Some courts have utilized “fact sheets” or a “census” as methods to take a survey of the claims 

and defenses presented, largely as a management method for planning and organizing the 

proceedings. 

 The level of detail called for by such methods should be carefully considered to meet the 

purpose to be served and avoid undue burdens. Whether early exchanges should occur may depend 

on a number of factors, including the types of cases before the court. For example, it is widely 

agreed that discovery from individual class members is often inappropriate in class actions, but 

with regard to individual claims in MDL proceedings exchange of individual particulars may be 

warranted.*

 And the timing of these exchanges may depend on other factors, such as whether 

motions to dismiss or other early matters might render the effort needed to exchange information 

unwarranted. Other factors might include whether there are legal issues that should be addressed 

(e.g., general causation or preemption) and the number of plaintiffs in the MDL proceeding. 

Rule 16.1(c)(5). For case management purposes, some courts have required consolidated 

pleadings, such as master complaints and answers in addition to short form complaints. Such 

consolidated pleadings may be useful for determining the scope of discovery and may also be 

employed in connection with pretrial motions, such as motions under Rule 12 or Rule 56. The 

relationship between the consolidated pleadings and individual pleadings filed in or transferred to 

the MDL proceeding depends on the purpose of the consolidated pleadings in the MDL 

proceedings. Decisions regarding whether to use master pleadings can have significant 

implications in MDL proceedings, as the Supreme Court noted in Gelboim v. Bank of America 

Corp., 574 U.S. 405, 413 n.3 (2015). 

Rule 16.1(c)(6). A major task for the MDL transferee judge is to supervise discovery in an 

efficient manner. The principal issues in the MDL proceedings may help guide the discovery plan 

and avoid inefficiencies and unnecessary duplication. 

Rule 16.1(c)(7). Early attention to likely pretrial motions can be important to facilitate 

progress and efficiently manage the MDL proceedings. The manner and timing in which certain 

* At its June 6, 2023 meeting, the Standing Committee removed this sentence from the committee note.

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

legal and factual issues are to be addressed by the court can be important in determining the most 

efficient method for discovery. 

Rule 16.1(c)(8). The Rule 16.1(a) conference is the initial MDL management conference. 

Although there is no requirement that there be further management conferences, courts generally 

conduct management conferences throughout the duration of the MDL proceedings to effectively 

manage the litigation and promote clear, orderly, and open channels of communication between 

the parties and the court on a regular basis. 

Rule 16.1(c)(9). Even if the court has not*

 appointed leadership counsel, it may be that 

judicial assistance could facilitate the settlement of some or all actions before the transferee judge. 

Ultimately, the question whether parties reach a settlement is just that—a decision to be made by 

the parties. But as recognized in Rule 16(a)(5) and 16(c)(2)(I), the court may assist the parties in 

settlement efforts. In MDL proceedings, in addition to mediation and other dispute resolution 

alternatives, the court’s use of a magistrate judge or a master, focused discovery orders, timely 

adjudication of principal legal issues, selection of representative bellwether trials, and coordination 

with state courts may facilitate settlement. 

Rule 16.1(c)(10). Actions that are filed in or removed to federal court after the Judicial 

Panel has created the MDL proceedings are treated as “tagalong” actions and transferred from the 

district where they were filed to the transferee court. 

 When large numbers of tagalong actions are anticipated, some parties have stipulated to 

“direct filing” orders entered by the court to provide a method to avoid the transferee judge 

receiving numerous cases through transfer rather than direct filing. If a direct filing order is 

entered, it is important to address matters that can arise later, such as properly handling any 

jurisdictional or venue issues that might be presented, identifying the appropriate transferor district 

court for transfer at the end of the pretrial phase, how time limits such as statutes of limitations 

should be handled, and how choice of law issues should be addressed. 

Rule 16.1(c)(11). On occasion there are actions in other courts that are related to the MDL 

proceedings. Indeed, a number of state court systems (e.g., California and New Jersey) have 

mechanisms like § 1407 to aggregate separate actions in their courts. In addition, it may sometimes 

happen that a party to an MDL proceeding may become a party to another action that presents 

issues related to or bearing on issues in the MDL proceeding. 

 The existence of such actions can have important consequences for the management of the 

MDL proceedings. For example, avoiding overlapping discovery is often important. If the court is 

considering adopting a common benefit fund order, consideration of the relative importance of the 

various proceedings may be important to ensure a fair arrangement. It is important that the MDL 

transferee judge be aware of whether such proceedings in other courts have been filed or are 

anticipated. 

* The phrase “Even if the court has not” was changed to “Whether or not the court has” at the June 6, 2023 

Standing Committee meeting.

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Excerpt from the May 11, 2023 Report of the Advisory Committee on Civil Rules 

(revised July 11, 2023) 

Rule 16.1(c)(12). MDL transferee judges may refer matters to a magistrate judge or a 

master to expedite the pretrial process or to play a part in settlement negotiations. It can be valuable 

for the court to know the parties’ positions about the possible appointment of a master before 

considering whether such an appointment should be made. Rule 53 prescribes procedures for 

appointment of a master. 

Rule 16.1(d). Effective and efficient management of MDL proceedings benefits from a 

comprehensive management order. A management order need not address all matters designated 

under Rule 16.1(c) if the court determines the matters are not significant to the MDL proceedings 

or would better be addressed at a subsequent conference. There is no requirement under Rule 16.1 

that the court set specific time limits or other scheduling provisions as in ordinary litigation under 

Rule 16(b)(3)(A). Because active judicial management of MDL proceedings must be flexible, the 

court should be open to modifying its initial management order in light of subsequent 

developments in the MDL proceedings. Such modification may be particularly appropriate if 

leadership counsel were appointed after the initial management conference under Rule 16.1(a). 

* * * * * 

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PROPOSED AMENDMENT TO THE FEDERAL 

RULES OF CIVIL PROCEDURE1 

1 Rule 16. Pretrial Conferences; Scheduling; 

2 Management 

3 * * * * * 

4 (b) Scheduling and Management.

5 * * * * * 

6 (3) Contents of the Order.

7 * * * * * 

8 (B) Permitted Contents. 

9 * * * * * 

10 (iv) include the timing and 

11 method for complying with 

12 Rule 26(b)(5)(A) and any 

13 agreements the parties reach 

14 for asserting claims of 

1 New material is underlined in red; matter to be omitted 

is lined through. 

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2 FEDERAL RULES OF CIVIL PROCEDURE

15 privilege or of protection as 

16 trial-preparation material 

17 after information is produced, 

18 including agreements reached 

19 under Federal Rule of 

20 Evidence 502; 

21 * * * * * 

22 Committee Note

23 Rule 16(b) is amended in tandem with an amendment 

24 to Rule 26(f)(3)(D). In addition, two words – “and 

25 management” – are added to the title of this rule in 

26 recognition that it contemplates that the court will in many 

27 instances do more than establish a schedule in its Rule 16(b) 

28 order; the focus of this amendment is an illustration of such 

29 activity.

30 The amendment to Rule 26(f)(3)(D) directs the 

31 parties to discuss and include in their discovery plan a 

32 method for complying with the requirements in Rule 

33 26(b)(5)(A). It also directs that the discovery plan address 

34 the timing for compliance with this requirement, in order to 

35 avoid problems that can arise if issues about compliance 

36 emerge only at the end of the discovery period. 

37 Early attention to the particulars on this subject can 

38 avoid problems later in the litigation by establishing case39 specific procedures up front. It may be desirable for the Rule 

40 16(b) order to provide for “rolling” production that may 

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FEDERAL RULES OF CIVIL PROCEDURE 3 

41 identify possible disputes about whether certain withheld 

42 materials are indeed protected. If the parties are unable to 

43 resolve those disputes between themselves, it is often 

44 desirable to have them resolved at an early stage by the court, 

45 in part so that the parties can apply the court’s resolution of 

46 the issues in further discovery in the case. 

47 Because the specific method of complying with Rule 

48 26(b)(5)(A) depends greatly on the specifics of a given case 

49 there is no overarching standard for all cases. In the first 

50 instance, the parties themselves should discuss these 

51 specifics during their Rule 26(f) conference; these 

52 amendments to Rule 16(b) recognize that the court can 

53 provide direction early in the case. Though the court 

54 ordinarily will give much weight to the parties’ preferences, 

55 the court’s order prescribing the method for complying with 

56 Rule 26(b)(5)(A) does not depend on party agreement. 

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PROPOSED AMENDMENT TO THE FEDERAL 

RULES OF CIVIL PROCEDURE1 

1 Rule 16.1. Multidistrict Litigation

2 (a) Initial MDL Management Conference. After the 

3 Judicial Panel on Multidistrict Litigation orders the 

4 transfer of actions, the transferee court should 

5 schedule an initial management conference to 

6 develop a management plan for orderly pretrial 

7 activity in the MDL proceedings. 

8 (b) Designating Coordinating Counsel for the 

9 Conference. The transferee court may designate 

10 coordinating counsel to: 

11 (1) assist the court with the conference; and 

12 (2) work with plaintiffs or with defendants to 

13 prepare for the conference and prepare any 

14 report ordered under Rule 16.1(c). 

1 New material is underlined in red. 

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2 FEDERAL RULES OF CIVIL PROCEDURE 

15 (c) Preparing a Report for the Conference. The 

16 transferee court should order the parties to meet and 

17 prepare a report to be submitted to the court before 

18 the conference begins. The report must address any 

19 matter designated by the court, which may include 

20 any matter listed below or in Rule 16. The report may 

21 also address any other matter the parties wish to 

22 bring to the court’s attention. 

23 (1) whether leadership counsel should be 

24 appointed, and if so: 

25 (A) the procedure for selecting them and 

26 whether the appointment should be 

27 reviewed periodically during the 

28 MDL proceedings; 

29 (B) the structure of leadership counsel, 

30 including their responsibilities and 

31 authority in conducting pretrial 

32 activities; 

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FEDERAL RULES OF CIVIL PROCEDURE 3 

33 (C) their role in settlement activities; 

34 (D) proposed methods for them to 

35 regularly communicate with and 

36 report to the court and nonleadership 

37 counsel; 

38 (E) any limits on activity by 

39 nonleadership counsel; and 

40 (F) whether and, if so, when to establish 

41 a means for compensating leadership 

42 counsel; 

43 (2) identifying any previously entered 

44 scheduling or other orders and stating 

45 whether they should be vacated or modified; 

46 (3) identifying the principal factual and legal 

47 issues likely to be presented in the MDL 

48 proceedings; 

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4 FEDERAL RULES OF CIVIL PROCEDURE 

49 (4) how and when the parties will exchange 

50 information about the factual bases for their 

51 claims and defenses; 

52 (5) whether consolidated pleadings should be 

53 prepared to account for multiple actions 

54 included in the MDL proceedings; 

55 (6) a proposed plan for discovery, including 

56 methods to handle it efficiently; 

57 (7) any likely pretrial motions and a plan for 

58 addressing them; 

59 (8) a schedule for additional management 

60 conferences with the court; 

61 (9) whether the court should consider measures 

62 to facilitate settlement of some or all actions 

63 before the court, including measures 

64 identified in Rule 16(c)(2)(I); 

65 (10) how to manage the filing of new actions in 

66 the MDL proceedings; 

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FEDERAL RULES OF CIVIL PROCEDURE 5 

67 (11) whether related actions have been filed or are 

68 expected to be filed in other courts, and 

69 whether to consider possible methods for 

70 coordinating with them; and 

71 (12) whether matters should be referred to a 

72 magistrate judge or a master. 

73 (d) Initial MDL Management Order. After the 

74 conference, the court should enter an initial MDL 

75 management order addressing the matters designated 

76 under Rule 16.1(c) – and any other matters in the 

77 court’s discretion. This order controls the MDL 

78 proceedings until the court modifies it. 

79 Committee Note 

80 The Multidistrict Litigation Act, 28 U.S.C. § 1407, 

81 was adopted in 1968. It empowers the Judicial Panel on 

82 Multidistrict Litigation to transfer one or more actions for 

83 coordinated or consolidated pretrial proceedings, to promote 

84 the just and efficient conduct of such actions. The number of 

85 civil actions subject to transfer orders from the Panel has 

86 increased significantly since the statute was enacted. In 

87 recent years, these actions have accounted for a substantial 

88 portion of the federal civil docket. There previously was no 

89 reference to multidistrict litigation in the Civil Rules and, 

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6 FEDERAL RULES OF CIVIL PROCEDURE 

90 thus, the addition of Rule 16.1 is designed to provide a 

91 framework for the initial management of MDL proceedings. 

92 Not all MDL proceedings present the type of 

93 management challenges this rule addresses. On the other 

94 hand, other multiparty litigation that did not result from a 

95 Judicial Panel transfer order may present similar 

96 management challenges. For example, multiple actions in a 

97 single district (sometimes called related cases and assigned 

98 by local rule to a single judge) may exhibit characteristics 

99 similar to MDL proceedings. In such situations, courts may 

100 find it useful to employ procedures similar to those Rule 16.1 

101 identifies for MDL proceedings in their handling of those 

102 multiparty proceedings. In both MDL proceedings and other 

103 multiparty litigation, the Manual for Complex Litigation 

104 also may be a source of guidance. 

105 Rule 16.1(a). Rule 16.1(a) recognizes that the 

106 transferee judge regularly schedules an initial MDL 

107 management conference soon after the Judicial Panel 

108 transfer occurs to develop a management plan for the MDL 

109 proceedings. That initial MDL management conference 

110 ordinarily would not be the only management conference 

111 held during the MDL proceedings. Although holding an 

112 initial MDL management conference in MDL proceedings is 

113 not mandatory under Rule 16.1(a), early attention to the 

114 matters identified in Rule 16.1(c) may be of great value to 

115 the transferee judge and the parties. 

116 Rule 16.1(b). Rule 16.1(b) recognizes the court may 

117 designate coordinating counsel -- perhaps more often on the 

118 plaintiff than the defendant side -- to ensure effective and 

119 coordinated discussion and to provide an informative report 

120 for the court to use during the initial MDL management 

121 conference. 

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FEDERAL RULES OF CIVIL PROCEDURE 7 

122 While there is no requirement that the court designate 

123 coordinating counsel, the court should consider whether 

124 such a designation could facilitate the organization and 

125 management of the action at the initial MDL management 

126 conference. The court may designate coordinating counsel 

127 to assist the court before appointing leadership counsel. In 

128 some MDL proceedings, counsel may be able to organize 

129 themselves prior to the initial MDL management conference 

130 such that the designation of coordinating counsel may not be 

131 necessary. 

132 Rule 16.1(c). The court ordinarily should order the 

133 parties to meet to provide a report to the court about the 

134 matters designated in the court’s Rule 16.1(c) order prior to 

135 the initial MDL management conference. This should be a 

136 single report, but it may reflect the parties’ divergent views 

137 on these matters. The court may select which matters listed 

138 in Rule 16.1(c) or Rule 16 should be included in the report 

139 submitted to the court, and may also include any other 

140 matter, whether or not listed in those rules. Rules 16.1(c) and 

141 16 provide a series of prompts for the court and do not 

142 constitute a mandatory checklist for the transferee judge to 

143 follow. Experience has shown, however, that the matters 

144 identified in Rule 16.1(c)(1)-(12) are often important to the 

145 management of MDL proceedings. In addition to the matters 

146 the court has directed counsel to address, the parties may 

147 choose to discuss and report about other matters that they 

148 believe the transferee judge should address at the initial 

149 MDL management conference. 

150 Rule 16.1(c)(1). Appointment of leadership counsel 

151 is not universally needed in MDL proceedings. But, to 

152 manage the MDL proceedings, the court may decide to 

153 appoint leadership counsel. This provision calls attention to 

154 a number of topics the court might consider if appointment 

155 of leadership counsel seems warranted. 

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8 FEDERAL RULES OF CIVIL PROCEDURE 

156 The first is the procedure for selecting such 

157 leadership counsel, addressed in subparagraph (A). There is 

158 no single method that is best for all MDL proceedings. The 

159 transferee judge has a responsibility in the selection process 

160 to ensure that the lawyers appointed to leadership positions 

161 are capable and experienced and that they will responsibly 

162 and fairly represent plaintiffs, keeping in mind the benefits 

163 of different experiences, skill, knowledge, geographical 

164 distributions, and backgrounds. Courts have considered the 

165 nature of the actions and parties, the qualifications of each 

166 individual applicant, litigation needs, access to resources, the 

167 different skills and experience each lawyer will bring to the 

168 role, and how the lawyers will complement one another and 

169 work collectively. 

170 MDL proceedings do not have the same 

171 commonality requirements as class actions, so substantially 

172 different categories of claims or parties may be included in 

173 the same MDL proceeding and leadership may be comprised 

174 of attorneys who represent parties asserting a range of claims 

175 in the MDL proceeding. For example, in some MDL 

176 proceedings there may be claims by individuals who 

177 suffered injuries, and also claims by third-party payors who 

178 paid for medical treatment. The court may sometimes need 

179 to take these differences into account in making leadership 

180 appointments. 

181 Courts have selected leadership counsel through 

182 combinations of formal applications, interviews, and 

183 recommendations from other counsel and judges who have 

184 experience with MDL proceedings. If the court has 

185 appointed coordinating counsel under Rule 16.1(b), 

186 experience with coordinating counsel’s performance in that 

187 role may support consideration of coordinating counsel for a 

188 leadership position, but appointment under Rule 16.1(b) is 

189 primarily focused on coordination of the Rule 16.1(c) 

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FEDERAL RULES OF CIVIL PROCEDURE 9 

190 meeting and preparation of the resulting report to the court 

191 for use at the initial MDL management conference under 

192 Rule 16.1(a). 

193 The rule also calls for a report to the court on whether 

194 appointment to leadership should be reviewed periodically. 

195 Periodic review can be an important method for the court to 

196 manage the MDL proceeding. 

197 In some MDL proceedings it may be important that 

198 leadership counsel be organized into committees with 

199 specific duties and responsibilities. Subparagraph (B) of the 

200 rule therefore prompts counsel to provide the court with 

201 specifics on the leadership structure that should be 

202 employed. 

203 Subparagraph (C) recognizes that, in addition to 

204 managing pretrial proceedings, another important role for 

205 leadership counsel in some MDL proceedings is to facilitate 

206 possible settlement. Even in large MDL proceedings, the 

207 question whether the parties choose to settle a claim is just 

208 that -- a decision to be made by those particular parties. 

209 Nevertheless, leadership counsel ordinarily play a key role 

210 in communicating with opposing counsel and the court about 

211 settlement and facilitating discussions about resolution. It is 

212 often important that the court be regularly apprised of 

213 developments regarding potential settlement of some or all 

214 actions in the MDL proceeding. In its supervision of 

215 leadership counsel, the court should make every effort to 

216 ensure that leadership counsel’s participation in any 

217 settlement process is appropriate. 

218 One of the important tasks of leadership counsel is to 

219 communicate with the court and with nonleadership counsel 

220 as proceedings unfold. Subparagraph (D) directs the parties 

221 to report how leadership counsel will communicate with the 

222 court and nonleadership counsel. In some instances, the 

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10 FEDERAL RULES OF CIVIL PROCEDURE 

223 court or leadership counsel have created websites that permit 

224 nonleadership counsel to monitor the MDL proceedings, and 

225 sometimes online access to court hearings provides a method 

226 for monitoring the proceedings. 

227 Another responsibility of leadership counsel is to 

228 organize the MDL proceedings in accord with the court’s 

229 management order under Rule 16.1(d). In some MDLs, there 

230 may be tension between the approach that leadership counsel 

231 takes in handling pretrial matters and the preferences of 

232 individual parties and nonleadership counsel. As 

233 subparagraph (E) recognizes, it may be necessary for the 

234 court to give priority to leadership counsel’s pretrial plans 

235 when they conflict with initiatives sought by nonleadership 

236 counsel. The court should, however, ensure that 

237 nonleadership counsel have suitable opportunities to express 

238 their views to the court, and take care not to interfere with 

239 the responsibilities non-leadership counsel owe their clients. 

240 Finally, subparagraph (F) addresses whether and 

241 when to establish a means to compensate leadership counsel 

242 for their added responsibilities. Courts have entered orders 

243 pursuant to the common benefit doctrine establishing 

244 specific protocols for common benefit work and expenses. 

245 But it may be best to defer entering a specific order until well 

246 into the proceedings, when the court is more familiar with 

247 the proceedings. 

248 Rule 16.1(c)(2). When multiple actions are 

249 transferred to a single district pursuant to 28 U.S.C. § 1407, 

250 those actions may have reached different procedural stages 

251 in the district courts from which cases were transferred 

252 (“transferor district courts”). In some, Rule 26(f) 

253 conferences may have occurred and Rule 16(b) scheduling 

254 orders may have been entered. Those scheduling orders are 

255 likely to vary. Managing the centralized MDL proceedings 

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FEDERAL RULES OF CIVIL PROCEDURE 11 

256 in a consistent manner may warrant vacating or modifying 

257 scheduling orders or other orders entered in the transferor 

258 district courts, as well as any scheduling orders previously 

259 entered by the transferee judge. 

260 Rule 16.1(c)(3). Orderly and efficient pretrial 

261 activity in MDL proceedings can be facilitated by early 

262 identification of the principal factual and legal issues likely 

263 to be presented. Depending on the issues presented, the court 

264 may conclude that certain factual issues should be pursued 

265 through early discovery, and certain legal issues should be 

266 addressed through early motion practice. 

267 Rule 16.1(c)(4). Experience has shown that in MDL 

268 proceedings an exchange of information about the factual 

269 bases for claims and defenses can facilitate efficient 

270 management. Some courts have utilized “fact sheets” or a 

271 “census” as methods to take a survey of the claims and 

272 defenses presented, largely as a management method for 

273 planning and organizing the proceedings. 

274 The level of detail called for by such methods should 

275 be carefully considered to meet the purpose to be served and 

276 avoid undue burdens. Whether early exchanges should occur 

277 may depend on a number of factors, including the types of 

278 cases before the court. And the timing of these exchanges 

279 may depend on other factors, such as whether motions to 

280 dismiss or other early matters might render the effort needed 

281 to exchange information unwarranted. Other factors might 

282 include whether there are legal issues that should be 

283 addressed (e.g., general causation or preemption) and the 

284 number of plaintiffs in the MDL proceeding. 

285 Rule 16.1(c)(5). For case management purposes, 

286 some courts have required consolidated pleadings, such as 

287 master complaints and answers in addition to short form 

288 complaints. Such consolidated pleadings may be useful for 

Preliminary Draft of Proposed Amendments | August 2023 Page 133 of 157
12 FEDERAL RULES OF CIVIL PROCEDURE 

289 determining the scope of discovery and may also be 

290 employed in connection with pretrial motions, such as 

291 motions under Rule 12 or Rule 56. The relationship between 

292 the consolidated pleadings and individual pleadings filed in 

293 or transferred to the MDL proceeding depends on the 

294 purpose of the consolidated pleadings in the MDL 

295 proceedings. Decisions regarding whether to use master 

296 pleadings can have significant implications in MDL 

297 proceedings, as the Supreme Court noted in Gelboim v. Bank 

298 of America Corp., 574 U.S. 405, 413 n.3 (2015). 

299 Rule 16.1(c)(6). A major task for the MDL transferee 

300 judge is to supervise discovery in an efficient manner. The 

301 principal issues in the MDL proceedings may help guide the 

302 discovery plan and avoid inefficiencies and unnecessary 

303 duplication. 

304 Rule 16.1(c)(7). Early attention to likely pretrial 

305 motions can be important to facilitate progress and 

306 efficiently manage the MDL proceedings. The manner and 

307 timing in which certain legal and factual issues are to be 

308 addressed by the court can be important in determining the 

309 most efficient method for discovery. 

310 Rule 16.1(c)(8). The Rule 16.1(a) conference is the 

311 initial MDL management conference. Although there is no 

312 requirement that there be further management conferences, 

313 courts generally conduct management conferences 

314 throughout the duration of the MDL proceedings to 

315 effectively manage the litigation and promote clear, orderly, 

316 and open channels of communication between the parties 

317 and the court on a regular basis. 

318 Rule 16.1(c)(9). Whether or not the court has 

319 appointed leadership counsel, it may be that judicial 

320 assistance could facilitate the settlement of some or all 

321 actions before the transferee judge. Ultimately, the question 

Preliminary Draft of Proposed Amendments | August 2023 Page 134 of 157
FEDERAL RULES OF CIVIL PROCEDURE 13 

322 whether parties reach a settlement is just that -- a decision to 

323 be made by the parties. But as recognized in Rule 16(a)(5) 

324 and 16(c)(2)(I), the court may assist the parties in settlement 

325 efforts. In MDL proceedings, in addition to mediation and 

326 other dispute resolution alternatives, the court’s use of a 

327 magistrate judge or a master, focused discovery orders, 

328 timely adjudication of principal legal issues, selection of 

329 representative bellwether trials, and coordination with state 

330 courts may facilitate settlement. 

331 Rule 16.1(c)(10). Actions that are filed in or 

332 removed to federal court after the Judicial Panel has created 

333 the MDL proceedings are treated as “tagalong” actions and 

334 transferred from the district where they were filed to the 

335 transferee court. 

336 When large numbers of tagalong actions are 

337 anticipated, some parties have stipulated to “direct filing” 

338 orders entered by the court to provide a method to avoid the 

339 transferee judge receiving numerous cases through transfer 

340 rather than direct filing. If a direct filing order is entered, it 

341 is important to address matters that can arise later, such as 

342 properly handling any jurisdictional or venue issues that 

343 might be presented, identifying the appropriate transferor 

344 district court for transfer at the end of the pretrial phase, how 

345 time limits such as statutes of limitations should be handled, 

346 and how choice of law issues should be addressed. 

347 Rule 16.1(c)(11). On occasion there are actions in 

348 other courts that are related to the MDL proceedings. Indeed, 

349 a number of state court systems (e.g., California and New 

350 Jersey) have mechanisms like § 1407 to aggregate separate 

351 actions in their courts. In addition, it may sometimes happen 

352 that a party to an MDL proceeding may become a party to 

353 another action that presents issues related to or bearing on 

354 issues in the MDL proceeding. 

Preliminary Draft of Proposed Amendments | August 2023 Page 135 of 157
14 FEDERAL RULES OF CIVIL PROCEDURE 

355 The existence of such actions can have important 

356 consequences for the management of the MDL proceedings. 

357 For example, avoiding overlapping discovery is often 

358 important. If the court is considering adopting a common 

359 benefit fund order, consideration of the relative importance 

360 of the various proceedings may be important to ensure a fair 

361 arrangement. It is important that the MDL transferee judge 

362 be aware of whether such proceedings in other courts have 

363 been filed or are anticipated. 

364 Rule 16.1(c)(12). MDL transferee judges may refer 

365 matters to a magistrate judge or a master to expedite the 

366 pretrial process or to play a part in settlement negotiations. 

367 It can be valuable for the court to know the parties’ positions 

368 about the possible appointment of a master before 

369 considering whether such an appointment should be made. 

370 Rule 53 prescribes procedures for appointment of a master. 

371 Rule 16.1(d). Effective and efficient management of 

372 MDL proceedings benefits from a comprehensive 

373 management order. A management order need not address 

374 all matters designated under Rule 16.1(c) if the court 

375 determines the matters are not significant to the MDL 

376 proceedings or would better be addressed at a subsequent 

377 conference. There is no requirement under Rule 16.1 that the 

378 court set specific time limits or other scheduling provisions 

379 as in ordinary litigation under Rule 16(b)(3)(A). Because 

380 active judicial management of MDL proceedings must be 

381 flexible, the court should be open to modifying its initial 

382 management order in light of subsequent developments in 

383 the MDL proceedings. Such modification may be 

384 particularly appropriate if leadership counsel were appointed 

385 after the initial management conference under Rule 16.1(a). 

Preliminary Draft of Proposed Amendments | August 2023 Page 136 of 157
PROPOSED AMENDMENT TO THE FEDERAL 

RULES OF CIVIL PROCEDURE1 

1 Rule 26. Duty to Disclose; General Provisions 

2 Governing Discovery

3 * * * * * 

4 (f) Conference of the Parties; Planning for

5 Discovery.

6 * * * * * 

7 (3) Discovery Plan. A discovery plan must state 

8 the parties’ views and proposals on: 

9 * * * * * 

10 (D) any issues about claims of privilege 

11 or of protection as trial-preparation 

12 materials, including the timing and 

13 method for complying with 

14 Rule 26(b)(5)(A) and – if the parties 

1 New material is underlined in red; matter to be omitted 

is lined through. 

Preliminary Draft of Proposed Amendments | August 2023 Page 137 of 157
2 FEDERAL RULES OF CIVIL PROCEDURE

15 agree on a procedure to assert these 

16 claims after production – whether to 

17 ask the court to include their 

18 agreement in an order under Federal 

19 Rule of Evidence 502; 

20 * * * * * 

21 Committee Note

22 Rule 26(f)(3)(D) is amended to address concerns 

23 about application of the requirement in Rule 26(b)(5)(A) that 

24 producing parties describe materials withheld on grounds of 

25 privilege or as trial-preparation materials. Compliance with 

26 Rule 26(b)(5)(A) can involve very large costs, often 

27 including a document-by-document “privilege log.” 

28 Rule 26(b)(5)(A) was adopted in 1993, and from the 

29 outset was intended to recognize the need for flexibility. 

30 Nevertheless, the rule has not been consistently applied in a 

31 flexible manner, sometimes imposing undue burdens. 

32 This amendment directs the parties to address the 

33 question how they will comply with Rule 26(b)(5)(A) in 

34 their discovery plan, and report to the court about this topic. 

35 A companion amendment to Rule 16(b)(3)(B)(iv) seeks to 

36 prompt the court to include provisions about complying with 

37 Rule 26(b)(5)(A) in scheduling or case management orders. 

38 Requiring this discussion at the outset of litigation is 

39 important to avoid problems later on, particularly if 

40 objections to a party’s compliance with Rule 26(b)(5)(A) 

Preliminary Draft of Proposed Amendments | August 2023 Page 138 of 157
FEDERAL RULES OF CIVIL PROCEDURE 3 

41 might otherwise emerge only at the end of the discovery 

42 period. 

43 This amendment also seeks to grant the parties 

44 maximum flexibility in designing an appropriate method for 

45 identifying the grounds for withholding materials. 

46 Depending on the nature of the litigation, the nature of the 

47 materials sought through discovery, and the nature of the 

48 privilege or protection involved, what is needed in one case 

49 may not be necessary in another. No one-size-fits-all 

50 approach would actually be suitable in all cases.

51 In some cases, it may be suitable to have the 

52 producing party deliver a document-by-document listing 

53 with explanations of the grounds for withholding the listed 

54 materials.

55 In some cases some sort of categorical approach 

56 might be effective to relieve the producing party of the need 

57 to list many withheld documents. For example, it may be that 

58 communications between a party and outside litigation 

59 counsel could be excluded from the listing, and in some 

60 cases a date range might be a suitable method of excluding 

61 some materials from the listing requirement. These or other 

62 methods may enable counsel to reduce the burden and 

63 increase the effectiveness of complying with Rule 

64 26(b)(5)(A). But the use of categories calls for careful 

65 drafting and application keyed to the specifics of the action. 

66 Requiring that discussion of this topic begin at the 

67 outset of the litigation and that the court be advised of the 

68 parties’ plans or disagreements in this regard is a key 

69 purpose of this amendment. Production of a privilege log 

70 near the close of the discovery period can create serious 

71 problems. Often it will be valuable to provide for “rolling” 

72 production of materials and an appropriate description of the 

73 nature of the withheld material. In that way, areas of 

Preliminary Draft of Proposed Amendments | August 2023 Page 139 of 157
4 FEDERAL RULES OF CIVIL PROCEDURE

74 potential dispute may be identified and, if the parties cannot 

75 resolve them, presented to the court for resolution. 

76 Early design of methods to comply with 

77 Rule 26(b)(5)(A) may also reduce the frequency of claims 

78 that producing parties have over-designated responsive 

79 materials. Such concerns may arise, in part, due to failure of 

80 the parties to communicate meaningfully about the nature of 

81 the privileges and materials involved in the given case. It can 

82 be difficult to determine whether certain materials are 

83 subject to privilege protection, and candid early 

84 communication about the difficulties to be encountered in 

85 making and evaluating such determinations can avoid later 

86 disputes. 

Preliminary Draft of Proposed Amendments | August 2023 Page 140 of 157
APPENDIX 

Preliminary Draft of Proposed Amendments | August 2023 Page 141 of 157
§ 440 Procedures for Committees on Rules of Practice and Procedure

This section contains the "Procedures for the Judicial Conference's Committee on Rules of 

Practice and Procedure and Its Advisory Rules Committees," last amended in September 

2011. JCUS-SEP 2011, p. 35.

§ 440.10 Overview

The Rules Enabling Act, 28 U.S.C. §§ 2071–2077, authorizes the Supreme Court to prescribe 

general rules of practice and procedure and rules of evidence for the federal courts. Under the 

Act, the Judicial Conference must appoint a standing committee, and may appoint advisory 

committees to recommend new and amended rules. Section 2073 requires the Judicial 

Conference to publish the procedures that govern the work of the Committee on Rules of 

Practice and Procedure (the "Standing Committee") and its advisory committees on the Rules of 

Appellate, Bankruptcy, Civil, and Criminal Procedure and on the Evidence Rules. See 28 U.S.C.

§ 2073(a)(1). These procedures do not limit the rules committees' authority. Failure to comply 

with them does not invalidate any rules committee action. Cf. 28 U.S.C. § 2073(e). 

§ 440.20 Advisory Committees

§ 440.20.10 Functions

Each advisory committee must engage in "a continuous study of the operation and effect of the 

general rules of practice and procedure now or hereafter in use" in its field, taking into 

consideration suggestions and recommendations received from any source, new statutes and 

court decisions affecting the rules, and legal commentary. See 28 U.S.C. § 331. 

§ 440.20.20 Suggestions and Recommendations

Suggestions and recommendations on the rules are submitted to the Secretary of the Standing 

Committee at the Administrative Office of the United States Courts, Washington, D.C. The 

Secretary will acknowledge the suggestions or recommendations and refer them to the 

appropriate advisory committee. If the Standing Committee takes formal action on them, that 

action will be reflected in the Standing Committee's minutes, which are posted on the judiciary's

rulemaking website. 

§ 440.20.30 Drafting Rule Changes

(a) Meetings

Each advisory committee meets at the times and places that the chair

designates. Advisory committee meetings must be open to the public, except

when the committee — in open session and with a majority present — 

determines that it is in the public interest to have all or part of the meeting closed

and states the reason. Each meeting must be preceded by notice of the time and

place, published in the Federal Register and on the judiciary's rulemaking

website, sufficiently in advance to permit interested persons to attend.

Preliminary Draft of Proposed Amendments | August 2023 Page 142 of 157
(b) Preparing Draft Changes

The reporter assigned to each advisory committee should prepare for the

committee, under the direction of the committee or its chair, draft rule changes,

committee notes explaining their purpose, and copies or summaries of written

recommendations and suggestions received by the committee.

(c) Considering Draft Changes

The advisory committee studies the rules' operation and effect. It meets to

consider proposed new and amended rules (together with committee notes),

whether changes should be made, and whether they should be submitted to the

Standing Committee with a recommendation to approve for publication. The

submission must be accompanied by a written report explaining the advisory

committee's action and its evaluation of competing considerations.

§ 440.20.40 Publication and Public Hearings

(a) Publication

Before any proposed rule change is published, the Standing Committee must

approve publication. The Secretary then arranges for printing and circulating the

proposed change to the bench, bar, and public. Publication should be as wide as

possible. The proposed change must be published in the Federal Register and

on the judiciary's rulemaking website. The Secretary must:

(1) notify members of Congress, federal judges, and the chief justice 

of each state's highest court of the proposed change, with a link to

the judiciary's rulemaking website; and

(2) provide copies of the proposed change to legal-publishing firms

with a request to timely include it in publications.

(b) Public Comment Period

A public comment period on the proposed change must extend for at least six

months after notice is published in the Federal Register, unless a shorter period

is approved under paragraph (d) of this section.

(c) Hearings

The advisory committee must conduct public hearings on the proposed change

unless eliminating them is approved under paragraph (d) of this section or not

enough witnesses ask to testify at a particular hearing. The hearings are held at

the times and places that the advisory committee's chair determines. Notice of

the times and places must be published in the Federal Register and on

the judiciary's rulemaking website. The hearings must be transcribed. Whenever

possible, a transcript should be produced by a qualified court reporter.

Preliminary Draft of Proposed Amendments | August 2023 Page 143 of 157
(d) Expedited Procedures

The Standing Committee may shorten the public comment period or eliminate

public hearings if it determines that the administration of justice requires a 

proposed rule change to be expedited and that appropriate notice to the public

can still be provided and public comment obtained. The Standing Committee may

also eliminate public notice and comment for a technical or conforming

amendment if the Committee determines that they are unnecessary. When an

exception is made, the chair must advise the Judicial Conference and provide the

reasons.

§ 440.20.50 Procedures After the Comment Period

(a) Summary of Comments

When the public comment period ends, the reporter must prepare a summary of

the written comments received and of the testimony presented at public hearings.

If the number of comments is very large, the reporter may summarize and

aggregate similar individual comments, identifying the source of each one.

(b) Advisory Committee Review; Republication

The advisory committee reviews the proposed change in light of any comments

and testimony. If the advisory committee makes substantial changes, the

proposed rule should be republished for an additional period of public comment

unless the advisory committee determines that republication would not be

necessary to achieve adequate public comment and would not assist the work of

the rules committees.

(c) Submission to the Standing Committee

The advisory committee submits to the Standing Committee the proposed

change and committee note that it recommends for approval. Each submission 

must:

(1) be accompanied by a separate report of the comments received;

(2) explain the changes made after the original publication; and

(3) include an explanation of competing considerations examined by

the advisory committee.

§ 440.20.60 Preparing Minutes and Maintaining Records

(a) Minutes of Meetings

The advisory committee's chair arranges for preparing the minutes of the

committee meetings.

Preliminary Draft of Proposed Amendments | August 2023 Page 144 of 157
(b) Records

The advisory committee's records consist of:

o written suggestions received from the public;

o written comments received from the public on drafts of proposed rules;

o the committee's responses to public suggestions and comments;

o other correspondence with the public about proposed rule changes;

o electronic recordings and transcripts of public hearings (when prepared);

o the reporter's summaries of public comments and of testimony from public 

hearings;

o agenda books and materials prepared for committee meetings;

o minutes of committee meetings;

o approved drafts of rule changes; and

o reports to the Standing Committee.

(c) Public Access to Records

The records must be posted on the judiciary's rulemaking website, except for

general public correspondence about proposed rule changes and electronic

recordings of hearings when transcripts are prepared. This correspondence and

archived records are maintained by the AO and are available for public

inspection. Minutes of a closed meeting may be made available to the public but

with any deletions necessary to avoid frustrating the purpose of closing the

meeting under § 440.20.30(a). 

§ 440.30 Standing Committee

§ 440.30.10 Functions

The Standing Committee's functions include:

(a) coordinating the work of the advisory committees;

(b) suggesting proposals for them to study;

(c) considering proposals they recommend for publication for public comment; and

(d) for proposed rule changes that have completed that process, deciding whether to

accept or modify the proposals and transmit them with its own recommendation

to the Judicial Conference, recommit them to the advisory committee for further

study and consideration, or reject them.

§ 440.30.20 Procedures

(a) Meetings

The Standing Committee meets at the times and places that the chair

designates. Committee meetings must be open to the public, except when the

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

in the public interest to have all or part of the meeting closed and states the

Preliminary Draft of Proposed Amendments | August 2023 Page 145 of 157
reason. Each meeting must be preceded by notice of the time and place,

published in the Federal Register and on the judiciary's rulemaking website, 

sufficiently in advance to permit interested persons to attend.

(b) Attendance by the Advisory Committee Chairs and Reporters

The advisory committees' chairs and reporters should attend the Standing

Committee meetings to present their committees' proposed rule changes and

committee notes, to inform the Standing Committee about ongoing work, and to

participate in the discussions.

(c) Action on Proposed Rule Changes or Committee Notes

The Standing Committee may accept, reject, or modify a proposed change or

committee note, or may return the proposal to the advisory committee with

instructions or recommendations.

(d) Transmission to the Judicial Conference

The Standing Committee must transmit to the Judicial Conference the proposed

rule changes and committee notes that it approves, together with the advisory

committee report. The Standing Committee's report includes its own

recommendations and explains any changes that it made.

§ 440.30.30 Preparing Minutes and Maintaining Records

(a) Minutes of Meetings

The Secretary prepares minutes of Standing Committee meetings.

(b) Records

The Standing Committee's records consist of:

o the minutes of Standing Committee and advisory committee meetings;

o agenda books and materials prepared for Standing Committee meetings;

o reports to the Judicial Conference; and

o official correspondence about rule changes, including correspondence with 

advisory committee chairs.

(c) Public Access to Records

The records must be posted on the judiciary's rulemaking website, except for

official correspondence about rule changes. This correspondence and archived

records are maintained by the AO and are available for public inspection.

Minutes of a closed meeting may be made available to the public but with any

deletions necessary to avoid frustrating the purpose of closing the meeting

under § 440.30.20(a). 

 

Last revised (Transmittal 01-026) May 27, 2022

Preliminary Draft of Proposed Amendments | August 2023 Page 146 of 157
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

(Standing Committee)

Effective: March 20, 2023 to September 30, 2023 Page 2 

Revised: July 17, 2023 

Chair Reporter

Honorable John D. Bates

United States District Court

Washington, DC 

Professor Catherine T. Struve

University of Pennsylvania Law School 

Philadelphia, PA 

Members

Honorable Paul J. Barbadoro

United States District Court

Concord, NH 

Elizabeth J. Cabraser, Esq. 

Lieff Cabraser Heimann & Bernstein, LLP

San Francisco, CA

Robert J. Giuffra, Jr., Esq.

Sullivan & Cromwell LLP

New York, NY 

Honorable William J. Kayatta, Jr.

United States Court of Appeals 

Portland, ME

Honorable Carolyn B. Kuhl

Superior Court of the State of California 

Los Angeles, CA 

Dean Troy A. McKenzie

New York University School of Law 

New York, NY

Honorable Patricia A. Millett

United States Court of Appeals 

Washington, DC 

Honorable Lisa O. Monaco 

Deputy Attorney General (ex officio)

United States Department of Justice

Washington, DC 

Andrew J. Pincus, Esq.

Mayer Brown LLP 

Washington, DC 

Honorable Gene E.K. Pratter

United States District Court

Philadelphia, PA

Honorable D. Brooks Smith

United States Court of Appeals 

Duncansville, PA 

Kosta Stojilkovic, Esq.

Wilkinson Stekloff LLP

Washington, DC 

Honorable Jennifer G. Zipps

United States District Court

Tucson, AZ 

Consultants

Professor Daniel R. Coquillette

Boston College Law School 

Newton Centre, MA 

Professor Bryan A. Garner

LawProse, Inc.

Dallas, TX 

Preliminary Draft of Proposed Amendments | August 2023 Page 147 of 157
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

(Standing Committee)

Effective: March 20, 2023 to September 30, 2023 Page 3 

Revised: July 17, 2023 

Consultants (continued)

Professor Joseph Kimble

Thomas M. Cooley Law School 

Lansing, MI 

Joseph F. Spaniol, Jr., Esq.

Bethesda, MD 

Secretary to the Standing Committee

H. Thomas Byron III, Esq.

Administrative Office of the U.S. Courts

Office of the General Counsel – Rules Committee Staff 

Washington, DC 

Preliminary Draft of Proposed Amendments | August 2023 Page 148 of 157
ADVISORY COMMITTEE ON APPELLATE RULES

Effective: March 20, 2023 to September 30, 2023 Page 1 

Revised: July 17, 2023 

Chair Reporter

Honorable Jay S. Bybee

United States Court of Appeals 

Las Vegas, NV 

Professor Edward Hartnett

Seton Hall University School of Law 

Newark, NJ 

Members

George W. Hicks, Jr., Esq.

Kirkland & Ellis LLP

Washington, DC 

Professor Bert Huang

Columbia Law School 

New York, NY 

Honorable Leondra R. Kruger

Supreme Court of California

San Francisco, CA

Honorable Carl J. Nichols

United States District Court

Washington, DC 

Honorable Elizabeth B. Prelogar

Solicitor General (ex officio)

United States Department of Justice

Washington, DC 

Danielle Spinelli, Esq.

Wilmer Cutler Pickering Hale and Dorr LLP

Washington DC

Honorable Sidney R. Thomas

United States Court of Appeals 

Billings, MT

Honorable Richard C. Wesley

United States Court of Appeals 

Geneseo, NY 

Lisa B. Wright, Esq.

Office of the Federal Public Defender 

Washington, DC 

Liaisons

Honorable Daniel A. Bress

(Bankruptcy) 

United States Court of Appeals 

San Francisco, CA

Andrew J. Pincus, Esq.

(Standing) 

Mayer Brown LLP 

Washington, DC 

Clerk of Court Representative

Molly Dwyer, Esq.

United States Court of Appeals 

San Francisco, CA 

Preliminary Draft of Proposed Amendments | August 2023 Page 149 of 157
ADVISORY COMMITTEE ON BANKRUPTCY RULES

Effective: March 20, 2023 to September 30, 2023 Page 1 

Revised: July 17, 2023 

Chair Reporter

Honorable Rebecca B. Connelly

United States Bankruptcy Court 

Harrisonburg, VA 

Professor S. Elizabeth Gibson

University of North Carolina at Chapel Hill 

Chapel Hill, NC

Associate Reporter

Professor Laura B. Bartell

Wayne State University Law School

Detroit, MI 

Members

Honorable Daniel A. Bress

United States Court of Appeals 

San Francisco, CA

Jenny L. Doling, Esq.

J. Doling Law PC 

Palm Desert, CA 

Honorable Michelle M. Harner

United States Bankruptcy Court 

Baltimore, MD

Honorable Jeffery P. Hopkins

United States District Court

Cincinnati, OH 

Honorable David A. Hubbert

Deputy Assistant Attorney General (ex 

officio)

United States Department of Justice

Washington, DC 

Honorable Ben Kahn

United States Bankruptcy Court 

Greensboro, NC 

Honorable Marcia S. Krieger

United States District Court

Denver, CO 

Honorable Catherine P. McEwen

United States Bankruptcy Court 

Tampa, FL

Debra L. Miller, Esq.

Chapter 13 Bankruptcy Trustee 

South Bend, IN 

Professor Scott F. Norberg

Florida International University 

College of Law 

Miami, FL 

Honorable J. Paul Oetken

United States District Court

New York, NY

Jeremy L. Retherford, Esq.

Balch & Bingham LLP 

Birmingham, AL 

Damian S. Schaible, Esq.

Davis Polk & Wardwell LLP

New York, NY

Honorable George H. Wu

United States District Court

Los Angeles, CA 

Preliminary Draft of Proposed Amendments | August 2023 Page 150 of 157
ADVISORY COMMITTEE ON BANKRUPTCY RULES

Effective: March 20, 2023 to September 30, 2023 Page 2 

Revised: July 17, 2023 

Liaisons

Ramona D. Elliott, Esq. 

(U.S. Trustees)

Executive Office for U.S. Trustees

Washington, DC

Honorable Laurel M. Isicoff

(Committee on the Administration of the 

Bankruptcy System) 

United States Bankruptcy Court 

Miami, FL 

Honorable William J. Kayatta, Jr. 

(Standing) 

United States Court of Appeals 

Portland, ME 

Clerk of Court Representative

Kenneth S. Gardner 

United States Bankruptcy Court 

Denver, CO

Preliminary Draft of Proposed Amendments | August 2023 Page 151 of 157
ADVISORY COMMITTEE ON CIVIL RULES

Effective: March 20, 2023 to September 30, 2023 Page 1 

Revised: July 17, 2023 

Chair Reporter

Honorable Robin L. Rosenberg

United States District Court

West Palm Beach, FL

Professor Richard L. Marcus

University of California 

Hastings College of the Law 

San Francisco, CA 

Associate Reporter

Professor Andrew Bradt

University of California, Berkeley 

Berkeley, CA 

Members

Honorable Cathy Bissoon

United States District Court

Pittsburgh, PA 

Honorable Jane Bland

Supreme Court of Texas 

Austin, Texas

Honorable Jennifer C. Boal

United States District Court

Boston, MA 

Honorable Brian M. Boynton

Principal Deputy Assistant Attorney General 

(ex officio)

United States Department of Justice 

Washington, DC 

David J. Burman, Esq.

Perkins Coie LLP 

Seattle, WA 

Honorable David C. Godbey

United States District Court 

Dallas, TX 

Honorable Kent A. Jordan

United States Court of Appeals 

Wilmington, DE 

Honorable M. Hannah Lauck

United States District Court

Richmond, VA 

Honorable R. David Proctor

United States District Court

Birmingham, AL 

Joseph M. Sellers, Esq.

Cohen Milstein Sellers & Toll PLLC

Washington, DC 

Honorable Manish S. Shah

United States District Court

Chicago, IL

Dean A. Benjamin Spencer

William & Mary Law School 

Williamsburg, VA 

Ariana J. Tadler, Esq.

Tadler Law LLP

Manhasset, NY

Helen E. Witt, Esq.

Kirkland & Ellis LLP

Chicago, IL

Preliminary Draft of Proposed Amendments | August 2023 Page 152 of 157
ADVISORY COMMITTEE ON CIVIL RULES

Effective: March 20, 2023 to September 30, 2023 Page 2 

Revised: July 17, 2023 

Liaisons

Honorable D. Brooks Smith

(Standing) 

United States Court of Appeals 

Duncansville, PA

Honorable Catherine P. McEwen

(Bankruptcy) 

United States Bankruptcy Court 

Tampa, FL 

Consultant

Professor Edward H. Cooper

University of Michigan Law School 

Ann Arbor, MI 

Clerk of Court Representative

Carmelita Reeder Shinn, Esq.

United States District Court

Oklahoma City, OK 

Preliminary Draft of Proposed Amendments | August 2023 Page 153 of 157
ADVISORY COMMITTEE ON CRIMINAL RULES

Effective: March 20, 2023 to September 30, 2023 Page 1 

Revised: July 17, 2023 

Chair Reporter

Honorable James C. Dever III

United States District Court

Raleigh, NC 

Professor Sara Sun Beale

Duke Law School 

Durham, NC 

Associate Reporter

Professor Nancy J. King

Vanderbilt University Law School 

Nashville, TN 

Members

Honorable Andre Birotte, Jr.

United States District Court

Los Angeles, CA 

Honorable Jane Boyle

United States District Court

Dallas, TX 

Honorable Timothy Burgess

United States District Court

Anchorage, AK 

Honorable Robert J. Conrad, Jr.

United States District Court

Charlotte, NC 

Dean Roger A. Fairfax, Jr.

American University 

Washington College of Law 

Washington, DC 

Honorable Michael J. Garcia

New York State Court of Appeals 

Albany, NY 

Lisa Hay, Esq.

Federal Public Defender

Portland, OR 

Honorable Bruce J. McGiverin

United States District Court

San Juan, PR 

Honorable Jacqueline H. Nguyen

United States Court of Appeals 

Pasadena, CA 

Hon. Kenneth A. Polite, Jr.

Assistant Attorney General (ex officio) 

United States Department of Justice

Washington, DC 

Catherine M. Recker, Esq.

Welsh & Recker PC

Philadelphia, PA 

Susan M. Robinson, Esq.

Thomas Combs & Spann PLLC 

Charleston, WV 

Liaison

Honorable Paul J. Barbadoro

(Standing) 

United States District Court

Concord, NH

Preliminary Draft of Proposed Amendments | August 2023 Page 154 of 157
ADVISORY COMMITTEE ON CRIMINAL RULES

Effective: March 20, 2023 to September 30, 2023 Page 2 

Revised: July 17, 2023 

Clerk of Court Representative

Angela E. Noble, Esq.

United States District Court

Miami, FL 

Preliminary Draft of Proposed Amendments | August 2023 Page 155 of 157
ADVISORY COMMITTEE ON EVIDENCE RULES

Effective: March 20, 2023 to September 30, 2023 Page 1 

Revised: July 17, 2023 

Chair Reporter

Honorable Patrick J. Schiltz

United States District Court

Minneapolis, MN 

Professor Daniel J. Capra

Fordham University School of Law 

New York, NY

Members

James P. Cooney III, Esq.

Womble Bond Dickinson LLP 

Charlotte, NC

Honorable Shelly Dick

United States District Court

Baton Rouge, LA 

Honorable Mark S. Massa

Indiana Supreme Court 

Indianapolis, IN 

Honorable Marshall L. Miller

Principal Associate Deputy Attorney General

(ex officio)

United States Department of Justice

Washington, DC 

Honorable Thomas D. Schroeder

United States District Court

Winston Salem, NC 

Arun Subramanian, Esq.

Susman Godfrey L.L.P. 

New York, NY

Honorable Richard J. Sullivan

United States Court of Appeals 

New York, NY 

Rene L. Valladares, Esq.

Office of the Federal Public Defender

Las Vegas, NV 

Consultant

Professor Liesa Richter

University of Oklahoma School of Law 

Norman, OK 

Liaisons

Honorable Robert J. Conrad, Jr.

(Criminal) 

United States District Court

Charlotte, NC 

Honorable Carolyn B. Kuhl 

(Standing) 

Superior Court of the State of California 

Los Angeles, CA 

Honorable M. Hannah Lauck

(Civil) 

United States District Court

Richmond, VA 

Preliminary Draft of Proposed Amendments | August 2023 Page 156 of 157
Committee on Rules of Practice and Procedure

Judicial Conference of the United States

Thurgood Marshall Federal Judiciary Building

Washington, DC 20544

uscourts.gov