Prepared by the

Committee on Rules of Practice and Procedure 

Judicial Conference of the United States

AUGUST 2021

PRELIMINARY DRAFT 

Proposed Amendments to the Federal Rules of 

Appellate, Bankruptcy, Civil, and Criminal Procedure, 

and the Federal Rules of Evidence

Request For Comment

Comments are Sought 

on Amendments to: 

Appellate Rules

Bankruptcy Rules

Civil Rules

Criminal Rule

Evidence Rules

Written Comments Due by 

February 16, 2022

Committee on Rules of Practice and Procedure

Thurgood Marshall Federal Judiciary Building

WashingtonDC

the united states courts

2 and 4

Restyled Rules Parts III-VI; Rules 

3002.1, 3011, and 8003; new Rule 

9038; Official Forms 101, 309E1,

309E2, and 417A; and new Official 

Forms 410C13-1N, 410C13-1R, 

410C13-10C, 410C13-10NC, and 

410C13-10R

15, 72, and new Rule 87

New Rule 62

106, 615, and 702
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

M E M O R A N D U M

TO: The Bench, Bar, and Public 

FROM: Honorable John D. Bates, Chair 

 Committee on Rules of Practice and Procedure 

DATE: August 6, 2021 

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 several new rules and forms: 

• Appellate Rules 2 and 4 

• Bankruptcy Restyled Rules Parts III-VI; Rules 3002.1, 3011, and 8003; and new 

Rule 9038 

• Official Bankruptcy Forms 101, 309E1, 309E2, and 417A; and new Official 

Forms 410C13-1N, 410C13-1R, 410C13-10C, 410C13-10NC, and 410C13-10R 

• Civil Rules 15, 72, and new Rule 87 

• New Criminal Rule 62 

• Evidence Rules 106, 615, and 702 

Preliminary Draft | August 2021 Page 2 of 327
Memorandum to the Bench, Bar, and Public

August 6, 2021 

Page 2 

The proposals include rules for declared emergencies as directed by the Coronavirus Aid, 

Relief, and Economic Security Act (CARES Act), Pub. L. No. 116-136, 134 Stat. 281 (Mar. 27, 

2020). 

The proposals and supporting materials are posted on the Judiciary’s website at:

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

Opportunity to Submit Written Comments

Comments concerning the proposals, whether favorable, adverse, or otherwise, must be 

submitted electronically no later than February 16, 2022. Please note that comments are part of 

the official record and publicly available. Instructions for how to submit comments are posted at: 

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

Opportunity to Appear at Public Hearings

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

proposals. All hearings will be conducted virtually via Microsoft Teams. 

• Appellate Rules on January 14, 2022 and January 28, 2022;

• Bankruptcy Rules on January 7, 2022 and January 28, 2022;

• Civil Rules on January 6, 2022 and February 4, 2022;

• Criminal Rules on November 8, 2021 and January 11, 2022; and

• Evidence Rules on January 21, 2022.

If you wish to appear and present testimony regarding a proposed amendment or new 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. Notice of any 

cancellations will be posted at: https://www.uscourts.gov/rules-policies/about-rulemakingprocess/open-meetings-and-hearings-rules-committee. 

At this time, the Standing Committee has only approved the proposed amendments and 

new rules and forms 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 proposals being 

published now are 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, 2023, absent 

congressional action, the proposals would take effect on December 1, 2023. 

Preliminary Draft | August 2021 Page 3 of 327
Memorandum to the Bench, Bar, and Public 

August 6, 2021 

Page 3 

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

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

Preliminary Draft | August 2021 Page 4 of 327
TABLE OF CONTENTS 

 Page

PART I: EMERGENCY RULES

Report on CARES Act Project Regarding Emergency Rules 

(June 2021) ...................................................................................... 8 

Appellate Rules 

Report of the Advisory Committee on Appellate Rules 

Regarding Emergency Appellate Rule 2 and Appellate Rule 4

(June 2021) .................................................................................... 13 

Rule 2. Suspension of Rules ............................................... 21 

Rule 4. Appeal as of Right—When Taken ......................... 25 

Bankruptcy Rules

Report of the Advisory Committee on Bankruptcy Rules 

Regarding Proposed New Bankruptcy Rule 9038 

(May 2021) .................................................................................... 30 

Rule 9038. Bankruptcy Rules Emergency .............................. 33 

Civil Rules

Report of the Advisory Committee on Civil Rules 

Regarding Proposed New Civil Rule 87 

(May 2021) .................................................................................... 40 

Rule 87. Civil Rules Emergency .......................................... 44 

Criminal Rules

Report of the Advisory Committee on Criminal Rules 

Regarding Proposed New Criminal Rule 62 

(June 2021) .................................................................................... 56 

Rule 62. Criminal Rules Emergency .................................... 75 

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TABLE OF CONTENTS 

 Page

PART II: FEDERAL RULES OF BANKRUPTCY 

PROCEDURE

Excerpt from the Report of the Advisory Committee on 

Bankruptcy Rules (December 2020) .............................................. 99 

Excerpt from the Report of the Advisory Committee on 

Bankruptcy Rules (May 2021) ..................................................... 103 

Rule 3002.1. Notice Relating to Claims Secured by Security 

Interest in the Debtor’s Principal Residence ........ 107 

Rule 3011. Unclaimed Funds in Chapter 7 Liquidation, 

Chapter 12 Family Farmer’s Debt Adjustment, 

and Chapter 13 Individual’s Debt Adjustment 

Cases .................................................................... 126 

Rule 8003. Appeal as of Right—How Taken; Docketing 

the Appeal ............................................................ 128 

Restyled Bankruptcy Rules

Part III .......................................................................................... 134 

 

Part IV .......................................................................................... 192 

 

Part V ........................................................................................... 217 

 

Part VI .......................................................................................... 237 

Official Bankruptcy Forms

Form 101. Voluntary Petition for Individuals Filing 

for Bankruptcy .......................................... 256 

Form 309E1. Notice of Chapter 11 Bankruptcy Case 

(For Individuals or Joint Debtors) ............. 265 

Form 309E2. Notice of Chapter 11 Bankruptcy Case 

(For Individuals or Joint Debtors under 

Subchapter V) ............................................ 267 

Preliminary Draft | August 2021 Page 6 of 327
TABLE OF CONTENTS 

 Page

Form 410C13-1N. Trustee’s Midcase Notice of the Status 

of the Mortgage Claim .............................. 271 

Form 410C13-1R. Response to Trustee’s Midcase Notice of 

the Status of the Mortgage Claim ............. 273 

Form 410C13-10C. Motion to Determine the Status of the 

Mortgage Claim (conduit) ......................... 275 

Form 410C13-10NC. Motion to Determine the Status of the 

Mortgage Claim (nonconduit) ................... 277 

Form 410C13-10R. Response to Trustee’s Motion to Determine 

the Status of the Mortgage Claim ............. 279 

Form 417A Notice of Appeal and Statement of 

Election ..................................................... 284 

PART III: FEDERAL RULES OF CIVIL PROCEDURE

Excerpt from the Report of the Advisory Committee on 

Civil Rules (December 2020) ....................................................... 287 

Rule 15. Amended and Supplemental Pleadings ................ 290 

Rule 72. Magistrate Judges: Pretrial Order ........................ 292 

PART IV: FEDERAL RULES OF EVIDENCE

Excerpt from the Report of the Advisory Committee on 

Evidence Rules (May 2021) ......................................................... 293 

Rule 106. Remainder of or Related Writings or 

Recorded Statements ............................................ 299 

Rule 615. Excluding Witnesses ............................................ 304 

Rule 702. Testimony by Expert Witnesses .......................... 308 

APPENDIX: 

Procedures for Committees on Rules 

of Practice and Procedure ............................................................ 313 

Preliminary Draft | August 2021 Page 7 of 327
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Committee on Rules of Practice and Procedure

FROM: Catherine T. Struve, Reporter

 Committee on Rules of Practice and Procedure

 Daniel J. Capra, Reporter 

 Advisory Committee on Evidence Rules 

RE: CARES Act Project Regarding Emergency Rules 

DATE: June 1, 2021 

______________________________________________________________________________

 

This memo summarizes the continuing collaboration of the advisory committees in drafting 

rules to govern emergencies. It provides an update on the coordinated work of the advisory 

committees to develop rules for extreme situations that substantially impair the courts’ ability to 

function in compliance with the existing rules of procedure, and to make those rules as uniform as 

possible. This report recounts the efforts of the advisory committees to adapt their proposals in 

light of the extremely helpful guidance provided by the Standing Committee at its January 2021 

meeting. 

 As you know, Congress enacted the Coronavirus Aid, Relief, and Economic Security Act, 

or “CARES Act,”1 which among other things addresses the use of videoconferences and telephone 

1 Pub. L. No. 116-136, March 27, 2020, 134 Stat 281.

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Report on CARES Act Project Regarding Emergency Rules

June 1, 2021 Page 2 

conferences in criminal cases during the period of the current national emergency relating to 

COVID-19. 

In addition to addressing these criminal-procedure issues for purposes of the current 

emergency, Section 15002 of the CARES Act also assigns a broader project to the Judicial 

Conference and the Supreme Court for consideration within the Rules Enabling Act framework: 

The Judicial Conference of the United States and the Supreme Court of the United 

States shall consider rule amendments under chapter 131 of title 28, United States 

Code (commonly known as the “Rules Enabling Act”), that address emergency 

measures that may be taken by the Federal courts when the President declares a 

national emergency under the National Emergencies Act (50 U.S.C. 1601 et seq.). 

CARES Act § 15002(b)(6). 

As this provision indicates, the scope of the project is not limited to pandemics, but extends 

to other possible types of emergencies that might affect the courts. The advisory committees have 

invested hundreds of hours of work on this project. We have now reached the point where the 

advisory committees on Appellate, Bankruptcy, Civil, and Criminal Rules are seeking the Standing 

Committee’s approval to release proposed emergency rules for public comment. These proposals 

are on track to take effect in December 2023 (if they are approved at each stage of the Enabling 

Act process and if Congress takes no contrary action). 

This memo provides an overview of the collective work of the advisory committees to date. 

Each advisory committee is also filing a report to the Standing Committee on issues particular to 

that committee.2 Here, we focus on the work that has been done to incorporate the suggestions 

made by Standing Committee members at the last meeting, and on the continuing efforts to propose 

rules that are uniform to the extent possible.3

I. Who Declares an Emergency?

At the time of the last meeting, the advisory committee proposals diverged on the question 

of who could declare a rules emergency. Each rule gave authority to the Judicial Conference to do 

so, but some rules also allowed certain courts and judges to do so as well. The consensus at the 

Standing Committee meeting was that the authority to declare a rules emergency should be left 

solely in the hands of the Judicial Conference. Consequently all of the proposed rules now leave 

authority solely with the Judicial Conference to declare a rules emergency. 

2 Those advisory committee reports are attached to this report.

3 In our December 2020 memo, we discussed questions that a member of the Appellate Rules 

Committee had raised concerning the appropriateness of the role that the emergency rules would assign to 

the Judicial Conference. At the Appellate Rules Committee’s spring meeting, that member stated that his 

concerns had been alleviated by the fact that the Judicial Conference will not be engaged in rulemaking but 

only in declaring a rules emergency. In light of this, and in light of the full airing this topic received during 

the Standing Committee’s January 2021 meeting, we do not discuss it in this memo.

Preliminary Draft | August 2021 Page 9 of 327
Report on CARES Act Project Regarding Emergency Rules

June 1, 2021 Page 3 

II. Definition of a Rules Emergency

The basic definition of a rules emergency is uniform in the four sets of rules. A rules 

emergency is found when: 

extraordinary circumstances relating to public health or safety, or affecting physical 

or electronic access to a court, substantially impair the court’s ability to perform its 

functions in compliance with these rules. 

In addition to the uniform basic definition of “rules emergency” set forth above, the 

Criminal Rule adds the requirement that “no feasible alternative measures would sufficiently 

address the impairment within a reasonable time.” The other advisory committees found no reason 

to impose this extra requirement, given the very strict standards set forth in the basic definition of 

a rules emergency. The consensus at the Standing Committee meeting was that it is appropriate to 

place this language in the Criminal Rules alone, given the importance of the Criminal Rules that 

would be affected in a rules emergency, including rules designed to protect constitutional rights. 

Accordingly, this divergence has been retained. 

III. The Less-Detailed Appellate Rule

The emergency Appellate Rule that was reviewed at the last Standing Committee meeting 

set few limits on the range of Appellate Rules that are subject to suspension in a rules emergency; 

nor did it state what the substitute rule (if any) would be when a rule is suspended. That version of 

the emergency Appellate Rule differed, in those respects, from the other three draft emergency 

rules. The Appellate Rules Committee justified this divergence on the ground that the emergency 

Appellate Rule proceeds from a different starting point than the other rules. Appellate Rule 2 

already allows the court to suspend almost any rule in a particular case. Because the Appellate 

Rules proceed from the premise that all rules are subject to change in a case, the Appellate Rules 

Committee contended that it is not much different to authorize a change across a class of cases—

at least in a rules emergency. 

At the Standing Committee meeting, members appeared to accept the argument that the 

emergency Appellate Rule could be less detailed and more open-ended. But some members 

suggested that the Appellate Rule would be improved by including procedural requirements 

governing a rules declaration. Accordingly, the revised emergency Appellate Rule now submitted 

to the Standing Committee contains procedural features—concerning the Judicial Conference’s 

declaration of an emergency, the content of the declaration, early termination of a declaration, and 

additional declarations – that largely track those in the other sets of proposed emergency rules.

IV. Subparagraph (b)(1)(B)

Other than the “no feasible alternative” language in Criminal Rule 62(a), discussed above, 

there is only one more disuniformity in the first two subdivisions of the Bankruptcy, Civil, and 

Criminal emergency rules (which we call the “uniformity provisions”). In subparagraph (b)(1)(B), 

the Bankruptcy, Civil, and Criminal Rules all require the declaration of a rules emergency to 

specify any limitations on alteration of the rules that are listed (in later subdivisions) as subject to 

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Report on CARES Act Project Regarding Emergency Rules

June 1, 2021 Page 4 

being changed in a rules emergency. But the language of the Civil Rule differs from the other two. 

The Civil Rule states that the declaration of emergency must “adopt all of the emergency rules in 

Rule 87(c) unless it excepts one or more of them.” The Bankruptcy and Criminal Rules provide 

that a declaration of emergency must “state any restrictions on the authority granted in” the 

relevant subpart(s) of the emergency rule in question.

This difference is not dramatic. These rules end up in the same place—the emergency 

declaration has to specify which rules subject to change are actually going to be changed. But there 

is a subtle difference between requiring the declaration to adopt emergency rules subject to specific 

exception, and automatic applicability subject to a specified limitation. Asking the Judicial 

Conference to provide two different specifications, one for Civil and the other for Criminal and 

Bankruptcy, might strike some as unnecessarily complicated, especially given the circumstances 

under which by definition these declarations will be prepared. The ordinary justification for any 

difference in this project has been that there is more at stake for the Criminal Rules than for the 

other rule sets. But in this instance, the Bankruptcy and Criminal Rules are uniform. 

V. Termination of Emergency Rules Order: Mandatory or Discretionary?

Each set of rules, including Appellate, provides for termination of an emergency 

declaration when the rules emergency conditions no longer exist. But there was a dispute about 

whether the rule should provide that the Judicial Conference must or may enter the termination 

order. This matter was discussed at the Standing Committee meeting, and referred back to the 

advisory committees for further discussion. At this time, the advisory committees all agree that the 

termination order should be discretionary. There are two rationales for that uniform determination: 

1) It is problematic to impose an obligation on the Judicial Conference, and it is especially 

anomalous to require a termination order when the initial declaration is itself discretionary; and 2) 

Discretion is warranted because in many situations the end of the emergency will likely occur near 

the built-in termination date of the emergency declaration itself—and the Judicial Conference 

should have the discretion to simply allow the time to run out. 

VI. Drafting for the Possibility that the Judicial Conference May Be Unable 

to Declare a Rules Emergency

At the January Standing Committee meeting, the Committee discussed a suggestion that 

the rule should address the possibility that the Judicial Conference might be so affected by the 

emergency that it would be unable to declare a rules emergency. The question is whether the 

emergency rules should provide for the possibility of the Judicial Conference being unable to act. 

At the meeting, most of the members who spoke about the proposal thought such a provision to be 

unnecessary, but some members thought it worthy of further consideration. Accordingly, further 

discussions of the issue occurred in spring 2021 with respect to each emergency rule. None of 

those discussions revealed support for drafting a ‘doomsday’ provision and, ultimately, each 

advisory committee approved the emergency rules without one. The rationales for that rejection 

appeared to be the following: 1) It seems highly unlikely that the Executive Committee of the 

Judicial Conference would be disabled for an extended period of time from making an emergency 

declaration; 2) if there were a catastrophe so grave as to incapacitate virtually everyone for a 

lengthy period of time, there would be much more to worry about than a rules emergency; and 3) 

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Report on CARES Act Project Regarding Emergency Rules

June 1, 2021 Page 5 

difficult policy and drafting decisions would have to be made about who would decide whether 

the Executive Committee was unable to act, and what would happen if decisionmakers around the 

country reached differing views on that question. 

VII. “Soft Landing” Provision

The Bankruptcy, Civil, and Criminal Advisory Committees have spent considerable time 

discussing what should happen when a proceeding that has been conducted under an emergency 

rule continues after the emergency has terminated. The proposed Criminal Rule 62(c) provides:

(c) Continuing a Proceeding After a Termination. Termination of a declaration 

for a court ends its authority under (d) and (e). But if a particular proceeding is 

already underway and resuming compliance with these rules for the rest of the 

proceeding would not be feasible or would work an injustice, it may be completed 

with the defendant’s consent as if the declaration had not terminated. 

The midstream change in criminal cases could cover such important issues as remote testimony 

and public access to criminal proceedings. In contrast, the midstream change in bankruptcy cases 

would affect time limits and the midstream change in civil cases would affect methods of service 

and deadlines for post judgment motions. It would not make sense to try to draft a single, uniform 

“soft landing” provision to address all of these types of issues. Accordingly, the Bankruptcy and 

Civil Committees decided to place “soft landing” provisions directly in each of the individual 

provisions that would operate during a rules emergency—each tailored to the specific interests at 

stake. 

Preliminary Draft | August 2021 Page 12 of 327
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Honorable John Bates, Chair

 Committee on Rules of Practice and Procedure

FROM: Honorable Jay Bybee, Chair 

 Advisory Committee on Appellate Rules 

RE: Emergency Appellate Rule 2 and Appellate Rule 4

DATE: June 2, 2021 

In accordance with the CARES Act, the Advisory Committee established a subcommittee 

to consider what amendments, if any, would be appropriate to deal with future emergencies. The 

members of that subcommittee began by reviewing every Federal Rule of Appellate Procedure to 

evaluate which ones might be appropriate candidates for amendment. The subcommittee 

ultimately concluded that the best approach for the Appellate Rules was simply an amendment to 

the existing Federal Rule of Appellate Procedure 2. 

Existing Rule 2 provides: 

Rule 2. Suspension of Rules

On its own or a party’s motion, a court of appeals may—to expedite its decision 

or for other good cause—suspend any provision of these Rules in a particular case 

and order proceedings as it directs, except as otherwise provided in Rule 26(b). 

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Report on Emergency Appellate Rule 2 & Appellate Rule 4

Advisory Committee on Appellate Rules

June 2, 2021 Page 2 

That is, under current law, a court of appeals is empowered to suspend any provision of the Federal 

Rules of Appellate Procedure in a particular case, except those that govern the time to appeal, the 

time to seek permission to appeal, and the time to review administrative action. This broad 

suspension power is nothing new: it has been a part of the Federal Rules of Appellate Procedure 

from the very beginning of those Rules. 

At the January 2021 meeting, the Standing Committee considered a discussion draft that 

would have amended Rule 2 to 

 empower not only the Judicial Conference but also each court of appeals to declare a 

rules emergency; 

 empower the chief circuit judge to act on the court’s behalf; and 

 permit broader suspension than current Rule 2—reaching all cases during a rules 

emergency and permitting the suspension of non-statutory time limits to appeal or 

otherwise seek review. 

The Standing Committee seemed comfortable with broadening the suspension authority. However, 

in large part due to the importance of uniformity, the Standing Committee preferred to vest the 

power to declare a rules emergency in the Judicial Conference alone.

The Standing Committee also favored the inclusion of a sunset provision and was

concerned that the discussion draft did not clearly state what happens once a rule is suspended.

The Advisory Committee incorporated this feedback into a proposal that it now asks for 

approval to publish for public comment. This proposal vests the power to declare a rules 

emergency solely in the Judicial Conference. It includes a sunset provision. And it makes explicit, 

using language from the existing Rule 2, that when a rule is suspended, the court may order

proceedings as it directs. 

There was no dissent in the Advisory Committee. The member of the Advisory Committee 

who had previously raised concerns about the authority of the Judicial Conference—concerns that 

were discussed at the January meeting of the Standing Committee—stated that his prior concerns 

about authority were largely addressed. Under this proposal, the Judicial Conference simply 

declares the emergency exists. The court can then fall back on its preexisting power once the rules 

back off. 

Here is the proposal as revised after review by the style consultants and coordination with 

reporters for other advisory committees to achieve as much uniformity as possible: 

Rule 2. Suspension of Rules

(a) In a Particular Case. On its own or a party’s motion, a court of appeals 

may—to expedite its decision or for other good cause—suspend any provision of 

these rules in a particular case and order proceedings as it directs, except as 

otherwise provided in Rule 26(b). 

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Report on Emergency Appellate Rule 2 & Appellate Rule 4

Advisory Committee on Appellate Rules

June 2, 2021 Page 3 

(b) In an Appellate Rules Emergency. 

(1). Conditions for an Emergency. The Judicial Conference of the United 

States may declare an Appellate Rules emergency if it determines that 

extraordinary circumstances relating to public health or safety, or affecting 

physical or electronic access to a court, substantially impair the court’s ability to 

perform its functions in compliance with these rules. 

(2) Content. The declaration must:

(A) designate the circuit or circuits affected; and

(B) be limited to a stated period of no more than 90 days. 

(3) Early Termination. The Judicial Conference may terminate a 

declaration for one or more circuits before the termination date.

(4) Additional Declarations. Additional declarations may be made under 

Rule 2(b). 

(5) Proceedings in a Rules Emergency. When a rules emergency is 

declared, the court may: 

(A) suspend in all or part of that circuit any provision of these rules, other 

than time limits imposed by statute and described in Rule 26(b)(1)-(2); and 

(B) order proceedings as it directs. 

Committee Note

Flexible application of the Federal Rules of Appellate Procedure, including Rule 2, has 

enabled the courts of appeals to continue their operations despite the coronavirus pandemic. Future 

emergencies, however, may pose problems that call for broader authority to suspend provisions of 

the Federal Rules of Appellate Procedure. For that reason, the amendment adds a new subdivision 

authorizing broader suspension authority when the Judicial Conference of the United States 

declares an Appellate Rules emergency. The amendment is designed to add to the authority of 

courts of appeals; it should not be interpreted to restrict the authority previously exercised by the 

courts of appeals.

The circumstances warranting the declaration of an Appellate Rules emergency mirror 

those warranting a declaration of a Civil Rules emergency and a Bankruptcy Rules emergency: 

extraordinary circumstances relating to public health or safety, or affecting physical or electronic 

access to a court, that substantially impair the court’s ability to perform its functions in compliance 

with these rules. A declaration must designate the circuit or circuits affected. It must also have a 

sunset provision so that the declaration is in effect for no more than 90 days unless the Judicial 

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Report on Emergency Appellate Rule 2 & Appellate Rule 4

Advisory Committee on Appellate Rules

June 2, 2021 Page 4 

Conference makes an additional declaration. The Judicial Conference may also terminate the 

declaration for one or more circuits before the termination date. 

When a rules emergency is declared, the court of appeals may suspend in all or part of that 

circuit any provision of these rules, other than time limits imposed by statute and described in Rule 

26(b)(1)-(2). This enables the court of appeals to suspend the time to appeal or seek review set 

only by a rule, but it does not authorize the court of appeals to suspend jurisdictional time limits 

imposed by statute. Sometimes when a rule is suspended, there is no need to provide any alternative 

to the suspended rule. For example, if the requirement of submitting paper copies of briefs is 

suspended, it may be enough to rely on electronic submissions. However, to deal with situations 

in which an alternative is required, the amendment empowers the court to “order proceedings as it 

directs,” the same language that existed in Rule 2—now Rule 2(a)—before this amendment.

* * * 

The Advisory Committee also seeks approval to publish for public comment a proposed 

amendment to Appellate Rule 4. This proposed amendment is designed to make Appellate Rule 4 

operate smoothly with Emergency Civil Rule 6(b)(2) if that emergency Civil Rule is ever in effect, 

while not making any change to the operation of Appellate Rule 4 at any other time. Long effort 

went into trying to craft Emergency Civil Rule 6(b)(2) in a way that did not require any changes 

to the Appellate Rules, but every attempt ran into considerable complexity, considerable difficulty, 

or both. 

Some background is useful to put the problem—and the proposed solution—in context. 

Certain post-judgment motions—for example, a renewed motion for judgment as a matter 

of law under Civil Rule 50(b) and a motion for a new trial under Civil Rule 59—may be made in 

the district court shortly after judgment is entered. Recognizing that it makes sense to await the 

district court’s decision on these motions before pursuing an appeal, Appellate Rule 4(a)(4)(A) 

resets the time to appeal from the judgment so that it does not run until entry of an order disposing 

of the last such motion.

Appellate Rule 4 gives this resetting effect only to motions that are filed within the time 

allowed by the Civil Rules. For most of these motions, the Civil Rules require that the motion be 

filed within 28 days of the judgment. See Civil Rules 50(b) and (d); 52(b); and 59(b), (d), and (e). 

The time requirements for a Civil Rule 60(b) motion, however, are notably different. It must be 

filed “within a reasonable time,” and for certain Civil Rule 60(b) motions, no more than a year 

after judgment. See Civil Rule 60(c)(1) (“A motion under Rule 60(b) must be made within a 

reasonable time—and for reasons (1), (2), and (3) no more than a year after the entry of the 

judgment or order or the date of the proceeding.”).

For this reason, Appellate Rule 4 does not give resetting effect to all Civil Rule 60(b) 

motions that are filed within the time allowed by the Civil Rules, but only to those Civil Rule 60(b) 

motions that are filed within 28 days of the entry of judgment. That is why most of the motions 

listed in Appellate Rule 4(a)(4)(A) are governed simply by the general requirement that they be 

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Report on Emergency Appellate Rule 2 & Appellate Rule 4

Advisory Committee on Appellate Rules

June 2, 2021 Page 5 

filed within the time allowed by the Civil Rules, but Appellate Rule 4(a)(4)(A)(vi) adds the 

requirement that a Civil Rule 60(b) motion has resetting effect only if “filed no later than 28 days 

after the judgment is entered.”

Significantly, Civil Rule 6(b)(2) prohibits the district court from extending the time to act 

under Rules 50(b) and (d); 52(b); 59(b), (d), and (e); and 60(b). That means that when Appellate 

Rule 4 requires that a motion be filed within the time allowed by the Civil Rules, the time allowed 

by those Rules for motions under Rules 50(b) and (d); 52(b); and 59(b), (d), and (e) will be 28 

days—matching the 28-day requirement in Appellate Rule 4(a)(4)(A)(vi) applicable to Rule 60(b) 

motions. 

Enter proposed Emergency Civil Rule 6(b)(2). That emergency rule would authorize 

district courts to grant extensions that they are otherwise prohibited from granting. Under it, district 

courts would be able to grant extensions to file motions under Civil Rules 50(b) and (d), 52(b), 

59(b), (d), and (e), and 60(b). For all these motions except Civil Rule 60(b) motions, Appellate 

Rule 4 would continue to work seamlessly. Appellate Rule 4 requires only that those motions be 

filed “within the time allowed by” the Civil Rules, and a motion filed within a properly granted 

extension is filed “within the time allowed by” those rules. An emergency Civil Rule is no less a 

Civil Rule simply because it is operative only in a Civil Rules emergency. 

But if Appellate Rule 4 were not amended, Appellate Rule 4 would not work seamlessly 

with the Emergency Civil Rule for Rule 60(b) motions because the 28-day requirement in Rule 

4(a)(4)(A)(vi) would not correspond to the extended time to file other resetting motions. For this 

reason, the proposed amendment to Appellate Rule 4 replaces the phrase “if the motion is filed no 

later than 28 days after the judgment is entered” with the phrase “within the time allowed for filing 

a motion under Rule 59.” 

Significantly, this proposed amendment to Appellate Rule 4 is not itself an emergency rule, 

but instead would be a regular, ordinary part of the Appellate Rules. At all times that no Civil 

Rules emergency has been declared, the amended Rule 4 would function exactly as it has without 

the proposed amendment. A Civil Rule 60(b) motion would have resetting effect only if it were

filed within the time allowed for filing a motion under Civil Rule 59—which is 28 days. 

When a Civil Rules emergency has been declared, however, if a district court grants an 

extension of time to file a Civil Rule 59 motion and a party files a Civil Rule 60(b) motion, that 

Civil Rule 60(b) motion has resetting effect so long as it is filed within the extended time set for 

filing a Civil Rule 59 motion. The Civil Rule 60(b) motion has this resetting effect even if no Civil 

Rule 59 motion is filed. It does this by replacing the phrase “no later than 28 days after the 

judgment is entered” in Rule 4(a)(4)(A)(vi) with the phrase “within the time allowed for filing a 

motion under Rule 59.” 

Here is the proposed amendment to Rule 4: 

Preliminary Draft | August 2021 Page 17 of 327
Report on Emergency Appellate Rule 2 & Appellate Rule 4

Advisory Committee on Appellate Rules

June 2, 2021 Page 6 

Rule 4. Appeal as of Right—When Taken

(a) Appeal in a Civil Case.

(1) Time for Filing a Notice of Appeal.

(A) In a civil case, except as provided in Rules 4(a)(1)(B), 4(a)(4), and 4(c), the notice of appeal 

required by Rule 3 must be filed with the district clerk within 30 days after entry of the judgment 

or order appealed from.

* * * 

(4) Effect of a Motion on a Notice of Appeal.

(A) If a party files in the district court any of the following motions under the Federal 

Rules of Civil Procedure—and does so within the time allowed by those rules—the time 

to file an appeal runs for all parties from the entry of the order disposing of the last such 

remaining motion:

(i) for judgment under Rule 50(b); 

(ii) to amend or make additional factual findings under Rule 52(b), whether or not 

granting the motion would alter the judgment; 

(iii) for attorney's fees under Rule 54 if the district court extends the time to 

appeal under Rule 58; 

(iv) to alter or amend the judgment under Rule 59;

(v) for a new trial under Rule 59; or

(vi) for relief under Rule 60 if the motion is filed no later than 28 days after the 

judgment is entered within the time allowed for filing a motion under Rule 59. 

Committee Note

The amendment is designed to make Rule 4 operate smoothly with Emergency Civil Rule 

6(b)(2) if that emergency Civil Rule is ever in effect, while not making any change to the operation 

of Rule 4 at any other time. It does this by replacing the phrase “no later than 28 days after the 

judgment is entered” in Rule 4(a)(4)(A)(vi) with the phrase “within the time allowed for filing a 

motion under Rule 59.” 

Certain post-judgment motions—for example, a renewed motion for judgment as a matter 

of law under Civil Rule 50(b) and a motion for a new trial under Civil Rule 59—may be made in 

the district court shortly after judgment is entered. Recognizing that it makes sense to await the 

district court’s decision on these motions before pursuing an appeal, Rule 4(a)(4)(A) resets the 

Preliminary Draft | August 2021 Page 18 of 327
Report on Emergency Appellate Rule 2 & Appellate Rule 4

Advisory Committee on Appellate Rules

June 2, 2021 Page 7 

time to appeal from the judgment so that it does not run until entry of an order disposing of the last 

such motion. 

Rule 4 gives this resetting effect only to motions that are filed within the time allowed by 

the Civil Rules. For most of these motions, the Civil Rules require that the motion be filed within 

28 days of the judgment. See Civil Rules 50(b) and (d); 52(b); 59(b), (d), and (e). The time 

requirements for a Civil Rule 60(b) motion, however, are notably different. It must be filed “within 

a reasonable time,” and for certain Civil Rule 60(b) motions, no more than a year after judgment. 

For this reason, Rule 4 does not give resetting effect to all Civil Rule 60(b) motions that are filed 

within the time allowed by the Civil Rules, but only to those Civil Rule 60(b) motions that are 

filed within 28 days of the entry of judgment. That is why most of the motions listed in Rule 

4(a)(4)(A) are governed simply by the general requirement that they be filed within the time 

allowed by the Civil Rules, but Rule 4(a)(4)(A)(vi) adds the requirement that a Civil Rule 60(b) 

motion has resetting effect only if “filed no later than 28 days after the judgment is entered.”

Significantly, Civil Rule 6(b)(2) prohibits the district court from extending the time to act 

under Rules 50(b) and (d); 52(b); 59(b), (d), and (e); and 60(b). That means that when Rule 4 

requires that a motion be filed within the time allowed by the Civil Rules, the time allowed by 

those Rules for motions under Rules 50(b) and (d); 52(b); and 59(b), (d), and (e) will be 28 days—

matching the 28-day requirement in Rule 4(a)(4)(A)(vi) applicable to Rule 60(b) motions.

However, Emergency Civil Rule 6(b)(2)—which would be operative only if the Judicial 

Conference of the United States were to declare a Civil Rules emergency under Civil Rule 87—

authorizes district courts to grant extensions that they are otherwise prohibited from granting. If 

that emergency Civil Rule is in effect, district courts may grant extensions to file motions under 

Civil Rules 50(b) and (d); 52(b); 59(b), (d), and (e); and 60(b). For all these motions except Civil 

Rule 60(b) motions, Rule 4 works seamlessly. Rule 4 requires only that those motions be filed 

“within the time allowed by” the Civil Rules, and a motion filed within a properly granted 

extension is filed “within the time allowed by” those rules. An emergency Civil Rule is no less a 

Civil Rule simply because it is operative only in a Civil Rules emergency. 

Without amendment, Rule 4 would not work seamlessly with the Emergency Civil Rule

for Rule 60(b) motions because the 28-day requirement in Rule 4(a)(4)(A)(vi) would not 

correspond to the extended time to file other resetting motions. For this reason, the amendment 

replaces the phrase “if the motion is filed no later than 28 days after the judgment is entered” with 

the phrase “within the time allowed for filing a motion under Rule 59.” 

At all times that no Civil Rules emergency has been declared, the amended Rule 4 functions 

exactly as it did prior to the amendment. A Civil Rule 60(b) motion has resetting effect only if it 

is filed within the time allowed for filing a motion under Civil Rule 59—which is 28 days. 

When a Civil Rules emergency has been declared, however, if a district court grants an 

extension of time to file a Civil Rule 59 motion and a party files a Civil Rule 60(b) motion, that 

Civil Rule 60(b) motion has resetting effect so long as it is filed within the extended time set for 

Preliminary Draft | August 2021 Page 19 of 327
Report on Emergency Appellate Rule 2 & Appellate Rule 4

Advisory Committee on Appellate Rules

June 2, 2021 Page 8 

filing a Civil Rule 59 motion. The Civil Rule 60(b) motion has this resetting effect even if no Civil 

Rule 59 motion is filed. 

Preliminary Draft | August 2021 Page 20 of 327
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF APPELLATE PROCEDURE1

1 Rule 2. Suspension of Rules

2 (a) In a Particular Case. On its own or a party’s 

3 motion, a court of appeals may—to expedite its 

4 decision or for other good cause—suspend any 

5 provision of these rules in a particular case and order 

6 proceedings as it directs, except as otherwise 

7 provided in Rule 26(b).

8 (b) In an Appellate Rules Emergency. 

9 (1) Conditions for an Emergency. The Judicial 

10 Conference of the United States may declare 

11 an Appellate Rules emergency if it 

12 determines that extraordinary circumstances 

13 relating to public health or safety, or affecting 

14 physical or electronic access to a court, 

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

is lined through.

Preliminary Draft | August 2021 Page 21 of 327
2 FEDERAL RULES OF APPELLATE PROCEDURE 

15 substantially impair the court’s ability to 

16 perform its functions in compliance with 

17 these rules.

18 (2) Content. The declaration must:

19 (A) designate the circuit or 

20 circuits affected; and

21 (B) be limited to a stated period of 

22 no more than 90 days. 

23 (3) Early Termination. The Judicial 

24 Conference may terminate a 

25 declaration for one or more circuits 

26 before the termination date.

27 (4) Additional Declarations. Additional 

28 declarations may be made under 

29 Rule 2(b). 

30 (5) Proceedings in a Rules Emergency.

31 When a rules emergency is declared, 

32 the court may: 

Preliminary Draft | August 2021 Page 22 of 327
FEDERAL RULES OF APPELLATE PROCEDURE 3 

33 (A) suspend in all or part of that 

34 circuit any provision of these 

35 rules, other than time limits 

36 imposed by statute and 

37 described in Rule 26(b)(1)-

38 (2); and 

39 (B) order proceedings as it directs.

Committee Note

Flexible application of the Federal Rules of 

Appellate Procedure, including Rule 2, has enabled the 

courts of appeals to continue their operations despite the 

coronavirus pandemic. Future emergencies, however, may 

pose problems that call for broader authority to suspend 

provisions of the Federal Rules of Appellate Procedure. For 

that reason, the amendment adds a new subdivision 

authorizing broader suspension authority when the Judicial 

Conference of the United States declares an Appellate Rules 

emergency. The amendment is designed to add to the 

authority of courts of appeals; it should not be interpreted to 

restrict the authority previously exercised by the courts of

appeals. 

The circumstances warranting the declaration of an 

Appellate Rules emergency mirror those warranting a 

declaration of a Civil Rules emergency and a Bankruptcy 

Rules emergency: extraordinary circumstances relating to 

public health or safety, or affecting physical or electronic 

access to a court, that substantially impair the court’s ability 

Preliminary Draft | August 2021 Page 23 of 327
4 FEDERAL RULES OF APPELLATE PROCEDURE 

to perform its functions in compliance with these rules. A 

declaration must designate the circuit or circuits affected. It 

must also have a sunset provision so that the declaration is 

in effect for no more than 90 days unless the Judicial 

Conference makes an additional declaration. The Judicial 

Conference may also terminate the declaration for one or 

more circuits before the termination date.

When a rules emergency is declared, the court of 

appeals may suspend in all or part of that circuit any 

provision of these rules, other than time limits imposed by 

statute and described in Rule 26(b)(1)-(2). This enables the 

court of appeals to suspend the time to appeal or seek review 

set only by a rule, but it does not authorize the court of 

appeals to suspend jurisdictional time limits imposed by 

statute. Sometimes when a rule is suspended, there is no need 

to provide any alternative to the suspended rule. For 

example, if the requirement of submitting paper copies of 

briefs is suspended, it may be enough to rely on electronic 

submissions. However, to deal with situations in which an 

alternative is required, the amendment empowers the court 

to “order proceedings as it directs,” the same language that 

existed in Rule 2—now Rule 2(a)—before this amendment. 

Preliminary Draft | August 2021 Page 24 of 327
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF APPELLATE PROCEDURE1

1 Rule 4. Appeal as of Right—When Taken

2 (a) Appeal in a Civil Case.

3 (1) Time for Filing a Notice of Appeal.

4 (A) In a civil case, except as provided in 

5 Rules 4(a)(1)(B), 4(a)(4), and 4(c), 

6 the notice of appeal required by 

7 Rule 3 must be filed with the district 

8 clerk within 30 days after entry of the 

9 judgment or order appealed from. 

10 * * * * * 

11 (4) Effect of a Motion on a Notice of Appeal.

12 (A) If a party files in the district court any 

13 of the following motions under the 

14 Federal Rules of Civil Procedure—

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

is lined through.

Preliminary Draft | August 2021 Page 25 of 327
2 FEDERAL RULES OF APPELLATE PROCEDURE 

15 and does so within the time allowed 

16 by those rules—the time to file an 

17 appeal runs for all parties from the 

18 entry of the order disposing of the last 

19 such remaining motion: 

20 (i) for judgment under 

21 Rule 50(b); 

22 (ii) to amend or make additional 

23 factual findings under 

24 Rule 52(b), whether or not 

25 granting the motion would 

26 alter the judgment;

27 (iii) for attorney's fees under 

28 Rule 54 if the district court 

29 extends the time to appeal 

30 under Rule 58;

31 (iv) to alter or amend the judgment 

32 under Rule 59;

Preliminary Draft | August 2021 Page 26 of 327
FEDERAL RULES OF APPELLATE PROCEDURE 3 

33 (v) for a new trial under Rule 59; 

34 or 

35 (vi) for relief under Rule 60 if the 

36 motion is filed no later than 28 

37 days after the judgment is 

38 enteredwithin the time 

39 allowed for filing a motion 

40 under Rule 59. 

41 * * * * * 

Committee Note

The amendment is designed to make Rule 4 operate 

smoothly with Emergency Civil Rule 6(b)(2) if that 

emergency Civil Rule is ever in effect, while not making any 

change to the operation of Rule 4 at any other time. It does 

this by replacing the phrase “no later than 28 days after the 

judgment is entered” in Rule 4(a)(4)(A)(vi) with the phrase 

“within the time allowed for filing a motion under Rule 59.”

Certain post-judgment motions—for example, a 

renewed motion for judgment as a matter of law under Civil 

Rule 50(b) and a motion for a new trial under Civil 

Rule 59—may be made in the district court shortly after 

judgment is entered. Recognizing that it makes sense to 

await the district court’s decision on these motions before 

pursuing an appeal, Rule 4(a)(4)(A) resets the time to appeal 

Preliminary Draft | August 2021 Page 27 of 327
4 FEDERAL RULES OF APPELLATE PROCEDURE 

from the judgment so that it does not run until entry of an 

order disposing of the last such motion. 

Rule 4 gives this resetting effect only to motions that 

are filed within the time allowed by the Civil Rules. For most 

of these motions, the Civil Rules require that the motion be 

filed within 28 days of the judgment. See Civil Rules 50(b) 

and (d), 52(b), 59(b), (d), and (e). The time requirements for 

a Civil Rule 60(b) motion, however, are notably different. It 

must be filed “within a reasonable time,” and for certain 

Civil Rule 60(b) motions, no more than a year after 

judgment. For this reason, Rule 4 does not give resetting 

effect to all Civil Rule 60(b) motions that are filed within the 

time allowed by the Civil Rules, but only to those Civil 

Rule 60(b) motions that are filed within 28 days of the entry 

of judgment. That is why most of the motions listed in 

Rule 4(a)(4)(A) are governed simply by the general 

requirement that they be filed within the time allowed by the 

Civil Rules, but Rule 4(a)(4)(A)(vi) adds the requirement 

that a Civil Rule 60(b) motion has resetting effect only if 

“filed no later than 28 days after the judgment is entered.” 

Significantly, Civil Rule 6(b)(2) prohibits the district 

court from extending the time to act under Rules 50(b) and 

(d), 52(b), 59(b), (d), and (e), and 60(b). That means that 

when Rule 4 requires that a motion be filed within the time 

allowed by the Civil Rules, the time allowed by those Rules

for motions under Rules 50(b) and (d), 52(b), 59(b), (d), and 

(e) will be 28 days—matching the 28-day requirement in 

Rule 4(a)(4)(A)(vi) applicable to Rule 60(b) motions. 

However, Emergency Civil Rule 6(b)(2)—which 

would be operative only if the Judicial Conference of the 

United States were to declare a Civil Rules emergency under 

Civil Rule 87—authorizes district courts to grant extensions 

that they are otherwise prohibited from granting. If that 

Preliminary Draft | August 2021 Page 28 of 327
FEDERAL RULES OF APPELLATE PROCEDURE 5 

emergency Civil Rule is in effect, district courts may grant 

extensions to file motions under Civil Rules 50(b) and (d), 

52(b), 59(b), (d), and (e), and 60(b). For all these motions 

except Civil Rule 60(b) motions, Rule 4 works seamlessly. 

Rule 4 requires only that those motions be filed “within the 

time allowed by” the Civil Rules, and a motion filed within 

a properly granted extension is filed “within the time 

allowed by” those rules. An emergency Civil Rule is no less 

a Civil Rule simply because it is operative only in a Civil 

Rules emergency. 

Without amendment, Rule 4 would not work 

seamlessly with the Emergency Civil Rule for Rule 60(b) 

motions because the 28-day requirement in 

Rule 4(a)(4)(A)(vi) would not correspond to the extended 

time to file other resetting motions. For this reason, the 

amendment replaces the phrase “if the motion is filed no 

later than 28 days after the judgment is entered” with the 

phrase “within the time allowed for filing a motion under 

Rule 59.” 

At all times that no Civil Rules emergency has been 

declared, the amended Rule 4 functions exactly as it did prior 

to the amendment. A Civil Rule 60(b) motion has resetting 

effect only if it is filed within the time allowed for filing a 

motion under Civil Rule 59—which is 28 days. 

When a Civil Rules emergency has been declared, 

however, if a district court grants an extension of time to file 

a Civil Rule 59 motion and a party files a Civil Rule 60(b) 

motion, that Civil Rule 60(b) motion has resetting effect so 

long as it is filed within the extended time set for filing a 

Civil Rule 59 motion. The Civil Rule 60(b) motion has this 

resetting effect even if no Civil Rule 59 motion is filed.

Preliminary Draft | August 2021 Page 29 of 327
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Honorable John D. Bates, Chair 

 Standing Committee on Rules of Practice and Procedure 

FROM: Honorable Dennis R. Dow, Chair 

 Advisory Committee on Bankruptcy Rules 

RE: New Bankruptcy Rule 9038 (Bankruptcy Rules Emergency)

DATE: May 24, 2021 

______________________________________________________________________________ 

At the Advisory Committee’s spring meeting, members unanimously approved for 

publication new Rule 9038, which would allow extensions of time limits in the Bankruptcy Rules 

to be granted if the Judicial Conference declared a Bankruptcy Rules emergency. The draft of the 

rule that was approved was the result of extensive work by a special Emergency Rule 

Subcommittee chaired by Judge Melvin Hoffman; consultation among the rules committees’ 

reporters, facilitated by Professor Dan Capra; valuable feedback that the Standing Committee 

provided at its January 2021 meeting; stylistic suggestions offered by the style consultants; and 

careful deliberation and discussion by members of the Advisory Committee.

Subdivisions (a) and (b) 

Much of the Advisory Committee’s discussion of this rule at the April meeting was devoted 

to an attempt to respond to the Standing Committee’s comments and to make subdivisions (a) and 

(b) of the rule as uniform as possible with the emergency rules being considered by the other 

Preliminary Draft | August 2021 Page 30 of 327
Report on Proposed New Rule 9038 (Bankruptcy Rules Emergency) 

Advisory Committee on Bankruptcy Rules 

May 24, 2021 Page 2 

advisory committees. As indicated in Professor Capra’s and Professor Struve’s memo, the effort 

to achieve uniformity was largely successful. Most significantly, the Advisory Committee agreed 

to limit the authority to declare a rules emergency to the Judicial Conference of the United States, 

thereby bringing the bankruptcy rule into line with the other emergency rules. The Advisory 

Committee also agreed to make permissive the Judicial Conference’s authority to terminate a rules 

emergency declaration early, and it adhered to its earlier decision not to include a “no feasible 

alternative” requirement in the definition of a rules emergency.

 In two limited respects, Rule 9038(a) and (b) differ from one or more of the other 

emergency rules. All of the emergency rule drafts presented at the January Standing Committee 

meeting referred to emergencies in one or more “courts.” In the various sets of federal rules, 

however, “court” usually means the judge presiding over a case. Bankruptcy Rule 9001(4), for 

example, provides that “court” as used in the rules means “the judicial officer before whom a case 

or proceeding is pending.” That meaning, however, is not what is intended in the emergency rules 

when they refer to “the court or courts affected” by an emergency. 

Following the Standing Committee’s discussion of this issue in January, the advisory 

committees were asked to consider whether “court” should be changed to “district” in the 

emergency rules. The other committees concluded that there was no need to make that change 

because in context the meaning of the word “court” is clear. Our Advisory Committee agreed that 

the use of “court” does not create an ambiguity in the bankruptcy emergency rule. However, to 

avoid inconsistency with the Rule 9001 definition, it accepted the subcommittee’s 

recommendation to substitute “bankruptcy court” for “court” in Rule 9038. 

Professors Capra and Struve also point out that subparagraph (b)(1)(B) in the Bankruptcy 

and Criminal Rules differs from that subparagraph in the civil rule by requiring the emergency 

declaration to “state any restrictions on the authority granted,” rather than stating―as the Civil 

Rule does―that a declaration of emergency must “adopt all of the emergency rules in Rule 87(c)

unless it excepts one or more of them.” Insofar as the bankruptcy emergency rule is concerned, 

this difference from the civil rule is appropriate because the bankruptcy rule does not create new 

rules in subdivision (c); it only authorizes deviation from the existing rules’ time periods. It would 

make no sense therefore to require “adoption” of the emergency rules in (c).

Subdivision (c)

Subdivision (c) of the emergency rule is unique to bankruptcy, and there was no attempt to 

achieve uniformity here. Unlike some of the other emergency rules, Rule 9038 leaves up to the 

chief and presiding judges the decision whether to deviate from the existing rules once the Judicial 

Conference has declared a rules emergency. This authorization is not a backdoor attempt to retain 

in the bankruptcy courts some degree of authority following the decision to allow only the Judicial 

Conference to declare a rules emergency. Instead, it results from the underlying purpose of the rule 

and the Advisory Committee’s determination of the type of emergency rule that is needed.

Rule 9038 is basically an expansion of existing Bankruptcy Rule 9006(b), which authorizes 

an individual bankruptcy judge to enlarge time periods for cause. During this pandemic, many 

Preliminary Draft | August 2021 Page 31 of 327
Report on Proposed New Rule 9038 (Bankruptcy Rules Emergency) 

Advisory Committee on Bankruptcy Rules 

May 24, 2021 Page 3 

courts have relied on this provision to grant extensions of time. The existing rule, however, does 

not fully meet the needs of an emergency situation. First, it has some exceptions―time limits that 

cannot be expanded. One of these is the time limit for holding meetings of creditors, a limitation 

that either caused problems for courts during the current emergency or was honored in the breach. 

Also, it probably does not authorize an extension order applicable to all cases in a district.

Rule 9038 is intended to fill in these gaps for situations in which the Judicial Conference declares 

a rules emergency. The chief bankruptcy judge can grant a district-wide extension for any time 

periods specified in the rules, and individual judges can do the same in specific cases.

 

The Advisory Committee concluded that this scheme is preferable to one in which the

Judicial Conference would specify which rules or deadlines could be altered. There are literally 

hundreds of time periods in the Bankruptcy Rules, and the Judicial Conference may not be in the 

best position to identify which ones need extending. Furthermore, even with a nationwide 

emergency, circumstances may vary from one place to another. To use the same meeting of 

creditors example, one district might be well positioned to immediately move to remote meetings, 

while another may encounter a significant delay in making that shift. As a result, the first district 

may be able to comply with the existing deadline, while the second one will not be able to. Judges 

at the local level can best assess which time periods need extending.

Except for stylistic changes, subdivision (c) remains essentially the same as it was in 

January. Subdivisions (c)(1) and (c)(2) grant the authority, during declared Bankruptcy Rules 

emergencies, to extend or toll deadlines to the chief bankruptcy judge of a district on a district- or 

division-wide basis or to the presiding judge in specific cases. It also applies to directives to take 

quick action, such as rule provisions that require action to be taken “promptly,” “forthwith,” 

“immediately,” or “without delay.” 

Subdivision (c)(3), which addresses the termination of extensions and tolling, provides a 

“soft landing” upon the termination of a Bankruptcy Rules emergency. It looks to three possible 

dates for a time period to expire. An extended or tolled time period will terminate either 30 days 

after the rules-emergency declaration terminates or when the original time period would have 

expired, whichever is later―unless the extension or tolling itself expires sooner than 30 days after 

the declaration’s termination. In that case, the extended expiration date will apply. 

Subdivision (c)(4) allows fine tuning in individual cases of extensions of time or tollings 

that have been granted. And subdivision (c)(5) excepts from the authority to extend time periods 

any time provision imposed by statute. The Bankruptcy Rules Enabling Act, 28 U.S.C. § 2075, 

does not authorize the Bankruptcy Rules to supersede conflicting laws. Accordingly, a time limit 

in a rule that is a restatement of a deadline imposed by statute or an incorporation by reference of 

such a deadline may not be extended under this rule. However, if a statute merely incorporates by 

reference a time period imposed by a rule, that period may be extended.

Preliminary Draft | August 2021 Page 32 of 327
PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

1 Rule 9038. Bankruptcy Rules Emergency 

2 (a) CONDITIONS FOR AN EMERGENCY. 

3 The Judicial Conference of the United States may declare a 

4 Bankruptcy Rules emergency if it determines that 

5 extraordinary circumstances relating to public health or 

6 safety, or affecting physical or electronic access to a 

7 bankruptcy court, substantially impair the court’s ability to 

8 perform its functions in compliance with these rules. 

9 (b) DECLARING AN EMERGENCY. 

10 (1) Content. The declaration must: 

11 (A) designate the bankruptcy 

12 court or courts affected; 

13 (B) state any restrictions on the 

14 authority granted in (c); and 

1 New material is underlined in red.

Preliminary Draft | August 2021 Page 33 of 327
2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

15 (C) be limited to a stated period of 

16 no more than 90 days. 

17 (2) Early Termination. The Judicial 

18 Conference may terminate a declaration for one or 

19 more bankruptcy courts before the termination date. 

20 (3) Additional Declarations. The 

21 Judicial Conference may issue additional 

22 declarations under this rule. 

23 (c) TOLLING AND EXTENDING TIME

24 LIMITS. 

25 (1) In an Entire District or Division. 

26 When an emergency is in effect for a bankruptcy 

27 court, the chief bankruptcy judge may, for all cases 

28 and proceedings in the district or in a division:

29 (A) order the extension or tolling 

30 of a Bankruptcy Rule, local rule, or order that 

31 requires or allows a court, a clerk, a party in 

32 interest, or the United States trustee, by a 

Preliminary Draft | August 2021 Page 34 of 327
FEDERAL RULES OF BANKRUPTCY PROCEDURE 3

33 specified deadline, to commence a 

34 proceeding, file or send a document, hold or 

35 conclude a hearing, or take any other action, 

36 despite any other Bankruptcy Rule, local 

37 rule, or order; or 

38 (B) order that, when a Bankruptcy 

39 Rule, local rule, or order requires that an 

40 action be taken “promptly,” “forthwith,” 

41 “immediately,” or “without delay,” it be 

42 taken as soon as is practicable or by a date set 

43 by the court in a specific case or proceeding. 

44 (2) In a Specific Case or Proceeding. 

45 When an emergency is in effect for a bankruptcy 

46 court, a presiding judge may take the action 

47 described in (1) in a specific case or proceeding.

48 (3) When an Extension or Tolling Ends. 

49 A period extended or tolled under (1) or (2)

50 terminates on the later of: 

Preliminary Draft | August 2021 Page 35 of 327
4 FEDERAL RULES OF BANKRUPTCY PROCEDURE

51 (A) the last day of the time period 

52 as extended or tolled or 30 days after the 

53 emergency declaration terminates, whichever 

54 is earlier; or

55 (B) the last day of the time period 

56 originally required, imposed, or allowed by 

57 the relevant Bankruptcy Rule, local rule, or 

58 order that was extended or tolled. 

59 (4) Further Extensions or Shortenings. 

60 A presiding judge may lengthen or shorten an 

61 extension or tolling in a specific case or proceeding. 

62 The judge may do so only for good cause after notice 

63 and a hearing on the judge’s own motion or on 

64 motion of a party in interest or the United States 

65 trustee.

66 (5) Exception. A time period imposed by 

67 statute may not be extended or tolled.

Preliminary Draft | August 2021 Page 36 of 327
FEDERAL RULES OF BANKRUPTCY PROCEDURE 5

Committee Note

The rule is new. It provides authority to extend or toll 

the time limits in these rules during times of major 

emergencies affecting the bankruptcy courts. The continuing 

operation of the bankruptcy courts during the COVID-19 

pandemic showed that the existing rules are flexible enough 

to accommodate remote proceedings, service by mail, and 

electronic transmission of documents. Nevertheless, it 

appeared that greater flexibility than Rule 9006(b) provides 

might be needed to allow the extension of certain time 

periods in specific cases or any extension on a district-wide 

basis in response to an emergency.

Emergency rule provisions have also been added to 

the Civil, Criminal, and Appellate Rules. Along with the 

Bankruptcy Rule, these rules have been made as uniform as 

possible. But each set of rules serves distinctive purposes, 

shaped by different origins, traditions, functions, and needs. 

Different provisions were compelled by these different 

purposes. 

Subdivision (a) specifies the limited circumstances 

under which the authority conferred by this rule may be 

exercised. The Judicial Conference of the United States has 

the exclusive authority to declare a Bankruptcy Rules 

emergency, and it may do so only under extraordinary 

circumstances. Those circumstances must relate to public 

health or safety or affect physical or electronic access to a 

bankruptcy court. And, importantly, the court’s ability to 

operate in compliance with the Bankruptcy Rules must be 

substantially impaired.

Under subdivision (b)(1), a Bankruptcy Rules 

emergency declaration must specify the bankruptcy courts to 

which it applies because, instead of being nationwide, an 

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6 FEDERAL RULES OF BANKRUPTCY PROCEDURE

emergency might be limited to one area of the country or 

even to a particular state. The declaration must also specify 

a termination date that is no later than 90 days from the 

declaration’s issuance. Under subdivisions (b)(2) and (b)(3), 

however, that time period may be extended by the issuance 

of additional declarations or reduced by early termination if 

circumstances change. The declaration must also specify any 

limitations placed on the authority granted in subdivision (c) 

to modify time periods. 

 Subdivisions (c)(1) and (c)(2) grant the authority, 

during declared Bankruptcy Rules emergencies, to extend or 

toll deadlines to the chief bankruptcy judge of a district on a 

district- or division-wide basis or to the presiding judge in 

specific cases. Unless limited by the emergency declaration, 

this authority extends to all time periods in the rules that are

not also imposed by statute. It also applies to directives to 

take quick action, such as rule provisions that require action 

to be taken “promptly,” “forthwith,” “immediately,” or

“without delay.” 

Subdivision (c)(3), which addresses the termination 

of extensions and tolling, provides a “soft landing” upon the 

termination of a Bankruptcy Rules emergency. It looks to 

three possible dates for a time period to expire. An extended 

or tolled time period will terminate either 30 days after the 

rules-emergency declaration terminates or when the original 

time period would have expired, whichever is later―unless 

the extension or tolling itself expires sooner than 30 days 

after the declaration’s termination. In that case, the extended 

expiration date will apply. 

Subdivision (c)(4) allows fine tuning in individual 

cases of extensions of time or tollings that have been 

granted. 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 7

Subdivision (c)(5) excepts from the authority to 

extend time periods any time provision imposed by statute. 

The Bankruptcy Rules Enabling Act, 28 U.S.C. § 2075, does 

not authorize the Bankruptcy Rules to supersede conflicting 

laws. Accordingly, a time limit in a rule that is a restatement 

of a deadline imposed by statute or an incorporation by 

reference of such a deadline may not be extended under this 

rule. However, if a statute merely incorporates by reference 

a time period imposed by a rule, that period may be 

extended. 

Preliminary Draft | August 2021 Page 39 of 327
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Hon. John D. Bates, Chair 

 Committee on Rules of Practice and Procedure

FROM: Hon. Robert M. Dow, Jr., Chair 

 Advisory Committee on Civil Rules

RE: New Civil Rule 87 (Civil Rules Emergency)

DATE: May 21, 2021 

_____________________________________________________________________________ 

The sustained efforts that brought a great measure of uniformity among all of the proposed 

rules for rules emergencies are described in the joint section of this Report. This section explains 

the considerations that require nonuniformity in three aspects of Rule 87. 

These three areas of nonuniformity appear in rule text in this order: (1) Rule 87(b)(1)(B), 

which describes Judicial Conference responsibility to select which of the emergency rules to 

authorize by a declaration; (2) Emergency Rules 4 and 6(b)(2) themselves; and (3) the provisions 

for completing action authorized by an order entered under a declaration of a civil rules emergency 

after the declaration ends. Explaining these aspects of Rule 87 follows a different order because 

understanding the nature of the emergency rules and the rules for completing authorized action 

after a declaration ends is necessary to understand the provision for selecting which emergency 

rules to include in a declaration. 

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Report on Proposed New Rule 87 (Civil Rules Emergency)

Advisory Committee on Civil Rules

May 21, 2021 Page 2 

The Emergency Rules. Nonuniformity with other sets of rules is a given in adopting 

Emergency Civil Rules. The rules actually proposed were identified by reading through all Civil 

Rules, looking for texts that might raise obstacles to effective procedure in emergency 

circumstances. Each reporter and some subcommittee members undertook this task. Long initial 

lists were generated. Careful examination and subcommittee deliberations, however, continually 

reduced the list to a small set of rules. This process was influenced by reports about widespread 

success in developing the inherent flexibility of the rules to meet the problems arising from the 

Covid-19 pandemic. The decision to proceed with Emergency Rules 4 and 6(b)(2), indeed, rested 

on examination of the rules texts for barriers to effective action, not on reports of actual problems 

in practice.

Rule 87(c)(1) includes several Emergency Rules 4. Each authorizes a court to order service 

by a method that is reasonably calculated to give notice. A court order is required, ordinarily resting 

on a case-specific evaluation of the emergency circumstances; the nature of the case; and the nature 

of the parties – particularly the defendant, recognizing that some methods of service may be well 

designed to provide notice to some defendants but not others. It may be, however, that some 

emergency circumstances might justify a standing order that provides general authority for service 

by a specified means, such as by commercial carrier with confirmation of delivery. Only some 

parts of Rule 4 are brought within the Emergency Rules. Rules 4(e), (h)(1), (i), and (j)(2) address 

service on individuals; corporations, partnerships, and other associations; the United States and its 

agencies, officers, and employees; and state or local governments. One part of Rule 4(g) is also 

included, providing for service on a minor or incompetent person in a judicial district of the United 

States. The omitted parts of Rule 4 all tie to service in a foreign country or service on a foreign 

state or its subdivision. These situations are pervasively affected by international agreements or 

the Foreign Sovereign Immunities Act and seemed better left out of the emergency rules.

Rule 87(c)(2) creates Emergency Rule 6(b)(2). Rule 6(b)(2) qualifies the general power in 

Rule 6(b)(1) to extend a time to act by an impermeable barrier: “A court must not extend the time 

to act under Rules 50(b), 52(b), 59(b), (d), and (e), and 60(b).” The time to act on post-judgment 

motions under Rules 50, 52, and 59 is set at 28 days, reflecting the powerful concern for finality 

that arises once judgment is entered. If the judgment is to be upset by the trial court, it should be 

done promptly. Whether or not the trial court grants relief, it is important to set or reset appeal 

time to avoid a lengthy limbo of uncertainty. Rule 60(b) covers motions for relief from judgment 

on grounds that are not available within the 28-day period for the more regular post-judgment 

motions, although motions that seek relief available under Rules 52 and 59 – perhaps even 

Rule 50(b) – are frequently made within 28 days and captioned under Rule 60(b). Rule 60(c)(1) 

sets the time for Rule 60(b) motions as “a reasonable time – and for reasons (1), (2), and (3) no 

more than a year after entry of the judgment.” (Subdivision (1) covers mistake, inadvertence, 

surprise, or excusable neglect; (2) covers newly discovered evidence; and (3) covers fraud, 

misrepresentation, or misconduct.) 

The basic purpose of Emergency Rule 6(b)(2) is to substitute “may extend” for “must not 

extend” the time to act. Emergency circumstances may make it extraordinarily difficult or literally 

impossible to prepare and file a motion within the prescribed periods. The opportunity to seek 

relief from the trial court is an important part of a structure that integrates trial courts with the 

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Report on Proposed New Rule 87 (Civil Rules Emergency)

Advisory Committee on Civil Rules

May 21, 2021 Page 3 

courts of appeals. Creating authority for the trial judge to preserve the opportunity for postjudgment relief is important for the trial court, the parties, and the court of appeals.

The clear basic purpose of Emergency Rule 6(b)(2) is made complicated, however, by the 

interdependence of post-judgment relief in the trial court with the rules that set appeal time. The 

basic framework is provided by Appellate Rule 4(a)(4)(A). A timely motion under Rules 50, 52, 

and 59 restarts appeal time “for all parties from the entry of the order disposing of the last such 

remaining motion.” A special provision for Rule 60 motions, Rule 4(a)(4)(A)(vi), gives the same 

effect if the motion “is filed no later than 28 days after the judgment is entered.” This provision 

reflects the prospect that in most circumstances a Rule 60(b) motion will be timely – and for that 

matter is likely to be needed only – after 28 days from the judgment. In the interest of securing 

prompt review of the judgment, a Rule 60(b) motion resets appeal time only when it is made in 

the time authorized for the more common Rule 50, 52, and 59 motions. After that, a timely 

Rule 60(b) motion supports appeal from the order that grants or denies the motion, but does not 

support review of the judgment itself.

Integrating Emergency Civil Rule 6(b)(2) with Appellate Rule 4(a)(4)(A) proved a 

challenging task. Rule 4 is read and applied with great care. The times reflected in Rule 4 are 

mandatory and jurisdictional. A mistake in calculating appeal time is fatal. Rule 4 has been revised 

more than once to provide relief from mistakes made by those not intimately familiar with its 

terms. Many exchanges, and more than a few missteps, were needed to craft the provisions of 

Emergency Rule 6(b)(2)(B) that integrate the effects of a motion to extend the time to act with 

Rule 4. The task was made easier by the proposal of the Appellate Rules Committee to amend 

Rule 4(a)(4)(A)(vi), striking the explicit provision for a Rule 60 motion made within 28 days and 

substituting “if the motion is filed within the time allowed for filing a motion under Rule 59.” But 

even with that help, Rule 6(b)(2)(B) remains an inseverable whole.

Completing Acts After a Declaration Ends. The differences between the several 

Emergency Rules 4 and Emergency Rule 6(b)(2) account for a second area of nonuniformity. 

Earlier Rule 87 drafts included a common subdivision (d) that authorized completion of an act 

authorized by an order entered under an emergency rule but not completed when the declaration 

ends. The test was borrowed from the Rule 86(a)(2) provision for applying rule amendments to 

proceedings pending on the effective date of the amendment “unless the court determines that 

applying them in a particular action would be infeasible or work an injustice.” The analogy never 

seemed precise. More importantly, further reflection showed that the same standard was not 

suitable for the methods of serving process as for motions for post-judgment relief. Once a motion 

is made under Emergency Rule 6(b)(2), it is imperative to maintain the complete system for 

integrating the motion with appeal time, starting with the provision that resets appeal time to run 

from an order denying any extension of the time to make a post-judgment motion and on through 

the rest. That is accomplished by Emergency Rule 6(b)(2)(C). The methods of serving process do 

not encounter problems similar to the need to integrate with Appellate Rule 4. If a declaration of 

a rules emergency ends after an order authorizes service by a method or methods not authorized 

by Civil Rule 4, the circumstances may make it appropriate to allow completion of service under 

the order, to modify the order while still allowing some specified means not authorized by Rule 4, 

or to withdraw the order and fall back on the ordinary methods authorized by Rule 4. 

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Report on Proposed New Rule 87 (Civil Rules Emergency)

Advisory Committee on Civil Rules

May 21, 2021 Page 4 

Judicial Conference Selection of Emergency Rules. The character of Emergency Rules 4 

and 6(b)(2) determines the reasons to depart in Rule 87(b)(1)(B) from the formula used in Criminal 

Rule 62(b)(1)(B) and Bankruptcy Rule 9038(b)(1)(B): “state any restrictions on the authority 

granted in [(c)].” 

The Emergency Rules 4 provide that a court may order service of process by a method not 

authorized by the corresponding subdivision of Rule 4. It makes sense to leave the Judicial 

Conference free to select which categories of defendants are made eligible for service by an order 

that depends on the particular emergency and, ordinarily, the specific circumstances of a specific 

case. It does not make sense to impose on the Judicial Conference the responsibility to consider 

and evaluate the possibility of defining more specific “restrictions” on the methods of service that 

may be appropriate in specific circumstances. What is appropriate is a choice of which of the 

Emergency Rules 4 to authorize, not some further limit. 

Emergency Rule 6(b)(2) presents an even more compelling need to authorize all of the rule, 

without any thought of “restrictions.” The intricate integration of this rule with Appellate 

Rule 4(a)(4)(A) cannot be severed by authorizing some parts but not others.

Are These Emergency Civil Rules Necessary? One final caution. Rule 87 is proposed for 

publication as part of a package with the emergency provisions to be published for the Appellate, 

Bankruptcy, and Criminal Rules. Much may be learned from public comments and testimony. It 

may be that additional Emergency Civil Rules should be added, perhaps requiring adjustments in 

the general provisions. Or it may be that in the end, it will seem better to abandon Rule 87, relying 

instead on amendments of any Civil Rules that can be revised to adjust for emergency 

circumstances in ways that reflect the success that most of the Civil Rules have met during the 

COVID-19 pandemic. Those choices can be made after completion of the publication process. 

Preliminary Draft | August 2021 Page 43 of 327
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF CIVIL PROCEDURE1

1 Rule 87. Civil Rules Emergency

2 (a) Conditions for an Emergency. The Judicial 

3 Conference of the United States may declare a Civil Rules 

4 emergency if it determines that extraordinary circumstances 

5 relating to public health or safety, or affecting physical or 

6 electronic access to a court, substantially impair the court’s 

7 ability to perform its functions in compliance with these 

8 rules.

9 (b) Declaring an Emergency.

10 (1) Content. The declaration must:

11 (A) designate the court or courts affected;

12 (B) adopt all the emergency rules in 

13 Rule 87(c) unless it excepts one or 

14 more of them; and

1 New material is underlined in red.

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2 FEDERAL RULES OF CIVIL PROCEDURE

15 (C) be limited to a stated period of no 

16 more than 90 days. 

17 (2) Early Termination. The Judicial Conference 

18 may terminate a declaration for one or more 

19 courts before the termination date.

20 (3) Additional Declarations. The 

21 Judicial Conference may issue 

22 additional declarations under this 

23 rule.

24 (c) Emergency Rules.

25 (1) Emergency Rules 4(e), (h)(1), (i), and 

26 (j)(2), and for serving a minor or 

27 incompetent person. The court may by order 

28 authorize service on a defendant described in 

29 Rule 4(e), (h)(1), (i), or (j)(2)—or on a minor 

30 or incompetent person in a judicial district of 

31 the United States—by a method that is 

32 reasonably calculated to give notice. A 

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 FEDERAL RULES OF CIVIL PROCEDURE 3 

33 method of service may be completed under 

34 the order after the declaration ends unless the 

35 court, after notice and an opportunity to be 

36 heard, modifies or rescinds the order.

37 (2) Emergency Rule 6(b)(2). 

38 (A) Extension of Time to File Certain 

39 Motions. A court may, by order, apply 

40 Rule 6(b)(1)(A) to extend for a period 

41 of no more than 30 days after entry of 

42 the order the time to act under 

43 Rules 50(b) and (d), 52(b), 59(b), (d), 

44 and (e), and 60(b).

45 (B) Effect on Time to Appeal. Unless the 

46 time to appeal would otherwise be 

47 longer: 

48 (i) if the court denies an 

49 extension, the time to file an 

50 appeal runs for all parties 

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4 FEDERAL RULES OF CIVIL PROCEDURE

51 from the date the order 

52 denying the motion to extend 

53 is entered;

54 (ii) if the court grants an 

55 extension, a motion 

56 authorized by the court and 

57 filed within the extended 

58 period is, for purposes of 

59 Appellate Rule 4(a)(4)(A), 

60 filed “within the time allowed 

61 by” the Federal Rules of Civil 

62 Procedure; and 

63 (iii) if the court grants an 

64 extension and no motion 

65 authorized by the court is 

66 made within the extended 

67 period, the time to file an 

68 appeal runs for all parties 

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 FEDERAL RULES OF CIVIL PROCEDURE 5 

69 from the expiration of the 

70 extended period. 

71 (C) Declaration Ends. An act authorized 

72 by an order under this emergency rule 

73 may be completed under the order 

74 after the emergency declaration ends. 

Committee Note

Subdivision (a). This rule addresses the prospect that 

extraordinary circumstances may so substantially interfere 

with the ability of the court and parties to act in compliance 

with a few of these rules as to substantially impair the court’s 

ability to effectively perform its functions under these rules. 

The responses of the courts and parties to the COVID-19 

pandemic provided the immediate occasion for adopting a 

formal rule authorizing departure from the ordinary 

constraints of a rule text that substantially impairs a court’s 

ability to perform its functions. At the same time, these 

responses showed that almost all challenges can be 

effectively addressed through the general rules provisions. 

The emergency rules authorized by this rule allow departures 

only from a narrow range of rules that, in rare and 

extraordinary circumstances, may raise unreasonably high 

obstacles to effective performance of judicial functions.

The range of the extraordinary circumstances that 

might give rise to a rules emergency is wide, in both time 

and space. An emergency may be local—familiar examples 

include hurricanes, flooding, explosions, or civil unrest. The 

circumstance may be more widely regional, or national. The 

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6 FEDERAL RULES OF CIVIL PROCEDURE

emergency may be tangible or intangible, including such 

events as a pandemic or disruption of electronic 

communications. The concept is pragmatic and functional. 

The determination of what relates to public health or safety, 

or what affects physical or electronic access to a court, need 

not be literal. The ability of the court to perform its functions 

in compliance with these rules may be affected by the ability 

of the parties to comply with a rule in a particular 

emergency. A shutdown of interstate travel in response to an 

external threat, for example, might constitute a rules 

emergency even though there is no physical barrier that 

impedes access to the court or the parties.

Responsibility for declaring a rules emergency is 

vested exclusively in the Judicial Conference. But a court 

may, absent a declaration by the Judicial Conference, utilize 

all measures of discretion and all the flexibility already 

embedded in the character and structure of the Civil Rules. 

A pragmatic and functional determination whether 

there is a Civil Rules emergency should be carefully limited 

to problems that cannot be resolved by construing, 

administering, and employing the flexibility deliberately 

incorporated in the structure of the Civil Rules. The rules 

rely extensively on sensible accommodations among the 

litigants and on wise management by judges when the 

litigants are unable to resolve particular problems. The 

effects of an emergency on the ability of the court and the 

parties to comply with a rule should be determined in light 

of the flexible responses to particular situations generally 

available under that rule. And even if a rules emergency is 

declared, the court and parties should explore the 

opportunities for flexible use of a rule before turning to rely 

on an emergency departure. Adoption of this rule, or a 

declaration of a rules emergency, does not imply any 

limitation of the courts’ ability to respond to emergency 

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 FEDERAL RULES OF CIVIL PROCEDURE 7 

circumstances by wise use of the discretion and 

opportunities for effective adaptation that inhere in the Civil 

Rules themselves.

Subdivision (b). A declaration of a rules emergency must 

designate the court or courts affected by the emergency. An 

emergency may be so local that only a single court is 

designated. The declaration adopts all of the emergency 

rules listed in subdivision (c) unless it excepts one or more 

of them. An emergency rule supplements the Civil Rule for 

the period covered by the declaration. 

A declaration must be limited to a stated period of no 

more than 90 days, but the Judicial Conference may 

terminate a declaration for one or more courts before the end 

of the stated period. A declaration may be succeeded by a 

new declaration made under this rule. And additional 

declarations may be made under this rule before an earlier 

declaration terminates. An additional declaration may 

modify an earlier declaration to respond to new emergencies 

or a better understanding of the original emergency. Changes 

may be made in the courts affected by the emergency or in 

the emergency rules adopted by the declaration. 

Subdivision (c). Subdivision (c) lists the only Emergency 

Rules that may be authorized by a declaration of a rules 

emergency.

Emergency Rules 4. Each of the Emergency Rules 4 

authorizes the court to order service by means not otherwise 

provided in Rule 4 by a method that is appropriate to the 

circumstances of the emergency declared by the Judicial 

Conference and that is reasonably calculated to give notice. 

The nature of some emergencies will make it appropriate to 

rely on case-specific orders tailored to the particular 

emergency and the identity of the parties, taking account of 

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8 FEDERAL RULES OF CIVIL PROCEDURE

the fundamental role of serving the summons and complaint 

in providing notice of the action and the opportunity to 

respond. Other emergencies may make it appropriate for a 

court to adopt a general practice by entering a standing order 

that specifies one or possibly more than one means of service 

appropriate for most cases. Service by a commercial carrier 

requiring a return receipt might be an example. 

The final sentence of Emergency Rule 4 addresses a 

situation in which a declaration of a civil rules emergency 

ends after an order for service is entered but before service 

is completed. Service may be completed under the order 

unless the court modifies or rescinds the order. A 

modification that continues to allow a method of service 

specified by the order but not within Rule 4, or rescission 

that requires service by a method within Rule 4, may provide 

for effective service. But it may be better to permit 

completion of service in compliance with the original order. 

For example, the summons and complaint may have been 

delivered to a commercial carrier that has not yet delivered 

them to the party to be served. Allowing completion and 

return of confirmation of delivery may be the most efficient 

course. Allowing completion of a method authorized by the 

order may be particularly important when a claim is 

governed by a statute of limitations that requires actual 

service within a stated period after the action is filed.

Emergency Rule 6(b)(2). Emergency Rule 6(b)(2) 

supersedes the flat prohibition in Rule 6(b)(2) of any 

extension of the time to act under Rules 50(b) and (d), 52(b), 

59(b), (d), and (e), and 60(b). The court may extend those 

times under Rule 6(b)(1)(A). Rule 6(b)(1)(A) requires the 

court to find good cause. Some emergencies may justify a 

standing order that finds good cause in general terms, but the 

period allowed by the extension ordinarily will depend on 

case-specific factors as well.

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 FEDERAL RULES OF CIVIL PROCEDURE 9 

Rule 6(b)(1)(A) authorizes the court to extend the 

time to act under Rules 50 (b) and (d), 52(b), 59(b), (d), and 

(e), and 60(b) only if it acts, or if a request is made, before 

the original time allowed by those rules expires. For all but 

Rule 60(b), the time allowed by those rules is 28 days after 

the entry of judgment. For Rule 60(b), the time allowed is 

governed by Rule 60(c)(1), which requires that the motion 

be made within a reasonable time, and, for motions under 

Rule 60(b)(1), (2), or (3), no more than a year after the entry 

of judgment. The maximum extension is not more than 30 

days after entry of the order granting an extension. If the 

court acts on its own, extensions for Rule 50, 52, and 59 

motions can extend no later than 58 days after the entry of 

judgment. If an extension is sought by motion, an extension 

can extend no later than 30 days after entry of the order 

granting the extension. [An extension of the time to file a 

Rule 60(b) motion would be superfluous so long as the 

motion is made within a reasonable time, except for the 

circumstance in which a rules emergency declaration is in 

effect and the emergency circumstances make it reasonable 

to permit a motion beyond the one-year limit for motions 

under Rule 60(b)(1), (2), or (3).] 

Special care must be taken to ensure that the parties 

understand the effect of an order granting or denying an 

extension on the time for filing a notice of appeal. Appeal 

time must be reset to support an orderly determination 

whether to order an extension and, if an extension is ordered, 

to make and dispose of any motion authorized by the 

extension. 

Subparagraph 6(b)(2)(B) integrates the emergency 

rule with Appellate Rule 4(a)(4)(A) for four separate 

situations.

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10 FEDERAL RULES OF CIVIL PROCEDURE

The first situation is governed by the initial text: 

“Unless the time to appeal would otherwise be longer.” One 

example that illustrates this situation would be a motion by 

the plaintiff for a new trial within the time allowed by 

Rule 59, followed by a timely motion by the defendant for 

an extension of time to file a renewed motion for judgment 

as a matter of law under Rule 50(b). The court denies the 

motion for an extension without yet ruling on the plaintiff’s 

motion. The time to appeal after denial of the plaintiff’s 

motion is longer for all parties than the time after denial of 

the defendant’s motion for an extension.

Item (B)(i) resets appeal time to run for all parties 

from the date of entry of an order denying a motion to 

extend. [The court may need some time to make a careful 

decision on the motion, although the time constraints 

imposed on post-judgment motions reflect the concerns that 

conduce to deciding as promptly as the emergency 

circumstances make possible.]

Items (B)(ii) and (iii) reset appeal time after the court 

grants an extended period to file a post-judgment motion. 

Appellate Rule 4(a)(4)(A) is incorporated, giving the 

authorized motion the effect of a motion filed “within the 

time allowed by” the Federal Rules of Civil Procedure. If 

more than one authorized motion is filed, appeal time is reset 

to run from the order “disposing of the last such remaining 

motion.” If no authorized motion is made, appeal time runs 

from the expiration of the extended period.

These provisions for resetting appeal time are 

supported for the special timing provisions for Rule 60(b) 

motions by a parallel amendment of Appellate 

Rule 4(a)(4)(A)(vi) that resets appeal time on a timely 

motion “for relief under Rule 60 if the motion is filed within 

the time allowed for filing a motion under Rule 59.” This 

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 FEDERAL RULES OF CIVIL PROCEDURE 11

Rule 4 provision, as amended, will assure that a Rule 60(b) 

motion resets appeal time for review of the final judgment 

only if it is filed within the 28 days ordinarily allowed for 

post-judgment motions under Rule 59 or any extended 

period for filing a Rule 59 motion that a court might 

authorize under Emergency Rule 6(b)(2). A timely 

Rule 60(b) motion filed after that period, whether it is timely 

under Rule 60(c)(1) or under an extension ordered under 

Emergency Rule 6(b)(2), supports an appeal from 

disposition of the Rule 60(b) motion, but does not support an 

appeal from the [original] final judgment.

 Emergency Rule 6(b)(2)(C) addresses a situation in 

which a declaration of a Civil Rules emergency ends after an 

order is entered, whether the order grants or denies an 

extension. This rule preserves the integration of Emergency 

Rule 6(b)(2) with the appeal time provisions of Appellate 

Rule 4(a)(4)(A). An act authorized by the order, which may 

be either a motion or an appeal, may be completed under the 

order. If the order denies a timely motion for an extension, 

the time to appeal runs from the order. If an extension is 

granted, a motion may be filed within the extended period. 

Appeal time starts to run from the order that disposes of the 

last remaining authorized motion. If no authorized motion is 

filed within the extended period, appeal time starts to run on 

expiration of the extended period. Any other approach would 

sacrifice opportunities for post-judgment relief or appeal that 

could have been preserved if no emergency rule motion had 

been made.

Emergency rules provisions were added to the 

Appellate, Bankruptcy, Civil, and Criminal Rules in the 

wake of the COVID-19 pandemic. They were made as 

uniform as possible. But each set of rules serves distinctive 

purposes, shaped by different origins, traditions, functions, 

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12 FEDERAL RULES OF CIVIL PROCEDURE

and needs. Different provisions were compelled by these 

different purposes. 

Preliminary Draft | August 2021 Page 55 of 327
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Hon. John D. Bates, Chair 

 Committee on Rules of Practice and Procedure 

FROM: Hon. Raymond M. Kethledge, Chair 

 Advisory Committee on Criminal Rules

RE: New Criminal Rule 62 (Criminal Rules Emergency)

DATE: June 1, 2021 (revised June 22, 2021)1

______________________________________________________________________________ 

This report presents the Advisory Committee’s draft emergency rule—Rule 62. As noted 

in the Advisory Committee’s December 2020 report to the Standing Committee, the draft reflects 

input from the bench and bar, including comments solicited from all chief judges, as well as 

feedback from judges and attorneys from districts hard hit by hurricanes or the pandemic at a daylong miniconference held last summer. Several principles have guided the Advisory Committee’s 

work, namely: (1) the rules protect constitutional and statutory rights and other interests, and 

should not be set aside lightly;

2 (2) any new rule for emergencies must address the range of 

1 Revised to incorporate changes to the committee note that were made by the Committee on Rules 

of Practice and Procedure (Standing Committee) at its June 22, 2021 meeting. The Standing Committee 

also made minor wording changes to the text of proposed Rules 62(e)(3) and 62(e)(3)(B). 

 2 Indeed, one member has consistently dissented from the conclusion that the Advisory Committee 

should draft an emergency rule at all, because among other reasons it would inevitably tend to normalize 

exceptions to the critical safeguards provided by the Criminal Rules.

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circumstances that might arise; (3) consideration of the relevant provisions of the CARES Act but 

is not based on them; and (4) the rule should be developed in consultation with people involved in 

these issues on the ground. 

The Advisory Committee presented a draft of Rule 62 to the Standing Committee at its last 

meeting. Since then, the Advisory Committee continued to revise the draft, in part to respond to 

input from members of the Standing Committee and others. At its May 11 meeting, the Advisory 

Committee approved the draft rule and note, with the understanding that language in the committee 

note for the last paragraph of the rule would be circulated to the Advisory Committee for approval 

by email. The proposal included with this report reflects the changes approved unanimously by 

email on May 25 along with style changes.3 Additional changes suggested after the meeting are 

bracketed for consideration by the Standing Committee.

After a brief review of the uniform provisions of all of the proposed emergency rules, this 

report focuses on subdivisions (c), (d), and (e), which are unique to the draft emergency rule for 

criminal proceedings. 

I. Subdivisions (a) and (b): The Uniform Provisions 

With guidance from Professor Capra and assistance from the style consultants, the reporters

of the various advisory committees have coordinated the language among their committees’ 

proposed rules to make them uniform when it made sense to do so. Subdivisions (a) and (b) of the 

proposed Rule 62 contain these uniform provisions.4 

As discussed at the last Standing Committee, however, the proposed Criminal Rule 

contains a second provision that the other rules do not. That provision is (a)(2), which now requires 

a determination that “no feasible alternative measures would sufficiently address the impairment 

within a reasonable time.” This provision ensures that the emergency provisions in subdivisions 

(d) and (e) would be invoked only as a last resort, given the critical interests protected by the 

existing rules of criminal procedure. 

The current language of (a)(2) incorporates a suggestion made at the last Standing 

Committee meeting. There a member suggested that the Advisory Committee revise (a)(2) to 

require that any feasible alternative could “sufficiently address” rather than “eliminate” the 

impairment creating an emergency. The Advisory Committee agreed with that suggestion.

 3 Following the Advisory Committee meeting, several minor corrections involving grammar, 

punctuation, and capitalization were made to the committee note as well.

4 No one noticed until after the Advisory Committee’s meeting that the inclusion of the phrase 

“from the date of the declaration” in (b)(1)(C) as approved by the Advisory Committee was not part of the 

uniform language the other advisory committees had adopted. After the meeting, Professor Capra pointed 

out that the phrase did not appear in the other rules and that the Judicial Conference should determine when 

the 90-day period begins. Because it was clear that the Advisory Committee had intended this provision to 

be uniform, the chair and the reporters agreed that the inconsistent phrase should be deleted from the version 

presented to the Standing Committee. 

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The committee note for paragraph (a)(2) explains: 

[P]aragraph (a)(2) requires that even if the Judicial Conference determines 

the extraordinary circumstances defined in (a)(1), it cannot declare a Criminal 

Rules emergency unless it also determines that no feasible alternative measures 

would sufficiently address the impairment and allow the affected court to perform 

its functions in compliance with the rules within a reasonable time. For example, in 

the districts devastated by hurricanes Katrina and Maria, the ability of courts to 

function in compliance with the rules was substantially impaired for extensive 

periods of time. But there would have been no Criminal Rules emergency under 

this rule because those districts were able to remedy that impairment and function 

effectively in compliance with the rules by moving proceedings to other districts 

under 28 U.S.C. § 141. Another example might be a situation in which the judges 

in a district are unable to carry out their duties as a result of an emergency that 

renders them unavailable, but courthouses remain safe. The unavailability of judges 

would substantially impair that court’s ability to function in compliance with the 

rules, but temporary assignment of judges from other districts under 28 U.S.C. § 

292(b) and (d) would eliminate that impairment.

II. Subdivision (c): Effect of Termination

Subdivision (c) provides a narrow exception for certain proceedings commenced under a 

declaration of emergency but not yet completed when the declaration terminates. If the court finds 

that it cannot complete such a proceeding in compliance with the rules, or that resuming 

compliance with the rules would work an injustice, the court may, with the defendant’s consent, 

complete the proceeding using procedures authorized by the emergency rule. The rule recognizes 

the need for some flexibility during the transition period, while also recognizing the importance of 

returning promptly to compliance with the rules. 

Since the Standing Committee’s last meeting, the Advisory Committee has made several 

changes to this provision, which was then subdivision (e). The style consultants as well as others 

were uncertain whether the term “these rules” in this provision referred to the preceding parts of 

Rule 62, all the rules of criminal procedure other than Rule 62, or both. To clarify that “these rules” 

means rules other than Rule 62, as in (a), the Advisory Committee approved two changes in the 

text and added a new paragraph to the committee note. First, the provision was moved up from its 

former location at the end of the rule, to become subdivision (c), nearer to the other reference to 

“these rules” in subdivision (a). The Advisory Committee thought this positioning would make 

readers less likely to interpret “these rules” to refer to the provisions in (d) and (e). Second, the 

Advisory Committee replaced the words “complying with these rules” with “resuming compliance 

with these rules.” Finally, the Advisory Committee added a clarifying paragraph at the beginning 

of the note, which reads:

This rule defines the conditions for a Criminal Rules emergency that would 

support a declaration authorizing a court to depart from one or more of the other 

Federal Rules of Criminal Procedure. Rule 62 refers to the other, non-emergency 

rules—currently Rules 1-61—as “these rules.” This committee note uses “these 

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rules” or “the rules” to refer to the non-emergency rules, and uses “this rule” or 

“this emergency rule” to refer to new Rule 62.

The other change to the text was the addition of “with the defendant’s consent.” An 

Advisory Committee member was concerned about finishing a proceeding with emergency 

procedures after a declaration has ended, without the defendant’s consent. The Advisory 

Committee agreed that, if resuming full compliance with the rules is not yet feasible for a particular 

proceeding despite the termination of a declaration, the court should not be permitted to continue 

with emergency procedures without the defendant’s consent. The Advisory Committee thought 

this situation would seldom arise: most proceedings covered by the emergency provisions are

likely to be relatively short, courts can anticipate the expiration of declarations and schedule 

accordingly, and defendants are unlikely to withhold consent to finishing a proceeding after a 

declaration has ended with emergency procedures the defendant consented to earlier. But if a 

defendant did insist on resuming compliance with normal procedures, the court should be able to 

resume those procedures relatively quickly if indeed the emergency no longer substantially impairs 

the court’s ability to function under the existing rules. Thus, on balance, the Advisory Committee

concluded that the defendant’s interests in the protections provided by the rules are more important 

than the costs of any delay needed to resume compliance with the rules.

Finally, the Advisory Committee addressed concerns that the consent requirement would 

allow a defendant to halt a trial in which more than six alternates had been impaneled under (d)(3)

while the declaration was in force. The Advisory Committee concluded that the consent 

requirement would not permit this outcome: the “proceeding” authorized by (d)(3) is simply the 

impanelment of additional alternates, which itself would have been completed before the 

declaration terminated. To clarify this point further, the Advisory Committee added the second 

sentence of the portion of the committee note discussing subdivision (c). 

The committee note explains:

Subdivision (c). In general, the termination of a declaration of emergency 

ends all authority to depart from the other Federal Rules of Criminal Procedure. It 

does not terminate, however, the court’s authority to complete an ongoing trial with 

alternate jurors who have been impaneled under (d)(3).5 In addition, subdivision 

(c) carves out a narrow exception for certain proceedings commenced under a 

declaration of emergency but not completed before the declaration terminates. If it 

would not be feasible to conclude a proceeding commenced before a declaration 

terminates with procedures that comply with the rules, or if resuming compliance 

with the rules would work an injustice, the court may complete that proceeding 

using procedures authorized by this emergency rule, but only if the defendant 

consents to the use of emergency procedures after the declaration ends. Subdivision 

(c) recognizes the need for some accommodation and flexibility during the 

transition period, but also the importance of returning promptly to the rules to

protect the defendant’s rights and other interests.

5 After “(d)(3),” the Standing Committee added the following clause: “because the proceeding 

authorized by (d)(3) is the completed impanelment.” 

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III. Subdivisions (d) and (e): Authority to Depart from the Rules 

After considering comments from the Standing Committee during its last meeting, the 

Advisory Committee voted to remove from Rule 62 provisions in the earlier draft that would have 

authorized a court in certain circumstances to issue a summons instead of a warrant, and to conduct 

a bench trial without the government’s consent. 

A. Paragraph (d)(1): Public Access

This part of the rule addresses the courts’ obligation to provide alternative access to public 

proceedings when emergency conditions substantially impair in-person attendance. For example, 

even if conditions would allow participants to attend in person, the rule requires that alternative 

access be provided if capacity limits necessary to protect health and safety would exclude in-person 

attendance by the public. The Advisory Committee accepted the suggestion of a member of the 

Standing Committee to change the condition triggering a duty to provide alternative access from 

“preclusion” of in-person public attendance to “substantial impairment” of such attendance. Even 

when emergency conditions do not entirely “preclude” the public from attending a proceeding, a 

failure to provide reasonably available alternative access to criminal proceedings for members of 

the public could risk violating the First and Sixth Amendment rights to public access. 

In response to a separate concern by several members that alternative access should be 

contemporaneous when possible, the Advisory Committee also added “contemporaneous if 

feasible” at the end of this provision. Although the Advisory Committee declined to detail how 

such alternative access must be provided, options for providing contemporaneous alternative 

access were added to the committee note. Finally, “, including victims,” was added after “the 

public” in the committee note to emphasize the importance of providing victims access to public 

proceedings in criminal cases. 

 As revised, the committee note states:

Paragraph (d)(1) addresses the courts’ obligation to provide alternative 

access when emergency conditions have substantially impaired in-person 

attendance by the public at public proceedings. The term “public proceeding” was 

intended to capture proceedings that the rules require to be conducted “in open 

court,” proceedings to which a victim must be provided access, and proceedings 

that must be open to the public under the First and Sixth Amendments. The rule 

creates a duty to provide the public, including victims, with “reasonable alternative 

access,” notwithstanding Rule 53’s ban on the “broadcasting of judicial 

proceedings.”6

The duty arises only when the substantial impairment of in-person access 

by the public is caused by emergency conditions. The rule does not apply when 

6 After “proceedings,” the Standing Committee added the following sentence: “Under appropriate 

circumstances, the reasonable alternative could be audio access to a video proceeding.” 

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reasons other than emergency conditions restrict access. The duty arises not only 

when emergency conditions substantially impair the attendance of anyone, but also 

when conditions would allow participants but not the public to attend, as when 

capacity must be restricted to prevent contagion. 

Alternative access must be contemporaneous when feasible. For example, 

if public health conditions limit courtroom capacity, contemporaneous transmission 

to an overflow courthouse space ordinarily could be provided. In a proceeding 

conducted by videoconference, a court could provide access to the audio 

transmission if access to the video transmission is not feasible.7

B. Paragraph (d)(2): Written Consents, Waivers, and Signatures of the 

Defendant

This provision was prompted by the difficulty of complying with signature requirements 

when emergency conditions limit a defendant’s ability to sign. The Advisory Committee made one 

change to this provision, namely to replace “these rules” with “any rule, including this rule.” This 

change clarifies that (d)(2) applies not only to the existing rules, but also to Rule 62 (specifically,

to the requirement of a written request under (e)(3)(B)). 

The Advisory Committee considered but declined to change the requirement that if, the 

defendant cannot consent on the record, counsel providing consent for the defendant must file an 

affidavit. There was some support to allow something less formal than an affidavit, such as a letter. 

But the Advisory Committee concluded that a declaration—which is less burdensome for counsel 

to produce—is already permitted by 28 U.S.C. § 1746 whenever an affidavit is required. The 

Advisory Committee also favored keeping the requirement of an affidavit (or declaration) because 

a letter would not consistently be filed as part of the record. Making the defendant’s consent clear 

in the record was essential.

 Several members supported a policy that the court should have a colloquy with defendant 

on the issue of consent, both to ensure true consent and a complete record. But the Advisory 

Committee thought the subject of a colloquy was more appropriate for the committee note than 

the rule text. As amended, the note now provides: 

Paragraph (d)(2) recognizes that emergency conditions may disrupt 

compliance with a rule that requires the defendant’s signature, written consent, or 

written waiver. If emergency situations limit the defendant’s ability to sign, (d)(2) 

provides an alternative, allowing defense counsel to sign if the defendant consents. 

To ensure that there is a record of the defendant’s consent to this procedure, the 

amendment provides two options: (1) defense counsel may sign for the defendant 

if the defendant consents on the record, or, (2) without the defendant’s consent on 

the record, defense counsel must file an affidavit attesting to the defendant’s 

consent to the procedure. The defendant’s oral agreement on the record alone will 

not substitute for the defendant’s signature. The written document signed by 

7 This sentence was deleted by the Standing Committee. 

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counsel on behalf of the defendant provides important additional evidence of the 

defendant’s consent. 

The court may sign for a pro se defendant, if that defendant consents on 

the record. There is no provision for the court to sign for a counseled defendant, 

even if the defendant provides consent on the record. The Committee concluded 

that rules requiring the defendant’s signature, written consent or written waiver 

protect important rights, and permitting the judge to bypass defense counsel and 

sign once the defendant agrees could result in a defendant perceiving pressure 

from the judge to sign. Requiring a writing from defense counsel is an essential 

protection when the defendant’s own signature is not reasonably available because 

of emergency conditions. 

It is generally helpful for the court to conduct a colloquy with the defendant 

to ensure that defense counsel consulted with the defendant with regard to the 

substance and import of the pleading or document being signed, and that the 

consent to allow counsel to sign was knowing and voluntary. 

C. Paragraph (d)(3): Alternate Jurors

This provision authorizes a court to empanel more than six alternate jurors, which could be 

particularly useful under circumstances, such as a pandemic, that increase the probability that

original jurors would be unable to complete the trial. Indeed, during the meeting, several members 

related how alternate jurors have been used for trials conducted during the pandemic. There were 

no changes to this provision. 

The committee note states: 

Paragraph (d)(3) allows the court to impanel more than six alternate jurors, 

creating an emergency exception to the limit imposed by Rule 24(c)(1). This 

flexibility may be particularly useful for a long trial conducted under emergency 

conditions—such as a pandemic—that increase the likelihood that jurors will be 

unable to complete the trial. Because it is not possible to anticipate all of the 

situations in which this authority might be employed, the amendment leaves to the 

discretion of the district court whether to impanel more alternates, and if so, how 

many. The same uncertainty about emergency conditions that supports flexibility 

in the rule for the provision of additional alternates also supports avoiding mandates 

for additional peremptory challenges when more than six alternates are provided. 

Nonetheless, if more than six alternates are impaneled and emergency conditions 

allow, the court should consider permitting each party one or more additional 

peremptory challenges, consistent with the policy in Rule 24(c)(4).

D. Paragraph (d)(4): Rule 35 Deadlines

This provision is unchanged from the earlier Rule 62. Rule 45(b)(2) bars extensions for 

motions to correct or reduce a sentence under Rule 35. The Advisory Committee concluded that 

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courts should have limited authority to extend the Rule 35 deadlines “if emergency conditions 

provide good cause.” Paragraph (d)(4) permits these extensions only as “reasonably necessary.”

The Advisory Committee concluded there was no need to state the obvious point that, in making 

a determination of good cause, courts should consider emergency situations. This point was added 

to the draft committee note. 

 The Department of Justice requested that the following sentence be added to the committee 

note: “Nothing in this provision is intended to expand the authority to correct a sentence, which is 

intended to be very narrow and to extend only to those cases in which an obvious error or mistake 

has occurred in the sentence.” The Advisory Committee approved a modified version that did not 

include the last clause, which is already part of the committee note following Rule 35. The 

Advisory Committee also changed the end of the sentence to read “authority to correct or reduce 

a sentence under Rule 35.” 

The committee note reads:

Paragraph (d)(4) provides an emergency exception to Rule 45(b)(2), 

which prohibits the court from extending the time to take action under Rule 35 

“except as stated in that rule.” When emergency conditions provide good cause 

for extending the time to take action under Rule 35, the amendment allows the 

court to extend the time for taking action “as reasonably necessary.” The 

amendment allows the court to extend the 14-day period for correcting a clear error 

in the sentence under Rule 35(a) and the one-year period for government motions 

for sentence reductions based on substantial assistance under Rule 35(b)(1). 

Nothing in this provision is intended to expand the authority to correct or reduce 

a sentence under Rule 35. This emergency rule does not address the extension of 

other time limits because Rule 45(b)(1) already provides the necessary flexibility 

for courts to consider emergency circumstances. It allows the court to extend the 

time for taking other actions on its own or on a party’s motion for good cause 

shown. 

E. Subdivision (e): Videoconferencing and Teleconferencing

1. Introduction

Subdivision (e) provides authority to use virtual conferencing technology when emergency 

conditions limit the physical presence of participants at criminal proceedings. The Advisory 

Committee concluded that, given the critical interests served by holding proceedings in-court, any 

authority to substitute virtual for physical presence must extend no further than necessary. 

The Advisory Committee’s draft rule incorporates lessons learned during recent experience 

with virtual proceedings. The Advisory Committee considered input from its members, reports on 

court operations from various sources, local orders, suggestions solicited from chief judges around 

the country by Judge Jim Dever, chair of the Rule 62 Subcommittee, and the valuable insights of 

practitioners who attended the miniconference last summer. As a result, the proposed rule differs 

from the CARES Act in several respects. Like the CARES Act, subdivision (e) is arranged by type 

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of proceeding. Proceedings with the fewest restrictions on the use of conferencing technology 

appear first, followed by proceedings with more stringent prerequisites, again like the CARES Act. 

The draft rule separates proceedings into three groups, each with a different set of requirements. 

(This differs from the CARES Act, which provides separate requirements for only two groups of 

proceedings—the first consisting of an enumerated list of pre- and post-trial proceedings, and the 

other limited to plea and sentencing proceedings under Rules 11 and 32.) 

The first paragraph addresses videoconferencing for proceedings that courts may already

conduct by videoconference with the defendant’s consent under existing Rules 5, 10, 40, and 

43(b)(2): initial appearances, arraignments, and certain misdemeanor proceedings. The second 

paragraph regulates proceedings that are defined not by an enumerated list, but instead by the more 

inclusive specification that the proceeding be one at which the defendant has a right to be present 

(other than proceedings addressed in the first and third sections, and trial). The third paragraph

addresses pleas and sentencings, where use of conferencing is most restricted, as under the CARES 

Act. Paragraph (e)(4) addresses a court’s authority to use teleconferencing generally. 

The committee note introducing subdivision (e) states: 

Subdivision (e) provides authority for a court to use videoconferencing or 

teleconferencing under specified circumstances after the declaration of a Criminal 

Rules emergency. The term “videoconferencing” is used throughout, rather than 

the term “video teleconferencing” (which appears elsewhere in the rules), to more 

clearly distinguish conferencing with visual images from “teleconferencing” with 

audio only. The first three paragraphs in (e) describe a court’s authority to use 

videoconferencing, depending upon the type of proceeding, while the last describes 

a court’s authority to use teleconferencing when videoconferencing is not 

reasonably available. The defendant’s consent to the use of conferencing 

technology is required for all proceedings addressed by subdivision (e). 

Subdivision (e) applies to the use of videoconferencing and 

teleconferencing for the proceedings defined in paragraphs (1) through (3), for all 

or part of the proceeding, by one or more participants. But it does not regulate the 

use of video and teleconferencing technology for all possible proceedings in a 

criminal case. It does not speak to or prohibit the use of videoconferencing or 

teleconferencing for proceedings, such as scheduling conferences, at which the 

defendant has no right to be present. Instead, it addresses three groups of 

proceedings: (1) proceedings for which the rules already authorize 

videoconferencing; (2) certain other proceedings at which a defendant has the right 

to be present, excluding felony trials; and (3) felony pleas and sentencings. The 

new rule does not address the use of technology to maintain communication with 

a defendant who has been removed from a proceeding for misconduct. 

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2. Paragraph (e)(1): Videoconferencing for Proceedings Under 

Rules 5, 10, 40, and 43(b)(2)

This provision clarifies that the new rule does not change the court’s existing authority to 

use videoconferencing for these proceedings, with one exception. Namely, when emergency 

conditions significantly impair the defendant’s opportunity to consult confidentially with counsel, 

the court must ensure that the defendant will have that opportunity before and during 

videoconference proceedings under Rules 5, 10, 40, and 43(b)(2). 

The committee note explains:

Paragraph (e)(1) addresses first appearances, arraignments, and certain 

misdemeanor proceedings under Rules 5, 10, 40, and 43(b)(2), where the rules 

already provide for videoconferencing if the defendant consents. See Rules 5(f), 

10(c), 40(d), and 43(b)(2) (written consent). This paragraph was included to 

eliminate any confusion about the interaction between existing videoconferencing 

authority and this rule. It clarifies that this rule does not change the court’s existing 

authority to use videoconferencing for these proceedings, except that it requires the 

court to address emergency conditions that significantly impair the defendant’s 

opportunity to consult with counsel. In that situation, the court must ensure that the 

defendant will have an adequate opportunity for confidential consultation before 

and during videoconference proceedings under Rules 5, 10, 40, and 43(b)(2). 

Paragraphs (e)(2) through (4) apply this requirement to all emergency video and 

teleconferencing authority granted by the rule after a declaration. 

The requirement is based upon experience during the COVID-19 pandemic, 

when conditions dramatically limited the ability of counsel to meet or even speak 

with clients. The Committee believed it was essential to include this prerequisite 

for conferencing under Rules 5, 10, 40, and 43(b)(2), as well as conferencing 

authorized only during a declaration by paragraphs (e)(2), (3), and (4), in order to 

safeguard the defendant’s constitutional right to counsel. The rule does not specify 

any particular means of providing an adequate opportunity for private 

communication. 

3. Paragraph (e)(2): Videoconferencing for Certain Proceedings at 

Which the Defendant has a Right to be Present

Paragraph (e)(2) addresses videoconferencing authority for proceedings “at which a 

defendant has a right to be present,” other than trial and the proceedings under (e)(1) and (3). The 

draft note adds that this right to presence might be based on the Constitution, statute, or rule, and 

lists a few examples: revocations of release under Rule 32.1, preliminary hearings under Rule 5.1, 

and waivers of indictment under Rule 7(b).8

 8 The rule leaves it to courts to decide whether the defendant has a right to be present at certain 

proceedings if and when such issues arise. The Advisory Committee had three reasons for using the 

defendant’s right to be present to define the second category of proceedings. First, the primary concern 

raised by conferencing technology was its impact on the defendant’s right to be physically present. There 

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During a Criminal Rules emergency, an affected court may use videoconferencing for these 

proceedings only if three criteria are met. First, subparagraph (e)(2)(A) restricts videoconferencing 

authority to districts in which the chief judge has found that emergency conditions “substantially 

impair a court’s ability to hold” proceedings in person within a reasonable time. Second, the court 

must find the defendant will have an adequate opportunity for confidential consultation with 

counsel before and during the proceeding. Third, the defendant must consent after consulting with 

counsel. The only substantive change to this part of the rule since the Standing Committee last saw 

it is that “substantially impair” replaced “preclude.” 

The committee note states: 

Paragraph (e)(2) addresses videoconferencing authority for proceedings 

“at which a defendant has a right to be present” under the Constitution, statute, or 

rule, excluding felony trials and proceedings addressed in either (e)(1) or (e)(3). 

Such proceedings include, for example, revocations of release under Rule 32.1, 

preliminary hearings under Rule 5.1, and waivers of indictment under Rule 7(b). 

During a declaration, an affected court may use videoconferencing for these 

proceedings, but only if the three circumstances are met.

First, subparagraph (e)(2)(A) restricts videoconferencing authority to 

affected districts in which the chief judge (or alternate under 28 U.S.C. § 136(e)) 

has found that emergency conditions substantially impair a court’s ability to hold 

proceedings in person within a reasonable time. Recognizing that important policy 

concerns animate existing limitations in Rule 43 on virtual proceedings, even with 

the defendant’s consent, this district-wide finding is not an invitation to substitute 

virtual conferencing for in-person proceedings without regard to conditions in a 

particular division, courthouse, or case. If a proceeding can be conducted safely inperson within a reasonable time, a court should hold it in person. 

Second, subparagraph (e)(2)(B) conditions videoconferencing upon the 

court’s finding that the defendant will have an adequate opportunity to consult 

confidentially with counsel before and during the proceeding. If emergency 

conditions prevent the defendant’s presence, and videoconferencing is employed as 

a substitute, counsel will not have the usual physical proximity to the defendant 

during the proceeding and may not have ordinary access to the defendant before 

and after the proceeding. 

Third, subparagraph (e)(2)(C) requires that the defendant consent to 

videoconferencing after consulting with counsel. Insisting on consultation with 

was no need to address the use of conferencing technology at proceedings such as scheduling conferences, 

where the defendant had no right to be present in the first place. Second, this definition should provide 

guidance on the use of conferencing technology during certain proceedings that were not included in the 

enumerated list in the CARES Act, such as suppression hearings. Third, any attempt to enumerate the 

proceedings in which a defendant has a right to be present would have been complicated, because the 

constitutional analysis of that right might depend upon the circumstances of a particular proceeding. Thus, 

it made more sense to define this middle category by referencing the right to presence itself.

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counsel before consent assures that the defendant will be informed of the potential 

disadvantages and risks of virtual proceedings. It also provides some protection 

against potential pressure to consent, from the government or the judge. 

The Committee declined to provide authority in this rule to conduct felony 

trials without the physical presence of the defendant, even if the defendant wishes 

to appear at trial by videoconference during an emergency declaration. And this 

rule does not address the use of technology to maintain communication with a 

defendant who has been removed from a proceeding for misconduct. Nor does it 

address if or when trial participants other than the defendant may appear by 

videoconferencing. 

4. Paragraph (e)(3): Videoconferencing for Pleas and Sentencings

Like the CARES Act, this rule imposes more restrictions on the use of videoconferencing 

at pleas and sentencings than on its use at other proceedings. The chief judge of the district (or 

alternate under 28 U.S.C. § 136(e)) must make a district-wide finding that emergency conditions 

substantially impair a court’s ability to hold felony pleas and sentencings in person in that district. 

In addition, the defendant must affirmatively request—in writing—videoconferencing for a plea 

or sentencing proceeding. And the court must find “that further delay in that particular case would 

cause serious harm to the interests of justice.” This requirement is quite similar to the finding 

required by the CARES Act, which requires that “the district judge in a particular case finds for 

specific reasons that the plea or sentencing in that case cannot be further delayed without serious 

harm to the interests of justice.” Anecdotal accounts suggest that under this language district courts 

are generally limiting the use of videoconferencing in pleas or sentences to the types of cases 

suggested in the committee note. 

Since the last Standing Committee review, the Advisory Committee approved multiple 

refinements to this provision, none of them particularly controversial. To ensure that both (2)(A) 

and (B) are met for videoconferencing a plea or sentence, “and (B)” was added. The parenthetical 

on chief judge succession was deleted as in (e)(2). The term “substantially impair” took the place 

of “preclude.” And “within a reasonable time” was added to be consistent with the standard in 

(2)(A). The Advisory Committee also added to the note some language about ensuring the 

defendant’s consent was knowing and voluntary. 

The committee note now reads: 

Paragraph (e)(3) addresses the use of videoconferencing for a third set of 

proceedings: felony pleas and sentencings under Rules 11 and 32. The physical 

presence of the defendant together in the courtroom with the judge and counsel is 

a critical part of any plea or sentencing proceeding. Other than trial itself, in no 

other context does the communication between the judge and the defendant 

consistently carry such profound consequences. The importance of defendant’s 

physical presence at plea and sentence is reflected in Rules 11 and 32. The 

Committee’s intent was to carve out emergency authority to substitute virtual 

presence for physical presence at a felony plea or sentence only as a last resort, in 

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cases where the defendant would likely be harmed by further delay. Accordingly, 

the prerequisites for using videoconferencing for a felony plea or sentence include 

three circumstances in addition to those required for the use of videoconferencing 

under (e)(2).

 Subparagraph (e)(3)(A) requires that the chief judge of the district (or 

alternate under 28 U.S.C. § 136(e)) make a district-wide finding that emergency 

conditions substantially impair a court’s ability to hold felony pleas and sentencings 

in person in that district within a reasonable time. This finding serves as assurance 

that videoconferencing may be necessary and that individual judges cannot on their 

own authorize virtual pleas and sentencings when in-person proceedings might be 

manageable with patience or adaptation. Although the finding serves as assurance 

that videoconferencing might be necessary in the district, as under (e)(2), individual 

courts within the district may not conduct virtual plea and sentencing proceedings 

in individual cases unless they find the remaining criteria of (e)(3) and (4) are 

satisfied.

 Subparagraph (e)(3)(B) states that the defendant must request in writing that 

the proceeding be conducted by videoconferencing, after consultation with counsel. 

The substitution of “request” for “consent” was deliberate, as an additional 

protection against undue pressure to waive physical presence. This requirement of 

writing is, like other requirements of writing in the rules, subject to the emergency 

provisions in (d)(2), unless the relevant emergency declaration excludes the 

authority in (d)(2). To ensure that the defendant consulted with counsel with regard 

to this decision, and that the defendant’s consent was knowing and voluntary, the 

court may need to conduct a colloquy with the defendant before accepting the 

written request.

 Subparagraph (e)(3)(C) requires that before a court may conduct a plea or 

sentencing proceeding by videoconference, it must find that the proceeding in that 

particular case cannot be further delayed without serious harm to the interests of 

justice. Examples may include some pleas and sentencings that would allow 

transfer to a facility preferred by the defense, or result in immediate release, home 

confinement, probation, or a sentence shorter than the time expected before 

conditions would allow in-person proceedings. A judge might also conclude that 

under certain emergency conditions, delaying certain guilty pleas under 

Rule 11(c)(1)(C), even those calling for longer sentences, may result in serious 

harm to the interests of justice.

5. Paragraph (e)(4): Teleconferencing by One or More Participants

Paragraph (e)(4) regulates the use of teleconferencing for proceedings that a court could 

conduct by videoconference. The Advisory Committee concluded that the rule should carefully 

limit a court’s authority to allow audio-only participation, given the patent superiority of video 

proceedings. The four requirements for the use of teleconferencing reflect this policy. Those 

requirements are generally the same as those in the version of the draft rule reviewed by the 

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Standing Committee at its last meeting, namely: fulfillment of the requirements for 

videoconferencing for the proceeding; a finding regarding the unavailability of videoconferencing; 

some assurance that the defendant and defense counsel will have an adequate opportunity to 

consult confidentially; and the defendant’s consent. But the Advisory Committee made several 

changes in response to questions raised by Standing Committee members, the style consultants, 

and other readers. 

a. Scope: Audio-Only for One or All

The Advisory Committee revised the text of the rule and the note to clarify the provision’s 

scope. The Advisory Committee agreed that the conditions for teleconferencing should apply not 

only when a court decides in advance that everyone will participate by phone, but also when one 

or more participants do so in proceeding otherwise conducted by videoconference. Frequently 

during the pandemic, at least one participant in a proceeding held by videoconference would be 

unable to either connect or continue by video, and would have to resort to audio-only participation.

The Advisory Committee concluded that the protections in (e)(4) were essential for this situation

as well as those where all participants will participate by telephone. 

To that end, the Advisory Committee revised both the text and the note. In introducing the 

enumerated requirements, it added “A court may conduct a proceeding, in whole or in part, by 

teleconferencing if . . . .” The introductory section of the note includes the policy that underlies 

the provisions on teleconferencing: “Videoconferencing is always a better option than an audioonly conference because it allows participants to see as well as hear each other. To ensure that 

participants communicate through audio alone only when videoconferencing is not feasible, (e)(4) 

sets out four prerequisites.” 

The Advisory Committee also revised, as noted below, the requirement in (e)(4)(B)(i) that 

videoconferencing for the proceeding not be reasonably available “for any person who would 

participate by teleconference.” 

A third change was made after the Advisory Committee meeting, responding to the style 

consultants’ review of the draft rule text. They pointed out that the caption of (e)(4) might not fully 

describe its contents, as it could be read as applying only to proceedings conducted entirely by 

phone, as opposed to proceedings where only some participants are audio-only. To clarify this 

point, the caption of (e)(4) was changed from “Teleconferencing” to “Teleconferencing by One or 

More Participants.” The style consultants approved this change. 

An addition to the committee note on this point is also bracketed for consideration by the 

Standing Committee on lines 562-67, in the paragraph introducing (e)(4). The suggested addition

explains the “in whole or in part” language, and emphasizes that the provision regulates individual 

audio-only participation in videoconferences as well as proceedings conducted by phone from start 

to finish. It reads: “Because the rule applies to teleconferencing ‘in whole or in part,’ it mandates 

these prerequisites whenever the entire proceeding is held by teleconference from start to finish, 

or when one or more participants in the proceeding are connected by audio only, for part or all of 

a proceeding.” Although this addition drafted in response to the expressed by the style consultants 

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and has never been reviewed by Advisory Committee members, the reporters and the chairs of 

both the Advisory Committee and the Rule 62 Subcommittee believe it would be helpful. 

The word “participate” is important in all of these additions. The Advisory Committee

intended to limit the scope of the provision to those who “participate” in the proceeding in some 

way, and to clarify that observers and others who are not “participating” in the proceeding may 

connect by audio-only without the judge having to satisfy the requirements in (e)(4). Indeed, the 

earlier inclusion in Rule 62 of paragraph (d)(1) recognizes the constitutional mandate to provide 

observers access to public proceedings, and the Advisory Committee anticipated that this access 

might be provided as audio-only connection to a videoconference. The Advisory Committee chose 

not to attempt to define who is a participant in these proceedings, concluding that the word is selfexplanatory as used here. The word would clearly include the judge, any defendant, the parties’ 

attorneys, and any witnesses. But it would not include observers or court personnel who may be 

on the call but do not speak on the record. 

Finally, the reporters and chair have included the bracketed language on lines 402-05 as a 

possible addition to the committee note introducing the videoconferencing provisions. After the 

Advisory Committee concluded its review of the draft rule and note, the reporters and chair 

recognized that, although the Advisory Committee had added language clarifying that the 

teleconferencing requirements apply whenever one or more person participates by audio-only, for 

all or part of the proceeding, no similar language appeared in the videoconferencing provisions. 

This might suggest that the Advisory Committee did not intend the videoconferencing provisions 

to apply to only part of a proceeding or less than all of its participants. If the Standing Committee 

agrees with that concern, one option to remove any ambiguity for those who will review the 

videoconferencing provisions during the comment period would be to add the bracketed language 

to the note. 

b. Prerequisites for Teleconferencing: (e)(4)(A)—Cumulative to

Videoconferencing Requirements

The first prerequisite for teleconferencing—that the requirements for videoconference for 

the particular proceeding must have been met—was a point lost on some readers of earlier versions. 

Several readers did not realize that the requirements for videoconferencing for pleas and 

sentencings applied, for example, when a felony plea or sentencing proceeding involved 

teleconferencing. To clarify this point, the language about requirements for videoconferencing was 

placed in its own separate subparagraph (A). 

The Advisory Committee also added the language “any rule, including” before “this rule” 

to recognize that not only Rule 62(e)(1) through (3), but also Rules 5, 10, 40, and 43(b)(2) imposed 

requirements for videoconferencing that must be met before teleconferencing is authorized. The 

subcommittee had assumed that, by addressing these proceedings in (e)(1), readers of the rule 

would know that the requirements in Rules 5, 10, 40, and 43(b)(2) were incorporated into the term 

“this rule.” The Advisory Committee disagreed with that assumption. A reference to “this rule” in 

(e)(4) would not, in the view of many members, incorporate the requirements for 

videoconferencing imposed by rules other than Rule 62. After debating how best to make this 

clear, the Advisory Committee decided not to enumerate Rules 5, 10, 40, and 43(b)(2) in the text 

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of (e)(4)(A). Instead the Advisory Committee employed a generic reference “any rule, including 

this rule[,]” which replicated the language used earlier in (d)(2). This approach also avoids the 

need to amend the rule later if additional requirements for videoconferencing are added to any of 

the existing rules. For the same reason, the Advisory Committee considered and rejected a 

suggestion to list Rules 5, 10, 40, and 43(b)(2) in the note. A further addition to the committee 

note focused on the example of a proceeding under Rule 43(b)(2), which is the only rule among 

those addressed by (e)(1) that has a requirement for videoconferencing other than defendant’s 

consent. 

Finally, following the Advisory Committee meeting, Judge Bates raised a concern that the 

language “any rule” does not literally mean any rule, because different rules have different 

requirements for videoconferencing. For example, Rule 5 requires only the defendant’s consent, 

but Rule 43(b)(2) requires that the proceeding involve a misdemeanor punishable by fine or by 

imprisonment for not more than one year, or both, and that the defendant consent in writing. Judge 

Bates suggested that the Advisory Committee meant only an “applicable” rule. To clarify this 

point, “applicable” appears in brackets as an addition for the Standing Committee consideration. 

The style consultants reviewed and did not object to this addition and the reporters, the 

subcommittee chair, and the Advisory Committee chair all agree it is a helpful change. 

The committee note for (e)(4)(A) includes further explanation: 

[A]ll of the conditions for the use of videoconferencing for the proceeding must be 

met before a court may conduct a proceeding, in whole or in part, by audio-only. 

For example, videoconferencing for a sentencing under Rule 32 requires 

compliance with (e)(3)(A), (B), and (C). No part of a felony sentencing proceeding 

may be held by teleconference, nor may any person participate in such a proceeding 

by audio only, unless those videoconferencing requirements have been met. 

Likewise, for a misdemeanor proceeding, teleconferencing requires compliance 

with (e)(1) and Rule 43(b)(2).

c. Prerequisites for Teleconferencing: (e)(4)(B)(i)—

Videoconferencing Unavailable 

The second of the four prerequisites for teleconferencing is a finding by the judge that 

“videoconferencing is not reasonably available for any person who would participate by 

teleconference.” 

The “not reasonably available” standard was suggested by a member of the Standing 

Committee. The Advisory Committee agreed and substituted it for “not available within a 

reasonable time.” It provides flexibility and has proven workable in some districts during the 

pandemic.

To clarify the application of the provision in situations where not all participants are by 

phone, the Advisory Committee added a requirement that the court find that videoconferencing for 

the proceeding “is not reasonably available for any person who would participate by 

teleconference[.]” This was the subject of considerable discussion. As noted earlier, the language 

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in the draft was intended to provide guidance and flexibility for substituting audio for video access 

at any stage or by any participant, while at the same time mandating a finding of video 

unavailability for any participants who would be audio-only. Various simpler alternatives (e.g., 

“for any participant,” “for all participants,” “for one or more participants”) were rejected. Those 

alternatives did not focus the finding of unavailability on any person(s) who are unable to connect 

by video and would participate by phone instead. Members were also concerned that one person’s 

inability to connect by video should not mean that everyone should participate by telephone. The 

Advisory Committee was committed to the principle that teleconferencing was a far inferior option 

that should be used only to the extent necessary. But it also did not want to suggest that

teleconferencing for some participants would be authorized only when everyone cannot use video.

The note further explains: 

[Item] (e)(4)(B)(i) requires the court to find that videoconferencing for all 

or part of the proceeding is not reasonably available before allowing participation 

by audio only. Because it focuses on what is “reasonably available,” this 

requirement is flexible. It is intended to allow courts to use audio only connections 

when necessary, but not otherwise. For example, it precludes the use of 

teleconferencing alone if videoconferencing—though generally limited—is 

available for all participants in a particular proceeding. But it permits the use of 

teleconferencing in other circumstances. For example, if only an audio connection 

with a defendant were feasible because of security concerns at the facility where 

the defendant is housed, a court could find that videoconferencing for that 

defendant in the particular proceeding is not reasonably available. Or, if the video 

connection fails for one or more participants during a proceeding started by 

videoconference and audio is the only option for completing that proceeding 

expeditiously, this rule permits the affected participants to use audio technology to 

finish the proceeding. 

d. Prerequisites for Teleconferencing: (e)(4)(B)(ii)—Finding of 

Adequate Opportunity for Confidential Consultation

Item (e)(4)(B)(ii) requires the judge to find that the defendant will have an adequate 

opportunity to consult confidentially with counsel before and during a proceeding involving 

teleconferencing. The Advisory Committee recognized that, even though (e)(4)(A) requires a 

finding that confidential consultation would have been possible if the proceeding had been

conducted by videoconference, additional accommodations might be necessary to assure 

confidential consultation for a telephone conference. For example, when the video fails and the 

only telephone line available to the defendant or defense counsel is the line required for 

teleconferencing, the court must take additional steps to provide the opportunity for confidential 

consultation. This was a major concern of the judges and practitioners who discussed their 

experiences at the miniconference. 

The version approved by the Advisory Committee at the meeting did not include the words 

“an adequate” before “opportunity.” Instead of “have an adequate opportunity to consult,” the 

version the Advisory Committee approved read “have the opportunity to consult.” This change 

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appears to have been an unintentional error. No one at the meeting noticed or mentioned, much 

less discussed, the inconsistency with other portions of the rule that required “an adequate 

opportunity” to consult counsel. There was some discussion about simplifying (e)(4) generally, 

and a specific discussion about simplifying the subparagraph (C) on consent that followed, but a 

review of the meeting by the reporters revealed that no one noticed the change that had been made 

here. There is no basis for phrasing this point differently here than elsewhere.9 We have not 

revisited this issue with the full Advisory Committee, so the words “an adequate” are in brackets 

in the draft presented for Standing Committee’s consideration. 

The committee note reads:

[Item] (e)(4)(B)(ii) provides that the court must find the defendant will have 

an adequate opportunity to consult confidentially with counsel before and during 

the teleconferenced proceeding. Opportunities for confidential consultation may be 

more limited with teleconferencing than they are with videoconferencing as when 

a defendant or a defense attorney has only one telephone line to use to call into the 

conference, and there are no “break out rooms” for private conversations like those 

videoconferencing platforms provide. This situation may arise not only when a 

proceeding is held entirely by phone, but also when, in the midst of a 

videoconference, video communication fails for either the defendant or defense 

counsel. Attorney or client may have to call into the conference using the devices 

they had previously been using for confidential communication. Experiences like 

these prompted this requirement that the court specifically find that an alternative 

opportunity for confidential consultation is in place before permitting 

teleconferencing in whole or in part. 

e. Prerequisites for Teleconferencing: (e)(4)C)—Consent by the 

Defendant

The last requirement for permitting teleconferencing by one or more participants is the 

defendant’s consent. The Advisory Committee concluded that prior consent or written request for 

videoconferencing does not necessarily suffice as consent for teleconferencing. It discussed several 

examples of situations where a defendant might very well consent to videoconference but not to a 

proceeding in which at least some participants must appear by audio only. These examples 

included situations when the defendant has no video connection but others do, when the judge’s 

video fails in a sentencing, and when defense counsel’s video is unavailable during a plea 

proceeding. The Advisory Committee also considered alternatives for modifying this provision so 

that it did not require that the court insist on consultation with counsel before accepting the 

defendant’s consent when the need for reverting to audio-only arose in the midst of a 

videoconference (for example, providing for “the opportunity” to consult instead). Ultimately, the 

 9 Moreover, because the reporters had not yet realized that “an adequate” had been deleted, they 

included these words in the version purporting to be what the Advisory Committee adopted at the meeting, 

which they circulated to the Advisory Committee along with the note changes to (e)(4). No one responding

raised this issue. 

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Advisory Committee decided to remove the words “after consultation with counsel” from this 

particular provision. 

The committee note explains: 

Finally, recognizing the differences between videoconferencing and 

teleconferencing, subparagraph (e)(4)(C) provides that the defendant must consent 

to teleconferencing for the proceeding, even if the defendant previously requested 

or consented to videoconferencing. A defendant who is willing to be sentenced with 

a videoconference connection with the judge may balk, understandably, at being 

sentenced over the phone. Subparagraph (e)(4)(C) does not require that consent to 

teleconferencing be given only after consultation with counsel. By requiring only 

“consent,” it recognizes that the defendant would have already met the consent 

requirements for videoconferencing for that proceeding, and it allows the court 

more flexibility to address varied situations. To give one example, if the video but 

not audio feed drops for the defendant or another participant near the very end of a 

videoconference, and the judge asks the defendant, “do you want to talk to your 

lawyer about finishing this now without the video?,” an answer “No, I’m ok, we 

can finish now” would be sufficient consent under (e)(4)(C).

IV. 2254 and 2255 Rules

After consulting experienced petitioners’ counsel, states’ attorneys, and the Department of 

Justice, and reviewing research by the reporters and the Rules Law Clerk, the Rule 62 

Subcommittee recommended that an emergency rule was not needed for the rules used in 

Section 2254 and Section 2255 proceedings. At its May meeting, the Advisory Committee agreed 

unanimously with the subcommittee’s recommendation.

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PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF CRIMINAL PROCEDURE1

1 Rule 62. Criminal Rules Emergency

2 (a) Conditions for an Emergency. The Judicial 

3 Conference of the United States may declare a 

4 Criminal Rules emergency if it determines that:

5 (1) extraordinary circumstances relating to public 

6 health or safety, or affecting physical or 

7 electronic access to a court, substantially impair 

8 the court’s ability to perform its functions in 

9 compliance with these rules; and 

10 (2) no feasible alternative measures would 

11 sufficiently address the impairment within a 

12 reasonable time.

13 (b) Declaring an Emergency.

14 (1) Content. The declaration must: 

15 (A) designate the court or courts affected; 

1 New material is underlined in red.

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2 FEDERAL RULES OF CRIMINAL PROCEDURE

16 (B) state any restrictions on the authority 

17 granted in (d) and (e); and

18 (C) be limited to a stated period of no more 

19 than 90 days. 

20 (2) Early Termination. The Judicial Conference 

21 may terminate a declaration for one or more 

22 courts before the termination date.

23 (3) Additional Declarations. The Judicial 

24 Conference may issue additional declarations 

25 under this rule.

26 (c) Continuing a Proceeding After a Termination.

27 Termination of a declaration for a court ends its authority 

28 under (d) and (e). But if a particular proceeding is already 

29 underway and resuming compliance with these rules for the 

30 rest of the proceeding would not be feasible or would work 

31 an injustice, it may be completed with the defendant’s 

32 consent as if the declaration had not terminated. 

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FEDERAL RULES OF CRIMINAL PROCEDURE 3 

33 (d) Authorized Departures from These Rules After a 

34 Declaration.

35 (1) Public Access to a Proceeding. If emergency 

36 conditions substantially impair the public’s 

37 in-person attendance at a public proceeding, 

38 the court must provide reasonable alternative 

39 access, contemporaneous if feasible.

40 (2) Signing or Consenting for a Defendant. If 

41 any rule, including this rule, requires a 

42 defendant’s signature, written consent, or 

43 written waiver—and emergency conditions 

44 limit a defendant’s ability to sign—defense 

45 counsel may sign for the defendant if the 

46 defendant consents on the record. Otherwise, 

47 defense counsel must file an affidavit 

48 attesting to the defendant’s consent. If the 

49 defendant is pro se, the court may sign for the 

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4 FEDERAL RULES OF CRIMINAL PROCEDURE

50 defendant if the defendant consents on the 

51 record. 

52 (3) Alternate Jurors. A court may impanel more 

53 than 6 alternate jurors.

54 (4) Correcting or Reducing a Sentence. Despite 

55 Rule 45(b)(2), if emergency conditions 

56 provide good cause, a court may extend the 

57 time to take action under Rule 35 as 

58 reasonably necessary.

59 (e) Authorized Use of Videoconferencing and 

60 Teleconferencing After a Declaration.

61 (1) Videoconferencing for Proceedings 

62 Under Rules 5, 10, 40, and 43(b)(2).

63 This rule does not modify a court’s 

64 authority to use videoconferencing 

65 for a proceeding under Rules 5, 10, 

66 40, or 43(b)(2), except that if 

67 emergency conditions substantially 

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FEDERAL RULES OF CRIMINAL PROCEDURE 5 

68 impair the defendant’s opportunity to 

69 consult with counsel, the court must 

70 ensure that the defendant will have an 

71 adequate opportunity to do so

72 confidentially before and during 

73 those proceedings. 

74 (2) Videoconferencing for Certain 

75 Proceedings at Which the Defendant 

76 Has a Right to Be Present. Except for 

77 felony trials and as otherwise 

78 provided under (e)(1) and (3), for a 

79 proceeding at which a defendant has 

80 a right to be present, a court may use 

81 videoconferencing if: 

82 (A) the district’s chief judge finds 

83 that emergency conditions 

84 substantially impair a court’s 

85 ability to hold in-person 

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6 FEDERAL RULES OF CRIMINAL PROCEDURE

86 proceedings in the district 

87 within a reasonable time;

88 (B) the court finds that the 

89 defendant will have an 

90 adequate opportunity to 

91 consult confidentially with 

92 counsel before and during the 

93 proceeding; and 

94 (C) the defendant consents after 

95 consulting with counsel.

96 (3) Videoconferencing for Felony Pleas 

97 and Sentencings. For a felony 

98 proceeding under Rule 11 or 32, a 

99 court may use videoconferencing 

100 only if, in addition to the requirement 

101 in (2)(B): 

102 (A) the district’s chief judge finds 

103 that emergency conditions 

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FEDERAL RULES OF CRIMINAL PROCEDURE 7 

104 substantially impair a court’s 

105 ability to hold in-person 

106 felony pleas and sentencings 

107 in the district within a 

108 reasonable time;

109 (B) the defendant, after consulting 

110 with counsel, requests in a 

111 writing signed by the 

112 defendant that the proceeding 

113 be conducted by 

114 videoconferencing; and

115 (C) the court finds that further 

116 delay in that particular case 

117 would cause serious harm to 

118 the interests of justice.

119 (4) Teleconferencing by One or More 

120 Participants. A court may conduct a 

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8 FEDERAL RULES OF CRIMINAL PROCEDURE

121 proceeding, in whole or in part, by 

122 teleconferencing if: 

123 (A) the requirements under any 

124 applicable rule, including this 

125 rule, for conducting the 

126 proceeding by 

127 videoconferencing have been 

128 met;

129 (B) the court finds that: 

130 (i) videoconferencing is 

131 not reasonably 

132 available for any 

133 person who would 

134 participate by 

135 teleconference; and

136 (ii) the defendant will 

137 have an adequate

138 opportunity to consult 

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FEDERAL RULES OF CRIMINAL PROCEDURE 9 

139 confidentially with 

140 counsel before and 

141 during the proceeding 

142 if held by 

143 teleconference; and

144 (C) the defendant consents. 

Committee Note

Subdivision (a). This rule defines the conditions for 

a Criminal Rules emergency that would support a 

declaration authorizing a court to depart from one or more of 

the other Federal Rules of Criminal Procedure. Rule 62 

refers to the other, non-emergency rules—currently Rules 1-

61—as “these rules.” This committee note uses “these rules” 

or “the rules” to refer to the non-emergency rules, and uses 

“this rule” or “this emergency rule” to refer to new Rule 62. 

The rules have been promulgated under the Rules 

Enabling Act and carefully designed to protect constitutional 

and statutory rights and other interests. Any authority to 

depart from the rules must be strictly limited. Compliance 

with the rules cannot be cast aside because of cost or 

convenience, or without consideration of alternatives that 

would permit compliance to continue. Subdivision (a) 

narrowly restricts the conditions that would permit a 

declaration granting emergency authority to depart from the 

rules and defines who may make that declaration. 

First, subdivision (a) specifies that the power to 

declare a rules emergency rests solely with the Judicial 

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10 FEDERAL RULES OF CRIMINAL PROCEDURE

Conference of the United States, the governing body of the 

judicial branch. To find that a rules emergency exists, the 

Judicial Conference will need information about the ability 

of affected courts to comply with the rules, as well as the 

existence of reasonable alternatives to continue court 

functions in compliance with the rules. The judicial council 

of a circuit, for example, may be able to provide helpful 

information it has received from judges within the circuit 

regarding local conditions and available resources.

Paragraph (a)(1) requires that before declaring a 

Criminal Rules emergency, the Judicial Conference must 

determine that circumstances are extraordinary and that they 

relate to public health or safety or affect physical or 

electronic access to a court. These requirements are intended 

to prohibit the use of this emergency rule to respond to other 

challenges, such as those arising from staffing or budget 

issues. Second, those extraordinary circumstances must

substantially impair the ability of a court to perform its 

functions in compliance with the rules. 

In addition, paragraph (a)(2) requires that even if the 

Judicial Conference determines the extraordinary 

circumstances defined in (a)(1), it cannot declare a Criminal 

Rules emergency unless it also determines that no feasible 

alternative measures would sufficiently address the 

impairment and allow the affected court to perform its 

functions in compliance with the rules within a reasonable 

time. For example, in the districts devastated by hurricanes 

Katrina and Maria, the ability of courts to function in 

compliance with the rules was substantially impaired for 

extensive periods of time. But there would have been no 

Criminal Rules emergency under this rule because those 

districts were able to remedy that impairment and function 

effectively in compliance with the rules by moving 

proceedings to other districts under 28 U.S.C. § 141. 

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FEDERAL RULES OF CRIMINAL PROCEDURE 11

Another example might be a situation in which the judges in 

a district are unable to carry out their duties as a result of an 

emergency that renders them unavailable, but courthouses 

remain safe. The unavailability of judges would 

substantially impair that court’s ability to function in 

compliance with the rules, but temporary assignment of 

judges from other districts under 28 U.S.C. § 292(b) and (d) 

would eliminate that impairment.

Subdivision (a) also recognizes that emergency 

circumstances may affect only one or a small number of 

courts—familiar examples include hurricanes, floods, 

explosions, or terroristic threats—or may have widespread 

impact, such as a pandemic or a regional disruption of 

electronic communications. This rule provides a uniform 

procedure that is sufficiently flexible to accommodate 

different types of emergency conditions with local, regional, 

or nationwide impact. 

Paragraph (b)(1). Paragraph (b)(1) specifies what 

must be included in a declaration of a Criminal Rules 

emergency. Subparagraph (A) requires that each declaration 

of a Criminal Rules emergency designate the court or courts 

affected by the Criminal Rules emergency as defined in 

subdivision (a). Some emergencies may affect all courts, 

some will be local or regional. The declaration must be no 

broader than the Criminal Rules emergency. That is, every

court identified in a declaration must be one in which 

extraordinary circumstances that relate to public health or 

safety or that affect physical or electronic access to the court 

are substantially impairing its ability to perform its functions 

in compliance with these rules, and in which compliance 

with the rules cannot be achieved within a reasonable time 

by alternative measures. A court may not exercise authority 

under (d) and (e) unless the Judicial Conference includes the 

court in its declaration, and then only in a manner consistent 

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12 FEDERAL RULES OF CRIMINAL PROCEDURE

with that declaration, including any limits imposed under 

(b)(1)(B).

Subparagraph (b)(1)(B) provides that the Judicial 

Conference’s declaration of a Criminal Rules emergency 

must state any restrictions on the authority granted by 

subdivisions (d) and (e) to depart from the rules. For 

example, if the emergency arises from a disruption in 

electronic communications, there may be no reason to 

authorize videoconferencing for proceedings in which the 

rules require in-person appearance. But (b)(1)(B) does not 

allow a declaration to expand departures from the rules

beyond those authorized by subdivisions (d) and (e). 

Under (b)(1)(C), each declaration must state when it 

will terminate, which may not exceed 90 days from the date 

of the declaration. This sunset clause is included to ensure 

that these extraordinary deviations from the rules last no 

longer than necessary. 

Paragraph (b)(2). If emergency conditions end 

before the termination date of the declaration for some or all 

courts included in that declaration, (b)(2) provides that the 

Judicial Conference may terminate the declaration for the 

courts no longer affected. This provision also ensures that 

any authority to depart from the rules lasts no longer than 

necessary.

Paragraph (b)(3) recognizes that the conditions that 

justified the declaration of a Criminal Rules emergency may 

continue beyond the term of the declaration. The conditions 

may also change, shifting in nature or affecting more 

districts. An example might be a flood that leads to a 

contagious disease outbreak. Rather than provide for 

extensions, renewals, or modifications of an initial 

declaration, paragraph (b)(3) gives the Judicial Conference 

Preliminary Draft | August 2021 Page 86 of 327
FEDERAL RULES OF CRIMINAL PROCEDURE 13

the authority to respond to such situations by issuing 

additional declarations. Each additional declaration must 

meet the requirements of subdivision (a), and must include 

the contents required by (b)(1). 

Subdivision (c). In general, the termination of a 

declaration of emergency ends all authority to depart from 

the other Federal Rules of Criminal Procedure. It does not 

terminate, however, the court’s authority to complete an 

ongoing trial with alternate jurors who have been impaneled 

under (d)(3), because the proceeding authorized by (d)(3) is 

the completed impanelment. In addition, subdivision (c) 

carves out a narrow exception for certain proceedings 

commenced under a declaration of emergency but not 

completed before the declaration terminates. If it would not 

be feasible to conclude a proceeding commenced before a 

declaration terminates with procedures that comply with the 

rules, or if resuming compliance with the rules would work 

an injustice, the court may complete that proceeding using 

procedures authorized by this emergency rule, but only if the 

defendant consents to the use of emergency procedures after 

the declaration ends. Subdivision (c) recognizes the need for 

some accommodation and flexibility during the transition 

period, but also the importance of returning promptly to the 

rules to protect the defendant’s rights and other interests.

Subdivisions (d) and (e) describe the authority to

depart from the rules after a declaration.

Paragraph (d)(1) addresses the courts’ obligation to 

provide alternative access when emergency conditions have 

substantially impaired in-person attendance by the public at 

public proceedings. The term “public proceeding” was 

intended to capture proceedings that the rules require to be 

conducted “in open court,” proceedings to which a victim 

must be provided access, and proceedings that must be open 

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14 FEDERAL RULES OF CRIMINAL PROCEDURE

to the public under the First and Sixth Amendments. The rule 

creates a duty to provide the public, including victims, with 

“reasonable alternative access,” notwithstanding Rule 53’s 

ban on the “broadcasting of judicial proceedings.” Under 

appropriate circumstances, the reasonable alternative could 

be audio access to a video proceeding. 

The duty arises only when the substantial impairment 

of in-person access by the public is caused by emergency 

conditions. The rule does not apply when reasons other than 

emergency conditions restrict access. The duty arises not 

only when emergency conditions substantially impair the 

attendance of anyone, but also when conditions would allow 

participants but not the public to attend, as when capacity 

must be restricted to prevent contagion. 

Alternative access must be contemporaneous when 

feasible. For example, if public health conditions limit 

courtroom capacity, contemporaneous transmission to an 

overflow courthouse space ordinarily could be provided. 

Paragraph (d)(2) recognizes that emergency 

conditions may disrupt compliance with a rule that requires 

the defendant’s signature, written consent, or written waiver. 

If emergency situations limit the defendant’s ability to sign, 

(d)(2) provides an alternative, allowing defense counsel to 

sign if the defendant consents. To ensure that there is a 

record of the defendant’s consent to this procedure, the 

amendment provides two options: (1) defense counsel may 

sign for the defendant if the defendant consents on the 

record, or, (2) without the defendant’s consent on the record, 

defense counsel must file an affidavit attesting to the 

defendant’s consent to the procedure. The defendant’s oral 

agreement on the record alone will not substitute for the 

defendant’s signature. The written document signed by 

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FEDERAL RULES OF CRIMINAL PROCEDURE 15

counsel on behalf of the defendant provides important 

additional evidence of the defendant’s consent. 

The court may sign for a pro se defendant, if that 

defendant consents on the record. There is no provision for 

the court to sign for a counseled defendant, even if the 

defendant provides consent on the record. The Committee 

concluded that rules requiring the defendant’s signature, 

written consent or written waiver protect important rights, 

and permitting the judge to bypass defense counsel and sign 

once the defendant agrees could result in a defendant

perceiving pressure from the judge to sign. Requiring a 

writing from defense counsel is an essential protection when 

the defendant’s own signature is not reasonably available 

because of emergency conditions. 

It is generally helpful for the court to conduct a 

colloquy with the defendant to ensure that defense counsel 

consulted with the defendant with regard to the substance 

and import of the pleading or document being signed, and 

that the consent to allow counsel to sign was knowing and 

voluntary. 

Paragraph (d)(3) allows the court to impanel more 

than six alternate jurors, creating an emergency exception to 

the limit imposed by Rule 24(c)(1). This flexibility may be 

particularly useful for a long trial conducted under 

emergency conditions—such as a pandemic—that increase 

the likelihood that jurors will be unable to complete the trial. 

Because it is not possible to anticipate all of the situations in 

which this authority might be employed, the amendment 

leaves to the discretion of the district court whether to 

impanel more alternates, and if so, how many. The same 

uncertainty about emergency conditions that supports 

flexibility in the rule for the provision of additional 

alternates also supports avoiding mandates for additional 

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16 FEDERAL RULES OF CRIMINAL PROCEDURE

peremptory challenges when more than six alternates are 

provided. Nonetheless, if more than six alternates are 

impaneled and emergency conditions allow, the court should 

consider permitting each party one or more additional 

peremptory challenges, consistent with the policy in 

Rule 24(c)(4).

Paragraph (d)(4) provides an emergency exception 

to Rule 45(b)(2), which prohibits the court from extending 

the time to take action under Rule 35 “except as stated in that 

rule.” When emergency conditions provide good cause for 

extending the time to take action under Rule 35, the 

amendment allows the court to extend the time for taking 

action “as reasonably necessary.” The amendment allows the 

court to extend the 14-day period for correcting a clear error 

in the sentence under Rule 35(a) and the one-year period for 

government motions for sentence reductions based on 

substantial assistance under Rule 35(b)(1). Nothing in this 

provision is intended to expand the authority to correct or 

reduce a sentence under Rule 35. This emergency rule does 

not address the extension of other time limits because 

Rule 45(b)(1) already provides the necessary flexibility for 

courts to consider emergency circumstances. It allows the 

court to extend the time for taking other actions on its own 

or on a party’s motion for good cause shown. 

Subdivision (e) provides authority for a court to use 

videoconferencing or teleconferencing under specified 

circumstances after the declaration of a Criminal Rules 

emergency. The term “videoconferencing” is used 

throughout, rather than the term “video teleconferencing” 

(which appears elsewhere in the rules), to more clearly 

distinguish conferencing with visual images from 

“teleconferencing” with audio only. The first three 

paragraphs in (e) describe a court’s authority to use 

videoconferencing, depending upon the type of proceeding, 

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FEDERAL RULES OF CRIMINAL PROCEDURE 17

while the last describes a court’s authority to use 

teleconferencing when videoconferencing is not reasonably 

available. The defendant’s consent to the use of 

conferencing technology is required for all proceedings 

addressed by subdivision (e). 

Subdivision (e) applies to the use of 

videoconferencing and teleconferencing for the proceedings 

defined in paragraphs (1) through (3), for all or part of the 

proceeding, by one or more participants. But it does not 

regulate the use of video and teleconferencing technology 

for all possible proceedings in a criminal case. It does not 

speak to or prohibit the use of videoconferencing or 

teleconferencing for proceedings, such as scheduling 

conferences, at which the defendant has no right to be 

present. Instead, it addresses three groups of proceedings: (1) 

proceedings for which the rules already authorize 

videoconferencing; (2) certain other proceedings at which a 

defendant has the right to be present, excluding felony trials; 

and (3) felony pleas and sentencings. The new rule does not 

address the use of technology to maintain communication 

with a defendant who has been removed from a proceeding 

for misconduct. 

Paragraph (e)(1) addresses first appearances, 

arraignments, and certain misdemeanor proceedings under 

Rules 5, 10, 40, and 43(b)(2), where the rules already 

provide for videoconferencing if the defendant consents. See

Rules 5(f), 10(c), 40(d), and 43(b)(2) (written consent). This 

paragraph was included to eliminate any confusion about the 

interaction between existing videoconferencing authority 

and this rule. It clarifies that this rule does not change the 

court’s existing authority to use videoconferencing for these 

proceedings, except that it requires the court to address 

emergency conditions that significantly impair the 

defendant’s opportunity to consult with counsel. In that 

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18 FEDERAL RULES OF CRIMINAL PROCEDURE

situation, the court must ensure that the defendant will have 

an adequate opportunity for confidential consultation before 

and during videoconference proceedings under Rules 5, 10, 

40, and 43(b)(2). Paragraphs (e)(2) through (4) apply this 

requirement to all emergency video and teleconferencing 

authority granted by the rule after a declaration. 

The requirement is based upon experience during the 

COVID-19 pandemic, when conditions dramatically limited 

the ability of counsel to meet or even speak with clients. The 

Committee believed it was essential to include this 

prerequisite for conferencing under Rules 5, 10, 40, and 

43(b)(2), as well as conferencing authorized only during a 

declaration by paragraphs (e)(2), (3), and (4), in order to 

safeguard the defendant’s constitutional right to counsel. 

The rule does not specify any particular means of providing 

an adequate opportunity for private communication. 

Paragraph (e)(2) addresses videoconferencing 

authority for proceedings “at which a defendant has a right 

to be present” under the Constitution, statute, or rule, 

excluding felony trials and proceedings addressed in either 

(e)(1) or (e)(3). Such proceedings include, for example, 

revocations of release under Rule 32.1, preliminary hearings 

under Rule 5.1, and waivers of indictment under Rule 7(b). 

During a declaration, an affected court may use 

videoconferencing for these proceedings, but only if the 

three circumstances are met.

First, subparagraph (e)(2)(A) restricts 

videoconferencing authority to affected districts in which the 

chief judge (or alternate under 28 U.S.C. § 136(e)) has found 

that emergency conditions substantially impair a court’s 

ability to hold proceedings in person within a reasonable 

time. Recognizing that important policy concerns animate 

existing limitations in Rule 43 on virtual proceedings, even 

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FEDERAL RULES OF CRIMINAL PROCEDURE 19

with the defendant’s consent, this district-wide finding is not 

an invitation to substitute virtual conferencing for in-person 

proceedings without regard to conditions in a particular 

division, courthouse, or case. If a proceeding can be 

conducted safely in-person within a reasonable time, a court 

should hold it in person. 

Second, subparagraph (e)(2)(B) conditions 

videoconferencing upon the court’s finding that the 

defendant will have an adequate opportunity to consult 

confidentially with counsel before and during the 

proceeding. If emergency conditions prevent the defendant’s 

presence, and videoconferencing is employed as a substitute, 

counsel will not have the usual physical proximity to the 

defendant during the proceeding and may not have ordinary 

access to the defendant before and after the proceeding.

Third, subparagraph (e)(2)(C) requires that the 

defendant consent to videoconferencing after consulting 

with counsel. Insisting on consultation with counsel before 

consent assures that the defendant will be informed of the 

potential disadvantages and risks of virtual proceedings. It 

also provides some protection against potential pressure to 

consent, from the government or the judge. 

The Committee declined to provide authority in this

rule to conduct felony trials without the physical presence of 

the defendant, even if the defendant wishes to appear at trial 

by videoconference during an emergency declaration. And 

this rule does not address the use of technology to maintain 

communication with a defendant who has been removed 

from a proceeding for misconduct. Nor does it address if or 

when trial participants other than the defendant may appear 

by videoconferencing. 

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20 FEDERAL RULES OF CRIMINAL PROCEDURE

Paragraph (e)(3) addresses the use of 

videoconferencing for a third set of proceedings: felony 

pleas and sentencings under Rules 11 and 32. The physical 

presence of the defendant together in the courtroom with the 

judge and counsel is a critical part of any plea or sentencing 

proceeding. Other than trial itself, in no other context does 

the communication between the judge and the defendant 

consistently carry such profound consequences. The 

importance of defendant’s physical presence at plea and 

sentence is reflected in Rules 11 and 32. The Committee’s 

intent was to carve out emergency authority to substitute 

virtual presence for physical presence at a felony plea or 

sentence only as a last resort, in cases where the defendant 

would likely be harmed by further delay. Accordingly, the 

prerequisites for using videoconferencing for a felony plea 

or sentence include three circumstances in addition to those 

required for the use of videoconferencing under (e)(2). 

Subparagraph (e)(3)(A) requires that the chief judge 

of the district (or alternate under 28 U.S.C. § 136(e)) make a 

district-wide finding that emergency conditions substantially 

impair a court’s ability to hold felony pleas and sentencings 

in person in that district within a reasonable time. This 

finding serves as assurance that videoconferencing may be 

necessary and that individual judges cannot on their own 

authorize virtual pleas and sentencings when in-person 

proceedings might be manageable with patience or 

adaptation. Although the finding serves as assurance that 

videoconferencing might be necessary in the district, as 

under (e)(2), individual courts within the district may not 

conduct virtual plea and sentencing proceedings in 

individual cases unless they find the remaining criteria of 

(e)(3) and (4) are satisfied.

Subparagraph (e)(3)(B) states that the defendant 

must request in writing that the proceeding be conducted by 

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FEDERAL RULES OF CRIMINAL PROCEDURE 21

videoconferencing, after consultation with counsel. The 

substitution of “request” for “consent” was deliberate, as an 

additional protection against undue pressure to waive 

physical presence. This requirement of writing is, like other 

requirements of writing in the rules, subject to the 

emergency provisions in (d)(2), unless the relevant 

emergency declaration excludes the authority in (d)(2). To 

ensure that the defendant consulted with counsel with regard 

to this decision, and that the defendant’s consent was 

knowing and voluntary, the court may need to conduct a 

colloquy with the defendant before accepting the written 

request.

Subparagraph (e)(3)(C) requires that before a court 

may conduct a plea or sentencing proceeding by 

videoconference, it must find that the proceeding in that 

particular case cannot be further delayed without serious 

harm to the interests of justice. Examples may include some 

pleas and sentencings that would allow transfer to a facility 

preferred by the defense, or result in immediate release, 

home confinement, probation, or a sentence shorter than the 

time expected before conditions would allow in-person 

proceedings. A judge might also conclude that under certain 

emergency conditions, delaying certain guilty pleas under 

Rule 11(c)(1)(C), even those calling for longer sentences, 

may result in serious harm to the interests of justice.

Paragraph (e)(4) details conditions for the use of 

teleconferencing to conduct proceedings for which 

videoconferencing is authorized. Videoconferencing is 

always a better option than an audio-only conference 

because it allows participants to see as well as hear each 

other. To ensure that participants communicate through 

audio alone only when videoconferencing is not feasible, 

(e)(4) sets out four prerequisites. Because the rule applies to 

teleconferencing “in whole or in part,” it mandates these 

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22 FEDERAL RULES OF CRIMINAL PROCEDURE

prerequisites whenever the entire proceeding is held by 

teleconference from start to finish, or when one or more 

participants in the proceeding are connected by audio only, 

for part or all of a proceeding. 

The first prerequisite, in (e)(4)(A), is that all of the 

conditions for the use of videoconferencing for the 

proceeding must be met before a court may conduct a 

proceeding, in whole or in part, by audio-only. For example, 

videoconferencing for a sentencing under Rule 32 requires 

compliance with (e)(3)(A), (B), and (C). No part of a felony 

sentencing proceeding may be held by teleconference, nor 

may any person participate in such a proceeding by audio 

only, unless those videoconferencing requirements have 

been met. Likewise, for a misdemeanor proceeding, 

teleconferencing requires compliance with (e)(1) and 

Rule 43(b)(2). 

Second, (e)(4)(B)(i) requires the court to find that 

videoconferencing for all or part of the proceeding is not 

reasonably available before allowing participation by audio 

only. Because it focuses on what is “reasonably available,” 

this requirement is flexible. It is intended to allow courts to 

use audio only connections when necessary, but not 

otherwise. For example, it precludes the use of 

teleconferencing alone if videoconferencing—though 

generally limited—is available for all participants in a 

particular proceeding. But it permits the use of 

teleconferencing in other circumstances. For example, if 

only an audio connection with a defendant were feasible 

because of security concerns at the facility where the 

defendant is housed, a court could find that 

videoconferencing for that defendant in the particular 

proceeding is not reasonably available. Or, if the video 

connection fails for one or more participants during a 

proceeding started by videoconference and audio is the only 

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FEDERAL RULES OF CRIMINAL PROCEDURE 23

option for completing that proceeding expeditiously, this 

rule permits the affected participants to use audio technology 

to finish the proceeding.

Third, (e)(4)(B)(ii) provides that the court must find 

that the defendant will have an adequate opportunity to 

consult confidentially with counsel before and during the 

teleconferenced proceeding. Opportunities for confidential 

consultation may be more limited with teleconferencing than 

they are with videoconferencing as when a defendant or a 

defense attorney has only one telephone line to use to call 

into the conference, and there are no “breakout rooms” for 

private conversations like those videoconferencing 

platforms provide. This situation may arise not only when a 

proceeding is held entirely by phone, but also when, in the 

midst of a videoconference, video communication fails for 

either the defendant or defense counsel. An attorney or client 

may have to call into the conference using the devices they 

had previously been using for confidential communication. 

Experiences like these prompted this requirement that the 

court specifically find that an alternative opportunity for 

confidential consultation is in place before permitting 

teleconferencing in whole or in part. 

Finally, recognizing the differences between 

videoconferencing and teleconferencing, subparagraph 

(e)(4)(C) provides that the defendant must consent to 

teleconferencing for the proceeding, even if the defendant 

previously requested or consented to videoconferencing. A 

defendant who is willing to be sentenced with a 

videoconference connection with the judge may balk, 

understandably, at being sentenced over the phone. 

Subparagraph (e)(4)(C) does not require that consent to 

teleconferencing be given only after consultation with 

counsel. By requiring only “consent,” it recognizes that the 

defendant would have already met the consent requirements 

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24 FEDERAL RULES OF CRIMINAL PROCEDURE

for videoconferencing for that proceeding, and it allows the 

court more flexibility to address varied situations. To give 

one example, if the video but not audio feed drops for the 

defendant or another participant near the very end of a 

videoconference, and the judge asks the defendant, “do you 

want to talk to your lawyer about finishing this now without 

the video?,” an answer “No, I’m ok, we can finish now” 

would be sufficient consent under (e)(4)(C).

Preliminary Draft | August 2021 Page 98 of 327
Excerpt from the December 7, 2020 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

REBECCA A. WOMELDORF

SECRETARY

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Honorable John D. Bates, Chair 

 Standing Committee on Rules of Practice and Procedure 

FROM: Honorable Dennis R. Dow, Chair 

 Advisory Committee on Bankruptcy Rules 

RE: Report of the Advisory Committee on Bankruptcy Rules 

DATE: December 7, 2020 

I. Introduction

The Advisory Committee on Bankruptcy Rules met by videoconference on September 22, 

2020. The draft minutes of that meeting are attached.

* * * * * 

The Advisory Committee also voted to seek publication for comment of amendments to 

Rule 3011 (Unclaimed Funds in Chapter 7 Liquidation, Chapter 12 Family Farmer’s Debt 

Adjustment, and Chapter 13 Individual’s Debt Adjustment Cases); Rule 8003 (Appeal as of 

Right―How Taken; Docketing the Appeal); and Official Form 417A (Notice of Appeal and 

Statement of Election).

Part II of this report presents those action items. They are organized as follows:

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Excerpt from the December 7, 2020 Report of the Advisory Committee on Bankruptcy Rules

* * * * * 

B. Items for Publication

• Rule 3011; 

• Rule 8003; and 

• Official Form 417A. 

* * * * * 

II. Action Items

* * * * *

B. Items for Publication 

The Advisory Committee recommends that the following rule and form amendments 

be published for public comment in August 2021. The rules and the Official Form in this 

group appear in Bankruptcy Appendix B. 

Action Item 2. Rule 3011 (Unclaimed Funds in Chapter 7 Liquidation, Chapter 12 

Family Farmer’s Debt Adjustment, and Chapter 13 Individual’s Debt Adjustment Cases). 

The proposed amendments, which were suggested by the Committee on Administration of the 

Bankruptcy System (“the Bankruptcy Committee”), redesignate the current text of the rule as 

paragraph (a), and add a new paragraph (b) that requires the clerk of court to provide searchable 

access on the court’s website to data about funds deposited pursuant to § 347 of the Bankruptcy 

Code (Unclaimed Property). The Bankruptcy Committee’s suggestion is consistent with its past 

efforts to reduce the balance of unclaimed funds and limit the potential statutory liability imposed 

on clerks of court for their record-keeping and disbursement of unclaimed funds. 

The Advisory Committee decided to include an additional sentence that permits a court to 

limit access to information in the unclaimed funds database with respect to a specific case for cause 

shown. The clerk of the court that hosts the unclaimed funds locator indicated that some courts 

do not post information on unclaimed funds that are subject to a sealing order. A second category 

of cases in which a limitation on access might be appropriate is that of very old cases (apparently 

there are some over 50 years old) that lack good information about the underlying claims. 

Action Item 3. Rule 8003 (Appeal as of Right―How Taken; Docketing the Appeal).

The proposed amendments revise Rule 8003(a) in several respects to conform to pending 

amendments to FRAP 3, which clarify that the designation of a particular interlocutory order in a 

notice of appeal does not prevent the appellate court from reviewing all orders that merged into 

the judgment or appealable order. The Advisory Committee has generally tried to keep the Part 

VIII Bankruptcy Rules parallel to the Appellate Rules so that procedures are consistent throughout 

two stages of a bankruptcy appeal. 

Rule 8003(a)(3)(B) would be amended to avoid the misconception that it is necessary or 

appropriate to identify every order or decree of the bankruptcy court that the appellant may wish 

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Excerpt from the December 7, 2020 Report of the Advisory Committee on Bankruptcy Rules

to challenge on appeal. It requires the attachment of “the judgment—or the appealable order or 

decree—from which the appeal is taken,” and the phrase “or part thereof” is deleted. 

Subdivision (a)(4) calls attention to the merger principle, and (a)(5) would clarify that a 

notice of appeal that identifies only the order disposing of a post-judgment motion is not limited 

to that order, but instead brings the final judgment before the appellate court for review. 

Subdivision (a)(6) would be added to enable deliberate limitations of the notice of appeal. 

It allows an appellant to identify only part of a judgment or appealable order or decree by expressly 

stating that the notice of appeal is so limited. Without such an express statement, however, specific 

identifications would not limit the scope of the notice of appeal.

Finally, subdivision (a)(7) would be added to provide that an appeal must not be dismissed 

for failure to properly identify the judgment or appealable order or decree if the notice of appeal 

was filed after entry of the judgment or appealable order or decree and identifies an order that 

merged into the judgment, order, or decree from which the appeal is taken. In this situation, a 

court should act as if the notice had properly identified the judgment or appealable order or decree. 

Action Item 4. Official Form 417A (Notice of Appeal and Statement of Election). 

Parts 2 and 3 of the form would be amended to conform to the wording of the proposed 

amendments to Rule 8003 that were just discussed. This change would parallel pending 

amendments to Appellate Form 1. If approved, parts 2 and 3 of Official Form 417A would read 

as follows:

Part 2: Identify the subject of this appeal 

1. Describe the judgment,—or the appealable order, or decree—from which the appeal is taken 

appealed from: ____________________________ 

2. State the date on which the judgment,—or the appealable order, or decree—was entered: 

___________________ 

Part 3: Identify the other parties to the appeal 

List the names of all parties to the judgment,—or the appealable order, or decree—from which 

the appeal is taken appealed from and the names, addresses, and telephone numbers of their 

attorneys (attach additional pages if necessary):

* * * * * 

The Advisory Committee chose not to propose dividing the notice of appeal form into two 

forms, as is proposed for Appellate Form 1. The purpose underlying the proposed FRAP and 

appellate form amendments is to eliminate confusion and possible traps in drafting a notice of 

appeal. In comparison to civil appeals, bankruptcy appeals from orders deemed to be final are 

common. The Advisory Committee was concerned that having separate notice-of-appeal forms 

for judgments and for appealable orders and decrees would increase, rather than decrease, 

confusion. Appellants might select the wrong form, and appellate courts would have to decide if 

Preliminary Draft | August 2021 Page 101 of 327
Excerpt from the December 7, 2020 Report of the Advisory Committee on Bankruptcy Rules

there is any consequence of doing so. Because the Supreme Court has said that filing a notice of 

appeal is “generally speaking, a simple, nonsubstantive act,” Garza v. Idaho, 139 S. Ct. 738, 745-

46 (2019), it seemed unlikely to the Advisory Committee that appeals would be dismissed for 

filing the wrong, but a similar, form. Rather than creating two forms when it may not matter which 

one is filed, the Advisory Committee proposes keeping one form for all appeals as of right.

* * * * * 

Preliminary Draft | August 2021 Page 102 of 327
Excerpt from the May 24, 2021 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

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Honorable John D. Bates, Chair 

Standing Committee on Rules of Practice and Procedure 

FROM: Honorable Dennis R. Dow, Chair 

Advisory Committee on Bankruptcy Rules 

RE: Report of the Advisory Committee on Bankruptcy Rules 

DATE: May 24, 2021 

______________________________________________________________________________ 

I. Introduction

The Advisory Committee on Bankruptcy Rules met by videoconference on April 8, 2021.

The draft minutes of that meeting are attached.

At the meeting, the Advisory Committee gave its final approval to rule and form 

amendments that were published for comment last August. * * * * * The Advisory Committee 

also voted to seek publication for comment of (1) amendments to Parts III, IV, V, and VI of the 

Bankruptcy Rules―the next installment of the restyling project; (2) new Rule 9038 (Bankruptcy 

Rules Emergency); (3) amendments to Rule 3002.1 (Notice Relating to Claims Secured by 

Security Interest in the Debtor’s Principal Residence); (4) five new Official Forms proposed to 

implement the Rule 3002.1 amendments; and (5) amendments to three existing Official Forms. 

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Excerpt from the May 24, 2021 Report of the Advisory Committee on Bankruptcy Rules

Part II of this report presents those action items. They are organized as follows:

* * * * * 

B. Items for Publication

• Restyled Parts III, IV, V, and VI; 

• Rule 3002.1; 

• Official Form 101; 

• Official Forms 309E1 and 309E2; and 

• New Official Forms 410C13-1N, 410C13-1R, 410C13-10C, 410C13-10NC, 

410C13-10R. 

A discussion of Rule 9038, which is proposed for publication, is included elsewhere in the 

agenda book, along with a memorandum from Professors Capra and Struve. 

* * * * * 

II. Action Items

* * * * *

B. Items for Publication 

The Advisory Committee recommends that the following rule and form amendments 

be published for public comment in August 2021. The rules and forms in this group appear in 

Bankruptcy Appendix B. 

Action Item 8. Restyled Parts III, IV, V, and VI. The Advisory Committee seeks 

publication of the restyled versions of the rules in Parts III, IV, V and VI of the Federal Rules of 

Bankruptcy Procedure, which reflect many hours of work by the style consultants, the reporters, 

and the Restyling Subcommittee. The Advisory Committee expects to present the final three parts 

of the restyled Bankruptcy Rules for publication next year. 

Action Item 9. Rule 3002.1 (Notice Relating to Claims Secured by Security Interest 

in the Debtor’s Principal Residence). In response to suggestions submitted by the National 

Association of Chapter Thirteen Trustees (18-BK-G) and the American Bankruptcy Institute’s 

Commission on Consumer Bankruptcy (18-BK-H), the Advisory Committee is proposing 

significant amendments to Rule 3002.1. The amendments are intended to encourage a greater 

degree of compliance with the rule’s provisions and to provide a more straight-forward and 

familiar procedure for determining the status of a mortgage claim at the end of a chapter 13 case. 

The amended rule would also provide 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 may have occurred. 

Stylistic changes are made throughout the rule. 

 Subdivision (b) would be amended to add provisions about the effective date of late 

payment-change notices and to provide more detailed provisions about notice of payment changes 

for home equity lines of credit (“HELOCs”). Subdivision (b)(2) would provide that late notices 

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Excerpt from the May 24, 2021 Report of the Advisory Committee on Bankruptcy Rules

of a payment increase do not go into effect until the required notice period (at least 21 days) 

expires. There would be no delay, however, in the effective date of an untimely notice of a 

payment decrease. Under proposed subdivision (b)(3), a HELOC claimant would only need to file 

annual payment-change notices―including a reconciliation figure (net overpayment or 

underpayment for the past year)―unless the payment change in a single month was for more than 

$10. This provision would also ensure at least 21 days’ notice before a payment change took 

effect. 

Proposed subdivision (f) is new. It would provide the procedure for a midcase assessment 

of the status of the mortgage, which would allow the debtor to be informed of any deficiencies in 

payment while there was still time in the chapter 13 case to become current before the case was 

closed.

As under the existing rule, there is an assessment of the status of the mortgage at the end 

of a chapter 13 case―when the debtor has completed all payments under the plan. The procedure 

would be changed, however, from a notice to a motion procedure that would result in a binding 

order, and time periods for the trustee and claim holder to act would be lengthened. 

 Subdivision (i) would be amended to clarify that the listed sanctions are authorized in 

addition to any other actions that the rule authorizes the court to take if the claim holder fails to 

provide notice or respond as required by the rule. 

Action Item 10. Official Form 101 (Voluntary Petition for Individuals Filing for 

Bankruptcy). The Advisory Committee received suggestions from two different bankruptcy 

judges suggesting that consumer debtors are confused by Form 101, Part 1, line 4, which asks the 

debtor to list “any business names and Employer Identification Numbers you have used in the last 

8 years.” Both judges reported that consumer debtors are listing the names of limited liability 

companies or corporations through which the debtors have conducted business in the past 8 years, 

not realizing that the question seeks only names that the debtor individually has used during that 

period. Because the debtors list those LLC and corporate names, those names appear as names of 

additional debtors on the notice of bankruptcy on the applicable version of Form 309, even though 

those LLCs and corporations have not filed for bankruptcy protection. 

The proposed amendment to Official Form 101 eliminates the portion of line 4 that asks 

for any business names the debtor has used in the last 8 years, and instead asks for additional 

similar information in Question 2, which is consistent with the treatment of that information in 

Official Forms 105, 201, and 205. There is also new language in the margin of Official Form 101, 

Part 1, Question 2, directing the debtor NOT to insert the names of LLCs, corporations, or 

partnerships that are not filing for bankruptcy. 

Action Item 11. Official Forms 309E1 (Notice of Chapter 11 Bankruptcy Case (For 

Individuals or Joint Debtors)) and 309E2 (Notice of Chapter 11 Bankruptcy Case (For 

Individuals or Joint Debtors under Subchapter V)). Bankruptcy Judge Timothy W. Dore of 

the W.D. Wash. suggested that the language in line 7 of Official Form 309E1 (line 8 in Official 

Form 309E2) is not clear about when the deadline is for objecting to discharge, as opposed to 

seeking to have a debt excepted from discharge. The Advisory Committee recommends revisions 

to those lines to clarify the information provided. The Advisory Committee also decided to change 

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Excerpt from the May 24, 2021 Report of the Advisory Committee on Bankruptcy Rules

the line that says “the court will send you notice of that date later” to add the words “or its 

designee” after the words “the court” because often the court itself does not send this notice.

Action Item 12. New Official Forms 410C13-1N (Trustee’s Midcase Notice of the 

Status of the Mortgage Claim), 410C13-1R (Response to Trustee’s Midcase Notice of the 

Status of the Mortgage Claim), 410C13-10C (Motion to Determine the Status of the 

Mortgage Claim (conduit)), 410C13-10NC (Motion to Determine the Status of the Mortgage 

Claim (nonconduit)), 410C13-10R (Response to Trustee’s Motion to Determine the Status of 

the Mortgage Claim). The proposed amendments to Rule 3002.1, which are discussed at Agenda 

Item 9, call for the use of new Official Forms. Subdivisions (f) and (g) of the amended rule require 

the notice, motion, and responses that a chapter 13 trustee and a holder of a mortgage claim must 

file to conform to the appropriate Official Forms. The Advisory Committee therefore proposes 

new forms for this purpose.

The first form―Official Form 410C13-1N―is to be used by a trustee to provide the notice 

required by Rule 3002.1(f)(1). This notice is filed midway through a chapter 13 case (18-24 

months after the petition was filed), and it requires the trustee to report on the status of payments 

to cure any prepetition arrearages and, if the trustee makes the ongoing postpetition mortgage 

payments, the amount and date of the next payment.

Within 21 days after service of the trustee’s notice, the holder of the mortgage claim must 

file a response using the second form―Official Form 410C13-1R. See Rule 3002.1(f)(2). The 

claim holder must indicate whether it agrees with the trustee’s statements about the cure of any 

prepetition arrearage, and it must also provide information about the status of ongoing postpetition 

mortgage payments. 

The third and fourth forms―Official Forms 410C13-10C and 410C13-10NC 

―implement Rule 3002.1(g)(1). One is used if the trustee made the ongoing postpetition mortgage 

payments (as a conduit), and the other is used if those payments were made by the debtor directly 

to the holder of the mortgage claim (nonconduit). This motion is filed at the end of a chapter 13 

case when the debtor has completed all plan payments, and it seeks a court order determining the 

status of the mortgage claim. 

As required by Rule 3002.1(g)(2), the holder of the mortgage claim must respond to the 

trustee’s motion within 28 days after service, using the final form―Official Form 410C13-10R. 

The claim holder must indicate whether it agrees with the trustee’s statements about the cure of 

any arrearages and the payment of any postpetition fees, expenses, and charges. It must also 

provide information about the status of ongoing postpetition mortgage payments. 

* * * * * 

. 

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PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

1 Rule 3002.1. Chapter 13―Notice Relating to Claims 

2 Secured by a Security Interest in the 

3 Debtor’s Principal Residence 

4 (a) IN GENERAL. This rule applies in a chapter 

5 13 case to a claims (1) that are is secured by a security 

6 interest in the debtor’s principal residence, and (2) for which 

7 the plan provides that either requires the trustee or debtor 

8 will to make contractual installment payments. Unless the 

9 court orders otherwise, the notice requirements of this rule 

10 cease to apply when an order terminating or annulling the 

11 automatic stay related to that residence becomes effective

12 with respect to the residence that secures the claim. 

13 (b) NOTICE OF A PAYMENT CHANGES; 

14 EFFECT OF AN UNTIMELY NOTICE; HOME-EQUITY 

15 LINE OF CREDIT; OBJECTION. 

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

is lined through.

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2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

16 (1) Notice by the Claim Holder. The 

17 claim holder of the claim shall file and serve on the 

18 debtor, debtor’s counsel, and the trustee a notice of

19 any change in the payment amount,―including any 

20 change that results resulting from an interest-rate or 

21 escrow-account adjustment, no later than 21 days 

22 before a payment in the new amount is due. If the 

23 claim arises from a home-equity line of credit, this 

24 requirement may be modified by court order. At 

25 least 21 days before the new payment is due, the 

26 notice must be filed and served on:

27 • the debtor; 

28 • the debtor’s attorney; and

29 • the trustee. 

30 (2) Effect of an Untimely Notice. If the 

31 claim holder does not timely file and serve the notice 

32 required by (b)(1), the effective date of the new 

33 payment is as follows:

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 3

34 (A) when the notice concerns a 

35 payment increase, on the first payment due 

36 date that is at least 21 days after the untimely 

37 notice was filed and served, or 

38 (B) when the notice concerns a 

39 payment decrease, on the date stated in the 

40 untimely notice. 

41 (3) Notice of a Change in a Home-Equity 

42 Line of Credit. 

43 (A) Deadline. If the claim arises 

44 from a home-equity line of credit, the notice 

45 of a payment change shall be filed and served 

46 within one year after the bankruptcy petition 

47 was filed and then at least annually.

48 (B) Contents of the Annual 

49 Notice. The annual notice shall: 

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4 FEDERAL RULES OF BANKRUPTCY PROCEDURE

50 (1) state the payment 

51 amount due for the month when the 

52 notice is filed; and 

53 (2) include a 

54 reconciliation amount to account for 

55 any overpayment or underpayment 

56 during the prior year. 

57 (C) Amount of the Next Payment. 

58 The first payment due after the effective date 

59 of the annual notice shall be increased or 

60 decreased by the reconciliation amount. 

61 (D) Effective Date. The new 

62 payment amount stated in the annual notice 

63 (disregarding the reconciliation amount) 

64 shall be effective on the first payment due 

65 date that is at least 21 days after the annual 

66 notice is filed and served and shall remain 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 5

67 effective until a new notice becomes 

68 effective.

69 (E) Payment Changes Greater 

70 Than $10. If the monthly payment increases 

71 or decreases by more than $10 in any month, 

72 the claim holder shall file and serve (in 

73 addition to the annual notice) a notice under 

74 (b)(1) for that month.

75 (24) Party in Interest’s Objection. A party 

76 in interest who objects to the a payment change may 

77 file a motion to determine whether the change is 

78 required to maintain payments in accordance with 

79 under § 1322(b)(5) of the Code. If Unless the court 

80 orders otherwise, if no motion is filed by before the 

81 day the new amount payment is due, the change goes 

82 into effect, immediately unless the court orders 

83 otherwise. 

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6 FEDERAL RULES OF BANKRUPTCY PROCEDURE

84 (c) NOTICE OF FEES, EXPENSES, AND 

85 CHARGES INCURRED AFTER THE CASE WAS FILED; 

86 NOTICE BY THE CLAIM HOLDER. The claim holder of 

87 the claim shall file and serve on the debtor, debtor’s counsel, 

88 and the trustee a notice itemizing all fees, expenses, or and

89 charges (1) that were the claim holder has incurred in 

90 connection with the claim or imposed after the bankruptcy 

91 case was filed, and (2) that the claim holder asserts are 

92 recoverable against the debtor or against the debtor’s 

93 principal residence. The notice shall be served within 

94 Within 180 days after the date on which the fees, expenses, 

95 or charges are incurred or imposed, the notice shall be served 

96 on: 

97 • the debtor; 

98 • the debtor’s attorney; and

99 • the trustee. 

100 (d) FORM AND CONTENT FILING NOTICE 

101 AS A SUPPLEMENT TO A PROOF OF CLAIM. A notice 

102 filed and served under subdivision (b) or (c) of this rule shall 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 7

103 be prepared as prescribed by the appropriate Official Form, 

104 and filed as a supplement to the holder’s a proof of claim and 

105 be prepared using the appropriate Official Form. The notice 

106 is not subject to Rule 3001(f). 

107 (e) DETERMINATION OF DETERMINING

108 FEES, EXPENSES, OR CHARGES. On motion of a party 

109 in interest interest’s motion filed within one year after 

110 service of a notice under subdivision (c) of this rule, the court 

111 shall, after notice and a hearing, determine whether payment 

112 of paying any claimed fee, expense, or charge is required by 

113 the underlying agreement and applicable nonbankruptcy law 

114 to cure a default or maintain payments in accordance with 

115 under § 1322(b)(5) of the Code. The motion shall be filed 

116 within one year after the notice under (c) was served, unless 

117 the party has requested and the court orders a shorter period.

118 (f) NOTICE OF FINAL CURE PAYMENT. 

119 Within 30 days after the debtor completes all payments 

120 under the plan, the trustee shall file and serve on the holder 

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8 FEDERAL RULES OF BANKRUPTCY PROCEDURE

121 of the claim, the debtor, and debtor’s counsel a notice stating 

122 that the debtor has paid in full the amount required to cure 

123 any default on the claim. The notice shall also inform the 

124 holder of its obligation to file and serve a response under 

125 subdivision (g). If the debtor contends that final cure 

126 payment has been made and all plan payments have been 

127 completed, and the trustee does not timely file and serve the 

128 notice required by this subdivision, the debtor may file and 

129 serve the notice.

130 (f) TRUSTEE’S MIDCASE NOTICE OF THE 

131 STATUS OF A MORTGAGE CLAIM. 

132 (1) Timing; Content and Service. 

133 Between 18 and 24 months after the bankruptcy 

134 petition was filed, the trustee shall file a notice about 

135 the status of any mortgage claim. The notice shall be 

136 prepared using the appropriate Official Form and be 

137 served on: 

138 • the debtor; 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 9

139 • the debtor’s attorney; and

140 • the claim holder.

141 (2) Response; Motion to Compel a 

142 Response; Objection to the Response; Court 

143 Determination. 

144 (A) Deadline; Content and 

145 Service. The claim holder shall file a response 

146 to the trustee’s notice within 21 days after it is 

147 served. The response shall be prepared using the 

148 appropriate Official Form and be served on: 

149 • the debtor; 

150 • debtor’s counsel; and

151 • the trustee.

152 (B) Motion for an Order 

153 Compelling a Response. If the claim holder 

154 does not timely file a response, a party in 

155 interest may move for an order compelling one. 

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10 FEDERAL RULES OF BANKRUPTCY PROCEDURE

156 (C) Objection. A party in interest 

157 may file an objection to the claim holder’s 

158 response. 

159 (D) Court Determination. If a 

160 party in interest objects to the response, the 

161 court shall, after notice and a hearing, determine 

162 the status of the mortgage claim and enter an 

163 appropriate order.

164 (g) RESPONSE TO NOTICE OF FINAL CURE 

165 PAYMENT. Within 21 days after service of the notice under 

166 subdivision (f) of this rule, the holder shall file and serve on 

167 the debtor, debtor’s counsel, and the trustee a statement 

168 indicating (1) whether it agrees that the debtor has paid in 

169 full the amount required to cure the default on the claim, and 

170 (2) whether the debtor is otherwise current on all payments 

171 consistent with § 1322(b)(5) of the Code. The statement shall 

172 itemize the required cure or postpetition amounts, if any, that 

173 the holder contends remain unpaid as of the date of the 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 11

174 statement. The statement shall be filed as a supplement to the 

175 holder’s proof of claim and is not subject to Rule 3001(f).

176 (g) TRUSTEE’S END-OF-CASE MOTION TO 

177 DETERMINE THE STATUS OF A MORTGAGE CLAIM. 

178 (1) Timing; Content and Service. Within 

179 45 days after the debtor completes all payments 

180 under a chapter 13 plan, the trustee shall file a motion 

181 to determine the status of a mortgage claim, 

182 including whether any prepetition arrearage has been 

183 cured. The motion shall be prepared using the 

184 appropriate Official Form and be served on: 

185 • the claim holder; 

186 • the debtor; and 

187 • debtor’s counsel. 

188 (2) Response; Motion to Compel a 

189 Response; Objection to the Response.

190 (A) Deadline; Content and 

191 Service. The claim holder shall file a 

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12 FEDERAL RULES OF BANKRUPTCY PROCEDURE

192 response to the motion within 28 days after 

193 service of the motion. The response shall be 

194 prepared using the appropriate Official Form 

195 and be served on: 

196 • the debtor; 

197 • debtor’s counsel; and

198 • the trustee. 

199 (B) Motion for an Order 

200 Compelling a Response. If the claim holder 

201 does not timely file a response, a party in 

202 interest may move for an order compelling 

203 one. 

204 (C) Objection. Within 14 days 

205 after service of a response, a party in interest 

206 may file an objection to the response. 

207 (h) DETERMINATION OF FINAL CURE 

208 AND PAYMENT. On motion of the debtor or trustee filed 

209 within 21 days after service of the statement under 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 13

210 subdivision (g) of this rule, the court shall, after notice and 

211 hearing, determine whether the debtor has cured the default 

212 and paid all required postpetition amounts.

213 (h) ORDER DETERMINING THE STATUS 

214 OF A MORTGAGE CLAIM. 

215 (1) No Response. If the claim holder fails 

216 to comply with an order under (g)(2)(B) to respond 

217 to the trustee’s motion, the court may enter an order 

218 determining that: 

219 (A) as of the date of the motion, 

220 the debtor is current on all payments that the 

221 plan requires to be paid to the claim 

222 holder―including all escrow amounts; and

223 (B) all postpetition legal fees, 

224 expenses, and charges incurred or imposed 

225 by the claim holder have been satisfied in 

226 full. 

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14 FEDERAL RULES OF BANKRUPTCY PROCEDURE

227 (2) No Objection. If the claim holder 

228 timely responds and no objection is filed, the court 

229 may, by order, determine that the amounts stated in 

230 the claim holder’s response reflect the status of the 

231 claim as of the date the response was filed. 

232 (3) Contested Motion. If an objection is 

233 filed, the court shall, after notice and a hearing, 

234 determine the status of the mortgage claim and issue 

235 an appropriate order. 

236 (4) Contents of the Order. 

237 (A) Issued Under (h)(2) or (h)(3). 

238 An order issued under (h)(2) or (h)(3) shall 

239 include the following information, current as 

240 of the date of the claim holder’s response or 

241 such other date that the court may determine: 

242 (i) the principal balance 

243 owed; 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 15

244 (ii) the date that the 

245 debtor’s next payment is due; 

246 (iii) the amount of the next 

247 payment―separately identifying the 

248 amount due for principal, interest, 

249 mortgage insurance, taxes, and other 

250 escrow amounts, as applicable; 

251 (iv) the amounts held in 

252 any escrow, suspense, unapplied253 funds, or similar account; and 

254 (v) the amount of any 

255 fees, expenses or charges properly 

256 noticed under (c) that remain unpaid. 

257 (B) Issued Under (h)(1). An order 

258 issued under (h)(1) may include any of the 

259 information described in (A) and may 

260 address the treatment of any payment that 

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16 FEDERAL RULES OF BANKRUPTCY PROCEDURE

261 becomes delinquent before the court grants 

262 the debtor a discharge.

263 (i) CLAIM HOLDER’S FAILURE TO 

264 NOTIFY GIVE NOTICE OR RESPOND. If the holder of a 

265 claim holder fails to provide any information as required by 

266 subdivision (b), (c), or (g) of this rule, the court may, after 

267 notice and a hearing, take either or both do one or more of 

268 the following actions: 

269 (1) preclude the holder from presenting 

270 the omitted information, in any form, as evidence in 

271 any contested matter or adversary proceeding in the 

272 case,―unless the court determines that the failure 

273 was substantially justified or is harmless; or 

274 (2) award other appropriate relief, 

275 including reasonable expenses and attorney’s fees 

276 caused by the failure; and

277 (3) take any other action authorized by 

278 this rule. 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 17

Committee Note

The rule is amended to encourage a greater degree of 

compliance with its provisions and to provide a more 

straight-forward and familiar procedure for determining the 

status of a mortgage claim at the end of a chapter 13 case. It 

also provides 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 may have occurred. 

Subdivision (a), which describes the rule’s 

applicability, remains largely unchanged. However, the 

word “installment” in the phrase “contractual installment 

payment” was deleted here and throughout the rule in order 

to clarify the rule’s applicability to reverse mortgages, which 

are not paid in installments.

In addition to stylistic changes, subdivision (b) is 

amended to add provisions about the effective date of late 

payment change notices and to provide more detailed 

provisions about notice of payment changes for home-equity 

lines of credit (“HELOCs”). Subdivision (b)(2) now 

provides that late notices of a payment increase do not go 

into effect until the required notice period (at least 21 days) 

expires. There is no delay, however, in the effective date of 

an untimely notice of a payment decrease. 

The treatment of HELOCs presents a special issue 

under this rule because the amount owed changes frequently, 

often in small amounts. Requiring a notice for each change 

can be overly burdensome. Under new subdivision (b)(3), a 

HELOC claimant only needs to file annual payment change 

notices―including a reconciliation figure (net overpayment 

or underpayment for the past year)―unless the payment 

change in a single month is for more than $10. This 

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18 FEDERAL RULES OF BANKRUPTCY PROCEDURE

provision also ensures at least 21 days’ notice before a 

payment change takes effect.

Only stylistic changes are made to subdivisions (c) 

and (d). Stylistic changes are also made to subdivision (e). 

In addition, the court is given authority, upon motion of a 

party in interest, to shorten the time for seeking a 

determination of the fees, expenses, or charges owed. Such 

a shortening, for example, might be appropriate in the later 

stages of a chapter 13 case.

Subdivision (f) is new. It provides the procedure for

a midcase assessment of the status of the mortgage, which 

allows the debtor to be informed of any deficiencies in 

payment while there is still time in the chapter 13 case to 

become current before the case is closed. The procedure 

begins with the trustee providing notice of the status of the 

mortgage. An Official Form has been adopted for this 

purpose. The mortgage claim holder then has to respond, 

again using an Official Form to provide the required 

information. If the claim holder fails to respond, a party in 

interest may seek an order compelling a response. A party 

in interest may also object to the claim holder’s response. If 

an objection is made, the court determines the status of the 

mortgage claim. 

As under the former rule, there is an assessment of 

the status of the mortgage at the end of a chapter 13 

case―when the debtor has completed all payments under the 

plan. The procedure is changed, however, from a notice to 

a motion procedure that results in a binding order, and time 

periods for the trustee and claim holder to act have been 

lengthened. 

 

Under subdivision (g), the trustee begins the 

procedure by filing―within 45 days after the last plan 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 19

payment is made―a motion to determine the status of the 

mortgage. An Official Form has been adopted for this 

purpose. The claim holder then must respond within 28 days 

after service of the motion, again using an Official Form to 

provide the required information. If the claim holder fails to 

respond, a party in interest may seek an order compelling a 

response. A party in interest may also object to the response. 

This process ends with a court order detailing the 

status of the mortgage (subdivision (h)). If the claim holder 

fails to respond to an order compelling a response, the court 

may enter an order stating that the debtor is current on the 

mortgage. If there is a response and no objection to it is 

made, the order may accept as accurate the amounts stated 

in the response. If there is both a response and an objection, 

the court must determine the status of the mortgage. 

Subdivision (h)(4) specifies the contents of the order.

 Subdivision (i) has been amended to clarify that the 

listed sanctions are authorized in addition to any other 

actions that the rule authorizes the court to take if the claim 

holder fails to provide notice or respond as required by the 

rule. Stylistic changes have also been made to the 

subdivision. 

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PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF BANKRUPTCY PROCEDURE1

1 Rule 3011. Unclaimed Funds in Chapter 7 

2 Liquidation, Chapter 12 Family Farmer's 

3 Debt Adjustment, and Chapter 13 

4 Individual's Debt Adjustment Cases

5 (a) The trustee shall file a list of all known names 

6 and addresses of the entities and the amounts which they are 

7 entitled to be paid from remaining property of the estate that 

8 is paid into court pursuant to § 347(a) of the Code. 

9 (b) The clerk must provide searchable access on the 

10 court’s website to the funds deposited under § 347(a). The 

11 court may, for cause, limit access to information in the data 

12 base for a specific case.

Committee Note

Rule 3011 is amended to require the clerk to provide 

searchable access (as by providing a link to the U.S. 

Bankruptcy Unclaimed Funds Locator) on the court’s 

website to unclaimed funds deposited pursuant to § 347(a). 

The court may limit information in the data base with respect 

to a specific case for cause shown, including, for example, if 

such access risks disclosing the identity of claimants whose 

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

is lined through.

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2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

privacy should be protected, or if the information about the 

unclaimed funds is so old as to be unreliable. 

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PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF BANKRUPTCY PROCEDURE1

1 Rule 8003. Appeal as of Right―How Taken; 

2 Docketing the Appeal

3 (a) FILING THE NOTICE OF APPEAL.

4 * * * * * 

5 (3) Contents. The notice of appeal 

6 must:

7 (A) conform substantially 

8 to the appropriate Official Form;

9 (B) be accompanied by 

10 the judgment,—or the appealable 

11 order, or decree, —from which the 

12 appeal is taken or the part of it, being 

13 appealed; and

14 (C) be accompanied by 

15 the prescribed fee.

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

is lined through.

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2 FEDERAL RULES OF BANKRUPTCY PROCEDURE

16 (4) Merger. The notice of appeal 

17 encompasses all orders that, for purposes of 

18 appeal, merge into the identified judgment or 

19 appealable order or decree. It is not 

20 necessary to identify those orders in the 

21 notice of appeal.

22 (5) Final Judgment. The notice 

23 of appeal encompasses the final judgment, 

24 whether or not that judgment is set out in a 

25 separate document under Rule 7058, if the 

26 notice identifies:

27 (A) an order that 

28 adjudicates all remaining claims and 

29 the rights and liabilities of all 

30 remaining parties; or

31 (B) an order described in 

32 Rule 8002(b)(1). 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 3 

33 (6) Limited Appeal. An appellant 

34 may identify only part of a judgment or 

35 appealable order or decree by expressly 

36 stating that the notice of appeal is so limited. 

37 Without such an express statement, specific 

38 identifications do not limit the scope of the 

39 notice of appeal.

40 (7) Impermissible Ground for 

41 Dismissal. An appeal must not be dismissed 

42 for failure to properly identify the judgment

43 or appealable order or decree if the notice of 

44 appeal was filed after entry of the judgment

45 or appealable order or decree and identifies 

46 an order that merged into that judgment or 

47 appealable order or decree.

48 (4) (8) Additional Copies. * * * * * 

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4 FEDERAL RULES OF BANKRUPTCY PROCEDURE

Committee Note

Subdivision (a) is amended to conform to recent 

amendments to Fed. R. App. P. 3(c), which clarified that the 

designation of a particular interlocutory order in a notice of 

appeal does not prevent the appellate court from reviewing 

all orders that merged into the judgment or appealable order 

or decree. These amendments reflect that a notice of appeal 

is supposed to be a simple document that provides notice that 

a party is appealing and invokes the jurisdiction of the

appellate court. It therefore must state who is appealing, 

what is being appealed, and to what court the appeal is being 

taken. It is the role of the briefs, not the notice of appeal, to 

focus the issues on appeal. 

Subdivision (a)(3)(B) is amended in an effort to 

avoid the misconception that it is necessary or appropriate to 

identify each and every order of the bankruptcy court that 

the appellant may wish to challenge on appeal. It requires 

the attachment of “the judgment—or the appealable order or 

decree—from which the appeal is taken”—and the phrase 

“or part thereof” is deleted. In most cases, because of the 

merger principle, it is appropriate to identify and attach only 

the judgment or the appealable order or decree from which 

the appeal as of right is taken. 

Subdivision (a)(4) now calls attention to the merger 

principle. The general merger rule can be stated simply: an 

appeal from a final judgment or appealable order or decree 

permits review of all rulings that led up to the judgment, 

order, or decree. Because this general rule is subject to some 

exceptions and complications, the amendment does not 

attempt to codify the merger principle but instead leaves its 

details to case law. The amendment does not change the 

principle established in Budinich v. Becton Dickinson & Co., 

486 U.S. 196, 202-03 (1988), that “a decision on the merits 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 5 

is a ‘final decision’ . . . whether or not there remains for 

adjudication a request for attorney’s fees attributable to the 

case.” 

Sometimes a party who is aggrieved by a final 

judgment will make a motion in the bankruptcy court instead 

of immediately filing a notice of appeal. Rule 8002(b)(1) 

permits a party who makes certain motions to await 

disposition of those motions before appealing. But some 

courts treat a notice of appeal that identifies only the order 

disposing of such a motion as limited to that order, rather 

than bringing the final judgment before the appellate court 

for review. To reduce the unintended loss of appellate rights 

in this situation, subdivision (a)(5) is added. This 

amendment does not alter the requirement of 

Rule 8002(b)(3) (requiring a notice of appeal or an amended 

notice of appeal if a party intends to challenge an order 

disposing of certain motions). 

Subdivision (a)(6) is added to enable deliberate 

limitations of the notice of appeal. It allows an appellant to 

identify only part of a judgment or appealable order or 

decree by expressly stating that the notice of appeal is so 

limited. Without such an express statement, however, 

specific identifications do not limit the scope of the notice of 

appeal.

On occasion, a party may file a notice of appeal after 

a judgment or appealable order or decree but identify only a 

previously nonappealable order that merged into that 

judgment or appealable order or decree. To deal with this 

situation, subdivision (a)(7) is added to provide that an 

appeal must not be dismissed for failure to properly identify 

the judgment or appealable order or decree if the notice of 

appeal was filed after entry of the judgment or appealable 

order or decree and identifies an order that merged into the 

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6 FEDERAL RULES OF BANKRUPTCY PROCEDURE

judgment, order, or decree from which the appeal is taken. 

In this situation, a court should act as if the notice had 

properly identified the judgment or appealable order or 

decree. In determining whether a notice of appeal was filed 

after the entry of judgment, Rule 8002(a)(2) and (b)(2) 

apply. 

 

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3000 Series 1

Bankruptcy Rules Restyling

3000 Series

Preface

This revision is a restyling of the Federal Rules of Bankruptcy Procedure to provide 

greater clarity, consistency, and conciseness without changing practice and procedure. 

[The Committee Note to Rule 1001 is included here for reference for purposes of publication. It 

will not be included in the final rule. 

Committee Note to Rule 1001

The Bankruptcy Rules are the fifth set of national procedural rules to be restyled. The restyled 

Rules of Appellate Procedure took effect in 1998. The restyled Rules of Criminal Procedure took 

effect in 2002. The restyled Rules of Civil Procedure took effect in 2007. The restyled Rules of 

Evidence took effect in 2011. The restyled Bankruptcy Rules apply the same general drafting 

guidelines and principles used in restyling the Appellate, Criminal, Civil and Evidence Rules. 

General Guidelines. Guidance in drafting, usage, and style was provided by Bryan Garner, 

Guidelines for Drafting and Editing Court Rules, Administrative Office of the United States 

Courts (1996) and Bryan Garner, Dictionary of Modern Legal Usage (2d ed. 1995). See also 

Joseph Kimble, Guiding Principles for Restyling the Civil Rules, in Preliminary Draft of 

Proposed Style Revision of the Federal Rules of Civil Procedure, at page x (Feb. 2005) (available 

at https://www.michbar.org/file/barjournal/article/documents/pdf4article909.pdf and 

https://www.michbar.org/file/barjournal/article/documents/pdf4article921.pdf); Joseph 

Kimble, Lessons in Drafting from the New Federal Rules of Civil Procedure, 12 Scribes J. Legal 

Writing 25 (2008-2009). 

Formatting Changes. Many of the changes in the restyled Bankruptcy Rules result from using 

format to achieve clearer presentations. The rules are broken down into constituent parts, using 

progressively indented subparagraphs with headings and substituting vertical for horizontal lists. 

"Hanging indents" are used throughout. These formatting changes make the structure of the 

rules graphic and make the restyled rules easier to read and understand even when the words are 

not changed. 

Changes to Reduce Inconsistent, Ambiguous, Redundant, Repetitive, or Archaic Words. The 

restyled rules reduce the use of inconsistent terms that say the same thing in different ways. 

Because different words are presumed to have different meanings, such inconsistencies can 

result in confusion. The restyled rules reduce inconsistencies by using the same words to express 

the same meaning. The restyled rules also minimize the use of inherently ambiguous words. The 

restyled rules minimize the use of redundant "intensifiers." These are expressions that attempt to 

add emphasis, but instead state the obvious and create negative implications for other rules. The 

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3000 Series 2

absence of intensifiers in the restyled rules does not change their substantive meaning. The 

restyled rules also remove words and concepts that are outdated or redundant.

Rule Numbers. The restyled rules keep the same numbers to minimize the effect on research. 

Subdivisions have been rearranged within some rules to achieve greater clarity and simplicity.

No Substantive Change. The style changes to the rules are intended to make no changes in 

substantive meaning. The Committee made special efforts to reject any purported style 

improvement that might result in a substantive change in the application of a rule. The 

Committee also declined to modify "sacred phrases"― those that have become so familiar in 

practice that to alter them would be unduly disruptive to practice and expectations. An example 

in the Bankruptcy Rules would be “meeting of creditors.”

Legislative Rules. In those cases in which Congress enacted a rule by statute, in particular Rule 

2002(n) (Bankruptcy Amendments and Federal Judgeship Act of 1984, Pub. L. 98-353, 98 Stat. 

357), Rule 3001(g) (Bankruptcy Amendments and Federal Judgeship Act of 1984, Pub. L. No. 

98-353, 98 Stat. 361) and Rule 7004(h) (Bankruptcy Reform Act of 1994, Pub. L. No. 103-394, 

108 Stat. 4106), the Committee has not restyled the rule.] 

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3000 Series 3

ORIGINAL REVISION

PART III—CLAIMS AND

DISTRIBUTION TO CREDITORS

AND EQUITY INTEREST

HOLDERS; PLANS

PART III. CLAIMS; PLANS; 

DISTRIBUTIONS TO CREDITORS AND

EQUITY SECURITY HOLDERS

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

(a) FORM AND CONTENT. A proof

of claim is a written statement setting

forth a creditor’s claim. A proof of claim

shall conform substantially to the 

appropriate Official Form.

(a) Definition and Form. A proof of claim isa 

written statement of a creditor’s claim. It

must substantially conform to Form 410.

(b) WHO MAY EXECUTE. A proof of 

claim shall be executed by the creditor

or the creditor’s authorized agent except

as provided in Rules 3004 and 3005.

(b) Who May Sign a Proof of Claim. Only a

creditor or the creditor’s agent may sign a

proof of claim—except as provided in 

Rules 3004 and 3005.

(c) SUPPORTING INFORMATION.

(1) Claim Based on a Writing.

Except for a claim governed by

paragraph (3) of this subdivision, when a 

claim, or an interest in property of the

debtor securing the claim, is based on a 

writing, a copy of the writing shall be

filed with the proof of claim. If the

writing has been lost or destroyed, a 

statement of the circumstances of the

loss or destruction shall be filed with the 

claim.

(2) Additional Requirements in an

Individual Debtor Case; Sanctions for Failure

to Comply. In a case in which the debtor

is an individual:

(A) If, in addition to its

principal amount, a claim includes

interest, fees, expenses, or other charges 

incurred before the petition was filed, an

itemized statement of the interest, fees,

expenses, or charges shall be filed with

the proof of claim.

(B) If a security interest

is claimed in the debtor’s property, a

statement of the amount necessary to

cure any default as of the date of the

(c) Required Supporting Information.

(1) Claim or Interest Based on a 

Writing. If a claim or an interest in the

debtor’s property securing the claim is

based on a writing, the creditor must

file a copy with the proof of claim— 

except for a claim based on a

consumer-credit agreement under (4).

If the writing has been lost or

destroyed, a statement explaining the

loss or destruction must be filed with 

the claim.

(2) Additional Information in an 

Individual Debtor’s Case. If the

debtor is an individual, the creditor

must file with the proof of claim:

(A) an itemized statement of the

principal amount and any interest,

fees, expenses, or other charges

incurred before the petition was

filed;

(B) for any claimed security interest in

the debtor’s property, the amount 

needed to cure any default as of

the date the petition was filed; and

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ORIGINAL REVISION

petition shall be filed with the proof of 

claim.

(C) If a security interest

is claimed in property that is the debtor’s

principal residence, the attachment

prescribed by the appropriate Official

Form shall be filed with the proof of 

claim. If an escrow account has been

established in connection with the claim,

an escrow account statement prepared

as of the date the petition was filed and

in a form consistent with applicable

nonbankruptcy law shall be filed with

the attachment to the proof of claim.

(D) If the holder of a 

claim fails to provide any information

required by this subdivision (c), the 

court may, after notice and hearing, take

either or both of the following actions:

(i) preclude the

holder from presenting the omitted

information, in any form, as evidence in

any contested matter or adversary

proceeding in the case, unless the court

determines that the failure was

substantially justified or is harmless; or 

(ii) award other

appropriate relief, including reasonable 

expenses and attorney’s fees caused by

the failure.

(3) Claim Based on an Open-End or

Revolving Consumer Credit Agreement.

(A) When a claim is

based on an open-end or revolving 

consumer credit agreement—except one

for which a security interest is claimed in

the debtor’s real property—a statement

shall be filed with the proof of claim,

including all of the following 

information that applies to the account:

(i) the name of

the entity from whom the creditor

(C) for any claimed security interest in

the debtor’s principal residence:

(i) Form 410A; and

(ii) if there is an escrow account

connected with the claim, an

escrow-account statement,

prepared as of the date the

petition was filed, that is

consistent in form with

applicable nonbankruptcy 

law.

(3) Sanctions in an Individual-Debtor 

Case. In a case with an individual

debtor, if a claim holder fails to

provide any information required by 

(c)(1) and (2), the court may, after

notice and a hearing, take one or both 

of these actions: 

(A) preclude the holder from 

presenting the information in any 

form as evidence in any contested

matter or adversary proceeding in

the case—unless the court 

determines that the failure is

substantially justified or is 

harmless; and

(B) award other appropriate relief,

including reasonable expenses and

attorney’s fees caused by the

failure.

(4) Claim Based on an Open-End or 

Revolving Consumer-Credit 

Agreement. 

(A) Required Statement. Except when the

claim is secured by an interest in

the debtor’s real property, a proof 

of claim for a claim based on an

open-end or revolving consumercredit agreement must be

accompanied by a statement that

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3000 Series 5

ORIGINAL REVISION

purchased the account;

(ii) the name of

the entity to whom the debt was owed at

the time of an account holder’s last

transaction on the account;

(iii) the date of 

an account holder’s last transaction;

(iv) the date of

the last payment on the account; and

(v) the date on

which the account was charged to profit 

and loss. 

(B) On written request 

by a party in interest, the holder of a

claim based on an open-end or revolving 

consumer credit agreement shall, within

30 days after the request is sent, provide 

the requesting party a copy of the

writing specified in paragraph (1) of this

subdivision. 

shows the following information

about the credit account:

(i) the name of the entity from

whom the creditor purchased

the account;

(ii) the name of the entity to

whom the debt was owed at

the time of an account

holder’s last transaction on 

the account;

(iii) the date of that last

transaction;

(iv) the date of the last payment

on the account; and

(v) the date that the account was

charged to profit and loss. 

(B) Copy to a Party in Interest. On a party

in interest’s written request, the

creditor must send a copy of the 

document described in (c)(1) to

that party in interest within 30 days

after the request is sent.

(d) EVIDENCE OF PERFECTION

OF SECURITY INTEREST. If a 

security interest in property of the

debtor is claimed, the proof of claim

shall be accompanied by evidence that

the security interest has been perfected.

(d) Claim Based on a Security Interest in

the Debtor’s Property. If a creditor claims

a security interest in the debtor’s property,

the proof of claim must be accompanied by

evidence that the security interest has been

perfected.

(e) TRANSFERRED CLAIM.

(1) Transfer of Claim Other Than for

Security Before Proof Filed. If a claim has

been transferred other than for security

before proof of the claim has been filed, 

the proof of claim may be filed only by

the transferee or an indenture trustee.

(2) Transfer of Claim Other than for

Security after Proof Filed. If a claim other

than one based on a publicly traded 

note, bond, or debenture has been 

transferred other than for security after

(e) Transferred Claim.

(1) Claim Transferred Before a Proof of 

Claim Is Filed. Unless the transfer

was made for security, if a claim was

transferred before a proof of claim was

filed, only the transferee or an

indenture trustee may file a proof of

claim.

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ORIGINAL REVISION

the proof of claim has been filed, 

evidence of the transfer shall be filed by

the transferee. The clerk shall

immediately notify the alleged transferor

by mail of the filing of the evidence of

transfer and that objection thereto, if

any, must be filed within 21 days of the 

mailing of the notice or within any

additional time allowed by the court. If

the alleged transferor files a timely

objection and the court finds, after

notice and a hearing, that the claim has

been transferred other than for security,

it shall enter an order substituting the 

transferee for the transferor. If a timely

objection is not filed by the alleged

transferor, the transferee shall be

substituted for the transferor.

(3) Transfer of Claim for Security

Before Proof Filed. If a claim other than

one based on a publicly traded note, 

bond, or debenture has been transferred

for security before proof of the claim

has been filed, the transferor or 

transferee or both may file a proof of

claim for the full amount. The proof 

shall be supported by a statement setting

forth the terms of the transfer. If either

the transferor or the transferee files a

proof of claim, the clerk shall

immediately notify the other by mail of

the right to join in the filed claim. If

both transferor and transferee file

proofs of the same claim, the proofs 

shall be consolidated. If the transferor or 

transferee does not file an agreement

regarding its relative rights respecting

voting of the claim, payment of

dividends thereon, or participation in

the administration of the estate, on

motion by a party in interest and after

notice and a hearing, the court shall 

enter such orders respecting these 

matters as may be appropriate.

(4) Transfer of Claim for Security

(2) Claim Transferred After a Proof of 

Claim Was Filed. 

(A) Filing Evidence of the Transfer. Unless 

the transfer was made for security,

the transferee of a claim that was

transferred after a proof of claim

was filed must file evidence of the

transfer—except for a claim based

on a publicly traded note, bond, or 

debenture.

(B) Notice of the Filing and the Time for

Objecting. The clerk must 

immediately notify the alleged

transferor, by mail, that evidence

of the transfer has been filed and

that the alleged transferor has

21 days after the notice is mailed to

file an objection. The court may

extend the time to file it.

(C) Hearing on an Objection; Substituting 

the Transferee. If, on timely objection

by the alleged transferor and after

notice and a hearing, the court 

finds that the claim was transferred

other than for security, the court

must substitute the transferee for

the transferor. If the alleged

transferor does not file a timely

objection, the court must 

substitute the transferee for the

transferor.

(3) Claim Transferred for Security 

Before a Proof of Claim is Filed. 

(A) Right to File a Proof of Claim. If a

claim (except one based on a 

publicly traded note, bond, or 

debenture) was transferred for

security before the proof of claim

was filed, either the transferor or

transferee (or both) may file a

proof of claim for the full amount. 

The proof of claim must include a 

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3000 Series 7

ORIGINAL REVISION

after Proof Filed. If a claim other than one

based on a publicly traded note, bond, 

or debenture has been transferred for 

security after the proof of claim has

been filed, evidence of the terms of the

transfer shall be filed by the transferee.

The clerk shall immediately notify the

alleged transferor by mail of the filing of

the evidence of transfer and that

objection thereto, if any, must be filed

within 21 days of the mailing of the

notice or within any additional time

allowed by the court. If a timely

objection is filed by the alleged

transferor, the court, after notice and a

hearing, shall determine whether the

claim has been transferred for security.

If the transferor or transferee does not

file an agreement regarding its relative 

rights respecting voting of the claim,

payment of dividends thereon, or 

participation in the administration of the

estate, on motion by a party in interest

and after notice and a hearing, the court

shall enter such orders respecting these 

matters as may be appropriate.

(5) Service of Objection or Motion;

Notice of Hearing. A copy of an objection

filed pursuant to paragraph (2) or (4) or

a motion filed pursuant to paragraph (3) 

or (4) of this subdivision together with a 

notice of a hearing shall be mailed or 

otherwise delivered to the transferor or

transferee, whichever is appropriate, at

least 30 days prior to the hearing.

statement setting forth the terms

of the transfer.

(B) Notice of a Right to Join in a Proof of

Claim; Consolidating Proofs. If either

the transferor or transferee files a

proof of claim, the clerk must, by

mail, immediately notify the other

of the right to join in the claim. If

both file proofs of the same claim,

the claims must be consolidated. 

(C) Failure to File an Agreement About the

Rights of the Transferor and Transferee.

On a party in interest’s motion and

after notice and a hearing, the

court must issue appropriate orders 

regarding the rights of the 

transferor and transferee if either

one fails to file an agreement on

voting the claim, receiving

dividends on it, or participating in

the estate’s administration.

(4) Claim Transferred for Security After 

a Proof of Claim Has Been Filed. 

(A) Filing Evidence of the Transfer. If a

claim (except one based on a

publicly traded note, bond, or 

debenture) was transferred for

security after a proof of claim was

filed, the transferee must file a

statement that sets forth the terms

of the transfer.

(B) Notice of the Filing and the Time for

Objecting. The clerk must 

immediately notify the alleged

transferor, by mail, that evidence

of the transfer has been filed and

that the alleged transferor has

21 days after the notice is mailed to

file an objection. The court may

extend the time to file it

(C) Hearing on an Objection. If the alleged

transferor files a timely objection,

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ORIGINAL REVISION

the court must, after notice and a

hearing, determine whether the

transfer was for security.

(D) Failure to File an Agreement About the 

Rights of the Transferor and Transferee.

On a party in interest’s motion and

after notice and a hearing, the

court must issue appropriate orders 

regarding the rights of the 

transferor and transferee if either

one fails to file an agreement on

voting the claim, receiving

dividends on it, or participating in

the estate’s administration.

(5) Serving an Objection or Motion; 

Notice of a Hearing. At least 30 days

before a hearing, a copy of any

objection filed under (2) or (4) or any 

motion filed under (3) or (4) must be 

mailed or delivered to either the

transferor or transferee as appropriate,

together with notice of the hearing.

(f) EVIDENTIARY EFFECT. A proof 

of claim executed and filed in

accordance with these rules shall

constitute prima facie evidence of the

validity and amount of the claim.

(f) Proof of Claim as Prima Facie Evidence

of a Claim and Its Amount. A proof of 

claim signed and filed in accordance with

these rules is prima facie evidence of the

validity and amount of the claim.

(g)1 To the extent not inconsistent with

the United States Warehouse Act or

applicable State law, a warehouse

receipt, scale ticket, or similar document 

of the type routinely issued as evidence

of title by a grain storage facility, as

defined in section 557 of title 11, shall

constitute prima facie evidence of the

validity and amount of a claim of

ownership of a quantity of grain.

(g) Proving the Ownership and Quantity of

Grain. To the extent not inconsistent with

the United States Warehouse Act or

applicable State law, a warehouse receipt,

scale ticket, or similar document of the type

routinely issued as evidence of title by a

grain storage facility, as defined in section

557 of title 11, shall constitute prima facie

evidence of the validity and amount of a

claim of ownership of a quantity of grain.

1 So in original. Subsec. (g) adopted without a catchline.

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3000 Series 9

Committee Note

The language of most provisions in Rule 3001 have been amended as part of the general 

restyling of the Bankruptcy Rules to make them more easily understood and to make style and 

terminology consistent throughout the rules. These changes are intended to be stylistic only. 

Rule 3001(g) has not been restyled (except to add a title) because it was enacted by Congress, 

P.L. 98-353, 98 Stat. 361, Sec. 354 (1984). The Bankruptcy Rules Enabling Act, 28 U.S.C. 

§ 2075, provides no authority to modify statutory language.

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ORIGINAL REVISION

Rule 3002. Filing Proof of Claim or

Interest

Rule 3002. Filing a Proof of Claim or

Interest

(a) NECESSITY FOR FILING. A

secured creditor, unsecured creditor, or 

equity security holder must file a proof

of claim or interest for the claim or

interest to be allowed, except as

provided in Rules 1019(3), 3003, 3004,

and 3005. A lien that secures a claim

against the debtor is not void due only 

to the failure of any entity to file a proof 

of claim.

(a) Need to File. Unless Rule 1019(c), 3003,

3004, or 3005 provides otherwise, every

creditor or equity security holder must file a

proof of claim or interest for the claim or

interest to be allowed. A lien that secures a

claim is not void solely because an entity

failed to file a proof of claim.

(b) PLACE OF FILING. A proof of

claim or interest shall be filed in

accordance with Rule 5005.

(b) Where to File. The proof of claim or

interest must be filed in the district where

the case is pending and in accordance with

Rule 5005.

(c) TIME FOR FILING. In a voluntary

chapter 7 case, chapter 12 case, or

chapter 13 case, a proof of claim is

timely filed if it is filed not later than 70

days after the order for relief under that

chapter or the date of the order of

conversion to a case under chapter 12 or 

chapter 13. In an involuntary chapter 7

case, a proof of claim is timely filed if it

is filed not later than 90 days after the

order for relief under that chapter is

entered. But in all these cases, the

following exceptions apply:

(1) A proof of claim filed by a 

governmental unit, other than for a

claim resulting from a tax return filed

under § 1308, is timely filed if it is filed

not later than 180 days after the date of

the order for relief. A proof of claim

filed by a governmental unit for a claim

resulting from a tax return filed under §

1308 is timely filed if it is filed no later

than 180 days after the date of the order

for relief or 60 days after the date of the

filing of the tax return. The court may,

for cause, enlarge the time for a

governmental unit to file a proof of 

(c) Time to File. In a voluntary Chapter 7 

case or in a Chapter 12 or 13 case, the

proof of claim is timely if it is filed within

70 days after the order for relief or entry of

an order converting the case to Chapter 12

or 13. In an involuntary Chapter 7 case, a 

proof of claim is timely filed if it is filed

within 90 days after the order for relief is

entered. These exceptions apply in all cases:

(1) Governmental Unit. A governmental

unit’s proof of claim is timely if it is

filed within 180 days after the order for

relief. But a proof of claim resulting 

from a tax return filed under § 1308 is

timely if it is filed within 180 days after

the order for relief or within 60 days

after the tax return is filed. On motion

filed by a governmental unit before the

time expires and for cause, the court

may extend the time to file a proof of 

claim.

(2) Infant or Incompetent Person. In

the interests of justice, the court may

extend the time for an infant or

incompetent person—or a 

representative of either—to file a 

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ORIGINAL REVISION

claim only upon motion of the 

governmental unit made before

expiration of the period for filing a 

timely proof of claim.

(2) In the interest of justice and

if it will not unduly delay the

administration of the case, the court may

extend the time for filing a proof of

claim by an infant or incompetent

person or the representative of either.

(3) An unsecured claim which 

arises in favor of an entity or becomes

allowable as a result of a judgment may

be filed within 30 days after the

judgment becomes final if the judgment

is for the recovery of money or property 

from that entity or denies or avoids the

entity’s interest in property. If the

judgment imposes a liability which is not 

satisfied, or a duty which is not 

performed within such period or such 

further time as the court may permit, the 

claim shall not be allowed. 

(4) A claim arising from the

rejection of an executory contract or

unexpired lease of the debtor may be

filed within such time as the court may

direct.

(5) If notice of insufficient assets

to pay a dividend was given to creditors

under Rule 2002(e), and subsequently 

the trustee notifies the court that

payment of a dividend appears possible, 

the clerk shall give at least 90 days’

notice by mail to creditors of that fact

and of the date by which proofs of claim

must be filed.

(6) On motion filed by a creditor

before or after the expiration of the time

to file a proof of claim, the court may

extend the time by not more than 60

days from the date of the order granting

the motion. The motion may be granted

proof of claim, but only if the 

extension will not unduly delay case

administration.

(3) Unsecured Claim That Arises from 

a Judgment. An unsecured claim that

arises in favor of an entity or becomes

allowable because of a judgment may

be filed within 30 days after the

judgment becomes final if it is to

recover money or property from that

entity or denies or avoids the entity’s

interest in property. The claim must

not be allowed if the judgment 

imposes a liability that is not

satisfied—or a duty that is not 

performed—within the 30 days or any 

additional time set by the court.

(4) Claim Arising from a Rejected 

Executory Contract or Unexpired 

Lease. A proof of claim for a claim

that arises from a rejected executory

contract or an unexpired lease may be

filed within the time set by the court.

(5) Notice That Assets May Be 

Available to Pay a Dividend. The 

clerk must, by mail, give at least 90

days’ notice to creditors that a dividend

payment appears possible and that

proofs of claim must be filed by the 

date set forth in the notice if:

(A) a notice of insufficient assets to

pay a dividend had been given

under Rule 2002(e); and

(B) the trustee later notifies the court 

that a dividend appears possible. 

(6) Claim Secured by a Security 

Interest in the Debtor’s Principal 

Residence. A proof of a claim secured

by a security interest in the debtor’s

principal residence is timely filed if:

(A) the proof of claim and attachments

required by Rule 3001(c)(2)(C) are

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ORIGINAL REVISION

if the court finds that:

(A) the notice was

insufficient under the circumstances to

give the creditor a reasonable time to file

a proof of claim because the debtor

failed to timely file the list of creditors’

names and addresses required by Rule 

1007(a); or 

(B) the notice was

insufficient under the circumstances to

give the creditor a reasonable time to file

a proof of claim, and the notice was

mailed to the creditor at a foreign

address. 

(7) A proof of claim filed by the 

holder of a claim that is secured by a 

security interest in the debtor’s principal 

residence is timely filed if:

(A) the proof of claim,

together with the attachments required

by Rule 3001(c)(2)(C), is filed not later

than 70 days after the order for relief is

entered; and

(B) any attachments

required by Rule 3001(c)(1) and (d) are

filed as a supplement to the holder’s 

claim not later than 120 days after the

order for relief is entered.

filed within 70 days after the order

for relief; and

(B) the attachments required by 

Rule 3001(c)(1) and (d) are filed as

a supplement to the holder’s claim

within 120 days after the order for

relief.

(7) Extending the Time to File. On a 

creditor’s motion filed before or after

the time to file a proof of claim has

expired, the court may extend the time

to file by no more than 60 days from 

the date of its order. The motion may 

be granted if the court finds that:

(A) the notice was insufficient under

the circumstances to give the

creditor a reasonable time to file

because the debtor failed to timely

file the list of creditors and their

names and addresses as required by 

Rule 1007(a); or

(B) the notice was mailed to the

creditor at a foreign address and

was insufficient to give the creditor

a reasonable time to file.

Committee Note

The language of Rule 3002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3002.1. Notice Relating to

Claims Secured by Security Interest

in the Debtor’s Principal Residence

Rule 3002.1. Notice Relating to

Claims Secured by a Security Interest

in the Debtor’s Principal Residence in

a Chapter 13 Case

(a) IN GENERAL. This rule applies in a

chapter 13 case to claims (1) that are

secured by a security interest in the

debtor’s principal residence, and (2) for 

which the plan provides that either the

trustee or the debtor will make

contractual installment payments. Unless

the court orders otherwise, the notice

requirements of this rule cease to apply

when an order terminating or annulling

the automatic stay becomes effective

with respect to the residence that

secures the claim.

(a) In General. This rule applies in a 

Chapter 13 case to a claim that is secured

by a security interest in the debtor’s

principal residence and for which the plan

requires the trustee or debtor to make

contractual installment payments. Unless

the court orders otherwise, the notice

requirements of this rule cease when an

order terminating or annulling the 

automatic stay related to that residence

becomes effective.

(b) NOTICE OF PAYMENT

CHANGES; OBJECTION.

(1) Notice. The holder of the 

claim shall file and serve on the debtor,

debtor’s counsel, and the trustee a notice 

of any change in the payment amount,

including any change that results from

an interest-rate or escrow-account

adjustment, no later than 21 days before

a payment in the new amount is due. If

the claim arises from a home-equity line

of credit, this requirement may be 

modified by court order. 

(2) Objection. A party in interest

who objects to the payment change may

file a motion to determine whether the

change is required to maintain payments

in accordance with § 1322(b)(5) of the

Code. If no motion is filed by the day 

before the new amount is due, the

change goes into effect, unless the court

orders otherwise.

(b) Notice of a Payment Change.

(1) Notice by the Claim Holder. The 

claim holder must file a notice of any

change in the amount of an installment

payment—including any change

resulting from an interest-rate or

escrow-account adjustment. At least

21 days before the new payment is due,

the notice must be filed and served on: 

• the debtor;

• the debtor’s attorney; and

• the trustee.

If the claim arises from a home-equity

line of credit, the court may modify

this requirement.

(2) Party in Interest’s Objection. A 

party in interest who objects to the

payment change may file a motion to

determine whether the change is

required to maintain payments under 

§ 1322(b)(5). Unless the court orders

otherwise, if no motion is filed by the

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ORIGINAL REVISION

day before the new payment is due, the

change goes into effect.

(c) NOTICE OF FEES, EXPENSES,

AND CHARGES. The holder of the 

claim shall file and serve on the debtor,

debtor’s counsel, and the trustee a notice 

itemizing all fees, expenses, or charges

(1) that were incurred in connection

with the claim after the bankruptcy case

was filed, and (2) that the holder asserts

are recoverable against the debtor or 

against the debtor’s principal residence.

The notice shall be served within 180

days after the date on which the fees,

expenses, or charges are incurred. 

(c) Fees, Expenses, and Charges

Incurred After the Case Was Filed;

Notice by the Claim Holder. The claim

holder must file a notice itemizing all fees,

expenses, and charges incurred after the

case was filed that the holder asserts are

recoverable against the debtor or the

debtor’s principal residence. Within 180 

days after the fees, expenses, or charges

were incurred, the notice must be served

on: 

• the debtor;

• the debtor’s attorney; and

• the trustee.

(d) FORM AND CONTENT. A notice

filed and served under subdivision (b) or 

(c) of this rule shall be prepared as

prescribed by the appropriate Official

Form, and filed as a supplement to the 

holder’s proof of claim. The notice is 

not subject to Rule 3001(f).

(d) Filing Notice as a Supplement to a

Proof of Claim. A notice under (b) or (c) must

be filed as a supplement to the proof of claim 

using Form 410S-1 or 410S-2, respectively. The

notice is not subject to Rule 3001(f).

(e) DETERMINATION OF FEES,

EXPENSES, OR CHARGES. On

motion of a party in interest filed within

one year after service of a notice under

subdivision (c) of this rule, the court 

shall, after notice and hearing, determine

whether payment of any claimed fee,

expense, or charge is required by the

underlying agreement and applicable

nonbankruptcy law to cure a default or

maintain payments in accordance with §

1322(b)(5) of the Code. 

(e) Determining Fees, Expenses, or

Charges. On a party in interest’s motion filed

within one year after the notice in (c) was

served, the court must, after notice and a

hearing, determine whether paying any claimed

fee, expense, or charge is required by the

underlying agreement and applicable

nonbankruptcy law to cure a default or maintain

payments under § 1322(b)(5).

(f) NOTICE OF FINAL CURE

PAYMENT. Within 30 days after the

debtor completes all payments under the

plan, the trustee shall file and serve on 

(f) Notice of the Final Cure Payment.

(1) Contents of a Notice. Within 30 days

after the debtor completes all

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ORIGINAL REVISION

the holder of the claim, the debtor, and

debtor’s counsel a notice stating that the 

debtor has paid in full the amount

required to cure any default on the 

claim. The notice shall also inform the

holder of its obligation to file and serve 

a response under subdivision (g). If the 

debtor contends that final cure payment

has been made and all plan payments

have been completed, and the trustee

does not timely file and serve the notice

required by this subdivision, the debtor 

may file and serve the notice.

payments under a Chapter 13 plan, the

trustee must file a notice:

(A) stating that the debtor has paid in 

full the amount required to cure 

any default on the claim; and

(B) informing the claim holder of its

obligation to file and serve a 

response under (g).

(2) Serving the Notice. The notice must

be served on: 

• the claim holder;

• the debtor; and 

• the debtor’s attorney.

(3) The Debtor’s Right to File. The 

debtor may file and serve the notice if:

(A) the trustee fails to do so; and 

(B) the debtor contends that the final 

cure payment has been made and

all plan payments have been

completed.

(g) RESPONSE TO NOTICE OF

FINAL CURE PAYMENT. Within 21

days after service of the notice under

subdivision (f) of this rule, the holder 

shall file and serve on the debtor, 

debtor’s counsel, and the trustee a 

statement indicating (1) whether it

agrees that the debtor has paid in full the

amount required to cure the default on

the claim, and (2) whether the debtor is

otherwise current on all payments

consistent with § 1322(b)(5) of the

Code. The statement shall itemize the

required cure or postpetition amounts, if 

any, that the holder contends remain

unpaid as of the date of the statement.

The statement shall be filed as a 

supplement to the holder’s proof of 

(g) Response to a Notice of the Final Cure

Payment.

(1) Required Statement. Within 21 days

after the notice under (f) is served, the

claim holder must file and serve a

statement that:

(A) indicates whether:

(i) the claim holder agrees that

the debtor has paid in full the

amount required to cure any

default on the claim; and

(ii) the debtor is otherwise

current on all payments under 

§ 1322(b)(5); and

(B) itemizes the required cure or

postpetition amounts, if any, that

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ORIGINAL REVISION

claim and is not subject to Rule 3001(f). the claim holder contends remain

unpaid as of the statement’s date.

(2) Persons to be Served. The holder

must serve the statement on:

• the debtor;

• the debtor’s attorney; and

• the trustee.

(3) Statement to be a Supplement. The

statement must be filed as a

supplement to the proof of claim and 

is not subject to Rule 3001(f).

(h) DETERMINATION OF FINAL

CURE AND PAYMENT. On motion

of the debtor or trustee filed within 21

days after service of the statement under

subdivision (g) of this rule, the court 

shall, after notice and hearing, determine

whether the debtor has cured the default

and paid all required postpetition

amounts. 

(h) Determining the Final Cure Payment.

On the debtor’s or trustee’s motion filed 

within 21 days after the statement under (g)

is served, the court must, after notice and a

hearing, determine whether the debtor has

cured the default and made all required

postpetition payments.

(i) FAILURE TO NOTIFY. If the

holder of a claim fails to provide any 

information as required by subdivision 

(b), (c), or (g) of this rule, the court may,

after notice and hearing, take either or

both of the following actions:

(1) preclude the holder from 

presenting the omitted information, in

any form, as evidence in any contested

matter or adversary proceeding in the

case, unless the court determines that

the failure was substantially justified or is

harmless; or 

(2) award other appropriate

relief, including reasonable expenses and 

attorney’s fees caused by the failure.

(i) Failure to Give Notice. If the claim

holder fails to provide any information 

required by (b), (c), or (g), the court may,

after notice and a hearing, take one or both 

of these actions: 

(1) preclude the holder from presenting 

the omitted information in any form as

evidence in a contested matter or

adversary proceeding in the case— 

unless the failure was substantially 

justified or is harmless; and

(2) award other appropriate relief,

including reasonable expenses and 

attorney’s fees caused by the failure.

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Committee Note

The language of Rule 3002.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3003. Filing Proof of Claim or

Equity Security Interest in Chapter 9 

Municipality or Chapter 11

Reorganization Cases

Rule 3003. Chapter 9 or 11— Filing a 

Proof of Claim or Equity Interest

(a) APPLICABILITY OF RULE. This

rule applies in chapter 9 and 11 cases.

(a) Scope. This rule applies only in a Chapter 9 

or 11 case.

(b) SCHEDULE OF LIABILITIES

AND LIST OF EQUITY SECURITY

HOLDERS.

(1) Schedule of Liabilities. The 

schedule of liabilities filed pursuant to § 

521(l) of the Code shall constitute prima

facie evidence of the validity and

amount of the claims of creditors, unless

they are scheduled as disputed, 

contingent, or unliquidated. It shall not 

be necessary for a creditor or equity

security holder to file a proof of claim or

interest except as provided in

subdivision (c)(2) of this rule. 

(2) List of Equity Security Holders.

The list of equity security holders filed 

pursuant to Rule 1007(a)(3) shall

constitute prima facie evidence of the

validity and amount of the equity

security interests and it shall not be 

necessary for the holders of such 

interests to file a proof of interest.

(b) Scheduled Liabilities and Listed Equity

Security Holders as Prima Facie

Evidence of Validity and Amount.

(1) Creditor’s Claim. An entry on the

schedule of liabilities filed under 

§ 521(a)(1)(B)(i) is prima facie evidence

of the validity and the amount of a 

creditor’s claim—except for a claim

shown as disputed, contingent, or 

unliquidated. Filing a proof of claim is 

unnecessary except as provided in 

(c)(2).

(2) Interest of an Equity Security 

Holder. An entry on the list of equity

security holders filed under 

Rule 1007(a)(3) is prima facie evidence

of the validity and the amount of the 

equity interest. Filing a proof of the 

interest is unnecessary except as

provided in (c)(2).

(c) FILING PROOF OF CLAIM.

(1) Who May File. Any creditor

or indenture trustee may file a proof of

claim within the time prescribed by

subdivision (c)(3) of this rule.

(2) Who Must File. Any creditor 

or equity security holder whose claim or

interest is not scheduled or scheduled as

disputed, contingent, or unliquidated 

shall file a proof of claim or interest

within the time prescribed by

subdivision (c)(3) of this rule; any 

creditor who fails to do so shall not be

(c) Filing a Proof of Claim.

(1) Who May File a Proof of Claim. A 

creditor or indenture trustee may file a

proof of claim.

(2) Who Must File a Proof of Claim or 

Interest. A creditor or equity security

holder whose claim or interest is not 

scheduled—-or is shown as disputed, 

contingent, or unliquidated—-must file

a proof of claim or interest. A creditor

who fails to do so will not be treated as 

a creditor for that claim for voting and

distribution. 

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ORIGINAL REVISION

treated as a creditor with respect to such

claim for the purposes of voting and 

distribution. 

(3) Time for Filing. The court 

shall fix and for cause shown may 

extend the time within which proofs of 

claim or interest may be filed.

Notwithstanding the expiration of such 

time, a proof of claim may be filed to

the extent and under the conditions

stated in Rule 3002(c)(2), (c)(3), (c)(4),

and (c)(6).

(4) Effect of Filing Claim or

Interest. A proof of claim or interest

executed and filed in accordance with

this subdivision shall supersede any 

scheduling of that claim or interest

pursuant to § 521(a)(1) of the Code. 

(5) Filing by Indenture Trustee. 

An indenture trustee may file a claim on

behalf of all known or unknown holders 

of securities issued pursuant to the trust 

instrument under which it is trustee.

(3) Time to File. The court must set the

time to file a proof of claim or interest

and may, for cause, extend the time. If

the time has expired, the proof of

claim or interest may be filed to the

extent and under the conditions stated

in Rule 3002(c)(2), (3), (4), and (7).

(4) Proof of Claim by an Indenture 

Trustee. An indenture trustee may file

a proof of claim on behalf of all

known or unknown holders of 

securities issued under the trust 

instrument under which it is trustee.

(5) Effect of Filing a Proof of Claim or 

Interest. A proof of claim or interest 

signed and filed under (c) supersedes 

any scheduling under § 521(a)(1) of the

claim or interest.

(d) PROOF OF RIGHT TO RECORD

STATUS. For the purposes of Rules 

3017, 3018 and 3021 and for receiving

notices, an entity who is not the record

holder of a security may file a statement

setting forth facts which entitle that

entity to be treated as the record holder.

An objection to the statement may be

filed by any party in interest.

(d) Treating a Nonrecord Holder of a

Security as the Record Holder. For the 

purpose of Rules 3017, 3018, and 3021 and

receiving notices, an entity that is not a

record holder of a security may file a

statement setting forth facts that entitle the

entity to be treated as the record holder. A

party in interest may file an objection to the

statement.

Committee Note 

The language of Rule 3003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3004. Filing of Claims by

Debtor or Trustee

Rule 3004. Proof of Claim Filed by the

Debtor or Trustee for a Creditor

If a creditor does not timely file a proof

of claim under Rule 3002(c) or 3003(c),

the debtor or trustee may file a proof of 

the claim within 30 days after the

expiration of the time for filing claims

prescribed by Rule 3002(c) or 3003(c),

whichever is applicable. The clerk shall

forthwith give notice of the filing to the

creditor, the debtor and the trustee.

(a) Filing by the Debtor or Trustee. If a

creditor does not file a proof of claim 

within the time prescribed by 

Rule 3002(c) or Rule 3003(c), the

debtor or trustee may do so within 

30 days after the creditor’s time to file

expires.

(b) Notice by the Clerk. The clerk must

promptly give notice of the filing to:

• the creditor;

• the debtor; and 

• the trustee.

Committee Note 

The language of Rule 3004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3005. Filing of Claim,

Acceptance, or Rejection by

Guarantor, Surety, Indorser, or Other

Codebtor

Rule 3005. Filing a Proof of Claim or

Accepting or Rejecting a Plan by a

Surety, Endorser, Guarantor, or Other

Codebtor

(a) FILING OF CLAIM. If a creditor

does not timely file a proof of claim

under Rule 3002(c) or 3003(c), any entity

that is or may be liable with the debtor 

to that creditor, or who has secured that

creditor, may file a proof of the claim

within 30 days after the expiration of the

time for filing claims prescribed by Rule

3002(c) or Rule 3003(c) whichever is

applicable. No distribution shall be 

made on the claim except on satisfactory

proof that the original debt will be

diminished by the amount of 

distribution. 

(a) In General. If a creditor fails to file a proof 

of claim within the time prescribed by 

Rule 3002(c) or Rule 3003(c), it may be 

filed by an entity that, along with the

debtor, is or may be liable to the creditor or 

has given security for the creditor’s debt.

The entity must do so within 30 days after 

the creditor’s time to file expires. A

distribution on such a claim may be made 

only on satisfactory proof that the original

debt will be diminished by the distribution. 

(b) FILING OF ACCEPTANCE OR

REJECTION; SUBSTITUTION OF

CREDITOR. An entity which has filed a 

claim pursuant to the first sentence of

subdivision (a) of this rule may file an 

acceptance or rejection of a plan in the

name of the creditor, if known, or if

unknown, in the entity’s own name but

if the creditor files a proof of claim

within the time permitted by Rule

3003(c) or files a notice prior to

confirmation of a plan of the creditor’s

intention to act in the creditor’s own

behalf, the creditor shall be substituted 

for the obligor with respect to that

claim.

(b) Accepting or Rejecting a Plan in a

Creditor’s Name. An entity that has filed a

proof of claim on behalf of a creditor under 

(a) may accept or reject a plan in the

creditor’s name. If the creditor’s name is

unknown, the entity may do so in its own 

name. But the creditor must be substituted 

for the entity on that claim if the creditor:

(1) files a proof of claim within the time

permitted by Rule 3003(c); or 

(2) files notice, before the plan is

confirmed, of an intent to act in the

creditor’s own behalf.

Committee Note 

The language of Rule 3005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3006. Withdrawal of Claim;

Effect on Acceptance or Rejection of

Plan 

Rule 3006. Withdrawing a Proof of

Claim; Effect on a Plan

A creditor may withdraw a claim as of

right by filing a notice of withdrawal,

except as provided in this rule. If after a

creditor has filed a proof of claim an

objection is filed thereto or a complaint

is filed against that creditor in an

adversary proceeding, or the creditor has

accepted or rejected the plan or

otherwise has participated significantly

in the case, the creditor may not

withdraw the claim except on order of

the court after a hearing on notice to the

trustee or debtor in possession, and any 

creditors’ committee elected pursuant to

§ 705(a) or appointed pursuant to § 1102 

of the Code. The order of the court shall

contain such terms and conditions as the 

court deems proper. Unless the court 

orders otherwise, an authorized

withdrawal of a claim shall constitute

withdrawal of any related acceptance or

rejection of a plan. 

(a) Notice of Withdrawal; Limitations. A

creditor may withdraw a proof of claim by

filing a notice of withdrawal. But unless the

court orders otherwise after notice and a

hearing, a creditor may not withdraw a

proof of claim if:

(A) an objection to it has been filed;

(B) a complaint has been filed against

the creditor in an adversary

proceeding; or 

(C) the creditor has accepted or

rejected the plan or has

participated significantly in the

case.

(b) Notice of the Hearing; Order 

Permitting Withdrawal. Notice of the

hearing must be served on: 

• the trustee or debtor in possession; 

and

• any creditors’ committee elected

under § 705(a) or appointed under 

§ 1102.

The court’s order permitting a creditor to

withdraw a proof of claim must contain any

terms and conditions the court deems

proper. 

(c) Effect of Withdrawing a Proof of Claim.

Unless the court orders otherwise, an 

authorized withdrawal constitutes

withdrawal of any related acceptance or

rejection of a plan. 

Committee Note 

The language of Rule 3006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

`Rule 3007. Objections to Claims Rule 3007. Objecting to a Claim

(a) TIME AND MANNER OF

SERVICE.

(1) Time of Service. An objection

to the allowance of a claim and a notice

of objection that substantially conforms 

to the appropriate Official Form shall be 

filed and served at least 30 days before

any scheduled hearing on the objection 

or any deadline for the claimant to

request a hearing.

(2) Manner of Service.

(A) The objection and 

notice shall be served on a claimant by 

first-class mail to the person most 

recently designated on the claimant’s

original or amended proof of claim as 

the person to receive notices, at the

address so indicated; and

(i) if the

objection is to a claim of the United

States, or any of its officers or agencies,

in the manner provided for service of a 

summons and complaint by Rule 

7004(b)(4) or (5); or

(ii) if the

objection is to a claim of an insured 

depository institution, in the manner

provided by Rule 7004(h).

(B) Service of the

objection and notice shall also be made

by first-class mail or other permitted

means on the debtor or debtor in 

possession, the trustee, and, if 

applicable, the entity filing the proof of

claim under Rule 3005.

(a) Time and Manner of Serving the

Objection.

(1) Time to Serve. An objection to a 

claim and a notice of the objection

must be filed and served at least

30 days before a scheduled hearing on 

the objection or any deadline for the

claim holder to request a hearing.

(2) Whom to Serve; Manner of Service. 

(A) Serving the Claim Holder. The 

notice―using Form 420B―

and objection must be served by 

mail on the person the claim

holder most recently designated to

receive notices on the claim

holder’s original or latest amended

proof of claim, at the address so

indicated. If the objection is to a

claim of: 

(i) the United States or one of its

officers or agencies, service

must be made as if it were a

summons and complaint 

under Rule 7004(b)(4) or (5);

or 

(ii) an insured depository 

institution, service must be 

made under Rule 7004(h).

(B) Serving Others. The notice and 

objection must also be served, by 

mail (or other permitted means),

on: 

• the debtor or debtor in 

possession; 

• the trustee; and

• if applicable, the entity that

filed the proof of claim under 

Rule 3005.

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ORIGINAL REVISION

(b) DEMAND FOR RELIEF

REQUIRING AN ADVERSARY

PROCEEDING. A party in interest

shall not include a demand for relief of a 

kind specified in Rule 7001 in an

objection to the allowance of a claim,

but may include the objection in an

adversary proceeding. 

(b) Demanding Relief Under Rule 7001 Not

Permitted. In objecting to a claim, a party

in interest must not include a demand for a 

type of relief specified in Rule 7001 but 

may include the objection in an adversary

proceeding. 

(c) LIMITATION ON JOINDER OF

CLAIMS OBJECTIONS. Unless 

otherwise ordered by the court or

permitted by subdivision (d), objections

to more than one claim shall not be

joined in a single objection. 

(c) Limit on Omnibus Objections. Unless 

the court orders otherwise or (d) permits,

objections to more than one claim may not 

be joined in a single objection. 

(d) OMNIBUS OBJECTION. Subject

to subdivision (e), objections to more 

than one claim may be joined in an

omnibus objection if all the claims were

filed by the same entity, or the

objections are based solely on the 

grounds that the claims should be 

disallowed, in whole or in part, because:

(1) they duplicate other claims;

(2) they have been filed in the

wrong case;

(3) they have been amended by

subsequently filed proofs of claim;

(4) they were not timely filed;

(5) they have been satisfied or

released during the case in accordance

with the Code, applicable rules, or a

court order; 

(6) they were presented in a

form that does not comply with

applicable rules, and the objection states

that the objector is unable to determine

the validity of the claim because of the

noncompliance;

(7) they are interests, rather than

claims; or 

(d) Omnibus Objection. Subject to (e),

objections to more than one claim may be 

joined in a single objection if:

(1) all the claims were filed by the same

entity; or 

(2) the objections are based solely on

grounds that the claims should be 

disallowed, in whole or in part, because 

they:

(A) duplicate other claims;

(B) were filed in the wrong case;

(C) have been amended by later proofs 

of claim;

(D)were not timely filed;

(E) have been satisfied or released

during the case in accordance with

the Code, applicable rules, or a 

court order; 

(F) were presented in a form that does

not comply with applicable rules

and the objection states that 

because of the noncompliance the

objector is unable to determine a 

claim’s validity;

(G) are interests, not claims; or

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ORIGINAL REVISION

(8) they assert priority in an

amount that exceeds the maximum

amount under § 507 of the Code. 

(H) assert a priority in an amount that

exceeds the maximum amount

allowable under § 507.

(e) REQUIREMENTS FOR

OMNIBUS OBJECTION. An omnibus 

objection shall:

(1) state in a conspicuous place 

that claimants receiving the objection

should locate their names and claims in

the objection; 

(2) list claimants alphabetically,

provide a cross-reference to claim

numbers, and, if appropriate, list 

claimants by category of claims;

(3) state the grounds of the 

objection to each claim and provide a 

cross-reference to the pages in the

omnibus objection pertinent to the 

stated grounds; 

(4) state in the title the identity

of the objector and the grounds for the 

objections; 

(5) be numbered consecutively

with other omnibus objections filed by

the same objector; and

(6) contain objections to no 

more than 100 claims.

(e) Required Content of an Omnibus

Objection. An omnibus objection must:

(1) state in a conspicuous place that claim

holders can find their names and 

claims in the objection; 

(2) list the claim holders alphabetically,

provide a cross-reference to claim

numbers, and, if appropriate, list claim 

holders by category of claims;

(3) state for each claim the grounds for

the objection and provide a crossreference to the pages where pertinent

information about the grounds 

appears;

(4) state in the title the objector’s identity 

and the grounds for the objections; 

(5) be numbered consecutively with other

omnibus objections filed by the same 

objector; and

(6) contain objections to no more than

100 claims.

(f) FINALITY OF OBJECTION. The

finality of any order regarding a claim

objection included in an omnibus 

objection shall be determined as though 

the claim had been subject to an

individual objection.

(f) Finality of an Order When Objections

Are Joined. When objections are joined, 

the finality of an order regarding any claim

must be determined as though it had been 

subject to an individual objection. 

Committee Note 

The language of Rule 3007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3008. Reconsideration of Claims Rule 3008. Reconsidering an Order

Allowing or Disallowing a Claim

A party in interest may move for

reconsideration of an order allowing or 

disallowing a claim against the estate.

The court after a hearing on notice shall

enter an appropriate order. 

A party in interest may move to reconsider an

order allowing or disallowing a claim. After

notice and a hearing, the court must issue an

appropriate order. 

Committee Note 

The language of Rule 3008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3009. Declaration and Payment

of Dividends in a Chapter 7

Liquidation Case

Rule 3009. Chapter 7—Paying

Dividends

In a chapter 7 case, dividends to

creditors shall be paid as promptly as 

practicable. Dividend checks shall be

made payable to and mailed to each

creditor whose claim has been allowed,

unless a power of attorney authorizing 

another entity to receive dividends has

been executed and filed in accordance

with Rule 9010. In that event, dividend

checks shall be made payable to the 

creditor and to the other entity and shall

be mailed to the other entity.

In a Chapter 7 case, dividends to creditors on

claims that have been allowed must be paid as

soon as practicable. A dividend check must be 

made payable to and mailed to the creditor. But 

if a power of attorney authorizing another entity

to receive payment has been filed under 

Rule 9010, the check must be:

(a) made payable to both the creditor and

the other entity; and

(b) mailed to the other entity.

Committee Note 

The language of Rule 3009 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3010. Small Dividends and

Payments in Chapter 7 Liquidation,

Chapter 12 Family Farmer’s Debt

Adjustment, and Chapter 13

Individual’s Debt Adjustment Cases

Rule 3010. Chapter 7, 12, or 13— 

Limits on Small Dividends and

Payments

(a) CHAPTER 7 CASES. In a chapter 7

case no dividend in an amount less than

$5 shall be distributed by the trustee to

any creditor unless authorized by local 

rule or order of the court. Any dividend 

not distributed to a creditor shall be

treated in the same manner as unclaimed

funds as provided in § 347 of the Code. 

(a) Chapter 7. In a Chapter 7 case, the trustee

must not distribute to a creditor any 

dividend less than $5 unless authorized to 

do so by local rule or court order. A 

dividend not distributed must be treated in 

the same manner as unclaimed funds under 

§ 347.

(b) CHAPTER 12 AND CHAPTER 13

CASES. In a chapter 12 or chapter 13

case no payment in an amount less than

$15 shall be distributed by the trustee to

any creditor unless authorized by local 

rule or order of the court. Funds not 

distributed because of this subdivision 

shall accumulate and shall be paid

whenever the accumulation aggregates

$15. Any funds remaining shall be 

distributed with the final payment.

(b) Chapter 12 or 13. In a Chapter 12 or 13

case, the trustee must not distribute to a

creditor any payment less than $15 unless

authorized to do so by local rule or court 

order. Distribution must be made when

accumulated funds total $15 or more. Any

remaining funds must be distributed with 

the final payment.

Committee Note 

The language of Rule 3010 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3011. Unclaimed Funds in

Chapter 7 Liquidation, Chapter 12

Family Farmer’s Debt Adjustment,

and Chapter 13 Individual’s Debt

Adjustment Cases

Rule 3011. Chapter 7, 12, or 13— 

Listing Unclaimed Funds

The trustee shall file a list of all known

names and addresses of the entities and

the amounts which they are entitled to

be paid from remaining property of the 

estate that is paid into court pursuant to

§ 347(a) of the Code. 

The trustee must:

(a) file a list of the known names and 

addresses of entities entitled to

payment from any remaining property 

of the estate that is paid into court

under § 347(a); and

(b) include the amount due each entity.

Committee Note 

The language of Rule 3011 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3012. Determining the Amount

of Secured and Priority Claims

Rule 3012. Determining the Amount

of a Secured or Priority Claim

(a) DETERMINATION OF

AMOUNT OF CLAIM. On request by

a party in interest and after notice—to

the holder of the claim and any other

entity the court designates—and a 

hearing, the court may determine:

(1) the amount of a secured

claim under § 506(a) of the Code; or 

(2) the amount of a claim

entitled to priority under § 507 of the 

Code. 

(a) In General. On a party in interest’s

request, after notice and a hearing, the

court may determine the amount of a

secured claim under § 506(a) or the amount

of a priority claim under § 507. The notice

must be served on: 

• the claim holder; and

• any other entity the court designates.

(b) REQUEST FOR

DETERMINATION; HOW MADE.

Except as provided in subdivision (c), a 

request to determine the amount of a

secured claim may be made by motion,

in a claim objection, or in a plan filed in

a chapter 12 or chapter 13 case. When

the request is made in a chapter 12 or

chapter 13 plan, the plan shall be served

on the holder of the claim and any other 

entity the court designates in the manner

provided for service of a summons and 

complaint by Rule 7004. A request to

determine the amount of a claim entitled

to priority may be made only by motion

after a claim is filed or in a claim

objection. 

(b) Determining the Amount of a Claim.

(1) Secured Claim. Except as provided in

(c), a request to determine the amount

of a secured claim may be made by

motion, in an objection to a claim, or 

in a plan filed in a Chapter 12 or 13 

case. If the request is included in a 

plan, a copy of the plan must be served

on the claim holder and any other

entity the court designates as if it were

a summons and complaint under Rule 

7004. 

(2) Priority Claim. A request to

determine the amount of a priority

claim may be made only by motion

after the claim is filed or in an

objection to the claim.

(c) CLAIMS OF GOVERNMENTAL

UNITS. A request to determine the

amount of a secured claim of a

governmental unit may be made only by

motion or in a claim objection after the

governmental unit files a proof of claim

or after the time for filing one under

Rule 3002(c)(1) has expired.

(c) Governmental Unit’s Secured Claim. A 

request to determine the amount of a 

governmental unit’s secured claim may be

made only by motion―or in an objection to

a claim―filed after:

(A) the governmental unit has filed the

proof of claim; or

(B) the time to file it under Rule

3002(c)(1) has expired. 

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Committee Note 

The language of Rule 3012 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only.

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ORIGINAL REVISION

Rule 3013. Classification of Claims

and Interests

Rule 3013. Determining Classes of

Creditors and Equity Security

Holders

For the purposes of the plan and its

acceptance, the court may, on motion

after hearing on notice as the court may

direct, determine classes of creditors and

equity security holders pursuant to §§ 

1122, 1222(b)(1), and 1322(b)(1) of the

Code. 

For purposes of a plan and its acceptance, the

court may, on motion after notice and a hearing,

determine classes of creditors and equity

security holders under §§ 1122, 1222(b)(1), and

1322(b)(1). The notice must be served as the

court directs.

Committee Note 

The language of Rule 3013 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3014. Election Under § 1111(b)

by Secured Creditor in Chapter 9

Municipality or Chapter 11

Reorganization Case

Rule 3014. Chapter 9 or 11—Secured

Creditors’ Election to Apply § 1111(b)

An election of application of § 

1111(b)(2) of the Code by a class of

secured creditors in a chapter 9 or 11

case may be made at any time prior to

the conclusion of the hearing on the 

disclosure statement or within such later

time as the court may fix. If the

disclosure statement is conditionally 

approved pursuant to Rule 3017.1, and a 

final hearing on the disclosure statement

is not held, the election of application of 

§ 1111(b)(2) may be made not later than

the date fixed pursuant to Rule 

3017.1(a)(2) or another date the court

may fix. The election shall be in writing

and signed unless made at the hearing

on the disclosure statement. The 

election, if made by the majorities

required by § 1111(b)(1)(A)(i), shall be

binding on all members of the class with

respect to the plan. 

(a) Time for an Election. In a Chapter 9 or 

11 case, before a hearing on the disclosure 

statement concludes, a class of secured

creditors may elect to apply § 1111(b)(2). If

the disclosure statement is conditionally 

approved under Rule 3017.1 and a final 

hearing on it is not held, the election must 

be made within the time provided in 

Rule 3017.1(a)(2). In either situation, the

court may set another time for the election.

(b) Signed Writing; Binding Effect. The

election must be made in writing and signed

unless made at the hearing on the

disclosure statement. An election made by

the majorities required by § 1111(b)(1)(A)(i)

is binding on all members of the class.

Committee Note 

The language of Rule 3014 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3015. Filing, Objection to

Confirmation, Effect of

Confirmation, and Modification of a 

Plan in a Chapter 12 or a Chapter 13

Case

Rule 3015. Chapter 12 or 13—Time to

File a Plan; Nonstandard Provisions;

Objection to Confirmation; Effect of

Confirmation; Modifying a Plan

(a) FILING A CHAPTER 12 PLAN.

The debtor may file a chapter 12 plan

with the petition. If a plan is not filed

with the petition, it shall be filed within

the time prescribed by § 1221 of the

Code. 

(a) Time to File a Chapter 12 Plan. The

debtor may file a Chapter 12 plan:

(1) with the petition; or 

(2) within the time prescribed by § 1221.

(b) FILING A CHAPTER 13 PLAN.

The debtor may file a chapter 13 plan

with the petition. If a plan is not filed

with the petition, it shall be filed within

14 days thereafter, and such time may

not be further extended except for cause

shown and on notice as the court may 

direct. If a case is converted to chapter

13, a plan shall be filed within 14 days

thereafter, and such time may not be

further extended except for cause shown

and on notice as the court may direct.

(b) Time to File a Chapter 13 Plan.

(1) In General. The debtor may file a

Chapter 13 plan with the petition or

within 14 days after it is filed. The time

to file may not be extended except for

cause and on notice as the court

directs.

(2) Case Converted to Chapter 13. If a 

case is converted to Chapter 13, the

plan must be filed within 14 days after

conversion. The time may not be 

extended except for cause and on

notice as the court directs.

(c) FORM OF CHAPTER 13 PLAN. If

there is an Official Form for a plan filed

in a chapter 13 case, that form must be

used unless a Local Form has been 

adopted in compliance with Rule 3015.1. 

With either the Official Form or a Local

Form, a nonstandard provision is 

effective only if it is included in a section

of the form designated for nonstandard 

provisions and is also identified in 

accordance with any other requirements

of the form. As used in this rule and the 

Official Form or a Local Form,

‘‘nonstandard provision’’ means a 

provision not otherwise included in the

Official or Local Form or deviating

from it.

(c) Form of a Chapter 13 Plan.

(1) In General. In filing a Chapter 13

plan, the debtor must use Form 113, 

unless the court has adopted a local 

form under Rule 3015.1.

(2) Nonstandard Provision. With either

form, a nonstandard provision is 

effective only if it is included in the

section of the form that is designated

for nonstandard provisions and is 

identified in accordance with any other

requirements of the form. A

nonstandard provision is one that is 

not included in the form or deviates 

from it.

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ORIGINAL REVISION

(d) NOTICE. If the plan is not included

with the notice of the hearing on

confirmation mailed under Rule 2002, 

the debtor shall serve the plan on the 

trustee and all creditors when it is filed

with the court.

(d) Serving a Copy of the Plan. If the plan

was not included with the notice of a

confirmation hearing mailed under

Rule 2002, the debtor must serve the plan

on the trustee and creditors when it is filed.

(e) TRANSMISSION TO UNITED

STATES TRUSTEE. The clerk shall 

forthwith transmit to the United States

trustee a copy of the plan and any

modification thereof filed under 

subdivision (a) or (b) of this rule.

(e) Copy to the United States Trustee. The 

clerk must promptly send to the United

States trustee a copy of any plan filed under 

(a) or (b) or any modification of it.

(f) OBJECTION TO

CONFIRMATION;

DETERMINATION OF GOOD

FAITH IN THE ABSENCE OF AN 

OBJECTION. An objection to 

confirmation of a plan shall be filed and 

served on the debtor, the trustee, and

any other entity designated by the court,

and shall be transmitted to the United

States trustee, at least seven days before

the date set for the hearing on

confirmation, unless the court orders 

otherwise. An objection to confirmation

is governed by Rule 9014. If no 

objection is timely filed, the court may

determine that the plan has been

proposed in good faith and not by any 

means forbidden by law without 

receiving evidence on such issues. 

(f) Objection to Confirmation;

Determining Good Faith When No

Objection is Filed.

(1) Serving an Objection. An entity that

objects to confirmation of a plan must 

file and serve the objection on the 

debtor, trustee, and any other entity

the court designates, and must send a 

copy to the United States trustee.

Unless the court orders otherwise, the 

objection must be filed, served, and 

sent at least seven days before the date

set for the confirmation hearing. The 

objection is governed by Rule 9014.

(2) When No Objection Is Filed. If no

objection is timely filed, the court may,

without receiving evidence, determine

that the plan has been proposed in 

good faith and not by any means

forbidden by law.

(g) EFFECT OF CONFIRMATION.

Upon the confirmation of a chapter 12

or chapter 13 plan:

(1) any determination in the plan

made under Rule 3012 about the

amount of a secured claim is binding on 

the holder of the claim, even if the

holder files a contrary proof of claim or

the debtor schedules that claim, and

(g) Effect of Confirmation of a Chapter 12

or 13 Plan on the Amount of a Secured

Claim; Terminating the Stay.

(1) Secured Claim. When a plan is 

confirmed, the amount of a secured

claim—determined in the plan under 

Rule 3012—becomes binding on the 

holder of the claim. That is the effect

even if the holder files a contrary proof 

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ORIGINAL REVISION

regardless of whether an objection to

the claim has been filed; and

(2) any request in the plan to

terminate the stay imposed by § 362(a), § 

1201(a), or § 1301(a) is granted.

of claim, the debtor schedules that

claim, or an objection to the claim is

filed.

(2) Terminating the Stay. When a plan is

confirmed, a request in the plan to

terminate the stay imposed under 

§ 362(a), § 1201(a), or § 1301(a) is

granted.

(h) MODIFICATION OF PLAN

AFTER CONFIRMATION. A request 

to modify a plan under § 1229 or § 1329 

of the Code shall identify the proponent 

and shall be filed together with the

proposed modification. The clerk, or 

some other person as the court may

direct, shall give the debtor, the trustee,

and all creditors not less than 21 days’ 

notice by mail of the time fixed for filing

objections and, if an objection is filed, 

the hearing to consider the proposed 

modification, unless the court orders 

otherwise with respect to creditors who

are not affected by the proposed

modification. A copy of the notice shall 

be transmitted to the United States

trustee. A copy of the proposed 

modification, or a summary thereof,

shall be included with the notice. Any 

objection to the proposed modification 

shall be filed and served on the debtor, 

the trustee, and any other entity

designated by the court, and shall be 

transmitted to the United States trustee.

An objection to a proposed 

modification is governed by Rule 9014.

(h) Modifying a Plan After It Is Confirmed.

(1) Request to Modify a Plan After It Is 

Confirmed. A request to modify a

confirmed plan under § 1229 or § 1329 

must identify the proponent and 

include the proposed modification. 

Unless the court orders otherwise for 

creditors not affected by the 

modification, the clerk or the court’s

designee must:

(A) give the debtor, trustee, and

creditors at least 21 days’ notice, by

mail, of the time to file objections

and the date of any hearing;

(B) send a copy of the notice to the 

United States trustee; and

(C) include a copy or summary of the

modification.

(2) Objecting to a Modification. 

Rule 9014 governs an objection to a 

proposed modification. An objection

must be filed and served on: 

• the debtor;

• the trustee; and

• any other entity the court

designates.

A copy must also be sent to the United

States trustee.

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Committee Note

The language of Rule 3015 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3015.1. Requirements for a

Local Form for Plans Filed in a

Chapter 13 Case

Rule 3015.1 Requirements for a Local

Form for a Chapter 13 Plan

Notwithstanding Rule 9029(a)(1), a

district may require that a Local Form

for a plan filed in a chapter 13 case be

used instead of an Official Form 

adopted for that purpose if the 

following conditions are satisfied:

(a) a single Local Form is

adopted for the district after public 

notice and an opportunity for public 

comment;

(b) each paragraph is numbered

and labeled in boldface type with a

heading stating the general subject

matter of the paragraph;

(c) the Local Form includes an

initial paragraph for the debtor to

indicate that the plan does or does not: 

(1) contain any

nonstandard provision; 

(2) limit the amount of a 

secured claim based on a valuation of

the collateral for the claim; or

(3) avoid a security

interest or lien;

(d) the Local Form contains

separate paragraphs for:

(1) curing any default

and maintaining payments on a claim

secured by the debtor’s principal 

residence;

(2) paying a domesticsupport obligation; 

(3) paying a claim

described in the final paragraph of § 

1325(a) of the Bankruptcy Code; and

(4) surrendering property 

that secures a claim with a request that

As an exception to Rule 9029(a)(1), a court may

require that a single local form be used for a 

chapter 13 plan in its district instead of Official

Form 113 if it:

(a) is adopted after public notice and an

opportunity for comment;

(b) numbers and labels each paragraph in 

boldface type with a heading that states

its general subject matter;

(c) includes an opening paragraph for the 

debtor to indicate that the plan does or

does not: 

(1) contain a nonstandard provision; 

(2) limit the amount of a secured

claim based on a valuation of the

collateral; or 

(3) avoid a security interest or lien;

(d) contains separate paragraphs relating

to:

(1) curing any default and maintaining

payments on a claim secured by 

the debtor’s principal residence;

(2) paying a domestic support 

obligation; 

(3) paying a claim described in the

final paragraph of § 1325(a); and

(4) surrendering property that secures 

a claim and requesting that the

stay under § 362(a) or 1301(a)

related to the property be

terminated; and 

(e) contains a final paragraph providing a 

place for:

(1) nonstandard provisions as defined 

in Rule 3015(c), with a warning 

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ORIGINAL REVISION

the stay under §§ 362(a) and 1301(a) be 

terminated as to the surrendered

collateral; and

(e) the Local Form contains a

final paragraph for:

(1) the placement of

nonstandard provisions, as defined in 

Rule 3015(c), along with a statement that

any nonstandard provision placed 

elsewhere in the plan is void; and 

(2) certification by the

debtor’s attorney or by an unrepresented

debtor that the plan contains no 

nonstandard provision other than those 

set out in the final paragraph. 

that any nonstandard provision 

placed elsewhere in the plan is

void; and

(2) a certification by the debtor’s

attorney, or by an unrepresented

debtor, that the plan does not 

contain any nonstandard 

provision except as set out in the 

final paragraph. 

Committee Note 

The language of Rule 3015.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3016. Filing of Plan and

Disclosure Statement in a Chapter 9 

Municipality or Chapter 11

Reorganization Case

Rule 3016. Chapter 9 or 11—Plan and

Disclosure Statement

(a) IDENTIFICATION OF PLAN.

Every proposed plan and any 

modification thereof shall be dated and,

in a chapter 11 case, identified with the

name of the entity or entities submitting 

or filing it.

(a) In General. In a Chapter 9 or 11 case,

every proposed plan or modification must 

be dated. In a Chapter 11 case, the plan 

must name the entity or entities proposing 

or filing it.

(b) DISCLOSURE STATEMENT. In a

chapter 9 or 11 case, a disclosure

statement under § 1125 of the Code or

evidence showing compliance with §

1126(b) shall be filed with the plan or

within a time fixed by the court, unless

the plan is intended to provide adequate 

information under § 1125(f)(1). If the

plan is intended to provide adequate 

information under § 1125(f)(1), it shall

be so designated and Rule 3017.1 shall 

apply as if the plan is a disclosure 

statement.

(b) Filing a Disclosure Statement.

(1) In General. In a Chapter 9 or 11 case,

unless (2) applies, the disclosure 

statement required by § 1125 or

evidence showing compliance with

§ 1126(b) must be filed with the plan

or at another time set by the court.

(2) Providing Information Under 

§ 1125(f)(1). A plan intended to

provide adequate information under 

§ 1125(f)(1) must be so designated.

Rule 3017.1 then applies as if the plan

were a disclosure statement.

(c) INJUNCTION UNDER A PLAN.

If a plan provides for an injunction 

against conduct not otherwise enjoined

under the Code, the plan and disclosure 

statement shall describe in specific and

conspicuous language (bold, italic, or 

underlined text) all acts to be enjoined

and identify the entities that would be

subject to the injunction. 

(c) Injunction in a Plan. If the plan provides 

for an injunction against conduct not 

otherwise enjoined by the Code, the plan 

and disclosure statement must:

(1) describe in specific and conspicuous 

language (bold, italic, or underlined

text) all acts to be enjoined; and

(2) identify the entities that would be

subject to the injunction. 

(d) STANDARD FORM SMALL

BUSINESS DISCLOSURE

STATEMENT AND PLAN. In a small

business case, the court may approve a 

disclosure statement and may confirm a

plan that conform substantially to the

appropriate Official Forms or other

standard forms approved by the court.

(d) Form of a Disclosure Statement and

Plan in a Small Business Case. In a small

business case, the court may approve a 

disclosure statement that substantially

conforms to Form 425B and confirm a 

plan that substantially conforms to

Form 425A—or, in either instance, to a

standard form approved by the court.

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Committee Note

The language of Rule 3016 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3017. Court Consideration of

Disclosure Statement in a Chapter 9 

Municipality or Chapter 11

Reorganization Case

Rule 3017. Chapter 9 or 11—Hearing

on a Disclosure Statement and Plan

(a) HEARING ON DISCLOSURE

STATEMENT AND OBJECTIONS.

Except as provided in Rule 3017.1, after

a disclosure statement is filed in

accordance with Rule 3016(b), the court

shall hold a hearing on at least 28 days’

notice to the debtor, creditors, equity

security holders and other parties in

interest as provided in Rule 2002 to 

consider the disclosure statement and

any objections or modifications thereto. 

The plan and the disclosure statement 

shall be mailed with the notice of the

hearing only to the debtor, any trustee

or committee appointed under the Code,

the Securities and Exchange

Commission and any party in interest 

who requests in writing a copy of the 

statement or plan. Objections to the

disclosure statement shall be filed and

served on the debtor, the trustee, any

committee appointed under the Code, 

and any other entity designated by the

court, at any time before the disclosure

statement is approved or by an earlier

date as the court may fix. In a chapter 11

reorganization case, every notice, plan,

disclosure statement, and objection

required to be served or mailed pursuant 

to this subdivision shall be transmitted

to the United States trustee within the

time provided in this subdivision. 

(a) Hearing on a Disclosure Statement;

Objections.

(1) Notice and Hearing. 

(A) Notice. Except as provided in

Rule 3017.1 for a small business 

case, the court must hold a hearing

on a disclosure statement filed

under Rule 3016(b) and any 

objection or modification to it. The 

hearing must be held on at least

28 days’ notice under Rule 2002(b)

to:

• the debtor;

• creditors;

• equity security holders; and

• other parties in interest.

(B) Limit on Sending the Plan and

Disclosure Statement. A copy of the

plan and disclosure statement must 

be mailed with the notice of a

hearing to:

• the debtor;

• any trustee or appointed 

committee;

• the Securities and Exchange

Commission: and

• any party in interest that, in

writing, requests a copy of

the disclosure statement or

plan. 

(2) Objecting to a Disclosure 

Statement. An objection to a 

disclosure statement must be filed and

served before the disclosure statement

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is approved or by an earlier date the

court sets. The objection must be 

served on: 

• the debtor; 

• the trustee;

• any appointed committee; and

• any other entity the court

designates.

(3) Chapter 11—Copies to the United 

States Trustee. In a Chapter 11 case,

a copy of every item required to be

served or mailed under this

Rule 3017(a) must also be sent to the

United States trustee within the

prescribed time.

(b) DETERMINATION ON

DISCLOSURE STATEMENT.

Following the hearing the court shall 

determine whether the disclosure

statement should be approved. 

(b) Court Ruling on the Disclosure

Statement. After the hearing, the court

must determine whether the disclosure 

statement should be approved. 

(c) DATES FIXED FOR VOTING

ON PLAN AND CONFIRMATION.

On or before approval of the disclosure 

statement, the court shall fix a time

within which the holders of claims and

interests may accept or reject the plan

and may fix a date for the hearing on

confirmation.

(c) Time to Accept or Reject a Plan and for

the Confirmation Hearing. At the time or 

before the disclosure statement is

approved, the court:

(1) must set a deadline for the holders of 

claims and interests to accept or reject

the plan; and

(2) may set a date for a confirmation

hearing.

(d) TRANSMISSION AND NOTICE

TO UNITED STATES TRUSTEE,

CREDITORS, AND EQUITY

SECURITY HOLDERS. Upon 

approval of a disclosure statement,—2

except to the extent that the court 

orders otherwise with respect to one or

more unimpaired classes of creditors or 

(d) Hearing on Confirmation.

(1) Transmitting the Plan and Related 

Documents. 

(A) In General. After the disclosure

statement has been approved, the

court must order the debtor in 

possession, the trustee, the plan

2 So in original. The comma probably should not appear.

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ORIGINAL REVISION

equity security holders—the debtor in 

possession, trustee, proponent of the 

plan, or clerk as the court orders shall 

mail to all creditors and equity security

holders, and in a chapter 11 

reorganization case shall transmit to the

United States trustee,

(1) the plan or a court-approved 

summary of the plan;

(2) the disclosure statement

approved by the court;

(3) notice of the time within

which acceptances and rejections of the

plan may be filed; and

(4) any other information as the

court may direct, including any court

opinion approving the disclosure 

statement or a court-approved summary 

of the opinion. 

In addition, notice of the time fixed for

filing objections and the hearing on 

confirmation shall be mailed to all

creditors and equity security holders in 

accordance with Rule 2002(b), and a

form of ballot conforming to the 

appropriate Official Form shall be

mailed to creditors and equity security

holders entitled to vote on the plan. If 

the court opinion is not transmitted or 

only a summary of the plan is 

transmitted, the court opinion or the 

plan shall be provided on request of a 

party in interest at the plan proponent’s

expense. If the court orders that the

disclosure statement and the plan or a

summary of the plan shall not be mailed

to any unimpaired class, notice that the

class is designated in the plan as 

unimpaired and notice of the name and

address of the person from whom the

plan or summary of the plan and 

disclosure statement may be obtained

upon request and at the plan

proponent, or the clerk to mail the

following items to creditors and 

equity security holders and, in a 

Chapter 11 case, to send a copy of

each to the United States trustee:

(i) the court-approved disclosure 

statement;

(ii) the plan or a court-approved 

summary of it;

(iii) a notice of the time to file

acceptances and rejections of 

the plan; and

(iv) any other information as the

court directs—including any

opinion approving the 

disclosure statement or a

court-approved summary of 

the opinion. 

(B) Exception. The court may vary the

requirements for an unimpaired

class of creditors or equity security

holders. 

(2) Time to Object to a Plan; Notice of 

the Confirmation Hearing. Notice

of the time to file an objection to a

plan’s confirmation and the date of the

hearing on confirmation must be 

mailed to creditors and equity security

holders in accordance with

Rule 2002(b). A ballot that conforms

to Form 314 must also be mailed to

creditors and equity security holders

who are entitled to vote on the plan. If

the court’s opinion is not sent (or only 

a summary of the plan was sent), a

party in interest may request a copy of

the opinion or plan, which must be 

provided at the plan proponent’s 

expense.

(3) Notice to Unimpaired Classes. If

the court orders that the disclosure

statement and plan (or the plan

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ORIGINAL REVISION

proponent’s expense, shall be mailed to 

members of the unimpaired class

together with the notice of the time

fixed for filing objections to and the 

hearing on confirmation. For the 

purposes of this subdivision, creditors 

and equity security holders shall include 

holders of stock, bonds, debentures, 

notes, and other securities of record on 

the date the order approving the

disclosure statement is entered or

another date fixed by the court, for

cause, after notice and a hearing.

summary) not be mailed to an

unimpaired class, a notice that the class

has been designated in the plan as

unimpaired must be mailed to the class

members. The notice must show: 

(A) the name and address of the

person from whom the plan (or 

summary) and the disclosure

statement may be obtained at the

plan proponent’s expense;

(B) the time to file an objection to the 

plan’s confirmation; and

(C) the date of the confirmation

hearing.

(4) Definition of “Creditors” and 

“Equity Security Holders.” In this

Rule 3017(d), “creditors” and “equity 

security holders” include record 

holders of stock, bonds, debentures, 

notes, and other securities on the date

the order approving the disclosure 

statement is entered—or another date 

the court sets for cause and after

notice and a hearing.

(e) TRANSMISSION TO

BENEFICIAL HOLDERS OF

SECURITIES. At the hearing held 

pursuant to subdivision (a) of this rule, 

the court shall consider the procedures 

for transmitting the documents and

information required by subdivision (d) 

of this rule to beneficial holders of 

stock, bonds, debentures, notes, and 

other securities, determine the adequacy

of the procedures, and enter any orders 

the court deems appropriate.

(e) Procedure for Sending Information to

Beneficial Holders of Securities. At the

hearing under (a), the court must:

(1) determine the adequacy of the

procedures for sending the documents 

and information listed in (d)(1) to

beneficial holders of stock, bonds, 

debentures, notes, and other securities;

and

(2) issue any appropriate orders. 

(f) NOTICE AND TRANSMISSION

OF DOCUMENTS TO ENTITIES

SUBJECT TO AN INJUNCTION

UNDER A PLAN. If a plan provides

for an injunction against conduct not 

otherwise enjoined under the Code and

(f) Sending Information to Entities Subject

to an Injunction.

(1) Timing of the Notice. This 

Rule 3017(f) applies if, under a plan, an

entity that is not a creditor or equity

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ORIGINAL REVISION

an entity that would be subject to the

injunction is not a creditor or equity 

security holder, at the hearing held

under Rule 3017(a), the court shall 

consider procedures for providing the 

entity with:

(1) at least 28 days’ notice of the

time fixed for filing objections and the 

hearing on confirmation of the plan 

containing the information described in 

Rule 2002(c)(3); and

(2) to the extent feasible, a copy

of the plan and disclosure statement.

security holder is subject to an 

injunction against conduct not 

otherwise enjoined by the Code. At the

hearing under (a), the court must

consider procedures to provide the 

entity with at least 28 days’ notice of: 

(A) the time to file an objection; and

(B) the date of the confirmation

hearing.

(2) Contents of the Notice. The notice

must:

(A) provide the information required

by Rule 2002(c)(3); and

(B) if feasible, include a copy of the

plan and disclosure statement.

Committee Note 

The language of Rule 3017 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3017.1. Court Consideration of

Disclosure Statement in a Small

Business Case

Rule 3017.1. Disclosure Statement in a 

Small Business Case

(a) CONDITIONAL APPROVAL OF

DISCLOSURE STATEMENT. In a 

small business case, the court may, on

application of the plan proponent or on 

its own initiative, conditionally approve 

a disclosure statement filed in

accordance with Rule 3016. On or

before conditional approval of the 

disclosure statement, the court shall: 

(1) fix a time within which the

holders of claims and interests may 

accept or reject the plan;

(2) fix a time for filing objections

to the disclosure statement;

(3) fix a date for the hearing on

final approval of the disclosure 

statement to be held if a timely objection

is filed; and

(4) fix a date for the hearing on 

confirmation.

(a) Conditionally Approving a Disclosure

Statement. In a small business case, the 

court may, on motion of the plan

proponent or on its own, conditionally 

approve a disclosure statement filed under

Rule 3016. Before doing so, the court must:

(1) set the time within which the claim

holders and interest holders may 

accept or reject the plan; 

(2) set the time to file an objection to the

disclosure statement;

(3) if a timely objection is filed, set the

date for the hearing on final approval 

of the disclosure statement; and

(4) set a date for the confirmation hearing.

(b) APPLICATION OF RULE 3017.

Rule 3017(a), (b), (c), and (e) do not

apply to a conditionally approved

disclosure statement. Rule 3017(d)

applies to a conditionally approved 

disclosure statement, except that

conditional approval is considered 

approval of the disclosure statement for

the purpose of applying Rule 3017(d).

(b) Effect of a Conditional Approval.

Rule 3017(a)–(c) and (e) do not apply to a

conditionally approved disclosure 

statement. But conditional approval is

considered approval in applying 

Rule 3017(d).

(c) FINAL APPROVAL.

(1) Notice. Notice of the time

fixed for filing objections and the 

hearing to consider final approval of the

disclosure statement shall be given in

accordance with Rule 2002 and may be

combined with notice of the hearing on 

confirmation of the plan.

(c) Time to File an Objection; Date of a

Hearing.

(1) Notice. Notice must be given under

Rule 2002(b) of the time to file an

objection and the date of a hearing to

consider final approval of the 

disclosure statement. The notice may

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ORIGINAL REVISION

(2) Objections. Objections to the 

disclosure statement shall be filed,

transmitted to the United States trustee,

and served on the debtor, the trustee,

any committee appointed under the

Code and any other entity designated by

the court at any time before final

approval of the disclosure statement or 

by an earlier date as the court may fix.

(3) Hearing. If a timely objection

to the disclosure statement is filed, the

court shall hold a hearing to consider 

final approval before or combined with 

the hearing on confirmation of the plan. 

be combined with notice of the

confirmation hearing.

(2) Time to File an Objection to the 

Disclosure Statement. An objection

to the disclosure statement must be

filed before the disclosure statement is

finally approved or by an earlier date

set by the court. The objection must be

served on: 

• the debtor; 

• the trustee;

• any appointed committee; and

• any other entity the court

designates.

A copy must also be sent to the United

States trustee.

(3) Hearing on an Objection to the 

Disclosure Statement. If a timely

objection to the disclosure statement is

filed, the court must hold a hearing on 

final approval either before or

combined with the confirmation

hearing.

Committee Note 

The language of Rule 3017.1 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3018. Acceptance or Rejection

of Plan in a Chapter 9 Municipality

or a Chapter 11 Reorganization Case

Rule 3018. Chapter 9 or 11—Accepting

or Rejecting a Plan

(a) ENTITIES ENTITLED TO

ACCEPT OR REJECT PLAN; TIME 

FOR ACCEPTANCE OR 

REJECTION. A plan may be accepted

or rejected in accordance with § 1126 of

the Code within the time fixed by the

court pursuant to Rule 3017. Subject to 

subdivision (b) of this rule, an equity 

security holder or creditor whose claim

is based on a security of record shall not 

be entitled to accept or reject a plan

unless the equity security holder or 

creditor is the holder of record of the 

security on the date the order approving 

the disclosure statement is entered or on

another date fixed by the court, for

cause, after notice and a hearing. For

cause shown, the court after notice and

hearing may permit a creditor or equity

security holder to change or withdraw an

acceptance or rejection.

Notwithstanding objection to a claim or

interest, the court after notice and

hearing may temporarily allow the claim

or interest in an amount which the court

deems proper for the purpose of 

accepting or rejecting a plan. 

(a) In General.

(1) Who May Accept or Reject a Plan. 

Within the time set by the court under

Rule 3017, a claim holder or equity

security holder may accept or reject a

Chapter 9 or Chapter 11 plan under 

§ 1126.

(2) Claim Based on a Security of 

Record. Subject to (b), an equity

security holder or creditor whose claim

is based on a security of record may 

accept or reject a plan only if the equity 

security holder or creditor is the holder 

of record:

(A) on the date the order approving 

the disclosure statement is entered;

or 

(B) on another date the court sets after

notice and a hearing and for cause.

(3) Changing or Withdrawing an 

Acceptance or Rejection. After

notice and a hearing and for cause, the

court may permit a creditor or equity

security holder to change or withdraw

an acceptance or rejection.

(4) Temporarily Allowing a Claim or 

Interest. Even if an objection to a

claim or interest has been filed, the

court may, after notice and a hearing,

temporarily allow a claim or interest in

an amount that the court considers 

proper for voting to accept or reject a

plan. 

(b) ACCEPTANCES OR

REJECTIONS OBTAINED BEFORE 

PETITION. An equity security holder

or creditor whose claim is based on a 

security of record who accepted or 

(b) Treatment of Acceptances or Rejections

Obtained Before the Petition Was Filed. 

(1) Acceptance or Rejection by a 

Nonholder of Record. An equity

security holder or creditor who

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ORIGINAL REVISION

rejected the plan before the

commencement of the case shall not be

deemed to have accepted or rejected the 

plan pursuant to § 1126(b) of the Code 

unless the equity security holder or 

creditor was the holder of record of the 

security on the date specified in the

solicitation of such acceptance or

rejection for the purposes of such 

solicitation. A holder of a claim or

interest who has accepted or rejected a

plan before the commencement of the

case under the Code shall not be 

deemed to have accepted or rejected the 

plan if the court finds after notice and

hearing that the plan was not

transmitted to substantially all creditors

and equity security holders of the same 

class, that an unreasonably short time

was prescribed for such creditors and 

equity security holders to accept or

reject the plan, or that the solicitation

was not in compliance with § 1126(b) of 

the Code. 

accepted or rejected a plan before the

petition was filed will not be

considered to have accepted or 

rejected the plan under § 1126(b) if the

equity security holder or creditor:

(A) has a claim or interest based on a 

security of record; and

(B)was not the security’s holder of

record on the date specified in the 

solicitation of the acceptance or

rejection.

(2) Defective Solicitations. A holder of a 

claim or interest who accepted or

rejected a plan before the petition was

filed will not be considered to have 

accepted or rejected the plan if the

court finds, after notice and a hearing,

that:

(A) the plan was not sent to

substantially all creditors and

equity security holders of the same

class;

(B) an unreasonably short time was

prescribed for those creditors and 

equity security holders to accept or

reject the plan; or 

(C) the solicitation did not comply 

with § 1126(b).

(c) FORM OF ACCEPTANCE OR

REJECTION. An acceptance or

rejection shall be in writing, identify the

plan or plans accepted or rejected, be

signed by the creditor or equity security 

holder or an authorized agent, and 

conform to the appropriate Official

Form. If more than one plan is

transmitted pursuant to Rule 3017, an 

acceptance or rejection may be filed by

each creditor or equity security holder

for any number of plans transmitted and 

if acceptances are filed for more than

one plan, the creditor or equity security

(c) Form for Accepting or Rejecting a Plan; 

Procedure When More Than One Plan

Is Filed. 

(1) Form. An acceptance or rejection of a 

plan must:

(A) be in writing;

(B) identify the plan or plans; 

(C) be signed by the creditor or equity

security holder—or an authorized

agent; and

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ORIGINAL REVISION

holder may indicate a preference or 

preferences among the plans so 

accepted.

(D) conform to Form 314.

(2) When More Than One Plan Is 

Distributed. If more than one plan is 

transmitted under Rule 3017, a creditor

or equity security holder may accept or

reject one or more plans and may

indicate preferences among the plans

accepted.

(d) ACCEPTANCE OR REJECTION

BY PARTIALLY SECURED 

CREDITOR. A creditor whose claim

has been allowed in part as a secured

claim and in part as an unsecured claim

shall be entitled to accept or reject a plan

in both capacities.

(d) Partially Secured Creditor. If a creditor’s

claim has been allowed in part as a secured

claim and in part as an unsecured claim, the

creditor may accept or reject a plan in both 

capacities.

Committee Note

 

The language of Rule 3018 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3019. Modification of Accepted

Plan in a Chapter 9 Municipality or a

Chapter 11 Reorganization Case

Rule 3019. Chapter 9 or 11— 

Modifying a Plan

(a) MODIFICATION OF PLAN

BEFORE CONFIRMATION. In a

chapter 9 or chapter 11 case, after a plan

has been accepted and before its

confirmation, the proponent may file a

modification of the plan. If the court 

finds after hearing on notice to the

trustee, any committee appointed under

the Code, and any other entity

designated by the court that the

proposed modification does not 

adversely change the treatment of the

claim of any creditor or the interest of

any equity security holder who has not 

accepted in writing the modification, it

shall be deemed accepted by all creditors

and equity security holders who have 

previously accepted the plan. 

(a) Modifying a Plan Before Confirmation.

In a Chapter 9 or 11 case, after a plan has

been accepted and before confirmation, the

plan proponent may file a modification.

The modification is considered accepted by 

any creditor or equity security holder who

has accepted it in writing. For others who

have not accepted it in writing but have

accepted the plan, the modification is

considered accepted if, after notice and a

hearing, the court finds that it does not 

adversely change the treatment of their

claims or interests. The notice must be

served on: 

• the trustee;

• any appointed committee; and

• any other entity the court designates.

(b) MODIFICATION OF PLAN

AFTER CONFIRMATION IN

INDIVIDUAL DEBTOR CASE. If the

debtor is an individual, a request to 

modify the plan under § 1127(e) of the

Code is governed by Rule 9014. The 

request shall identify the proponent and 

shall be filed together with the proposed 

modification. The clerk, or some other

person as the court may direct, shall give

the debtor, the trustee, and all creditors

not less than 21 days’ notice by mail of

the time fixed to file objections and, if

an objection is filed, the hearing to

consider the proposed modification, 

unless the court orders otherwise with

respect to creditors who are not affected

by the proposed modification. A copy of 

the notice shall be transmitted to the

United States trustee, together with a

copy of the proposed modification. Any 

objection to the proposed modification

(b) Modifying a Plan After Confirmation in

an Individual Debtor’s Chapter 11 Case.

(1) In General. When a plan in an 

individual debtor’s Chapter 11 case has 

been confirmed, a request to modify it

under § 1127(e) is governed by 

Rule 9014. The request must identify

the proponent, and the proposed 

modification must be filed with it.

(2) Time to File an Objection; Service. 

(A) Time. Unless the court orders 

otherwise for creditors who are not 

affected by the proposed

modification, the clerk—or the

court’s designee—must give the

debtor, trustee, and creditors at

least 21 days’ notice, by mail, of: 

(i) the time to file an objection;

and

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ORIGINAL REVISION

shall be filed and served on the debtor, 

the proponent of the modification, the 

trustee, and any other entity designated

by the court, and shall be transmitted to

the United States trustee.

(ii) if an objection is filed, the 

date of a hearing to consider 

the proposed modification.

(B) Service. Any objection must be

served on: 

• the debtor;

• the entity proposing the 

modification;

• the trustee; and

• any other entity the court

designates.

A copy of the notice, modification,

and objection must also be sent to 

the United States trustee.

Committee Note 

The language of Rule 3019 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3020. Deposit; Confirmation of

Plan in a Chapter 9 Municipality or

Chapter 11 Reorganization Case

Rule 3020. In a Chapter 11 Case,

Depositing Funds Before the Plan is

Confirmed; Confirmation in a

Chapter 9 or 11 Case 

(a) DEPOSIT. In a chapter 11 case,

prior to entry of the order confirming 

the plan, the court may order the deposit

with the trustee or debtor in possession 

of the consideration required by the plan 

to be distributed on confirmation. Any 

money deposited shall be kept in a 

special account established for the

exclusive purpose of making the 

distribution. 

(a) Chapter 11—Depositing Funds Before

the Plan is Confirmed. Before a plan is

confirmed in a Chapter 11 case, the court

may order that the funds required to be 

distributed upon confirmation be deposited 

with the trustee or debtor in possession. 

The funds must be kept in a special account 

and used only to make the distribution. 

(b) OBJECTION TO AND

HEARING ON CONFIRMATION IN

A CHAPTER 9 OR CHAPTER 11 

CASE.

(1) Objection. An objection to 

confirmation of the plan shall be filed 

and served on the debtor, the trustee,

the proponent of the plan, any 

committee appointed under the Code, 

and any other entity designated by the

court, within a time fixed by the court.

Unless the case is a chapter 9

municipality case, a copy of every

objection to confirmation shall be 

transmitted by the objecting party to the

United States trustee within the time

fixed for filing objections. An objection 

to confirmation is governed by Rule 

9014.

(2) Hearing. The court shall rule 

on confirmation of the plan after notice

and hearing as provided in Rule 2002. If

no objection is timely filed, the court

may determine that the plan has been

proposed in good faith and not by any 

means forbidden by law without 

receiving evidence on such issues. 

(b) Chapter 9 or 11—Objecting to

Confirmation; Confirmation Hearing.

(1) Objecting to Confirmation. In a 

Chapter 9 or 11 case, an objection to

confirmation is governed by Rule 

9014. The objection must be filed and

served within the time set by the court

and be served on: 

• the debtor; 

• the trustee;

• the plan proponent; 

• any appointed committee; and

• any other entity the court

designates.

(2) Copy to the United States Trustee. 

In a Chapter 11 case, the objecting

party must send a copy of the

objection to the United States trustee

within the time set to file an objection.

(3) Hearing on the Objection; 

Procedure If No Objection Is Filed. 

After notice and a hearing as provided

in Rule 2002, the court must rule on 

confirmation. If no objection is timely 

filed, the court may, without receiving

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ORIGINAL REVISION

evidence, determine that the plan was

proposed in good faith and not by any

means forbidden by law.

(c) ORDER OF CONFIRMATION.

(1) The order of confirmation 

shall conform to the appropriate Official

Form. If the plan provides for an 

injunction against conduct not otherwise 

enjoined under the Code, the order of 

confirmation shall (1) describe in

reasonable detail all acts enjoined; (2) be 

specific in its terms regarding the

injunction; and (3) identify the entities

subject to the injunction. 

(2) Notice of entry of the order

of confirmation shall be mailed

promptly to the debtor, the trustee,

creditors, equity security holders, other 

parties in interest, and, if known, to any

identified entity subject to an injunction

provided for in the plan against conduct 

not otherwise enjoined under the Code. 

(3) Except in a chapter 9

municipality case, notice of entry of the

order of confirmation shall be 

transmitted to the United States trustee

as provided in Rule 2002(k).

(c) Confirmation Order.

(1) Form of the Order; Injunctive 

Relief. A confirmation order must 

conform to Form 315. If the plan

provides for an injunction against 

conduct not otherwise enjoined under 

the Code, the order must: 

(A) describe the acts enjoined in

reasonable detail;

(B) be specific in its terms regarding

the injunction; and

(C) identify the entities subject to the

injunction. 

(2) Notice of Confirmation. Notice of

entry of a confirmation order must be 

promptly mailed to:

• the debtor; 

• the trustee;

• creditors;

• equity security holders; 

• other parties in interest; and 

• if known, identified entities subject 

to an injunction described in (1).

(3) Copy to the United States Trustee. 

In a Chapter 11 case, a copy of the

order must be sent to the United States

trustee under Rule 2002(k).

(d) RETAINED POWER.

Notwithstanding the entry of the order

of confirmation, the court may issue any

other order necessary to administer the

estate.

(d) Retained Power to Issue Future Orders

Relating to Administration. After a plan

is confirmed, the court may continue to

issue orders needed to administer the 

estate.

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ORIGINAL REVISION

(e) STAY OF CONFIRMATION

ORDER. An order confirming a plan is 

stayed until the expiration of 14 days

after the entry of the order, unless the

court orders otherwise.

(e) Staying a Confirmation Order. Unless 

the court orders otherwise, a confirmation

order is stayed for 14 days after its entry.

Committee Note 

The language of Rule 3020 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3021. Distribution Under Plan Rule 3021. Distributing Funds Under

a Plan

Except as provided in Rule 3020(e),

after a plan is confirmed, distribution 

shall be made to creditors whose claims

have been allowed, to interest holders

whose interests have not been

disallowed, and to indenture trustees 

who have filed claims under Rule 

3003(c)(5) that have been allowed. For

purposes of this rule, creditors include 

holders of bonds, debentures, notes, and

other debt securities, and interest

holders include the holders of stock and 

other equity securities, of record at the

time of commencement of distribution,

unless a different time is fixed by the

plan or the order confirming the plan. 

(a) In General. After confirmation and when

any stay under Rule 3020(e) expires,

payments under the plan must be

distributed to: 

• creditors whose claims have been

allowed;

• interest holders whose interests have 

not been disallowed; and 

• indenture trustees whose claims under 

Rule 3003(c)(5) have been allowed.

(b) Definition of “Creditors” and “Interest

Holders.” In this Rule 3021:

(1) “creditors” includes record holders of 

bonds, debentures, notes, and other debt 

securities as of the initial distribution date,

unless the plan or confirmation order states

a different date; and

(2) “interest holders” includes record 

holders of stock and other equity securities 

as of the initial distribution date, unless the 

plan or confirmation order states a different

date.

Committee Note 

The language of Rule 3021 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 3022. Final Decree in Chapter 11

Reorganization Case

Rule 3022. Chapter 11—Final Decree

After an estate is fully administered in a 

chapter 11 reorganization case, the

court, on its own motion or on motion 

of a party in interest, shall enter a final

decree closing the case.

After the estate is fully administered in a

Chapter 11 case, the court must, on its own or

on a party in interest’s motion, enter a final

decree closing the case.

Committee Note

The language of Rule 3022 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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4000 Series 1

Bankruptcy Rules Restyling

4000 Series

Preface

This revision is a restyling of the Federal Rules of Bankruptcy Procedure to provide 

greater clarity, consistency, and conciseness without changing practice and procedure. 

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ORIGINAL REVISION

PART IV—THE DEBTOR: DUTIES

AND BENEFITS

PART IV. THE DEBTOR’S DUTIES AND 

BENEFITS

Rule 4001. Relief from Automatic

Stay; Prohibiting or Conditioning the

Use, Sale, or Lease of Property; Use

of Cash Collateral; Obtaining Credit;

Agreements

Rule 4001. Relief from the Automatic

Stay; Prohibiting or Conditioning the

Use, Sale, or Lease of Property; Using

Cash Collateral; Obtaining Credit;

Various Agreements

(a) RELIEF FROM STAY;

PROHIBITING OR

CONDITIONING THE USE, SALE,

OR LEASE OF PROPERTY.

(1) Motion. A motion for relief 

from an automatic stay provided by the

Code or a motion to prohibit or 

condition the use, sale, or lease of 

property pursuant to § 363(e) shall be 

made in accordance with Rule 9014 and

shall be served on any committee elected

pursuant to § 705 or appointed pursuant 

to § 1102 of the Code or its authorized 

agent, or, if the case is a chapter 9

municipality case or a chapter 11

reorganization case and no committee of

unsecured creditors has been appointed 

pursuant to § 1102, on the creditors 

included on the list filed pursuant to

Rule 1007(d), and on such other entities 

as the court may direct.

(2) Ex Parte Relief. Relief from a

stay under § 362(a) or a request to

prohibit or condition the use, sale, or 

lease of property pursuant to § 363(e) 

may be granted without prior notice

only if (A) it clearly appears from

specific facts shown by affidavit or by a

verified motion that immediate and

irreparable injury, loss, or damage will

result to the movant before the adverse

party or the attorney for the adverse

party can be heard in opposition, and

(B) the movant’s attorney certifies to the

court in writing the efforts, if any, which

have been made to give notice and the

(a) Relief from the Automatic Stay;

Prohibiting or Conditioning the Use, 

Sale, or Lease of Property.

(1) Motion. A motion under § 362(d) for 

relief from the automatic stay—or a 

motion under § 363(e) to prohibit or 

condition the use, sale, or lease of 

property—must comply with

Rule 9014. The motion must be served

on: 

(A) the following, as applicable:

(i) a committee elected under 

§ 705 or appointed under 

§ 1102;

(ii) the committee’s authorized

agent; or 

(iii) the creditors included on the 

list filed under Rule 1007(d) if

the case is a Chapter 9 or

Chapter 11 case and no

committee of unsecured

creditors has been appointed 

under § 1102; and

(B) any other entity the court

designates.

(2) Relief Without Notice. Relief from a 

stay under § 362(a)—or a request 

under § 363(e) to prohibit or condition 

the use, sale, or lease of property— 

may be granted without prior notice

only if:

(A) specific facts—shown by either an

affidavit or a verified motion— 

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ORIGINAL REVISION

reasons why notice should not be 

required. The party obtaining relief

under this subdivision and § 362(f) or § 

363(e) shall immediately give oral notice

thereof to the trustee or debtor in

possession and to the debtor and 

forthwith mail or otherwise transmit to

such adverse party or parties a copy of

the order granting relief. On two days

notice to the party who obtained relief

from the stay without notice or on

shorter notice to that party as the court

may prescribe, the adverse party may

appear and move reinstatement of the

stay or reconsideration of the order 

prohibiting or conditioning the use, sale, 

or lease of property. In that event, the

court shall proceed expeditiously to hear

and determine the motion.

(3) Stay of Order. An order 

granting a motion for relief from an

automatic stay made in accordance with

Rule 4001(a)(1) is stayed until the

expiration of 14 days after the entry of

the order, unless the court orders 

otherwise.

clearly demonstrate that the

movant will suffer immediate and

irreparable injury, loss, or damage 

before the adverse party or its

attorney can be heard in

opposition; and

(B) the movant’s attorney certifies to

the court in writing what efforts, if

any, have been made to give notice

and why it should not be required. 

(3) Notice of Relief; Motion for 

Reinstatement or Reconsideration. 

(A) Notice of Relief. A party who obtains 

relief under (2) and under § 362(f)

or § 363(e) must:

(i) immediately give oral notice

both to the debtor and to the 

trustee or the debtor-inpossession; and

(ii) promptly send them a copy

of the order granting relief.

(B) Motion for Reinstatement or

Reconsideration. On 2 days’ notice to

the party who obtained relief under

(2)—or on shorter notice as the 

court may order—the adverse

party may move to reinstate the

stay or reconsider the order

prohibiting or conditioning the

use, sale, or lease of property. The 

court must proceed expeditiously 

to hear and decide the motion.

(4) Stay of an Order Granting Relief 

from the Automatic Stay. Unless the

court orders otherwise, an order 

granting a motion for relief from the

automatic stay under (1) is stayed for

14 days after it is entered.

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ORIGINAL REVISION

(b) USE OF CASH COLLATERAL. 

(1) Motion; Service.

(A) Motion. A motion for 

authority to use cash collateral shall be

made in accordance with Rule 9014 and

shall be accompanied by a proposed 

form of order. 

(B) Contents. The motion 

shall consist of or (if the motion is more 

than five pages in length) begin with a

concise statement of the relief requested,

not to exceed five pages, that lists or 

summarizes, and sets out the location

within the relevant documents of, all

material provisions, including: 

(i) the name of

each entity with an interest in the cash

collateral;

(ii) the purposes

for the use of the cash collateral;

(iii) the material

terms, including duration, of the use of

the cash collateral; and

(iv) any liens,

cash payments, or other adequate

protection that will be provided to each

entity with an interest in the cash

collateral or, if no additional adequate

protection is proposed, an explanation

of why each entity’s interest is

adequately protected.

(C) Service. The motion

shall be served on: (1) any entity with an

interest in the cash collateral; (2) any

committee elected under § 705 or

appointed under § 1102 of the Code, or 

its authorized agent, or, if the case is a

chapter 9 municipality case or a chapter

11 reorganization case and no

committee of unsecured creditors has

been appointed under § 1102, the

(b) Using Cash Collateral.

(1) Motion; Contents; Service. 

(A) Motion. A motion for authorization

to use cash collateral must comply

with Rule 9014 and must be 

accompanied by a proposed form 

of order. 

(B) Contents. The motion must include 

a concise statement of the relief

requested, no longer than five 

pages. If the motion exceeds five

pages, it must begin with the

statement. The statement must list

or summarize all material

provisions (citing their locations in 

the relevant documents), including: 

(i) the name of each entity with

an interest in the cash

collateral;

(ii) how it will be used; 

(iii) the material terms of its use, 

including duration; and

(iv) all liens, cash payments, or

other adequate protection

that will be provided to each

entity with an interest in the

cash collateral or, if no such

protection is proposed, an 

explanation of how each

entity’s interest is adequately

protected.

(C) Service. The motion must be served

on: 

(i) each entity with an interest in

the cash collateral;

(ii) all those who must be served

under (a)(1)(A); and

(iii) any other entity the court

designates.

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4000 Series 5

ORIGINAL REVISION

creditors included on the list filed under 

Rule 1007(d); and (3) any other entity

that the court directs.

(2) Hearing. The court may

commence a final hearing on a motion

for authorization to use cash collateral

no earlier than 14 days after service of

the motion. If the motion so requests, 

the court may conduct a preliminary

hearing before such 14-day period

expires, but the court may authorize the

use of only that amount of cash 

collateral as is necessary to avoid

immediate and irreparable harm to the

estate pending a final hearing.

(3) Notice. Notice of hearing

pursuant to this subdivision shall be 

given to the parties on whom service of

the motion is required by paragraph (1) 

of this subdivision and to such other 

entities as the court may direct.

(2) Hearings; Notice. 

(A) Preliminary and Final Hearings. The 

court may begin a final hearing on

the motion no earlier than 14 days

after it has been served. If the

motion so requests, the court may 

conduct a preliminary hearing

before that 14-day period ends. 

After a preliminary hearing, the

court may authorize using only the

cash collateral necessary to avoid

immediate and irreparable harm to

the estate pending a final hearing.

(B) Notice. Notice of a hearing must be 

given to the parties who must be

served with the motion under 

(1)(C) and to any other entity the

court designates.

(c) OBTAINING CREDIT.

(1) Motion; Service.

(A) Motion. A motion for 

authority to obtain credit shall be made

in accordance with Rule 9014 and shall 

be accompanied by a copy of the credit

agreement and a proposed form of 

order. 

(B) Contents. The motion 

shall consist of or (if the motion is more 

than five pages in length) begin with a

concise statement of the relief requested,

not to exceed five pages, that lists or

summarizes, and sets out the location

within the relevant documents of, all

material provisions of the proposed 

credit agreement and form of order,

including interest rate, maturity, events

of default, liens, borrowing limits, and 

borrowing conditions. If the proposed 

credit agreement or form of order 

(c) Obtaining Credit.

(1) Motion; Contents; Service. 

(A) Motion. A motion for authorization

to obtain credit must comply with

Rule 9014 and must be 

accompanied by a copy of the

credit agreement and a proposed

form of order. 

(B) Contents. The motion must include 

a concise statement of the relief

requested, no longer than five 

pages. If the motion exceeds five

pages, it must begin with the

statement. The statement must list

or summarize all material

provisions of the credit agreement 

and form of order (citing their

locations in the relevant

documents), including interest 

rates, maturity dates, default

provisions, liens, and borrowing 

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4000 Series 6

ORIGINAL REVISION

includes any of the provisions listed 

below, the concise statement shall also:

briefly list or summarize each one;

identify its specific location in the

proposed agreement and form of order; 

and identify any such provision that is 

proposed to remain in effect if interim

approval is granted, but final relief is

denied, as provided under Rule 

4001(c)(2). In addition, the motion shall

describe the nature and extent of each

provision listed below: 

(i) a grant of

priority or a lien on property of the

estate under § 364(c) or (d);

(ii) the providing 

of adequate protection or priority for a 

claim that arose before the

commencement of the case, including

the granting of a lien on property of the 

estate to secure the claim, or the use of

property of the estate or credit obtained

under § 364 to make cash payments on

account of the claim;

(iii) a 

determination of the validity,

enforceability, priority, or amount of a 

claim that arose before the

commencement of the case, or of any

lien securing the claim;

(iv) a waiver or

modification of Code provisions or 

applicable rules relating to the automatic

stay;

(v) a waiver or

modification of any entity’s authority or

right to file a plan, seek an extension of 

time in which the debtor has the

exclusive right to file a plan, request the

use of cash collateral under § 363(c), or

request authority to obtain credit under 

§ 364;

limits and conditions. If the credit

agreement or form of order

includes any of the provisions 

listed below in (i)-(xi), the concise

statement must also list or

summarize each one, describe its

nature and extent, cite its location

in the proposed agreement and 

form of order, and identify any 

that would remain effective if

interim approval were to be

granted but final relief denied

under (2). The provisions are:

(i) a grant of priority or a lien on

property of the estate under 

§ 364(c) or (d);

(ii) the providing of adequate 

protection or priority for a 

claim that arose before the

case commenced—including 

a lien on property of the 

estate, or the use of property

of the estate or of credit

obtained under § 364 to make

cash payments on the claim;

(iii) a determination of the

validity, enforceability,

priority, or amount of a claim 

that arose before the case

commenced, or of any lien

securing the claim;

(iv) a waiver or modification of

Code provisions or applicable 

rules regarding the automatic

stay;

(v) a waiver or modification of

an entity’s right to file a plan,

seek to extend the time in

which the debtor has the 

exclusive right to file a plan,

request the use of cash

collateral under § 363(c), or

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ORIGINAL REVISION

(vi) the

establishment of deadlines for filing a 

plan of reorganization, for approval of a 

disclosure statement, for a hearing on

confirmation, or for entry of a 

confirmation order; 

(vii) a waiver or

modification of the applicability of

nonbankruptcy law relating to the

perfection of a lien on property of the 

estate, or on the foreclosure or other

enforcement of the lien;

(viii) a release,

waiver, or limitation on any claim or

other cause of action belonging to the 

estate or the trustee, including any 

modification of the statute of limitations

or other deadline to commence an

action;

(ix) the

indemnification of any entity;

(x) a release,

waiver, or limitation of any right under § 

506(c); or 

(xi) the granting

of a lien on any claim or cause of action

arising under §§ 544,1 545, 547, 548, 549,

553(b), 723(a), or 724(a).

(C) Service. The motion shall be 

served on: (1) any com-mittee elected

under § 705 or appointed under § 1102 

of the Code, or its authorized agent, or, 

if the case is a chapter 9 municipality

case or a chapter 11 reorganization case

and no committee of unsecured

creditors has been appointed under § 

1102, on the creditors included on the 

list filed under Rule 1007(d); and (2) on

any other entity that the court directs.

(2) Hearing. The court 

request authorization to

obtain credit under § 364;

(vi) the establishment of

deadlines for filing a plan of 

reorganization, approving a 

disclosure statement, holding 

a hearing on confirmation, or 

entering a confirmation

order; 

(vii) a waiver or modification of 

the applicability of

nonbankruptcy law regarding

perfecting or enforcing a lien

on property of the estate;

(viii) a release, waiver, or limitation

on a claim or other cause of

action belonging to the estate

or the trustee, including any 

modification of the statute of

limitations or other deadline 

to commence an action;

(ix) the indemnification of any

entity;

(x) a release, waiver, or limitation

of any right under § 506(c); or 

(xi) the granting of a lien on a 

claim or cause of action

arising under § 544, 545, 547,

548, 549, 553(b), 723(a), or

724(a).

(C) Service. The motion must be served 

on all those who must be served 

under (a)(1)(A) and any other

entity the court designates.

(2) Hearings; Notice. 

(A) Preliminary and Final Hearings. The 

court may begin a final hearing on

the motion no earlier than 14 days

after it has been served. If the

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

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4000 Series 8

ORIGINAL REVISION

may commence a final hearing on a

motion for authority to obtain credit no

earlier than 14 days after service of the

motion. If the motion so requests, the 

court may conduct a hearing before such

14-day period expires, but the court may

authorize the obtaining of credit only to 

the extent necessary to avoid immediate

and irreparable harm to the estate

pending a final hearing.

(3) Notice. Notice of

hearing pursuant to this subdivision 

shall be given to the parties on whom 

service of the motion is required by 

paragraph (1) of this subdivision and to 

such other entities as the court may

direct.

(4) Inapplicability in a

Chapter 13 Case. This subdivision (c) 

does not apply in a chapter 13 case.

motion so requests, the court may 

conduct a preliminary hearing

before that 14-day period ends. 

After a preliminary hearing, the

court may authorize obtaining 

credit only to the extent necessary

to avoid immediate and irreparable

harm to the estate pending a final

hearing.

(B) Notice. Notice of a hearing must be

given to the parties who must be

served with the motion under 

(1)(C) and to any other entity the

court designates.

(3) Inapplicability in a Chapter 13 Case. 

This subdivision (c) does not apply in a 

chapter 13 case.

(d) AGREEMENT RELATING TO

RELIEF FROM THE AUTOMATIC

STAY, PROHIBITING OR

CONDITIONING THE USE, SALE,

OR LEASE OF PROPERTY,

PROVIDING ADEQUATE

PROTECTION, USE OF CASH

COLLATERAL, AND OBTAINING

CREDIT. 

(1) Motion; Service.

(A) Motion. A motion for

approval of any of the following shall be

accompanied by a copy of the agreement

and a proposed form of order: 

(i) an agreement

to provide adequate protection; 

(ii) an agreement

to prohibit or condition the use, sale, or

lease of property;

(iii) an agreement

to modify or terminate the stay provided 

(d) Various Agreements: Relief from the

Automatic Stay; Prohibiting or

Conditioning the Use, Sale, or Lease of

Property; Providing Adequate

Protection; Using Cash Collateral; or

Obtaining Credit.

(1) Motion; Contents; Service. 

(A) Motion. A motion to approve any 

of the following must be 

accompanied by a copy of the

agreement and a proposed form of 

order: 

(i) an agreement to provide 

adequate protection;

(ii) an agreement to prohibit or

condition the use, sale, or 

lease of property;

(iii) an agreement to modify or

terminate the stay provided

for in § 362;

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4000 Series 9

ORIGINAL REVISION

for in § 362;

(iv) an agreement

to use cash collateral; or

(v) an agreement

between the debtor and an entity that

has a lien or interest in property of the 

estate pursuant to which the entity

consents to the creation of a lien senior 

or equal to the entity’s lien or interest in

such property. 

(B) Contents. The motion 

shall consist of or (if the motion is more 

than five pages in length) begin with a

concise statement of the relief requested,

not to exceed five pages, that lists or

summarizes, and sets out the location

within the relevant documents of, all

material provisions of the agreement. In

addition, the concise statement shall

briefly list or summarize, and identify

the specific location of, each provision 

in the proposed form of order, 

agreement, or other document of the

type listed in subdivision (c)(1)(B). The

motion shall also describe the nature and 

extent of each such provision. 

(C) Service. The motion

shall be served on: (1) any committee

elected under § 705 or appointed under 

§ 1102 of the Code, or its authorized 

agent, or, if the case is a chapter 9

municipality case or a chapter 11

reorganization case and no committee of 

unsecured creditors has been appointed 

under § 1102, on the creditors included 

on the list filed under Rule 1007(d); and

(2) on any other entity the court directs. 

(2) Objection. Notice of the

motion and the time within which

objections may be filed and served on 

the debtor in possession or trustee shall

be mailed to the parties on whom

service is required by paragraph (1) of 

(iv) an agreement to use cash

collateral; or 

(v) an agreement between the

debtor and an entity that has

a lien or interest in property

of the estate under which the

entity consents to creating a

lien that is senior or equal to 

the entity’s lien or interest in

the property.

(B) Contents. The motion must include 

a concise statement of the relief

requested, no longer than five 

pages. If the motion exceeds five

pages, it must begin with the

statement. The statement must:

(i) list or summarize all the

agreement’s material

provisions (citing their 

locations in the relevant

documents); and

(ii) briefly list or summarize, cite

the location of, and describe 

the nature and extent of each

provision in the proposed 

form of order, agreement, or

other document of the type 

listed in (c)(1)(B).

(C) Service. The motion must be served

on all those who must be served 

under (a)(1)(A) and any other

entity the court designates.

(2) Objection. Notice of the motion must 

be mailed to the parties on whom

service of the motion is required and 

any other entity the court designates.

The notice must include the time

within which objections may be filed

and served on the debtor-in-possession 

or trustee. Unless the court sets a

different time, any objections must be

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ORIGINAL REVISION

this subdivision and to such other 

entities as the court may direct. Unless 

the court fixes a different time,

objections may be filed within 14 days

of the mailing of the notice.

(3) Disposition; Hearing. If no 

objection is filed, the court may enter an

order approving or disapproving the 

agreement without conducting a hearing.

If an objection is filed or if the court 

determines a hearing is appropriate, the

court shall hold a hearing on no less

than seven days’ notice to the objector,

the movant, the parties on whom service 

is required by paragraph (1) of this

subdivision and such other entities as

the court may direct.

(4) Agreement in Settlement of 

Motion. The court may direct that the

procedures prescribed in paragraphs (1),

(2), and (3) of this subdivision shall not 

apply and the agreement may be

approved without further notice if the 

court determines that a motion made

pursuant to subdivisions (a), (b), or (c) 

of this rule was sufficient to afford 

reasonable notice of the material

provisions of the agreement and 

opportunity for a hearing.

filed within 14 days after the notice is

mailed.

(3) Disposition Without a Hearing. If

no objection is filed, the court may

enter an order approving or 

disapproving the agreement without 

holding a hearing.

(4) Hearing. If an objection is filed or if

the court decides that a hearing is

appropriate, the court must hold one 

after giving at least 7 days’ notice to:

• the objector; 

• the movant;

• the parties who must be served

with the motion under (1)(C); and

• any other entity the court 

designates.

(5) Agreement to Settle a Motion. The

court may decide that a motion made

under (a), (b), or (c) was sufficient to

give reasonable notice of the

agreement’s material provisions and an

opportunity for a hearing. If so, the 

court may order that the procedures

prescribed in (1)–(4) do not apply and

may approve the agreement without

further notice.

Committee Note

The language of Rule 4001 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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Rule 4002. Duties of Debtor Rule 4002. Debtor’s Duties

(a) IN GENERAL. In addition to

performing other duties prescribed by 

the Code and rules, the debtor shall: 

(1) attend and submit to an

examination at the times ordered by the

court;

(2) attend the hearing on a 

complaint objecting to discharge and

testify, if called as a witness;

(3) inform the trustee

immediately in writing as to the location

of real property in which the debtor has

an interest and the name and address of 

every person holding money or property 

subject to the debtor’s withdrawal or

order if a schedule of property has not 

yet been filed pursuant to Rule 1007;

(4) cooperate with the trustee in

the preparation of an inventory, the

examination of proofs of claim, and the 

administration of the estate; and

(5) file a statement of any change 

of the debtor’s address. 

(a) In General. In addition to performing 

other duties that are required by the Code 

or these rules, the debtor must:

(1) attend and submit to an examination

when the court orders; 

(2) attend a hearing on a complaint

objecting to discharge and, if called,

testify as a witness; 

(3) if a schedule of property has not yet 

been filed under Rule 1007, report to 

the trustee immediately in writing:

(A) the location of any real property in

which the debtor has an interest;

and

(B) the name and address of every

person holding money or property 

subject to the debtor’s withdrawal

or order; 

(4) cooperate with the trustee in preparing

an inventory, examining proofs of 

claim, and administering the estate; and

(5) file a statement of any change in the

debtor’s address. 

(b) INDIVIDUAL DEBTOR’S DUTY

TO PROVIDE DOCUMENTATION.

(1) Personal Identification. Every

individual debtor shall bring to the 

meeting of creditors under § 341:

(A) a picture

identification issued by a governmental

unit, or other personal identifying 

information that establishes the debtor’s

identity; and

(B) evidence of social

security number(s), or a written

statement that such documentation does

not exist.

(b) Individual Debtor’s Duty to Provide

Documents.

(1) Personal Identifying Information. 

An individual debtor must bring to the

§ 341 meeting of creditors: 

(A) a government-issued identification 

containing the debtor’s picture, or 

other personal identifying 

information that establishes the 

debtor’s identity; and

(B) evidence of any social-security

number, or a written statement

that no such evidence exists.

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ORIGINAL REVISION

(2) Financial Information. Every

individual debtor shall bring to the 

meeting of creditors under § 341, and

make available to the trustee, the

following documents or copies of them,

or provide a written statement that the

documentation does not exist or is not 

in the debtor’s possession: 

(A) evidence of current

income such as the most recent payment

advice;

(B) unless the trustee or 

the United States trustee instructs

otherwise, statements for each of the

debtor’s depository and investment 

accounts, including checking, savings, 

and money market accounts, mutual

funds and brokerage accounts for the

time period that includes the date of the

filing of the petition; and

(C) documentation of 

monthly expenses claimed by the debtor

if required by § 707(b)(2)(A) or (B).

(3) Tax Return. At least 7 days

before the first date set for the meeting

of creditors under § 341, the debtor shall 

provide to the trustee a copy of the

debtor’s federal income tax return for 

the most recent tax year ending

immediately before the commencement

of the case and for which a return was

filed, including any attachments, or a

transcript of the tax return, or provide a 

written statement that the

documentation does not exist.

(4) Tax Returns Provided to

Creditors. If a creditor, at least 14 days

before the first date set for the meeting

of creditors under § 341, requests a copy

of the debtor’s tax return that is to be

provided to the trustee under 

subdivision (b)(3), the debtor, at least 7 

days before the first date set for the 

(2) Financial Documents. An individual

debtor must bring the following 

documents (or copies) to the § 341

meeting of creditors and make them

available to the trustee—or provide a 

written statement that they do not exist

or are not in the debtor’s possession: 

(A) evidence of current income, such

as the most recent payment advice;

(B) unless the trustee or the United

States trustee instructs otherwise, a 

statement for each depository or

investment account—including a 

checking, savings, or moneymarket account, mutual fund or

brokerage account―for the period

that includes the petition’s filing

date; and

(C) if required by § 707(b)(2)(A) or (B),

documents showing claimed

monthly expenses.

(3) Tax Return to Be Provided to the 

Trustee. At least 7 days before the

first date set for the § 341 meeting of

creditors, the debtor must provide the

trustee with:

(A) a copy of the debtor’s federal 

income-tax return, including any 

attachments to it, for the most

recent tax year ending before the

case was commenced and for

which the debtor filed a return;

(B) a transcript of the return; or 

(C) a written statement that the

documentation does not exist.

(4) Tax Return to Be Provided to a 

Creditor. Upon a creditor’s request at

least 14 days before the first date set

for the § 341 meeting of creditors, the

debtor must provide the creditor with

the tax information specified in (3).

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ORIGINAL REVISION

meeting of creditors under § 341, shall 

provide to the requesting creditor a copy

of the return, including any attachments,

or a transcript of the tax return, or

provide a written statement that the

documentation does not exist.

(5) Confidentiality of Tax

Information. The debtor’s obligation to

provide tax returns under Rule 

4002(b)(3) and (b)(4) is subject to

procedures for safeguarding the 

confidentiality of tax information

established by the Director of the 

Administrative Office of the United

States Courts. 

The debtor must do so at least 7 days 

before the meeting.

(5) Safeguarding Confidential Tax 

Information. The debtor’s obligation 

to provide tax returns under (3) and (4) 

is subject to procedures established by 

the Director of the Administrative

Office of the United States Courts for

safeguarding confidential tax

information. 

Committee Note

The language of Rule 4002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 4003. Exemptions Rule 4003. Exemptions

(a) CLAIM OF EXEMPTIONS. A

debtor shall list the property claimed as

exempt under § 522 of the Code on the 

schedule of assets required to be filed by 

Rule 1007. If the debtor fails to claim

exemptions or file the schedule within

the time specified in Rule 1007, a

dependent of the debtor may file the list

within 30 days thereafter.

(a) Claiming an Exemption. A debtor must 

list the property claimed as exempt under 

§ 522 on Form 106C filed under Rule 1007.

If the debtor fails to do so within the time 

specified in Rule 1007(c), a debtor’s

dependent may file the list within 30 days

after the debtor’s time to file expires.

(b) OBJECTING TO A CLAIM OF

EXEMPTIONS.

(1) Except as provided in

paragraphs (2) and (3), a party in interest

may file an objection to the list of

property claimed as exempt within 30

days after the meeting of creditors held

under § 341(a) is concluded or within 30 

days after any amendment to the list or

supplemental schedules is filed, 

whichever is later. The court may, for

cause, extend the time for filing

objections if, before the time to object

expires, a party in interest files a request

for an extension. 

(2) The trustee may file an

objection to a claim of exemption at any

time prior to one year after the closing 

of the case if the debtor fraudulently 

asserted the claim of exemption. The

trustee shall deliver or mail the objection

to the debtor and the debtor’s attorney,

and to any person filing the list of 

exempt property and that person’s 

attorney.

(3) An objection to a claim of

exemption based on § 522(q) shall be 

filed before the closing of the case. If an

exemption is first claimed after a case is

reopened, an objection shall be filed

before the reopened case is closed. 

(4) A copy of any objection shall

(b) Objecting to a Claimed Exemption.

(1) By a Party in Interest. Except as (2)

and (3) provide, a party in interest may

file an objection to a claimed

exemption within 30 days after the

later of: 

• the conclusion of the § 341 

meeting of creditors; 

• the filing of an amendment to the

list; or 

• the filing of a supplemental

schedule. 

On a party in interest’s motion filed

before the time to object expires, the

court may, for cause, extend the time

to file an objection. 

(2) By the Trustee for a Fraudulently 

Claimed Exemption. If the debtor

has fraudulently claimed an exemption,

the trustee may file an objection within

one year after the case is closed. The

trustee must deliver or mail the

objection to:

• the debtor;

• the debtor’s attorney;

• the person who filed the list of 

exempt property; and

• that person’s attorney.

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ORIGINAL REVISION

be delivered or mailed to the trustee, the

debtor and the debtor’s attorney, and

the person filing the list and that 

person’s attorney.

(3) Objection Based on § 522(q). An

objection based on § 522(q) must be 

filed:

(A) before the case is closed; or 

(B) if an exemption is first claimed

after a case has been reopened, 

before the reopened case is

closed. 

(4) Distributing Copies of the 

Objection. A copy of any objection, 

other than one filed by the trustee

under (b)(2), must be delivered or

mailed to:

• the trustee;

• the debtor; 

• the debtor’s attorney;

• the person who filed the list of 

exempt property; and

• that person’s attorney.

(c) BURDEN OF PROOF. In any

hearing under this rule, the objecting 

party has the burden of proving that the

exemptions are not properly claimed.

After hearing on notice, the court shall

determine the issues presented by the

objections. 

(c) Burden of Proof. In a hearing under this

Rule 4003, the objecting party has the

burden of proving that an exemption was

not properly claimed. After notice and a

hearing, the court must determine the

issues presented.

(d) AVOIDANCE BY DEBTOR OF

TRANSFERS OF EXEMPT

PROPERTY. A proceeding under § 

522(f) to avoid a lien or other transfer of

property exempt under the Code shall 

be commenced by motion in the manner

provided by Rule 9014, or by serving a 

chapter 12 or chapter 13 plan on the

affected creditors in the manner

provided by Rule 7004 for service of a 

summons and complaint. 

Notwithstanding the provisions of 

subdivision (b), a creditor may object to

(d) Avoiding a Lien or Other Transfer of

Exempt Property. A proceeding under 

§ 522(f) to avoid a lien or other transfer of

exempt property must be commenced by

motion under Rule 9014, or by serving a

Chapter 12 or 13 plan on the affected

creditors as Rule 7004 provides for serving 

a summons and complaint. As an exception

to (b), a creditor may object to a request

under § 522(f) by challenging the validity of

the exemption asserted to be impaired by

the lien.

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ORIGINAL REVISION

a request under § 522(f) by challenging

the validity of the exemption asserted to

be impaired by the lien.

Committee Note 

The language of Rule 4003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 4004. Grant or Denial of

Discharge

Rule 4004. Granting or Denying a 

Discharge

(a) TIME FOR OBJECTING TO

DISCHARGE; NOTICE OF TIME

FIXED. In a chapter 7 case, a 

complaint, or a motion under § 727(a)(8)

or (a)(9) of the Code, objecting to the

debtor’s discharge shall be filed no later 

than 60 days after the first date set for

the meeting of creditors under § 341(a).

In a chapter 11 case, the complaint shall

be filed no later than the first date set 

for the hearing on confirmation. In a 

chapter 13 case, a motion objecting to

the debtor’s discharge under § 1328(f) 

shall be filed no later than 60 days after

the first date set for the meeting of

creditors under § 341(a). At least 28

days’ notice of the time so fixed shall be

given to the United States trustee and all

creditors as provided in Rule 2002(f) and

(k) and to the trustee and the trustee’s

attorney.

(a) Time to Object to a Discharge; Notice.

(1) Chapter 7. In a Chapter 7 case, a 

complaint—or a motion under 

§ 727(a)(8) or (9)—objecting to a 

discharge must be filed within 60 days

after the first date set for the § 341(a)

meeting of creditors. 

(2) Chapter 11. In a Chapter 11 case, a 

complaint objecting to a discharge

must be filed on or before the first 

date set for the hearing on 

confirmation.

(3) Chapter 13. In a Chapter 13 case, a

motion objecting to a discharge under 

§ 1328(f) must be filed within 60 days

after the first date set for the § 341(a)

meeting of creditors. 

(4) Notice to the United States 

Trustee, the Creditors, and the 

Trustee. At least 28 days’ notice of the

time so fixed must be given to:

• the United States trustee under

Rule 2002(k);

• all creditors under Rule 2002(f);

• the trustee; and

• the trustee’s attorney.

(b) EXTENSION OF TIME.

(1) On motion of any party in

interest, after notice and hearing, the

court may for cause extend the time to

object to discharge. Except as provided

in subdivision (b)(2), the motion shall be 

filed before the time has expired. 

(2) A motion to extend the time

to object to discharge may be filed after

the time for objection has expired and

(b) Extending the Time to File an

Objection.

(1) Motion Before the Time Expires. 

On a party in interest’s motion and

after notice and a hearing, the court

may, for cause, extend the time to

object to a discharge. The motion must

be filed before the time has expired.

(2) Motion After the Time Has 

Expired. After the time to object has

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ORIGINAL REVISION

before discharge is granted if (A) the

objection is based on facts that, if 

learned after the discharge, would 

provide a basis for revocation under § 

727(d) of the Code, and (B) the movant 

did not have knowledge of those facts in 

time to permit an objection. The motion

shall be filed promptly after the movant

discovers the facts on which the 

objection is based.

expired and before a discharge is

granted, a party in interest may file a

motion to extend the time to object if:

(A) the objection is based on facts that,

if learned after the discharge is

granted, would provide a basis for 

revocation under § 727(d), and the 

movant did not know those facts

in time to object; and

(B) the movant files the motion

promptly after learning those facts.

(c) GRANT OF DISCHARGE.

(1) In a chapter 7 case, on

expiration of the times fixed for

objecting to discharge and for filing a 

motion to dismiss the case under Rule 

1017(e), the court shall forthwith grant

the discharge, except that the court shall

not grant the discharge if:

(A) the debtor is not an

individual;

(B) a complaint, or a

motion under § 727(a)(8) or (a)(9),

objecting to the discharge has been filed

and not decided in the debtor’s favor;

(C) the debtor has filed a

waiver under § 727(a)(10);

(D) a motion to dismiss 

the case under § 707 is pending; 

(E) a motion to extend

the time for filing a complaint objecting

to the discharge is pending; 

(F) a motion to extend

the time for filing a motion to dismiss

the case under Rule 1017(e)(1) is

pending; 

(G) the debtor has not 

paid in full the filing fee prescribed by

(c) Granting a Discharge.

(1) Chapter 7. In a Chapter 7 case, when

the times to object to discharge and to

file a motion to dismiss the case under 

Rule 1017(e) expire, the court must

promptly grant the discharge—except

under these circumstances:

(A) the debtor is not an individual;

(B) a complaint, or a motion under 

§ 727(a)(8) or (9), objecting to the

discharge is pending; 

(C) the debtor has filed a waiver under 

§ 727(a)(10);

(D) a motion is pending to dismiss the 

case under § 707;

(E) a motion is pending to extend the 

time to file a complaint objecting

to the discharge;

(F) a motion is pending to extend the 

time to file a motion to dismiss the

case under Rule 1017(e)(1);

(G) the debtor has not fully paid the 

filing fee required by 28 U.S.C.

§ 1930(a), together with any other

fee prescribed by the Judicial

Conference of the United States

under 28 U.S.C. § 1930(b) that is

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ORIGINAL REVISION

28 U.S.C. § 1930(a) and any other fee

prescribed by the Judicial Conference of 

the United States under 28 U.S.C. §

1930(b) that is payable to the clerk upon 

the commencement of a case under the

Code, unless the court has waived the 

fees under 28 U.S.C. § 1930(f);

(H) the debtor has not 

filed with the court a statement of

completion of a course concerning 

personal financial management if

required by Rule 1007(b)(7);

(I) a motion to delay or

postpone discharge under § 727(a)(12) is

pending; 

(J) a motion to enlarge

the time to file a reaffirmation

agreement under Rule 4008(a) is

pending; 

(K) a presumption is in

effect under § 524(m) that a

reaffirmation agreement is an undue

hardship and the court has not 

concluded a hearing on the 

presumption; or 

(L) a motion is pending 

to delay discharge because the debtor

has not filed with the court all tax

documents required to be filed under 

§ 521(f).

(2) Notwithstanding Rule 

4004(c)(1), on motion of the debtor, the

court may defer the entry of an order

granting a discharge for 30 days and, on 

motion within that period, the court may

defer entry of the order to a date certain.

(3) If the debtor is required to

file a statement under Rule 1007(b)(8),

the court shall not grant a discharge 

earlier than 30 days after the statement is

filed.

payable to the clerk upon

commencing a case—unless the 

court has waived the fees under

28 U.S.C. § 1930(f);

(H) the debtor has not filed a statement

showing that a course on personal 

financial management has been

completed—if such a statement is

required by Rule 1007(b)(7);

(I) a motion is pending to delay or 

postpone a discharge under 

§ 727(a)(12);

(J) a motion is pending to extend the

time to file a reaffirmation

agreement under Rule 4008(a);

(K) the court has not concluded a 

hearing on a presumption—in

effect under § 524(m)—that a

reaffirmation agreement is an

undue hardship; or 

(L) a motion is pending to delay 

discharge because the debtor has

not filed with the court all tax

documents required to be filed 

under § 521(f).

(2) Delay in Entering a Discharge in 

General. On the debtor’s motion, the

court may delay entering a discharge

for 30 days and, on a motion made 

within that time, delay entry to a date

certain.

(3) Delaying Entry Because of 

Rule 1007(b)(8). If the debtor is

required to file a statement under 

Rule 1007(b)(8), the court must not

grant a discharge until at least 30 days

after the statement is filed.

(4) Individual Chapter 11 or Chapter 13 

Case. In a Chapter 11 case in which

the debtor is an individual—or in a 

Chapter 13 case—the court must not 

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ORIGINAL REVISION

(4) In a chapter 11 case in which

the debtor is an individual, or a chapter

13 case, the court shall not grant a

discharge if the debtor has not filed any 

statement required by Rule 1007(b)(7).

grant a discharge if the debtor has not 

filed a statement required by 

Rule 1007(b)(7).

(d) APPLICABILITY OF RULES IN

PART VII AND RULE 9014. An

objection to discharge is governed by 

Part VII of these rules, except that an

objection to discharge under §§ 

727(a)(8),1 (a)(9), or 1328(f) is

commenced by motion and governed by 

Rule 9014.

(d) Applying Part VII Rules and Rule 9014.

The Part VII rules govern an objection to a

discharge, except that Rule 9014 governs an

objection to a discharge under § 727(a)(8)

or (9) or § 1328(f).

(e) ORDER OF DISCHARGE. An

order of discharge shall conform to the

appropriate Official Form.

(e) Form of a Discharge Order. A discharge

order must conform to the appropriate 

Official Form.

(f) REGISTRATION IN OTHER

DISTRICTS. An order of discharge that

has become final may be registered in

any other district by filing a certified

copy of the order in the office of the 

clerk of that district. When so registered

the order of discharge shall have the 

same effect as an order of the court of

the district where registered.

(f) Registering a Discharge in Another

District. A discharge order that becomes

final may be registered in another district by 

filing a certified copy with the clerk of the

court for that district. When registered, the

order has the same effect as an order of the

court where it is registered.

(g) NOTICE OF DISCHARGE. The

clerk shall promptly mail a copy of the

final order of discharge to those 

specified in subdivision (a) of this rule.

(g) Notice of a Final Discharge Order. The 

clerk must promptly mail a copy of the final

discharge order to those entities listed in

(a)(4).

Committee Note

The language of Rule 4004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only.

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

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ORIGINAL REVISION

Rule 4005. Burden of Proof in

Objecting to Discharge

Rule 4005. Burden of Proof in

Objecting to a Discharge

At the trial on a complaint objecting to a

discharge, the plaintiff has the burden of

proving the objection. 

At a trial on a complaint objecting to a

discharge, the plaintiff has the burden of proof. 

Committee Note 

The language of Rule 4005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 4006. Notice of No Discharge Rule 4006. Notice When No

Discharge Is Granted

If an order is entered: denying a

discharge; revoking a discharge; 

approving a waiver of discharge; or, in

the case of an individual debtor, closing 

the case without the entry of a discharge,

the clerk shall promptly notify all parties

in interest in the manner provided by 

Rule 2002.

The clerk must promptly notify in the manner

provided by Rule 2002(f) all parties in interest of 

an order: 

(a) denying a discharge;

(b) revoking a discharge;

(c) approving a waiver of discharge; or 

(d) closing an individual debtor’s case

without entering a discharge.

Committee Note 

The language of Rule 4006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 4007. Determination of

Dischargeability of a Debt

Rule 4007. Determining Whether a 

Debt Is Dischargeable

(a) PERSONS ENTITLED TO FILE

COMPLAINT. A debtor or any creditor

may file a complaint to obtain a

determination of the dischargeability of

any debt.

(a) Who May File a Complaint. A debtor or

any creditor may file a complaint to

determine whether a debt is dischargeable.

(b) TIME FOR COMMENCING

PROCEEDING OTHER THAN

UNDER § 523(c) OF THE CODE. A

complaint other than under § 523(c) may

be filed at any time. A case may be

reopened without payment of an

additional filing fee for the purpose of 

filing a complaint to obtain a

determination under this rule. 

(b) Time to File. A complaint, except one

under § 523(c), may be filed at any time. If

a case is reopened to permit filing the

complaint, no fee for reopening is required. 

(c) TIME FOR FILING COMPLAINT

UNDER § 523(c) IN A CHAPTER 7

LIQUIDATION, CHAPTER 11

REORGANIZATION, CHAPTER 12

FAMILY FARMER’S DEBT

ADJUSTMENT CASE, OR CHAPTER 

13 INDIVIDUAL’S DEBT

ADJUSTMENT CASE; NOTICE OF

TIME FIXED. Except as otherwise

provided in subdivision (d), a complaint 

to determine the dischargeability of a

debt under § 523(c) shall be filed no 

later than 60 days after the first date set

for the meeting of creditors under §

341(a). The court shall give all creditors

no less than 30 days’ notice of the time 

so fixed in the manner provided in Rule 

2002. On motion of a party in interest,

after hearing on notice, the court may

for cause extend the time fixed under

this subdivision. The motion shall be 

filed before the time has expired. 

(c) Chapter 7, 11, 12, or 13—Time to File a

Complaint Under § 523(c); Notice of

Time; Extension. Except as (d) provides,

a complaint to determine whether a debt is

dischargeable under § 523(c) must be filed

within 60 days after the first date set for the

§ 341(a) meeting of creditors. The clerk

must give all creditors at least 30 days’

notice of the time to file in the manner

provided by Rule 2002. On a party in

interest’s motion filed before the time

expires, the court may, after notice and a

hearing and for cause, extend the time to

file.

(d) TIME FOR FILING COMPLAINT

UNDER § 523(a)(6) IN A CHAPTER

13 INDIVIDUAL’S DEBT

ADJUSTMENT CASE; NOTICE OF

(d) Chapter 13—Time to File a Complaint

Under § 523(a)(6); Notice of Time;

Extension. When a debtor files a motion 

for a discharge under § 1328(b), the court 

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ORIGINAL REVISION

TIME FIXED. On motion by a debtor

for a discharge under § 1328(b), the 

court shall enter an order fixing the time

to file a complaint to determine the

dischargeability of any debt under § 

523(a)(6) and shall give no less than 30

days’ notice of the time fixed to all

creditors in the manner provided in Rule 

2002. On motion of any party in

interest, after hearing on notice, the

court may for cause extend the time

fixed under this subdivision. The motion 

shall be filed before the time has

expired.

must set the time to file a complaint under 

§ 523(a)(6) to determine whether a debt is

dischargeable. The clerk must give all

creditors at least 30 days’ notice of the time

to file in the manner provided by Rule 

2002. On a party in interest’s motion filed

before the time expires, the court may, after

notice and a hearing and for cause, extend

the time to file.

(e) APPLICABILITY OF RULES IN

PART VII. A proceeding commenced

by a complaint filed under this rule is 

governed by Part VII of these rules. 

(e) Applying Part VII Rules. The Part VII

rules govern a proceeding on a complaint 

filed under this Rule 4007.

Committee Note 

The language of Rule 4007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 4008. Filing of Reaffirmation

Agreement; Statement in Support of

Reaffirmation Agreement

Rule 4008. Reaffirmation Agreement

and Supporting Statement

(a) FILING OF REAFFIRMATION

AGREEMENT. A reaffirmation

agreement shall be filed no later than 60

days after the first date set for the

meeting of creditors under § 341(a) of

the Code. The reaffirmation agreement

shall be accompanied by a cover sheet,

prepared as prescribed by the 

appropriate Official Form. The court

may, at any time and in its discretion, 

enlarge the time to file a reaffirmation

agreement.

(a) Time to File; Cover Sheet. A

reaffirmation agreement must be filed

within 60 days after the first date set for the

§ 341(a) meeting of creditors. The

agreement must have a cover sheet

prepared as prescribed by Form 427. At any

time, the court may extend the time to file

the agreement.

(b) STATEMENT IN SUPPORT OF

REAFFIRMATION AGREEMENT.

The debtor’s statement required under § 

524(k)(6)(A) of the Code shall be

accompanied by a statement of the total

income and expenses stated on 

schedules I and J. If there is a difference 

between the total income and expenses

stated on those schedules and the 

statement required under § 524(k)(6)(A),

the statement required by this

subdivision shall include an explanation

of the difference.

(b) Supporting Statement. The debtor’s

supporting statement required by 

§ 524(k)(6)(A) must be accompanied by a

statement of the total income and expenses

as shown on Schedules I and J. If the 

income and expenses shown on the 

supporting statement differ from those 

shown on the schedules, the supporting 

statement must explain the difference.

Committee Note 

The language of Rule 4008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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5000 Series 1

Bankruptcy Rules Restyling

5000 Series

Preface

This revision is a restyling of the Federal Rules of Bankruptcy Procedure to provide 

greater clarity, consistency, and conciseness without changing practice and procedure. 

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ORIGINAL REVISION

PART V—Courts and Clerks PART V. COURTS AND CLERKS

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

(a) COURTS ALWAYS OPEN. The

courts shall be deemed always open for

the purpose of filing any pleading or 

other proper paper, issuing and 

returning process, and filing, making, or 

entering motions, orders and rules. 

(a) Courts Always Open. Bankruptcy courts 

are considered always open for filing a 

pleading, motion, or other paper; issuing 

and returning process; making rules; or 

entering an order.

(b) TRIALS AND HEARINGS;

ORDERS IN CHAMBERS. All trials

and hearings shall be conducted in open 

court and so far as convenient in a 

regular court room. Except as otherwise

provided in 28 U.S.C. § 152(c), all other

acts or proceedings may be done or 

conducted by a judge in chambers and at

any place either within or without the

district; but no hearing, other than one 

ex parte, shall be conducted outside the

district without the consent of all parties

affected thereby.

(b) Location for Trials and Hearings;

Proceedings in Chambers. Every trial or

hearing must be held in open court—in a 

regular courtroom if convenient. Except as

provided in 28 U.S.C. § 152(c), any other

act may be performed—or a proceeding 

held—in chambers anywhere within or

outside the district. But unless it is ex parte,

a hearing may be held outside the district

only if all affected parties consent. 

(c) CLERK’S OFFICE. The clerk’s

office with the clerk or a deputy in

attendance shall be open during business 

hours on all days except Saturdays, 

Sundays and the legal holidays listed in 

Rule 9006(a).

(c) Clerk’s Office Hours. A clerk’s office—

with the clerk or a deputy in attendance— 

must be open during business hours on all

days except Saturdays, Sundays, and the

legal holidays listed in Rule 9006(a)(6).

Committee Note

The language of Rule 5001 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 5002. Restrictions on Approval

of Appointments

Rule 5002. Restrictions on Approving

Court Appointments

(a) APPROVAL OF APPOINTMENT

OF RELATIVES PROHIBITED. The 

appointment of an individual as a trustee 

or examiner pursuant to § 1104 of the

Code shall not be approved by the court 

if the individual is a relative of the

bankruptcy judge approving the 

appointment or the United States trustee

in the region in which the case is

pending. The employment of an 

individual as an attorney, accountant,

appraiser, auctioneer, or other

professional person pursuant to §§ 327, 

1103, or 1114 shall not be approved by

the court if the individual is a relative of

the bankruptcy judge approving the 

employment. The employment of an

individual as attorney, accountant,

appraiser, auctioneer, or other

professional person pursuant to §§ 327, 

1103, or 1114 may be approved by the

court if the individual is a relative of the

United States trustee in the region in

which the case is pending, unless the 

court finds that the relationship with the 

United States trustee renders the

employment improper under the

circumstances of the case. Whenever

under this subdivision an individual may 

not be approved for appointment or 

employment, the individual’s firm,

partnership, corporation, or any other 

form of business association or 

relationship, and all members, associates

and professional employees thereof also 

may not be approved for appointment 

or employment.

(a) Appointing or Employing Relatives.

(1) Trustee or Examiner. A bankruptcy

judge must not approve appointing an

individual as a trustee or examiner

under § 1104 if the individual is a 

relative of either the judge or the

United States trustee in the region in

which the case is pending. 

(2) Attorney, Accountant, Appraiser, 

Auctioneer, or Other Professional 

Person. A bankruptcy judge must not

approve employing under § 327,

§ 1103, or § 1114 an individual as an

attorney, accountant, appraiser,

auctioneer, or other professional 

person who is a relative of the judge.

The court may approve employing a 

relative of the United States trustee in

the region in which the case is pending 

unless, under the circumstances in the 

case, the relationship makes the

employment improper. 

(3) Related Entities and Associates. If

an appointment under (1) or an 

employment under (2) is forbidden, so 

is appointing or employing:

(A) the individual’s firm, partnership, 

corporation, or any other form of 

business association or 

relationship; or 

(B) a member, associate, or

professional employee of an

entity listed in (A).

(b) JUDICIAL DETERMINATION

THAT APPROVAL OF

APPOINTMENT OR

EMPLOYMENT IS IMPROPER. A

bankruptcy judge may not approve the

(b) Other Considerations in Approving

Appointments or Employment. A 

bankruptcy judge must not approve 

appointing a person as a trustee or 

examiner under (a)(1), or employing a 

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ORIGINAL REVISION

appointment of a person as a trustee or 

examiner pursuant to § 1104 of the 

Code or approve the employment of a

person as an attorney, accountant,

appraiser, auctioneer, or other

professional person pursuant to §§ 327, 

1103, or 1114 of the Code if that person 

is or has been so connected with such 

judge or the United States trustee as to

render the appointment or employment

improper. 

person under (a)(2), if the person is, or has 

been, so connected with the judge or the 

United States trustee as to make the

appointment or employment improper. 

Committee Note

The language of Rule 5002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 5003. Records Kept By the

Clerk

Rule 5003. Records to Be Kept by the

Clerk

(a) BANKRUPTCY DOCKETS. The

clerk shall keep a docket in each case

under the Code and shall enter thereon

each judgment, order, and activity in that

case as prescribed by the Director of the

Administrative Office of the United

States Courts. The entry of a judgment 

or order in a docket shall show the date 

the entry is made.

(a) Bankruptcy Docket. The clerk must keep

a docket in each case and must:

(1) enter on the docket each judgment,

order, and activity, as prescribed by the

Director of the Administrative Office

of the United States Courts; and

(2) show the date of entry for each

judgment or order. 

(b) CLAIMS REGISTER. The clerk

shall keep in a claims register a list of

claims filed in a case when it appears

that there will be a distribution to

unsecured creditors.

(b) Claims Register. When it appears that

there will be a distribution to unsecured 

creditors, the clerk must keep in a claims

register a list of the claims filed in the case.

(c) JUDGMENTS AND ORDERS.

The clerk shall keep, in the form and

manner as the Director of the

Administrative Office of the United

States Courts may prescribe, a correct

copy of every final judgment or order 

affecting title to or lien on real property

or for the recovery of money or

property, and any other order which the 

court may direct to be kept. On request

of the prevailing party, a correct copy of

every judgment or order affecting title to

or lien upon real or personal property or 

for the recovery of money or property

shall be kept and indexed with the civil

judgments of the district court.

(c) Judgments and Orders.

(1) In General. In the form and manner

prescribed by the Director of the

Administrative Office of the United

States Courts, the clerk must keep a

copy of: 

(A) every final judgment or order

affecting title to, or a lien on, real

property;

(B) every final judgment or order for 

the recovery of money or

property; and

(C) any other order the court

designates.

(2) Indexing with the District Court. 

On a prevailing party’s request, a copy

of the following must be kept and 

indexed with the district court’s civil

judgments: 

(A) every final judgment or order

affecting title to, or a lien on, real

or personal property; and

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ORIGINAL REVISION

(B) every final judgment or order for

the recovery of money or

property.

(d) INDEX OF CASES;

CERTIFICATE OF SEARCH. The 

clerk shall keep indices of all cases and

adversary proceedings as prescribed by 

the Director of the Administrative

Office of the United States Courts. On

request, the clerk shall make a search of

any index and papers in the clerk’s

custody and certify whether a case or

proceeding has been filed in or 

transferred to the court or if a discharge

has been entered in its records. 

(d) Index of Cases; Certificate of Search.

(1) Index of Cases. The clerk must keep

an index of cases and adversary 

proceedings in the form and manner 

prescribed by the Director of the

Administrative Office of the United

States Courts. 

(2) Searching the Index; Certificate of 

Search. On request, the clerk must

search the index and papers in the

clerk’s custody and certify whether a

case or proceeding has been filed in or 

transferred to the court—and if so, 

whether a discharge has been entered.

(e) REGISTER OF MAILING

ADDRESSES OF FEDERAL AND

STATE GOVERNMENTAL UNITS

AND CERTAIN TAXING

AUTHORITIES. The United States or 

the state or territory in which the court

is located may file a statement

designating its mailing address. The 

United States, state, territory, or local

governmental unit responsible for 

collecting taxes within the district in

which the case is pending may also file a

statement designating an address for 

service of requests under § 505(b) of the 

Code, and the designation shall describe 

where further information concerning

additional requirements for filing such 

requests may be found. The clerk shall 

keep, in the form and manner as the

Director of the Administrative Office of 

the United States Courts may prescribe,

a register that includes the mailing

addresses designated under the first 

sentence of this subdivision, and a 

(e) Register of Mailing Addresses of

Federal and State Governmental Units

and Certain Taxing Authorities.

(1) In General. The United States—or a 

state or a territory where the court is

located—may file a statement

designating its mailing address. A 

taxing authority (including a local

taxing authority) may also file a

statement designating an address for 

serving requests under § 505(b). The 

designation must describe where to

find further information about 

additional requirements for serving a 

request.

(2) Register of Mailing Address. 

(A) In General. In the form and

manner prescribed by the 

Director of the Administrative

Office of the United States

Courts, the clerk must keep a

register of the mailing addresses 

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ORIGINAL REVISION

separate register of the addresses

designated for the service of requests

under § 505(b) of the Code. The clerk is

not required to include in any single 

register more than one mailing address

for each department, agency, or

instrumentality of the United States or

the state or territory. If more than one

address for a department, agency, or

instrumentality is included in the

register, the clerk shall also include

information that would enable a user of 

the register to determine the

circumstances when each address is

applicable, and mailing notice to only 

one applicable address is sufficient to 

provide effective notice. The clerk shall

update the register annually, effective

January 2 of each year. The mailing

address in the register is conclusively 

presumed to be a proper address for the 

governmental unit, but the failure to use

that mailing address does not invalidate 

any notice that is otherwise effective

under applicable law.

of the governmental units listed

in the first sentence of (1) and a

separate register containing the

addresses of taxing authorities for 

serving requests under § 505(b).

(B)Number of Entries. The clerk need

not include in any register more 

than one mailing address for each

department, agency, or

instrumentality of the United

States or the state or territory. But 

if more than one mailing address

is included, the clerk must also 

include information that would 

enable a user to determine when

each address is applicable. Mailing

to only one applicable address 

provides effective notice.

(C)Keeping the Register Current. The 

clerk must update the register

annually, as of January 2 of each

year.

(D) Mailing Address Presumed to Be

Proper. A mailing address in the 

register is conclusively presumed

to be proper. But a failure to use 

that address does not invalidate 

notice that is otherwise effective

under applicable law.

(f) OTHER BOOKS AND RECORDS

OF THE CLERK. The clerk shall keep

any other books and records required by 

the Director of the Administrative

Office of the United States Courts. 

(f) Other Books and Records. The clerk

must keep any other books and records 

required by the Director of the

Administrative Office of the United States

Courts. 

Committee Note

The language of Rule 5003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 5004. Disqualification Rule 5004. Disqualifying a 

Bankruptcy Judge

(a) DISQUALIFICATION OF

JUDGE. A bankruptcy judge shall be

governed by 28 U.S.C. § 455, and

disqualified from presiding over the 

proceeding or contested matter in which

the disqualifying circumstances arises or, 

if appropriate, shall be disqualified from 

presiding over the case.

(a) From Presiding Over a Proceeding,

Contested Matter, or Case. A bankruptcy

judge’s disqualification is governed by 

28 U.S.C. § 455. The judge is disqualified 

from presiding over a proceeding or 

contested matter in which a disqualifying

circumstance arises—and, when

appropriate, from presiding over the entire

case.

(b) DISQUALIFICATION OF

JUDGE FROM ALLOWING

COMPENSATION. A bankruptcy

judge shall be disqualified from allowing

compensation to a person who is a 

relative of the bankruptcy judge or with

whom the judge is so connected as to

render it improper for the judge to

authorize such compensation. 

(b) From Allowing Compensation. The 

bankruptcy judge is disqualified from 

allowing compensation to a relative or to a

person who is so connected with the judge 

as to make the judge’s allowing it improper. 

Committee Note

The language of Rule 5004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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5000 Series 9

ORIGINAL REVISION

Rule 5005. Filing and Transmittal of

Papers

Rule 5005. Filing Papers and Sending

Copies to the United States Trustee

(a) FILING.

(1) Place of Filing. The lists, 

schedules, statements, proofs of claim or 

interest, complaints, motions, 

applications, objections and other papers 

required to be filed by these rules, 

except as provided in 28 U.S.C. § 1409,

shall be filed with the clerk in the district

where the case under the Code is

pending. The judge of that court may 

permit the papers to be filed with the

judge, in which event the filing date shall

be noted thereon, and they shall be 

forthwith transmitted to the clerk. The

clerk shall not refuse to accept for filing

any petition or other paper presented for 

the purpose of filing solely because it is 

not presented in proper form as

required by these rules or any local rules 

or practices.

(2) Electronic Filing and Signing.

(A) By a Represented

Entity—Generally Required; Exceptions. An

entity represented by an attorney shall

file electronically, unless nonelectronic

filing is allowed by the court for good 

cause or is allowed or required by local 

rule.

(B) By an Unrepresented

Individual—When Allowed or Required. An

individual not represented by an

attorney:

(i) may file

electronically only if allowed by court

order or by local rule; and

(ii) may be

required to file electronically only by 

court order, or by a local rule that

includes reasonable exceptions.

(a) Filing Papers.

(1) With the Clerk. Except as provided 

in 28 U.S.C. § 1409, the following

papers required to be filed by these 

rules must be filed with the clerk in

the district where the case is pending: 

• lists; 

• schedules; 

• statements;

• proofs of claim or interest;

• complaints;

• motions; 

• applications; 

• objections; and

• other papers. 

The clerk must not refuse to accept for 

filing any petition or other paper solely 

because it is not in the form required

by these rules or any local rule or 

practice.

(2) With a Judge of the Court. A judge

may personally accept for filing a

paper listed in (1). The judge must 

note on the paper the date of filing

and promptly send it to the clerk.

(3) Electronic Filing and Signing.

(A) By a Represented Entity—Generally

Required; Exceptions. An entity

represented by an attorney must

file electronically, unless

nonelectronic filing is allowed by 

the court for good cause or is

allowed or required by local rule.

(B) By an Unrepresented Individual— 

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ORIGINAL REVISION

(C) Signing. A filing made

through a person’s electronic filing 

account and authorized by that person,

together with that person’s name on a

signature block, constitutes the person’s 

signature.

(D) Same as a Written

Paper. A paper filed electronically is a

written paper for purposes of these 

rules, the Federal Rules of Civil 

Procedure made applicable by these

rules, and § 107 of the Code. 

When Allowed or Required. An

individual not represented by an

attorney:

(i) may file electronically only if

allowed by court order or by 

local rule; and

(ii) may be required to file

electronically only by court

order, or by a local rule that

includes reasonable exceptions.

(C) Signing. A filing made through a

person’s electronic filing account

and authorized by that person, 

together with that person’s name

on a signature block, constitutes 

the person’s signature.

(D) Same as a Written Paper. A paper

filed electronically is a written

paper for purposes of these rules, 

the Federal Rules of Civil 

Procedure made applicable by

these rules, and § 107.

(b) TRANSMITTAL TO THE 

UNITED STATES TRUSTEE. 

(1) The complaints, motions, 

applications, objections and other papers 

required to be transmitted to the United

States trustee by these rules shall be

mailed or delivered to an office of the

United States trustee, or to another place

designated by the United States trustee,

in the district where the case under the

Code is pending. 

(2) The entity, other than the

clerk, transmitting a paper to the United

States trustee shall promptly file as proof 

of such transmittal a verified statement

identifying the paper and stating the date

on which it was transmitted to the

United States trustee.

(3) Nothing in these rules shall 

(b) Sending Copies to the United States

Trustee. All papers required to be sent to

the United States trustee must be mailed or

delivered to the office of the United States

trustee or other place within the district

that the United States trustee designates. 

An entity, other than the clerk, that sends a

paper to the United States trustee must

promptly file a verified statement

identifying the paper and stating the date it

was sent. The clerk need not send a copy of 

a paper to a United States trustee who

requests in writing that it not be sent.

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ORIGINAL REVISION

require the clerk to transmit any paper 

to the United States trustee if the United

States trustee requests in writing that the

paper not be transmitted.

(c) ERROR IN FILING OR

TRANSMITTAL. A paper intended to 

be filed with the clerk but erroneously 

delivered to the United States trustee,

the trustee, the attorney for the trustee, a

bankruptcy judge, a district judge, the

clerk of the bankruptcy appellate panel,

or the clerk of the district court shall,

after the date of its receipt has been

noted thereon, be transmitted forthwith

to the clerk of the bankruptcy court. A

paper intended to be transmitted to the

United States trustee but erroneously

delivered to the clerk, the trustee, the

attorney for the trustee, a bankruptcy

judge, a district judge, the clerk of the

bankruptcy appellate panel, or the clerk

of the district court shall, after the date

of its receipt has been noted thereon, be 

transmitted forthwith to the United

States trustee. In the interest of justice,

the court may order that a paper

erroneously delivered shall be deemed

filed with the clerk or transmitted to the 

United States trustee as of the date of its

original delivery.

(c) When a Paper Is Erroneously Filed or

Delivered.

(1) Paper Intended for the Clerk. If a 

paper intended to be filed with the

clerk is erroneously delivered to a

person listed below, that person must 

note on it the date of receipt and

promptly send it to the clerk:

• the United States trustee;

• the trustee;

• the trustee’s attorney;

• a bankruptcy judge; 

• a district judge;

• the clerk of the bankruptcy

appellate panel; or

• the clerk of the district court.

(2) Paper Intended for the United 

States Trustee. If a paper intended

for the United States trustee is

erroneously delivered to the clerk or

to another person listed in (1), the 

clerk or that person must note on it 

the date of receipt and promptly send 

it to the United States trustee.

(3) Applicable Filing Date. In the 

interests of justice, the court may

order that the original date of receipt

shown on a paper erroneously 

delivered under (1) or (2) be deemed

the date it was filed with the clerk or

sent to the United States trustee.

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5000 Series 12

Committee Note

The language of Rule 5005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 5006. Certification of Copies of

Papers

Rule 5006. Providing Certified Copies

The clerk shall issue a certified copy of

the record of any proceeding in a case

under the Code or of any paper filed 

with the clerk on payment of any

prescribed fee.

Upon payment of the prescribed fee, the clerk

must issue a certified copy of the record of any

proceeding or any paper filed with the clerk.

Committee Note

The language of Rule 5006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 5007. Record of Proceedings

and Transcripts

Rule 5007. Record of Proceedings and

Transcripts

(a) FILING OF RECORD OR

TRANSCRIPT. The reporter or 

operator of a recording device shall

certify the original notes of testimony,

tape recording, or other original record

of the proceeding and promptly file 

them with the clerk. The person

preparing any transcript shall promptly

file a certified copy.

(a) Filing Original Notes, Tape

Recordings, and Other Original

Records of a Proceeding; Transcripts.

(1) Records. The reporter or operator of 

a recording device must certify the

original notes of testimony, tape

recordings, and other original records 

of a proceeding and must promptly file

them with the clerk.

(2) Transcripts. A person who prepares a 

transcript must promptly file a certified

copy with the clerk.

(b) TRANSCRIPT FEES. The fees for 

copies of transcripts shall be charged at 

rates prescribed by the Judicial

Conference of the United States. No fee

may be charged for the certified copy

filed with the clerk.

(b) Fee for a Transcript. The fee for a copy

of a transcript must be charged at the rate

prescribed by the Judicial Conference of 

the United States. No fee may be charged

for filing the certified copy.

(c) ADMISSIBILITY OF RECORD IN

EVIDENCE. A certified sound

recording or a transcript of a proceeding

shall be admissible as prima facie

evidence to establish the record.

(c) Sound Recording or Transcript as

Prima Facie Evidence. In any

proceeding, a certified sound recording or a 

transcript of a proceeding is admissible as 

prima facie evidence of the record.

Committee Note

The language of Rule 5007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 5008. Notice Regarding

Presumption of Abuse in Chapter 7

Cases of Individual Debtors

Rule 5008. Chapter 7—Notice That a 

Presumption of Abuse Has Arisen

Under § 707(b)

If a presumption of abuse has arisen

under § 707(b) in a chapter 7 case of an

individual with primarily consumer 

debts, the clerk shall within 10 days after

the date of the filing of the petition

notify creditors of the presumption of 

abuse in accordance with Rule 2002. If

the debtor has not filed a statement

indicating whether a presumption of

abuse has arisen, the clerk shall within

10 days after the date of the filing of the

petition notify creditors that the debtor

has not filed the statement and that

further notice will be given if a later filed

statement indicates that a presumption

of abuse has arisen. If a debtor later files

a statement indicating that a

presumption of abuse has arisen, the 

clerk shall notify creditors of the

presumption of abuse as promptly as 

practicable.

(a) Notice to Creditors. When a presumption

of abuse under § 707(b) arises in a 

Chapter 7 case of an individual with 

primarily consumer debts, the clerk must,

within 10 days after the petition is filed, so

notify the creditors in accordance with

Rule 2002(f)(1)(J).

(b) Debtor’s Statement. If the debtor does

not file a statement indicating whether a

presumption has arisen, the clerk must, 

within 10 days after the petition is filed, so

notify creditors and indicate that further

notice will be given if a later-filed statement

shows that the presumption has arisen. If 

the debtor later files such a statement , the

clerk must promptly notify the creditors.

Committee Note

The language of Rule 5008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 5009. Closing Chapter 7,

Chapter 12, Chapter 13, and Chapter

15 Cases; Order Declaring Lien

Satisfied

Rule 5009. Closing a Chapter 7, 12, 13,

or 15 Case; Declaring Liens Satisfied

(a) CLOSING OF CASES UNDER

CHAPTERS 7, 12, AND 13. If in a

chapter 7, chapter 12, or chapter 13 case

the trustee has filed a final report and

final account and has certified that the

estate has been fully administered, and if

within 30 days no objection has been 

filed by the United States trustee or a

party in interest, there shall be a

presumption that the estate has been

fully administered.

(a) Closing a Chapter 7, 12, or 13 Case. The 

estate in a Chapter 7, 12, or 13 case is

presumed to have been fully administered

when:

(1) the trustee has filed a final report and

final account and has certified that the

estate has been fully administered; and

(2) within 30 days after the filing, no

objection to the report has been filed 

by the United States trustee or a party

in interest.

(b) NOTICE OF FAILURE TO FILE

RULE 1007(b)(7) STATEMENT. If an

individual debtor in a chapter 7 or 13 

case is required to file a statement under

Rule 1007(b)(7) and fails to do so within 

45 days after the first date set for the

meeting of creditors under § 341(a) of

the Code, the clerk shall promptly notify

the debtor that the case will be closed

without entry of a discharge unless the 

required statement is filed within the

applicable time limit under Rule 1007(c).

(b) Chapter 7 or 13—Notice of a Failure to

File a Statement About Completing a

Course on Personal Financial

Management. This rule (b) applies if an 

individual debtor in a Chapter 7 or 13 case 

is required to file a statement under 

Rule 1007(b)(7) and fails to do so within

45 days after the first date set for the

meeting of creditors under § 341(a). The

clerk must promptly notify the debtor that

the case will be closed without entering a

discharge unless the statement is filed

within the time prescribed by Rule 1007(c).

(c) CASES UNDER CHAPTER 15. A

foreign representative in a proceeding

recognized under § 1517 of the Code 

shall file a final report when the purpose 

of the representative’s appearance in the

court is completed. The report shall 

describe the nature and results of the 

representative’s activities in the court.

The foreign representative shall transmit

the report to the United States trustee,

and give notice of its filing to the debtor, 

all persons or bodies authorized to 

administer foreign proceedings of the 

debtor, all parties to litigation pending in

(c) Closing a Chapter 15 Case.

(1) Foreign Representative’s Final 

Report. In a proceeding recognized

under § 1517, when the purpose of a 

foreign representative’s appearance is

completed, the representative must file

a final report describing the nature and

results of the representative’s activities

in the court.

(2) Giving Notice of the Report. The

representative must send a copy of the

report to the United States trustee, give

notice of its filing, and file a certificate

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ORIGINAL REVISION

the United States in which the debtor

was a party at the time of the filing of

the petition, and such other entities as

the court may direct. The foreign

representative shall file a certificate with

the court that notice has been given. If

no objection has been filed by the 

United States trustee or a party in

interest within 30 days after the

certificate is filed, there shall be a

presumption that the case has been fully

administered.

with the court indicating that the

notice has been given, to:

(A) the debtor; 

(B) all persons or bodies authorized to

administer the debtor’s foreign

proceedings; 

(C) all parties to litigation pending in

the United States in which the

debtor was a party when the

petition was filed; and

(D) any other entity the court 

designates.

(3) Presumption of Full 

Administration. If the United States

trustee or a party in interest does not

file an objection within 30 days after

the certificate is filed, the case is

presumed to have been fully

administered.

(d) ORDER DECLARING LIEN

SATISFIED. In a chapter 12 or chapter

13 case, if a claim that was secured by

property of the estate is subject to a lien

under applicable nonbankruptcy law, the 

debtor may request entry of an order

declaring that the secured claim has been

satisfied and the lien has been released

under the terms of a confirmed plan.

The request shall be made by motion

and shall be served on the holder of the 

claim and any other entity the court

designates in the manner provided by 

Rule 7004 for service of a summons and 

complaint.

(d) Order Declaring a Lien Satisfied. This

rule (d) applies in a Chapter 12 or 13 case 

when a claim secured by property of the

estate is subject to a lien under applicable

nonbankruptcy law. The debtor may move 

for an order declaring that the secured

claim has been satisfied and the lien has

been released under the terms of the

confirmed plan. The motion must be 

served—in the manner provided by 

Rule 7004 for serving a summons and 

complaint—on the claim holder and any 

other entity the court designates.

Committee Note

The language of Rule 5009 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only.

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ORIGINAL REVISION

Rule 5010. Reopening Cases Rule 5010. Reopening a Case

A case may be reopened on motion of

the debtor or other party in interest

pursuant to § 350(b) of the Code. In a 

chapter 7, 12, or 13 case a trustee shall

not be appointed by the United States

trustee unless the court determines that

a trustee is necessary to protect the

interests of creditors and the debtor or 

to insure efficient administration of the

case.

On the debtor’s or another party in interest’s

motion, the court may, under § 350(b), reopen a 

case. In a reopened Chapter 7, 12, or 13 case,

the United States trustee must not appoint a

trustee unless the court determines that one is

needed to protect the interests of the creditors

and the debtor, or to ensure that the reopened

case is efficiently administered.

Committee Note

The language of Rule 5010 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 5011. Withdrawal and

Abstention from Hearing a

Proceeding

Rule 5011. Motion to Withdraw a Case

or Proceeding or to Abstain from

Hearing a Proceeding; Staying a

Proceeding

(a) WITHDRAWAL. A motion for 

withdrawal of a case or proceeding shall 

be heard by a district judge.

(a) Withdrawing a Case or Proceeding. A 

motion to withdraw a case or proceeding

under 28 U.S.C. § 157(d) must be heard by 

a district judge.

(b) ABSTENTION FROM HEARINGA

PROCEEDING. A motion for

abstention pursuant to 28 U.S.C. § 

1334(c) shall be governed by Rule 9014

and shall be served on the parties to the 

proceeding. 

(b) Abstaining from Hearing a Proceeding.

A motion requesting the court to abstain 

from hearing a proceeding under 28 U.S.C.

§ 1334(c) is governed by Rule 9014. The

motion must be served on all parties to the

proceeding. 

(c) EFFECT OF FILING OF MOTION

FOR WITHDRAWAL OR

ABSTENTION. The filing of a motion 

for withdrawal of a case or proceeding or

for abstention pursuant to 28 U.S.C.

§ 1334(c) shall not stay the administration

of the case or any proceeding therein

before the bankruptcy judge except that

the bankruptcy judge may stay, on such 

terms and conditions as are proper, 

proceedings pending disposition of the 

motion. A motion for a stay ordinarily 

shall be presented first to the bankruptcy

judge. A motion for a stay or relief from a

stay filed in the district court shall state

why it has not been presented to or

obtained from the bankruptcy judge. 

Relief granted by the district judge shall

be on such terms and conditions as the

judge deems proper.

(c) Staying a Proceeding After a Motion to

Withdraw or Abstain. A motion filed

under (a) or (b) does not stay proceedings 

in a case or affect its administration. But a 

bankruptcy judge may, on proper terms and

conditions, stay a proceeding until the 

motion is decided. 

(d) Motion to Stay a Proceeding. A motion

to stay a proceeding must ordinarily be

submitted first to the bankruptcy judge. If

it—or a motion for relief from a stay—is

filed in the district court, the motion must

state why it has not been first presented to

or obtained from the bankruptcy judge. 

The district judge may grant relief on terms

and conditions the judge considers proper. 

Committee Note

The language of Rule 5011 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 5012. Agreements Concerning

Coordination of Proceedings in

Chapter 15 Cases

Rule 5012. Chapter 15—Agreement to

Coordinate Proceedings

Approval of an agreement under §

1527(4) of the Code shall be sought by 

motion. The movant shall attach to the

motion a copy of the proposed 

agreement or protocol and, unless the 

court directs otherwise, give at least 30

days’ notice of any hearing on the 

motion by transmitting the motion to

the United States trustee, and serving it

on the debtor, all persons or bodies 

authorized to administer foreign 

proceedings of the debtor, all entities

against whom provisional relief is being 

sought under § 1519, all parties to 

litigation pending in the United States in

which the debtor was a party at the time

of the filing of the petition, and such 

other entities as the court may direct.

An agreement to coordinate proceedings under

§ 1527(4) may be approved on motion with an

attached copy of the agreement or protocol. 

Unless the court orders otherwise, the movant 

must give at least 30 days’ notice of any hearing

on the motion by sending a copy to the United

States trustee and serving it on:

• the debtor;

• all persons or bodies authorized to

administer the debtor’s foreign

proceedings; 

• all entities against whom provisional 

relief is sought under § 1519;

• all parties to litigation pending in the 

United States in which the debtor was a

party when the petition was filed; and

• any other entity the court designates.

Committee Note

The language of Rule 5012 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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6000 Series 1

Bankruptcy Rules Restyling

6000 Series

Preface

This revision is a restyling of the Federal Rules of Bankruptcy Procedure to provide 

greater clarity, consistency, and conciseness without changing practice and procedure. 

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ORIGINAL REVISION

PART VI—COLLECTION AND

LIQUIDATION OF THE ESTATE 

PART VI. COLLECTING AND

LIQUIDATING PROPERTY OF THE

ESTATE

Rule 6001. Burden of Proof As to

Validity of Postpetition Transfer

Rule 6001. Burden of Proving the

Validity of a Postpetition Transfer

Any entity asserting the validity of a

transfer under § 549 of the Code shall 

have the burden of proof. 

An entity that asserts the validity of a

postpetition transfer under § 549 has the burden 

of proof. 

Committee Note

The language of Rule 6001 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 6002. Accounting by Prior

Custodian of Property of the Estate

Rule 6002. Custodian’s Report to the

United States Trustee

(a) ACCOUNTING REQUIRED. Any

custodian required by the Code to 

deliver property in the custodian’s

possession or control to the trustee shall 

promptly file and transmit to the United

States trustee a report and account with

respect to the property of the estate and

the administration thereof.

(a) Custodian’s Report and Account. A

custodian required by § 543 to deliver 

property to the trustee must promptly file

and send to the United States trustee a

report and account about the property of 

the estate and its administration.

(b) EXAMINATION OF

ADMINISTRATION. On the filing and

transmittal of the report and account

required by subdivision (a) of this rule 

and after an examination has been made

into the superseded administration, after 

notice and a hearing, the court shall

determine the propriety of the

administration, including the 

reasonableness of all disbursements. 

(b) Examining the Administration. After the

custodian’s report and account has been 

filed and the superseded administration has

been examined, the court must, after notice

and a hearing, determine whether the

custodian’s administration has been proper 

and disbursements have been reasonable.

Committee Note

The language of Rule 6002 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 6003. Interim and Final Relief

Immediately Following the

Commencement of the Case— 

Applications for Employment;

Motions for Use, Sale, or Lease of

Property; and Motions for

Assumption or Assignment of

Executory Contracts

Rule 6003. Delay in Granting Certain

Applications and Motions Made

Immediately After the Petition Is

Filed

Except to the extent that relief is

necessary to avoid immediate and

irreparable harm, the court shall not, 

within 21 days after the filing of the

petition, issue an order granting the 

following: 

(a) an application under Rule 

2014;

(b) a motion to use, sell, lease, or

otherwise incur an obligation regarding 

property of the estate, including a 

motion to pay all or part of a claim that

arose before the filing of the petition, 

but not a motion under Rule 4001; or 

(c) a motion to assume or assign

an executory contract or unexpired lease

in accordance with § 365.

(a) In General. Unless relief is needed to

avoid immediate and irreparable harm, the

court must not, within 21 days after the

petition is filed, grant an application or

motion to:

(1) employ a professional person under 

Rule 2014;

(2) use, sell, or lease property of the estate,

including a motion to pay all or a part 

of a claim that arose before the

petition was filed;

(3) incur any other obligation regarding 

the property of the estate; or 

(4) assume or assign an executory contract

or unexpired lease under § 365.

(b) Exception. This rule does not apply to a 

motion under Rule 4001.

Committee Note

The language of Rule 6003 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 6004. Use, Sale, or Lease of

Property

Rule 6004. Use, Sale, or Lease of

Property

(a) NOTICE OF PROPOSED USE,

SALE, OR LEASE OF PROPERTY.

Notice of a proposed use, sale, or lease

of property, other than cash collateral,

not in the ordinary course of business 

shall be given pursuant to Rule 

2002(a)(2), (c)(1), (i), and (k) and, if

applicable, in accordance with §

363(b)(2) of the Code. 

(a) Notice.

(1) In General. Notice of a proposed use, 

sale, or lease of property that is not in 

the ordinary course of business must 

be given:

(A) under Rule 2002(a)(2), (c)(1), (i),

and (k); and

(B) in accordance with § 363(b)(2), if

applicable.

(2) Exceptions. Notice under (a) is not

required if (d) applies or the proposal 

involves cash collateral only.

(b) OBJECTION TO PROPOSAL.

Except as provided in subdivisions (c) 

and (d) of this rule, an objection to a 

proposed use, sale, or lease of property 

shall be filed and served not less than 

seven days before the date set for the

proposed action or within the time fixed

by the court. An objection to the

proposed use, sale, or lease of property 

is governed by Rule 9014.

(b) Objection. Except as provided in (c) and

(d), an objection to a proposed use, sale, or 

lease of property must be filed and served

at least 7 days before the date set for the

proposed action or within the time set by 

the court. Rule 9014 governs the objection. 

(c) SALE FREE AND CLEAR OF

LIENS AND OTHER INTERESTS. A

motion for authority to sell property free

and clear of liens or other interests shall 

be made in accordance with Rule 9014

and shall be served on the parties who 

have liens or other interests in the 

property to be sold. The notice required 

by subdivision (a) of this rule shall 

include the date of the hearing on the 

motion and the time within which

objections may be filed and served on 

the debtor in possession or trustee.

(c) Motion to Sell Property Free and Clear

of Liens and Other Interests; Objection.

A motion for authority to sell property free

and clear of liens or other interests must be

made in accordance with Rule 9014 and

served on the parties who have the liens or

other interests. The notice required by (a)

must include: 

(1) the date of the hearing on the motion;

and

(2) the time to file and serve an objection

on the debtor in possession or trustee.

(d) SALE OF PROPERTY UNDER

$2,500. Notwithstanding subdivision (a)

of this rule, when all of the nonexempt 

(d) Notice of an Intent to Sell Property

Valued at Less Than $2500; Objection.

If all the nonexempt property of the estate

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ORIGINAL REVISION

property of the estate has an aggregate

gross value less than $2,500, it shall be 

sufficient to give a general notice of

intent to sell such property other than in 

the ordinary course of business to all 

creditors, indenture trustees, committees

appointed or elected pursuant to the

Code, the United States trustee and

other persons as the court may direct.

An objection to any such sale may be

filed and served by a party in interest

within 14 days of the mailing of the

notice, or within the time fixed by the

court. An objection is governed by Rule 

9014.

—in the aggregate—has a gross value less 

than $2500, a notice of an intent to sell the 

property that is not in the ordinary course 

of business must be served on: 

• creditors;

• indenture trustees;

• any committees elected under § 705 or

appointed under § 1102;

• the United States trustee; and

• other persons as the court orders. 

A party in interest may file and serve an

objection within 14 days after the notice is

mailed or within the time set by the court.

Rule 9014 governs the objection.

(e) HEARING. If a timely objection is

made pursuant to subdivision (b) or (d) 

of this rule, the date of the hearing

thereon may be set in the notice given

pursuant to subdivision (a) of this rule.

(e) Notice of a Hearing on an Objection.

The date of a hearing on an objection 

under (b) or (d) may be set in the notice

under (a).

(f) CONDUCT OF SALE NOT IN

THE ORDINARY COURSE OF

BUSINESS.

(1) Public or Private Sale. All sales

not in the ordinary course of business 

may be by private sale or by public

auction. Unless it is impracticable, an

itemized statement of the property sold,

the name of each purchaser, and the

price received for each item or lot or for

the property as a whole if sold in bulk 

shall be filed on completion of a sale. If 

the property is sold by an auctioneer, the 

auctioneer shall file the statement,

transmit a copy thereof to the United

States trustee, and furnish a copy to the 

trustee, debtor in possession, or chapter 

13 debtor. If the property is not sold by 

an auctioneer, the trustee, debtor in

possession, or chapter 13 debtor shall 

file the statement and transmit a copy 

(f) Conducting a Sale That Is Not in the

Ordinary Course of Business.

(1) Public Auction or Private Sale. 

(A) Itemized Statement Required. A sale

that is not in the ordinary course of 

business may be made by public 

auction or private sale. Unless it is

impracticable, when the sale is

completed, an itemized statement

must be filed that shows: 

• the property sold; 

• the name of each purchaser;

and

• the amount paid for each item

or lot, or if sold in bulk, for the 

entire property.

(B) If by Auction. If the property is sold 

by auction, the auctioneer must file

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ORIGINAL REVISION

thereof to the United States trustee.

(2) Execution of Instruments. After

a sale in accordance with this rule the

debtor, the trustee, or debtor in 

possession, as the case may be, shall 

execute any instrument necessary or

ordered by the court to effectuate the

transfer to the purchaser. 

the itemized statement and send a

copy to the United States trustee

and to either the trustee, debtor in

possession, or Chapter 13 debtor. 

(C) If by Private Sale. If the property is

not sold by auction, the trustee, 

debtor in possession, or 

Chapter 13 debtor must file the

itemized statement and send a

copy to the United States trustee.

(2) Signing the Sale Documents. When

a sale is complete, the debtor, trustee,

or debtor in possession must sign any 

document that is necessary or courtordered to transfer the property to the

purchaser. 

(g) SALE OF PERSONALLY

IDENTIFIABLE INFORMATION.

(1) Motion. A motion for 

authority to sell or lease personally

identifiable information under § 

363(b)(1)(B) shall include a request for

an order directing the United States

trustee to appoint a consumer privacy

ombudsman under § 332. Rule 9014 

governs the motion which shall be 

served on: any committee elected under 

§ 705 or appointed under § 1102 of the 

Code, or if the case is a chapter 11

reorganization case and no committee of 

unsecured creditors has been appointed 

under § 1102, on the creditors included 

on the list of creditors filed under Rule 

1007(d); and on such other entities as

the court may direct. The motion shall 

be transmitted to the United States

trustee.

(2) Appointment. If a consumer

privacy ombudsman is appointed under 

§ 332, no later than seven days before 

the hearing on the motion under § 

363(b)(1)(B), the United States trustee

shall file a notice of the appointment,

(g) Selling Personally Identifiable 

Information.

(1) Request for a Consumer-Privacy 

Ombudsman. A motion for authority

to sell or lease personally identifiable

information under § 363(b)(1)(B) must

include a request for an order directing

the United States trustee to appoint a

consumer-privacy ombudsman under 

§ 332. Rule 9014 governs the motion.

It must be sent to the United States

trustee and served on: 

• any committee elected under § 705

or appointed under § 1102;

• in a Chapter 11 case in which no

committee of unsecured creditors

has been appointed under § 1102, 

on the creditors included on the 

list filed under Rule 1007(d); and

• other entities as the court orders. 

(2) Notice That an Ombudsman Has 

Been Appointed. If a consumerprivacy ombudsman is appointed, the 

United States trustee must give notice

of the appointment at least 7 days

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ORIGINAL REVISION

including the name and address of the 

person appointed. The United States

trustee’s notice shall be accompanied by

a verified statement of the person

appointed setting forth the person’s 

connections with the debtor, creditors,

any other party in interest, their

respective attorneys and accountants,

the United States trustee, or any person

employed in the office of the United

States trustee.

before the hearing on any motion

under § 363(b)(1)(B). The notice must 

give the name and address of the

person appointed and include the 

person’s verified statement that sets

forth any connection with:

• the debtor, creditors, or any other

party in interest;

• their respective attorneys and

accountants;

• the United States trustee; and

• any person employed in the United

States trustee’s office.

(h) STAY OF ORDER

AUTHORIZING USE, SALE, OR

LEASE OF PROPERTY. An order

authorizing the use, sale, or lease of 

property other than cash collateral is

stayed until the expiration of 14 days

after entry of the order, unless the court

orders otherwise.

(h) Staying an Order Authorizing the Use,

Sale, or Lease of Property. Unless the 

court orders otherwise, an order 

authorizing the use, sale, or lease of 

property (other than cash collateral) is

stayed for 14 days after the order is entered.

Committee Note

The language of Rule 6004 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 6005. Appraisers and

Auctioneers

Rule 6005. Employing an Appraiser or

Auctioneer

The order of the court approving the

employment of an appraiser or

auctioneer shall fix the amount or rate of

compensation. No officer or employee

of the Judicial Branch of the United

States or the United States Department

of Justice shall be eligible to act as

appraiser or auctioneer. No residence or

licensing requirement shall disqualify an 

appraiser or auctioneer from

employment.

A court order approving the employment of an

appraiser or auctioneer must set the amount or

rate of compensation. An officer or employee of 

the United States judiciary or United States

Department of Justice is not eligible to act as an

appraiser or auctioneer. No residence or 

licensing requirement disqualifies a person from 

being employed.

Committee Note

The language of Rule 6005 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

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ORIGINAL REVISION

Rule 6006. Assumption, Rejection or

Assignment of an Executory

Contract or Unexpired Lease

Rule 6006. Assuming, Rejecting, or

Assigning an Executory Contract or

Unexpired Lease 

(a) PROCEEDING TO ASSUME,

REJECT, OR ASSIGN. A proceeding

to assume, reject, or assign an executory

contract or unexpired lease, other than

as part of a plan, is governed by Rule 

9014.

(a) Procedure in General. A proceeding to

assume, reject, or assign an executory

contract or unexpired lease—other than as

part of a plan—is governed by Rule 9014.

(b) PROCEEDING TO REQUIRE

TRUSTEE TO ACT. A proceeding by a 

party to an executory contract or

unexpired lease in a chapter 9

municipality case, chapter 11

reorganization case, chapter 12 family

farmer’s debt adjustment case, or

chapter 13 individual’s debt adjustment

case, to require the trustee, debtor in

possession, or debtor to determine

whether to assume or reject the contract

or lease is governed by Rule 9014.

(b) Requiring a Trustee, Debtor in

Possession, or Debtor to Assume or

Reject a Contract or Lease. In a 

Chapter 9, 11, 12, or 13 case, Rule 9014

governs a proceeding by a party to an

executory contract or unexpired lease to

require the trustee, debtor in possession, or 

debtor to determine whether to assume or 

reject the contract or lease.

(c) NOTICE. Notice of a motion made

pursuant to subdivision (a) or (b) of this

rule shall be given to the other party to

the contract or lease, to other parties in

interest as the court may direct, and,

except in a chapter 9 municipality case,

to the United States trustee.

(c) Notice of a Motion. Notice of a motion

under (a) or (b) must be given to:

• the other party to the contract or lease;

• other parties in interest as the court

orders; and

• except in a Chapter 9 case, the United

States trustee.

(d) STAY OF ORDER

AUTHORIZING ASSIGNMENT. An

order authorizing the trustee to assign 

an executory contract or unexpired lease

under § 365(f) is stayed until the

expiration of 14 days after the entry of

the order, unless the court orders 

otherwise.

(d) Staying an Order Authorizing an

Assignment. Unless the court orders 

otherwise, an order authorizing the trustee 

to assign an executory contract or

unexpired lease under § 365(f) is stayed for

14 days after the order is entered.

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6000 Series 11

ORIGINAL REVISION

(e) LIMITATIONS. The trustee shall

not seek authority to assume or assign 

multiple executory contracts or

unexpired leases in one motion unless: 

(1) all executory contracts or unexpired

leases to be assumed or assigned are 

between the same parties or are to be

assigned to the same assignee; (2) the

trustee seeks to assume, but not assign 

to more than one assignee, unexpired 

leases of real property; or (3) the court

otherwise authorizes the motion to be 

filed. Subject to subdivision (f), the 

trustee may join requests for authority to

reject multiple executory contracts or

unexpired leases in one motion.

(e) Combining in One Motion a Request

Involving Multiple Contracts or Leases.

(1) Limitations. The trustee must not 

seek authority to assume or assign 

multiple executory contracts or

unexpired leases in one omnibus 

motion unless: 

(A) they are all between the same

parties or are to be assigned to the

same assignee; 

(B) the trustee seeks to assume, but

not assign to more than one 

assignee, unexpired leases of real

property; or 

(C) the court allows the motion to be

filed.

(2) Exception for Authority to Reject. 

Subject to (f), a trustee may join

requests for authority to reject multiple

executory contracts or unexpired leases

in one omnibus motion. 

(f) OMNIBUS MOTIONS. A motion to

reject or, if permitted under subdivision

(e), a motion to assume or assign

multiple executory contracts or

unexpired leases that are not between

the same parties shall: 

(1) state in a conspicuous place 

that parties receiving the omnibus

motion should locate their names and 

their contracts or leases listed in the

motion; 

(2) list parties alphabetically and

identify the corresponding contract or 

lease;

(3) specify the terms, including

the curing of defaults, for each

requested assumption or assignment; 

(4) specify the terms, including

the identity of each assignee and the

(f) Content of an Omnibus Motion. A

motion to reject—or, if permitted under 

(e), a motion to assume or assign—multiple

executory contracts or unexpired leases that

are not between the same parties must: 

(1) state in a conspicuous place that the

parties’ names and their contracts or

leases are listed in the motion; 

(2) list the parties alphabetically and

identify the corresponding contract or 

lease;

(3) specify the terms, including how a

default will be cured, for each

requested assumption or assignment; 

(4) specify the terms, including the

assignee’s identity and the adequate

assurance of future performance by

each assignee, for each requested

assignment;

Preliminary Draft | August 2021 Page 247 of 327
6000 Series 12

ORIGINAL REVISION

adequate assurance of future

performance by each assignee, for each

requested assignment;

(5) be numbered consecutively 

with other omnibus motions to assume, 

assign, or reject executory contracts or

unexpired leases; and

(6) be limited to no more than

100 executory contracts or unexpired

leases.

(5) be numbered consecutively with other

omnibus motions to reject, assume, or 

assign executory contracts or

unexpired leases; and

(6) be limited to no more than

100 executory contracts or unexpired

leases.

(g) FINALITY OF

DETERMINATION. The finality of

any order respecting an executory

contract or unexpired lease included in

an omnibus motion shall be determined

as though such contract or lease had 

been the subject of a separate motion.

(g) Determining the Finality of an Order

Regarding an Omnibus Motion. The 

finality of an order regarding any executory

contract or unexpired lease included in an

omnibus motion must be determined as 

though the contract or lease were the

subject of a separate motion. 

Committee Note

The language of Rule 6006 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Preliminary Draft | August 2021 Page 248 of 327
6000 Series 13

ORIGINAL REVISION

Rule 6007. Abandonment or

Disposition of Property

Rule 6007. Abandoning or Disposing

of Property; Objections

(a) NOTICE OF PROPOSED

ABANDONMENT OR

DISPOSITION; OBJECTIONS;

HEARING. Unless otherwise directed

by the court, the trustee or debtor in

possession shall give notice of a 

proposed abandonment or disposition 

of property to the United States trustee,

all creditors, indenture trustees, and

committees elected pursuant to § 705 or

appointed pursuant to § 1102 of the 

Code. A party in interest may file and

serve an objection within 14 days of the 

mailing of the notice, or within the time

fixed by the court. If a timely objection

is made, the court shall set a hearing on

notice to the United States trustee and

to other entities as the court may direct.

(a) Notice by the Trustee or Debtor in

Possession.

(1) Notice. Unless the court orders 

otherwise, the trustee or debtor in

possession must give notice of a 

proposed abandonment or disposition 

of property to: 

• the United States trustee;

• creditors;

• indenture trustees; and

• any committees elected under 

§ 705 or appointed under § 1102.

(2) Objection. A party in interest may file

and serve an objection within 14 days

after the notice is mailed or within the

time set by the court. If a timely

objection is filed, the court must set a

hearing on notice to the United States

trustee and other entities as the court

orders. 

(b) MOTION BY PARTY IN

INTEREST. A party in interest may file

and serve a motion requiring the trustee

or debtor in possession to abandon 

property of the estate. Unless otherwise

directed by the court, the party filing the

motion shall serve the motion and any 

notice of the motion on the trustee or 

debtor in possession, the United States 

trustee, all creditors, indenture trustees,

and committees elected pursuant to §

705 or appointed pursuant to § 1102 of 

the Code. A party in interest may file

and serve an objection within 14 days of 

service, or within the time fixed by the

court. If a timely objection is made, the

court shall set a hearing on notice to the 

United States trustee and to other

(b) Motion by a Party in Interest.

(1) Service. A party in interest may file

and serve a motion to require the 

trustee or debtor in possession to 

abandon property of the estate. Unless

the court orders otherwise, the motion

(and any notice of the motion) must be

served on: 

• the trustee or debtor in possession; 

• the United States trustee;

• creditors;

• indenture trustees; and

• any committees elected under 

§ 705 or appointed under § 1102.

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6000 Series 14

ORIGINAL REVISION

entities as the court may direct. If the

court grants the motion, the order 

effects the trustee’s or debtor in

possession’s abandonment without 

further notice, unless otherwise directed

by the court.

(2) Objection. A party in interest may file

and serve an objection within 14 days 

after service or within the time set by

the court. If a timely objection is filed,

the court must set a hearing on notice

to the United States trustee and other

entities as the court orders. 

(3) Order. If the court grants the motion

to abandon property, the order effects

the trustee’s or debtor in possession’s 

abandonment without further notice— 

unless the court orders otherwise.

[(c) HEARING]

Committee Note

The language of Rule 6007 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Preliminary Draft | August 2021 Page 250 of 327
6000 Series 15

ORIGINAL REVISION

Rule 6008. Redemption of Property

from Lien or Sale 

Rule 6008. Redeeming Property from

a Lien or a Sale to Enforce a Lien

On motion by the debtor, trustee, or

debtor in possession and after hearing 

on notice as the court may direct, the

court may authorize the redemption of

property from a lien or from a sale to

enforce a lien in accordance with

applicable law.

On motion by the debtor, trustee, or debtor in

possession and after a hearing on notice as the 

court may order, the court may authorize

property to be redeemed from a lien or from a

sale to enforce a lien under applicable law.

Committee Note

The language of Rule 6008 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Preliminary Draft | August 2021 Page 251 of 327
6000 Series 16

ORIGINAL REVISION

Rule 6009. Prosecution and Defense

of Proceedings by Trustee or Debtor

in Possession

Rule 6009. Prosecuting and

Defending the Debtor’s Interests

With or without court approval, the

trustee or debtor in possession may 

prosecute or may enter an appearance

and defend any pending action or 

proceeding by or against the debtor, or 

commence and prosecute any action or

proceeding in behalf of the estate before 

any tribunal. 

With or without court approval, the trustee or

debtor in possession may:

(a) appear in any action or proceeding by 

or against the debtor and act on the

debtor’s behalf; or

(b) commence and prosecute in any 

tribunal an action or proceeding on the 

estate’s behalf.

Committee Note

The language of Rule 6009 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Preliminary Draft | August 2021 Page 252 of 327
6000 Series 17

ORIGINAL REVISION

Rule 6010. Proceeding to Avoid

Indemnifying Lien or Transfer to

Surety

Rule 6010. Avoiding an Indemnifying

Lien or a Transfer to a Surety

If a lien voidable under § 547 of the

Code has been dissolved by the 

furnishing of a bond or other obligation 

and the surety thereon has been 

indemnified by the transfer of, or the 

creation of a lien upon, nonexempt 

property of the debtor, the surety shall

be joined as a defendant in any 

proceeding to avoid the indemnifying 

transfer or lien. Such proceeding is 

governed by the rules in Part VII.

This rule applies if a lien voidable under § 547

has been dissolved by furnishing a bond or 

other obligation and the surety has been 

indemnified by the transfer or creation of a lien

on the debtor’s nonexempt property. The surety

must be joined as a defendant in any proceeding

to avoid that transfer or lien. The proceeding is 

governed by the rules in Part VII.

Committee Note

The language of Rule 6010 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Preliminary Draft | August 2021 Page 253 of 327
6000 Series 18

ORIGINAL REVISION

Rule 6011. Disposal of Patient

Records in Health Care Business

Case

Rule 6011. Claiming Patient Records

Scheduled for Destruction in a

Health-Care-Business Case

(a) NOTICE BY PUBLICATION

UNDER § 351(1)(A). A notice regarding

the claiming or disposing of patient

records under § 351(1)(A) shall not 

identify any patient by name or other

identifying information, but shall: 

(1) identify with particularity the

health care facility whose patient records

the trustee proposes to destroy;

(2) state the name, address, 

telephone number, email address, and

website, if any, of a person from whom 

information about the patient records

may be obtained; 

(3) state how to claim the patient 

records; and

(4) state the date by which

patient records must be claimed, and

that if they are not so claimed the

records will be destroyed.

(a) Notice by Publication About the

Records. A notice by publication about 

destroying or claiming patient records

under § 351(1)(A) must not identify any

patient by name or contain other

identifying information. The notice must:

(1) identify with particularity the healthcare facility whose patient records the

trustee proposes to destroy;

(2) state the name, address, telephone

number, e-mail address, and website (if

any) of the person from whom 

information about the records may be 

obtained; 

(3) state how to claim the records and the

final date for doing so; and 

(4) state that if they are not claimed by

that date, they will be destroyed.

(b) NOTICE BY MAIL UNDER §

351(1)(B). Subject to applicable

nonbankruptcy law relating to patient

privacy, a notice regarding the claiming

or disposing of patient records under § 

351(1)(B) shall, in addition to including 

the information in subdivision (a), direct 

that a patient’s family member or other

representative who receives the notice

inform the patient of the notice. Any

notice under this subdivision shall be 

mailed to the patient and any family

member or other contact person whose

name and address have been given to

the trustee or the debtor for the purpose 

of providing information regarding the 

patient’s health care, to the Attorney

General of the State where the health

care facility is located, and to any

(b) Notice by Mail About the Records.

(1) Required Information. Subject to

applicable nonbankruptcy law relating

to patient privacy, a notice by mail

about destroying or claiming patient

records under § 351(1)(B) must:

(A) include the information described

in (a); and

(B) direct a family member or other

representative who receives the

notice to tell the patient about it.

(2) Mailing. The notice must be mailed

to:

• the patient;

Preliminary Draft | August 2021 Page 254 of 327
6000 Series 19

ORIGINAL REVISION

insurance company known to have 

provided health care insurance to the

patient.

• any family member or other

contact person whose name 

and address have been given

to the trustee or debtor for 

providing information about 

the patient’s health care;

• the Attorney General of the

State where the health-care

facility is located; and

• any insurance company 

known to have provided 

health-care insurance to the

patient.

(c) PROOF OF COMPLIANCE WITH

NOTICE REQUIREMENT. Unless 

the court orders the trustee to file proof

of compliance with § 351(1)(B) under

seal, the trustee shall not file, but shall

maintain, the proof of compliance for a

reasonable time.

(c) Proof of Compliance with Notice

Requirements. Unless the court orders the

trustee to file a proof of compliance with

§ 351(1)(B) under seal, the trustee must

keep proof of compliance for a reasonable 

time, but not file it.

(d) REPORT OF DESTRUCTION OF

RECORDS. The trustee shall file, no

later than 30 days after the destruction

of patient records under § 351(3), a 

report certifying that the unclaimed

records have been destroyed and

explaining the method used to effect the

destruction. The report shall not identify

any patient by name or other identifying

information. 

(d) Report on the Destruction of

Unclaimed Records. Within 30 days after

a patient’s unclaimed records have been

destroyed under § 351(3), the trustee must

file a report that certifies the destruction

and explains the method used. The report 

must not identify any patient by name or by 

other identifying information. 

Committee Note

The language of Rule 6011 has been amended as part of the general restyling of the Bankruptcy 

Rules to make them more easily understood and to make style and terminology consistent 

throughout the rules. These changes are intended to be stylistic only. 

Preliminary Draft | August 2021 Page 255 of 327
Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 1 

Official Form 101

Voluntary Petition for Individuals Filing for Bankruptcy 12/22

The bankruptcy forms use you and Debtor 1 to refer to a debtor filing alone. A married couple may file a bankruptcy case together—called a 

joint case—and in joint cases, these forms use you to ask for information from both debtors. For example, if a form asks, “Do you own a car,” 

the answer would be yes if either debtor owns a car. When information is needed about the spouses separately, the form uses Debtor 1 and 

Debtor 2 to distinguish between them. In joint cases, one of the spouses must report information as Debtor 1 and the other as Debtor 2. The 

same person must be Debtor 1 in all of the forms. 

Be as complete and accurate as possible. If two married people are filing together, both are equally responsible for supplying correct 

information. If more space is needed, attach a separate sheet to this form. On the top of any additional pages, write your name and case number 

(if known). Answer every question.

Part 1: Identify Yourself

About Debtor 1: About Debtor 2 (Spouse Only in a Joint Case): 

1. Your full name

Write the name that is on your 

government-issued picture 

identification (for example, 

your driver’s license or 

passport). 

Bring your picture 

identification to your meeting 

with the trustee. 

__________________________________________________

First name

__________________________________________________

Middle name

__________________________________________________

Last name

___________________________

Suffix (Sr., Jr., II, III)

__________________________________________________

First name

__________________________________________________

Middle name

__________________________________________________

Last name

___________________________

Suffix (Sr., Jr., II, III)

2. All other names you 

have used in the last 8 

years

Include your married or 

maiden names and any 

assumed, trade names and 

doing business as names. 

Do NOT list the name of any 

separate legal entity such as 

a corporation, partnership, or 

LLC that is not filing this 

petition. 

__________________________________________________

First name

__________________________________________________

Middle name

__________________________________________________

Last name

__________________________________________________

First name

__________________________________________________

Middle name

__________________________________________________

Last name

__________________________________________________

Business name (if applicable)

__________________________________________________

Business name (if applicable)

__________________________________________________

First name

__________________________________________________

Middle name

__________________________________________________

Last name

__________________________________________________

First name

__________________________________________________

Middle name

__________________________________________________

Last name

__________________________________________________

Business name (if applicable)

__________________________________________________

Business name (if applicable)

3. Only the last 4 digits of 

your Social Security 

number or federal 

Individual Taxpayer 

Identification number

(ITIN)

xxx – xx – ____ ____ ____ ____ 

OR 

9 xx – xx – ____ ____ ____ ____

xxx – xx – ____ ____ ____ ____ 

OR 

9 xx – xx – ____ ____ ____ ____

United States Bankruptcy Court for the:

____________________ District of _________________ 

(State) 

Case number (If known): _________________________ Chapter you are filing under:

 Chapter 7 

 Chapter 11

 Chapter 12

 Chapter 13

 Fill in this information to identify your case:

 Check if this is an 

amended filing

Preliminary Draft | August 2021 Page 256 of 327
Debtor 1 _______________________________________________________ Case number (if known)_____________________________________ First Name Middle Name Last Name

 Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 2 

About Debtor 1: About Debtor 2 (Spouse Only in a Joint Case): 

4. Your Employer 

Identification Number 

(EIN), if any.

___ ___ – ___ ___ ___ ___ ___ ___ ___

EIN

___ ___ – ___ ___ ___ ___ ___ ___ ___

EIN

___ ___ – ___ ___ ___ ___ ___ ___ ___

EIN

___ ___ – ___ ___ ___ ___ ___ ___ ___

EIN

5. Where you live

_________________________________________________

Number Street 

_________________________________________________

_________________________________________________ 

City State ZIP Code 

_________________________________________________

County

If your mailing address is different from the one 

above, fill it in here. Note that the court will send 

any notices to you at this mailing address.

_________________________________________________

Number Street 

_________________________________________________

P.O. Box

_________________________________________________ 

City State ZIP Code 

If Debtor 2 lives at a different address:

_________________________________________________

Number Street 

_________________________________________________

_________________________________________________

City State ZIP Code 

_________________________________________________

County

If Debtor 2’s mailing address is different from 

yours, fill it in here. Note that the court will send 

any notices to this mailing address.

_________________________________________________

Number Street 

_________________________________________________

P.O. Box

_________________________________________________ 

City State ZIP Code

6. Why you are choosing 

this district to file for 

bankruptcy 

Check one: 

 Over the last 180 days before filing this petition, 

I have lived in this district longer than in any 

other district. 

 I have another reason. Explain. 

(See 28 U.S.C. § 1408.) 

________________________________________ 

________________________________________ 

________________________________________ 

________________________________________ 

Check one: 

 Over the last 180 days before filing this petition, 

I have lived in this district longer than in any 

other district. 

 I have another reason. Explain. 

(See 28 U.S.C. § 1408.) 

________________________________________ 

________________________________________ 

________________________________________ 

________________________________________

Preliminary Draft | August 2021 Page 257 of 327
Debtor 1 _______________________________________________________ Case number (if known)_____________________________________ First Name Middle Name Last Name

 Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 3 

Part 2: Tell the Court About Your Bankruptcy Case

7. The chapter of the 

Bankruptcy Code you 

are choosing to file 

under

Check one. (For a brief description of each, see Notice Required by 11 U.S.C. § 342(b) for Individuals Filing 

for Bankruptcy (Form 2010)). Also, go to the top of page 1 and check the appropriate box. 

 Chapter 7 

 Chapter 11

 Chapter 12

 Chapter 13

8. How you will pay the fee  I will pay the entire fee when I file my petition. Please check with the clerk’s office in your 

local court for more details about how you may pay. Typically, if you are paying the fee 

yourself, you may pay with cash, cashier’s check, or money order. If your attorney is 

submitting your payment on your behalf, your attorney may pay with a credit card or check 

with a pre-printed address. 

 I need to pay the fee in installments. If you choose this option, sign and attach the

Application for Individuals to Pay The Filing Fee in Installments (Official Form 103A).

 I request that my fee be waived (You may request this option only if you are filing for Chapter 7. 

By law, a judge may, but is not required to, waive your fee, and may do so only if your income is 

less than 150% of the official poverty line that applies to your family size and you are unable to 

pay the fee in installments). If you choose this option, you must fill out the Application to Have the

Chapter 7 Filing Fee Waived (Official Form 103B) and file it with your petition. 

9. Have you filed for 

bankruptcy within the 

last 8 years?

 No 

 Yes. District __________________________ When _______________ Case number ___________________________

 MM / DD / YYYY

District __________________________ When _______________ Case number ___________________________

 MM / DD / YYYY

District __________________________ When _______________ Case number ___________________________

 MM / DD / YYYY

10. Are any bankruptcy 

cases pending or being 

filed by a spouse who is 

not filing this case with 

you, or by a business 

partner, or by an 

affiliate?

 No

 Yes. Debtor _________________________________________________ Relationship to you _____________________

District __________________________ When _______________ Case number, if known____________________

 MM / DD / YYYY

Debtor _________________________________________________ Relationship to you _____________________ 

District __________________________ When _______________ Case number, if known____________________

 MM / DD / YYYY

11. Do you rent your 

residence?

 No. Go to line 12.

 Yes. Has your landlord obtained an eviction judgment against you?

 No. Go to line 12.

 Yes. Fill out Initial Statement About an Eviction Judgment Against You (Form 101A) and file it as 

part of this bankruptcy petition.

Preliminary Draft | August 2021 Page 258 of 327
Debtor 1 _______________________________________________________ Case number (if known)_____________________________________ First Name Middle Name Last Name

 Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 4 

Part 3: Report About Any Businesses You Own as a Sole Proprietor

12. Are you a sole proprietor

of any full- or part-time 

business?

A sole proprietorship is a 

business you operate as an 

individual, and is not a 

separate legal entity such as 

a corporation, partnership, or 

LLC. 

If you have more than one 

sole proprietorship, use a 

separate sheet and attach it 

to this petition.

 No. Go to Part 4.

 Yes. Name and location of business

 _______________________________________________________________________________________

Name of business, if any

 _______________________________________________________________________________________

Number Street 

_______________________________________________________________________________________

_______________________________________________ _______ __________________________

 City State ZIP Code

 Check the appropriate box to describe your business: 

 Health Care Business (as defined in 11 U.S.C. § 101(27A)) 

 Single Asset Real Estate (as defined in 11 U.S.C. § 101(51B)) 

 Stockbroker (as defined in 11 U.S.C. § 101(53A)) 

 Commodity Broker (as defined in 11 U.S.C. § 101(6)) 

 None of the above

13. Are you filing under 

Chapter 11 of the 

Bankruptcy Code and 

are you a small business 

debtor? 

For a definition of small 

business debtor, see 

11 U.S.C. § 101(51D).

If you are filing under Chapter 11, the court must know whether you are a small business debtor so that it 

can set appropriate deadlines. If you indicate that you are a small business debtor, you must attach your 

most recent balance sheet, statement of operations, cash-flow statement, and federal income tax return or 

if any of these documents do not exist, follow the procedure in 11 U.S.C. § 1116(1)(B).

 No. I am not filing under Chapter 11. 

 No. I am filing under Chapter 11, but I am NOT a small business debtor according to the definition in 

the Bankruptcy Code. 

 Yes. I am filing under Chapter 11, I am a small business debtor according to the definition in the 

Bankruptcy Code, and I do not choose to proceed under Subchapter V of Chapter 11. 

 Yes. I am filing under Chapter 11, I am a small business debtor according to the definition in the 

Bankruptcy Code, and I choose to proceed under Subchapter V of Chapter 11.

Part 4: Report if You Own or Have Any Hazardous Property or Any Property That Needs Immediate Attention

14. Do you own or have any 

property that poses or is 

alleged to pose a threat 

of imminent and 

identifiable hazard to 

public health or safety?

Or do you own any 

property that needs

immediate attention? 

For example, do you own 

perishable goods, or livestock 

that must be fed, or a building 

that needs urgent repairs?

 No 

 Yes. What is the hazard? ________________________________________________________________________

 

________________________________________________________________________

If immediate attention is needed, why is it needed? _______________________________________________

 ________________________________________________________________________

 Where is the property? ________________________________________________________________________

Number Street 

________________________________________________________________________

________________________________________ _______ ____________________

City State ZIP Code

Preliminary Draft | August 2021 Page 259 of 327
Debtor 1 _______________________________________________________ Case number (if known)_____________________________________ First Name Middle Name Last Name

 Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 5 

Part 5: Explain Your Efforts to Receive a Briefing About Credit Counseling

15. Tell the court whether 

you have received a 

briefing about credit 

counseling.

The law requires that you 

receive a briefing about credit 

counseling before you file for 

bankruptcy. You must 

truthfully check one of the 

following choices. If you 

cannot do so, you are not 

eligible to file. 

If you file anyway, the court 

can dismiss your case, you 

will lose whatever filing fee 

you paid, and your creditors 

can begin collection activities 

again. 

About Debtor 1: About Debtor 2 (Spouse Only in a Joint Case): 

You must check one: 

 I received a briefing from an approved credit 

counseling agency within the 180 days before I 

filed this bankruptcy petition, and I received a 

certificate of completion. 

Attach a copy of the certificate and the payment 

plan, if any, that you developed with the agency. 

 I received a briefing from an approved credit 

counseling agency within the 180 days before I 

filed this bankruptcy petition, but I do not have a 

certificate of completion. 

Within 14 days after you file this bankruptcy petition, 

you MUST file a copy of the certificate and payment 

plan, if any.

 I certify that I asked for credit counseling 

services from an approved agency, but was 

unable to obtain those services during the 7 

days after I made my request, and exigent 

circumstances merit a 30-day temporary waiver 

of the requirement. 

To ask for a 30-day temporary waiver of the 

requirement, attach a separate sheet explaining 

what efforts you made to obtain the briefing, why 

you were unable to obtain it before you filed for 

bankruptcy, and what exigent circumstances 

required you to file this case.

Your case may be dismissed if the court is 

dissatisfied with your reasons for not receiving a 

briefing before you filed for bankruptcy. 

If the court is satisfied with your reasons, you must 

still receive a briefing within 30 days after you file. 

You must file a certificate from the approved 

agency, along with a copy of the payment plan you 

developed, if any. If you do not do so, your case 

may be dismissed. 

Any extension of the 30-day deadline is granted 

only for cause and is limited to a maximum of 15 

days. 

 I am not required to receive a briefing about 

credit counseling because of:

 Incapacity. I have a mental illness or a mental 

deficiency that makes me

incapable of realizing or making 

rational decisions about finances. 

 Disability. My physical disability causes me

to be unable to participate in a 

briefing in person, by phone, or 

through the internet, even after I 

reasonably tried to do so. 

 Active duty. I am currently on active military 

duty in a military combat zone. 

If you believe you are not required to receive a 

briefing about credit counseling, you must file a 

motion for waiver of credit counseling with the court. 

You must check one: 

 I received a briefing from an approved credit 

counseling agency within the 180 days before I 

filed this bankruptcy petition, and I received a 

certificate of completion. 

Attach a copy of the certificate and the payment 

plan, if any, that you developed with the agency. 

 I received a briefing from an approved credit 

counseling agency within the 180 days before I 

filed this bankruptcy petition, but I do not have a 

certificate of completion. 

Within 14 days after you file this bankruptcy petition, 

you MUST file a copy of the certificate and payment 

plan, if any.

 I certify that I asked for credit counseling 

services from an approved agency, but was 

unable to obtain those services during the 7 

days after I made my request, and exigent 

circumstances merit a 30-day temporary waiver 

of the requirement. 

To ask for a 30-day temporary waiver of the 

requirement, attach a separate sheet explaining 

what efforts you made to obtain the briefing, why 

you were unable to obtain it before you filed for 

bankruptcy, and what exigent circumstances 

required you to file this case. 

Your case may be dismissed if the court is 

dissatisfied with your reasons for not receiving a 

briefing before you filed for bankruptcy. 

If the court is satisfied with your reasons, you must 

still receive a briefing within 30 days after you file. 

You must file a certificate from the approved 

agency, along with a copy of the payment plan you 

developed, if any. If you do not do so, your case 

may be dismissed. 

Any extension of the 30-day deadline is granted 

only for cause and is limited to a maximum of 15 

days. 

 I am not required to receive a briefing about

credit counseling because of:

 Incapacity. I have a mental illness or a mental 

deficiency that makes me

incapable of realizing or making 

rational decisions about finances. 

 Disability. My physical disability causes me

to be unable to participate in a 

briefing in person, by phone, or 

through the internet, even after I 

reasonably tried to do so. 

 Active duty. I am currently on active military 

duty in a military combat zone. 

If you believe you are not required to receive a 

briefing about credit counseling, you must file a 

motion for waiver of credit counseling with the court.

Preliminary Draft | August 2021 Page 260 of 327
Debtor 1 _______________________________________________________ Case number (if known)_____________________________________ First Name Middle Name Last Name

 Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 6 

Part 6: Answer These Questions for Reporting Purposes

16. What kind of debts do 

you have?

16a. Are your debts primarily consumer debts? Consumer debts are defined in 11 U.S.C. § 101(8) 

as “incurred by an individual primarily for a personal, family, or household purpose.”

 No. Go to line 16b. 

 Yes. Go to line 17. 

16b. Are your debts primarily business debts? Business debts are debts that you incurred to obtain 

money for a business or investment or through the operation of the business or investment. 

 No. Go to line 16c. 

 Yes. Go to line 17. 

16c. State the type of debts you owe that are not consumer debts or business debts. 

 _______________________________________________________________ 

17. Are you filing under 

Chapter 7? 

Do you estimate that 

after any exempt 

property is excluded and 

administrative expenses 

are paid that funds will 

be available for 

distribution to 

unsecured creditors?

 No. I am not filing under Chapter 7. Go to line 18. 

 Yes. I am filing under Chapter 7. Do you estimate that after any exempt property is excluded and 

administrative expenses are paid that funds will be available to distribute to unsecured creditors? 

 No 

 Yes 

18. How many creditors do 

you estimate that you 

owe?

 1-49 

 50-99 

 100-199 

 200-999

 1,000-5,000 

 5,001-10,000 

 10,001-25,000 

 25,001-50,000 

 50,001-100,000 

 More than 100,000

19. How much do you 

estimate your assets to 

be worth?

 $0-$50,000 

 $50,001-$100,000 

 $100,001-$500,000 

 $500,001-$1 million 

 $1,000,001-$10 million

 $10,000,001-$50 million 

 $50,000,001-$100 million 

 $100,000,001-$500 million 

 $500,000,001-$1 billion

 $1,000,000,001-$10 billion

 $10,000,000,001-$50 billion

 More than $50 billion

20. How much do you 

estimate your liabilities 

to be?

 $0-$50,000 

 $50,001-$100,000 

 $100,001-$500,000 

 $500,001-$1 million 

 $1,000,001-$10 million

 $10,000,001-$50 million

 $50,000,001-$100 million 

 $100,000,001-$500 million 

 $500,000,001-$1 billion 

 $1,000,000,001-$10 billion

 $10,000,000,001-$50 billion

 More than $50 billion

Preliminary Draft | August 2021 Page 261 of 327
Debtor 1 _______________________________________________________ Case number (if known)_____________________________________ First Name Middle Name Last Name

 Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 7 

Part 7: Sign Below

For you I have examined this petition, and I declare under penalty of perjury that the information provided is true and 

correct. 

If I have chosen to file under Chapter 7, I am aware that I may proceed, if eligible, under Chapter 7, 11,12, or 13 

of title 11, United States Code. I understand the relief available under each chapter, and I choose to proceed 

under Chapter 7. 

If no attorney represents me and I did not pay or agree to pay someone who is not an attorney to help me fill out 

this document, I have obtained and read the notice required by 11 U.S.C. § 342(b). 

I request relief in accordance with the chapter of title 11, United States Code, specified in this petition. 

I understand making a false statement, concealing property, or obtaining money or property by fraud in connection 

with a bankruptcy case can result in fines up to $250,000, or imprisonment for up to 20 years, or both. 

18 U.S.C. §§ 152, 1341, 1519, and 3571. 

______________________________________________ _____________________________

Signature of Debtor 1 Signature of Debtor 2

 Executed on _________________ Executed on __________________

MM / DD / YYYY MM / DD / YYYY

For your attorney, if you are 

represented by one

If you are not represented 

by an attorney, you do not 

need to file this page.

I, the attorney for the debtor(s) named in this petition, declare that I have informed the debtor(s) about eligibility 

to proceed under Chapter 7, 11, 12, or 13 of title 11, United States Code, and have explained the relief 

available under each chapter for which the person is eligible. I also certify that I have delivered to the debtor(s) 

the notice required by 11 U.S.C. § 342(b) and, in a case in which § 707(b)(4)(D) applies, certify that I have no 

knowledge after an inquiry that the information in the schedules filed with the petition is incorrect. 

_________________________________ Date _________________ Signature of Attorney for Debtor MM / DD / YYYY

_________________________________________________________________________________________________

Printed name

_________________________________________________________________________________________________

Firm name

_________________________________________________________________________________________________

Number Street 

_________________________________________________________________________________________________

______________________________________________________ ____________ ______________________________

City State ZIP Code 

Contact phone _____________________________________ Email address ______________________________

______________________________________________________ ____________

Bar number State

 

Preliminary Draft | August 2021 Page 262 of 327
Debtor 1 _______________________________________________________ Case number (if known)_____________________________________ First Name Middle Name Last Name

 Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 8 

For you if you are filing this 

bankruptcy without an 

attorney

If you are represented by 

an attorney, you do not 

need to file this page.

The law allows you, as an individual, to represent yourself in bankruptcy court, but you 

should understand that many people find it extremely difficult to represent 

themselves successfully. Because bankruptcy has long-term financial and legal 

consequences, you are strongly urged to hire a qualified attorney.

To be successful, you must correctly file and handle your bankruptcy case. The rules are very 

technical, and a mistake or inaction may affect your rights. For example, your case may be 

dismissed because you did not file a required document, pay a fee on time, attend a meeting or 

hearing, or cooperate with the court, case trustee, U.S. trustee, bankruptcy administrator, or audit 

firm if your case is selected for audit. If that happens, you could lose your right to file another 

case, or you may lose protections, including the benefit of the automatic stay. 

You must list all your property and debts in the schedules that you are required to file with the 

court. Even if you plan to pay a particular debt outside of your bankruptcy, you must list that debt 

in your schedules. If you do not list a debt, the debt may not be discharged. If you do not list 

property or properly claim it as exempt, you may not be able to keep the property. The judge can 

also deny you a discharge of all your debts if you do something dishonest in your bankruptcy 

case, such as destroying or hiding property, falsifying records, or lying. Individual bankruptcy 

cases are randomly audited to determine if debtors have been accurate, truthful, and complete. 

Bankruptcy fraud is a serious crime; you could be fined and imprisoned. 

If you decide to file without an attorney, the court expects you to follow the rules as if you had 

hired an attorney. The court will not treat you differently because you are filing for yourself. To be 

successful, you must be familiar with the United States Bankruptcy Code, the Federal Rules of 

Bankruptcy Procedure, and the local rules of the court in which your case is filed. You must also 

be familiar with any state exemption laws that apply.

Are you aware that filing for bankruptcy is a serious action with long-term financial and legal 

consequences? 

 No 

 Yes 

Are you aware that bankruptcy fraud is a serious crime and that if your bankruptcy forms are

inaccurate or incomplete, you could be fined or imprisoned? 

 No 

 Yes 

Did you pay or agree to pay someone who is not an attorney to help you fill out your bankruptcy forms? 

 No 

 Yes. Name of Person_____________________________________________________________________. 

Attach Bankruptcy Petition Preparer’s Notice, Declaration, and Signature (Official Form 119).

By signing here, I acknowledge that I understand the risks involved in filing without an attorney. I 

have read and understood this notice, and I am aware that filing a bankruptcy case without an 

attorney may cause me to lose my rights or property if I do not properly handle the case.

_______________________________________________ ______________________________ Signature of Debtor 1 Signature of Debtor 2 

Date _________________ Date _________________

MM / DD / YYYY MM / DD / YYYY

Contact phone ______________________________________ Contact phone ________________________________

Cell phone ______________________________________ Cell phone ________________________________

Email address ______________________________________ Email address ________________________________

Preliminary Draft | August 2021 Page 263 of 327
Official Form 101 (Committee Note) (12/22)

Committee Note 

Official Form 101 is amended to eliminate language 

in former Part 1, Question 4, which asked for “any business 

names . . . you have used in the last 8 years.” Instead, Part 

1, Question 2, is modified to add to the direction with respect 

to “other names you have used in the last 8 years”―which 

currently directs the debtor to “Include your married and 

maiden names”―to ask the debtor to include “any assumed, 

trade names, or doing business as names,” and to direct that 

the debtor should not include the names of separate legal 

entities that are not filing the petition. Many individual 

debtors erroneously believed that Question 4 was asking for 

the names of corporations or limited liability corporations in 

which they held any interest in the past 8 years, and any 

names listed in response were then treated as additional 

debtors for purposes of noticing and reporting. By asking 

for the information in Question 2, the form now makes it 

clearer that the only names to be listed are names that were 

used by the debtor personally in conducting business, not 

names used by other legal entities. This amendment also 

conforms Official Form 101 to Official Forms 105, 201, and 

205 with respect to the same information. 

Preliminary Draft | August 2021 Page 264 of 327
Official Form 309E1 (For Individuals or Joint Debtors) Notice of Chapter 11 Bankruptcy Case page 1

Debtor 1 __________________________________________________________________ Last 4 digits of Social Security number or ITIN ___ ___ ___ ___ First Name Middle Name Last Name

EIN ___ ___ – ___ ___ ___ ___ ___ ___ ___

Debtor 2 ________________________________________________________________ Last 4 digits of Social Security number or ITIN ___ ___ ___ ___

(Spouse, if filing) First Name Middle Name Last Name

EIN ___ ___ – ___ ___ ___ ___ ___ ___ ___

United States Bankruptcy Court for the: ______________________ District of _________ 

(State) [Date case filed for chapter 11 ______________

MM / DD / YYYY] OR

Case number: _______________________________________ [Date case filed in chapter _____ ______________

MM / DD / YYYY 

Date case converted to chapter 11 ______________] 

MM / DD / YYYY

 Information to identify the case:

Official Form 309E1 (For Individuals or Joint Debtors) 

Notice of Chapter 11 Bankruptcy Case 12/22

For the debtors listed above, a case has been filed under chapter 11 of the Bankruptcy Code. An order for relief has 

been entered.

This notice has important information about the case for creditors and debtors, including information about the 

meeting of creditors and deadlines. Read both pages carefully.

The filing of the case imposed an automatic stay against most collection activities. This means that creditors generally may not take action to 

collect debts from the debtors or the debtors’ property. For example, while the stay is in effect, creditors cannot sue, garnish wages, assert a 

deficiency, repossess property, or otherwise try to collect from the debtors. Creditors cannot demand repayment from debtors by mail, phone, 

or otherwise. Creditors who violate the stay can be required to pay actual and punitive damages and attorney’s fees. Under certain 

circumstances, the stay may be limited to 30 days or not exist at all, although debtors can ask the court to extend or impose a stay.

Confirmation of a chapter 11 plan may result in a discharge of debt. Creditors who assert that the debtors are not entitled to a discharge of any 

debts or who want to have a particular debt excepted from discharge may be required to file a complaint in the bankruptcy clerk’s office within 

the deadlines specified in this notice. (See line 10 below for more information.)

To protect your rights, consult an attorney. All documents filed in the case may be inspected at the bankruptcy clerk’s office at the address

listed below or through PACER (Public Access to Court Electronic Records at https://pacer.uscourts.gov). 

The staff of the bankruptcy clerk’s office cannot give legal advice.

To help creditors correctly identify debtors, debtors submit full Social Security or Individual Taxpayer Identification Numbers, which 

may appear on a version of this notice. However, the full numbers must not appear on any document filed with the court. 

Do not file this notice with any proof of claim or other filing in the case. Do not include more than the last four digits of a Social 

Security or Individual Taxpayer Identification Number in any document, including attachments, that you file with the court. 

About Debtor 1: About Debtor 2:

1. Debtor’s full name

2. All other names used in the 

last 8 years

3. Address If Debtor 2 lives at a different address: 

4. Debtor’s attorney 

Name and address

Contact phone ______________________________

Email ______________________________

5. Bankruptcy clerk’s office

Documents in this case may be 

filed at this address. You may 

inspect all records filed in this 

case at this office or online at 

https://pacer.uscourts.gov.

Hours open 

_______________________________

Contact phone 

_______________________________

 For more information, see page 2 ►

Preliminary Draft | August 2021 Page 265 of 327
Official Form 309E1 (For Individuals or Joint Debtors) Notice of Chapter 11 Bankruptcy Case page 2

6. Meeting of creditors

Debtors must attend the meeting 

to be questioned under oath. In 

a joint case, both spouses must 

attend. 

Creditors may attend, but are 

not required to do so. 

_______________ at ___________ 

Date Time

The meeting may be continued or adjourned to a later date. 

If so, the date will be on the court docket. 

Location: 

7. Deadlines

The bankruptcy clerk’s office 

must receive these documents 

and any required filing fee by the 

following deadlines.

Deadline to file a complaint objecting to discharge or to challenge whether certain debts are 

dischargeable (see line 10 for more information): 

 if you assert that the debtor is not entitled to receive a discharge of any debts under 11 U.S.C. § 1141(d)(3) 

the deadline is the first date set for hearing on confirmation of the plan. The court or its designee will send 

you notice of that date later. 

 if you want to have a debt excepted from discharge under 11 U.S.C. § 523(a)(2), (4), or (6) the deadline 

is:_________________ 

Deadline for filing proof of claim: [Not yet set. If a deadline is set, the court will 

send you another notice.] or 

[date, if set by the court)]

A proof of claim is a signed statement describing a creditor’s claim. A proof of claim form may be 

obtained at www.uscourts.gov or any bankruptcy clerk’s office. 

Your claim will be allowed in the amount scheduled unless: 

 your claim is designated as disputed, contingent, or unliquidated; 

 you file a proof of claim in a different amount; or

 you receive another notice. 

If your claim is not scheduled or if your claim is designated as disputed, contingent, or unliquidated, 

you must file a proof of claim or you might not be paid on your claim and you might be unable to vote 

on a plan. You may file a proof of claim even if your claim is scheduled. 

You may review the schedules at the bankruptcy clerk’s office or online at https://pacer.uscourts.gov. 

Secured creditors retain rights in their collateral regardless of whether they file a proof of claim. Filing a proof of 

claim submits a creditor to the jurisdiction of the bankruptcy court, with consequences a lawyer can explain. For 

example, a secured creditor who files a proof of claim may surrender important nonmonetary rights, including 

the right to a jury trial.

Deadline to object to exemptions: 

The law permits debtors to keep certain property as exempt. 

If you believe that the law does not authorize an exemption 

claimed, you may file an objection. 

Filing deadline: 30 days after the

conclusion of the meeting 

of creditors

8. Creditors with a foreign 

address

If you are a creditor receiving mailed notice at a foreign address, you may file a motion asking the court to 

extend the deadlines in this notice. Consult an attorney familiar with United States bankruptcy law if you have 

any questions about your rights in this case. 

9. Filing a Chapter 11 

bankruptcy case

Chapter 11 allows debtors to reorganize or liquidate according to a plan. A plan is not effective unless the court 

confirms it. You may receive a copy of the plan and a disclosure statement telling you about the plan, and you 

may have the opportunity to vote on the plan. You will receive notice of the date of the confirmation hearing, and 

you may object to confirmation of the plan and attend the confirmation hearing. Unless a trustee is serving, the 

debtor will remain in possession of the property and may continue to operate the debtor’s business. 

10. Discharge of debts Confirmation of a chapter 11 plan may result in a discharge of debts, which may include all or part of a debt. See 

11 U.S.C. § 1141(d). However, unless the court orders otherwise, the debts will not be discharged until all 

payments under the plan are made. A discharge means that creditors may never try to collect the debt from the 

debtors personally except as provided in the plan. If you believe that a particular debt owed to you should be 

excepted from the discharge under 11 U.S.C. § 523 (a)(2), (4), or (6), you must file a complaint and pay the filing 

fee in the bankruptcy clerk’s office by the deadline. If you believe that the debtors are not entitled to a discharge 

of any of their debts under 11 U.S.C. § 1141 (d)(3), you must file a complaint and pay the filing fee in the clerk’s 

office by the first date set for the hearing on confirmation of the plan. The court will send you another notice 

telling you of that date.

11. Exempt property The law allows debtors to keep certain property as exempt. Fully exempt property will not be sold and distributed 

to creditors, even if the case is converted to chapter 7. Debtors must file a list of property claimed as exempt. 

You may inspect that list at the bankruptcy clerk’s office or online at https://pacer.uscourts.gov. If you believe 

that the law does not authorize an exemption that the debtors claim, you may file an objection. The bankruptcy 

clerk’s office must receive the objection by the deadline to object to exemptions in line 7. 

Preliminary Draft | August 2021 Page 266 of 327
Official Form 309E2 (For Individuals or Joint Debtors under Subchapter V) Notice of Chapter 11 Bankruptcy Case page 1

Debtor 1 __________________________________________________________________ Last 4 digits of Social Security number or ITIN ___ ___ ___ ___ First Name Middle Name Last Name

EIN ___ ___ – ___ ___ ___ ___ ___ ___ ___

Debtor 2 ________________________________________________________________ Last 4 digits of Social Security number or ITIN ___ ___ ___ ___

(Spouse, if filing) First Name Middle Name Last Name

EIN ___ ___ – ___ ___ ___ ___ ___ ___ ___

United States Bankruptcy Court for the: ______________________ District of _________ 

(State) [Date case filed for chapter 11 ______________

MM / DD / YYYY] OR

Case number: _______________________________________ [Date case filed in chapter _____ ______________

MM / DD / YYYY 

Date case converted to chapter 11 ______________] 

MM / DD / YYYY

 Information to identify the case:

Official Form 309E2 (For Individuals or Joint Debtors under Subchapter V) 

Notice of Chapter 11 Bankruptcy Case 12/22

For the debtors listed above, a case has been filed under chapter 11 of the Bankruptcy Code. An order for relief has 

been entered.

This notice has important information about the case for creditors, debtors, and trustees, including information about 

the meeting of creditors and deadlines. Read all pages carefully.

The filing of the case imposed an automatic stay against most collection activities. This means that creditors generally may not take action to 

collect debts from the debtors or the debtors’ property. For example, while the stay is in effect, creditors cannot sue, garnish wages, assert a 

deficiency, repossess property, or otherwise try to collect from the debtors. Creditors cannot demand repayment from debtors by mail, phone, 

or otherwise. Creditors who violate the stay can be required to pay actual and punitive damages and attorney’s fees. Under certain 

circumstances, the stay may be limited to 30 days or not exist at all, although debtors can ask the court to extend or impose a stay.

Confirmation of a chapter 11 plan may result in a discharge of debt. Creditors who assert that the debtors are not entitled to a discharge of any 

debts or who want to have a particular debt excepted from discharge may be required to file a complaint in the bankruptcy clerk’s office within 

the deadlines specified in this notice. (See line 11 below for more information.)

To protect your rights, consult an attorney. All documents filed in the case may be inspected at the bankruptcy clerk’s office at the address 

listed below or through PACER (Public Access to Court Electronic Records at https://pacer.uscourts.gov). 

The staff of the bankruptcy clerk’s office cannot give legal advice.

To help creditors correctly identify debtors, debtors submit full Social Security or Individual Taxpayer Identification Numbers, which 

may appear on a version of this notice. However, the full numbers must not appear on any document filed with the court. 

Do not file this notice with any proof of claim or other filing in the case. Do not include more than the last four digits of a Social 

Security or Individual Taxpayer Identification Number in any document, including attachments, that you file with the court. 

About Debtor 1: About Debtor 2:

1. Debtor’s full name

2. All other names used in the 

last 8 years

3. Address If Debtor 2 lives at a different address: 

4. Debtor’s attorney

Name and address

Contact phone ______________________________

 Email ______________________________

5. Bankruptcy trustee 

Name and address 

Contact phone ______________________________

 Email ______________________________

For more information, see page 2 ►

Preliminary Draft | August 2021 Page 267 of 327
Official Form 309E2 (For Individuals or Joint Debtors under Subchapter V) Notice of Chapter 11 Bankruptcy Case page 2

6. Bankruptcy clerk’s office

Documents in this case may be 

filed at this address. You may 

inspect all records filed in this 

case at this office or online at 

https://pacer.uscourts.gov.

Hours open 

_______________________________

Contact phone 

_______________________________

7. Meeting of creditors

Debtors must attend the meeting 

to be questioned under oath. In a 

joint case, both spouses must 

attend. 

Creditors may attend, but are not 

required to do so. 

_______________ at ___________ 

Date Time

The meeting may be continued or adjourned to a later date. 

If so, the date will be on the court docket. 

Location: 

8. Deadlines

The bankruptcy clerk’s office 

must receive these documents 

and any required filing fee by the 

following deadlines.

Deadline to file a complaint objecting to discharge or to challenge whether certain debts are 

dischargeable (see line 11 for more information):

 if you assert that the debtor is not entitled to receive a discharge of any debts under 11 U.S.C. § 

1141(d)(3) the deadline is the first date set for hearing on confirmation of the plan. The court or its 

designee will send you notice of that date later. 

 if you want to have a debt excepted from discharge under 11 U.S.C. § 523(a)(2), (4), or (6) the deadline 

is:_________________ 

Deadline for filing proof of claim: [Not yet set. If a deadline is set, the court will 

send you another notice.] or 

[date, if set by the court)]

A proof of claim is a signed statement describing a creditor’s claim. A proof of claim form may be 

obtained at www.uscourts.gov or any bankruptcy clerk’s office. 

Your claim will be allowed in the amount scheduled unless:

 your claim is designated as disputed, contingent, or unliquidated; 

 you file a proof of claim in a different amount; or

 you receive another notice. 

If your claim is not scheduled or if your claim is designated as disputed, contingent, or unliquidated, 

you must file a proof of claim or you might not be paid on your claim and you might be unable to vote 

on a plan. You may file a proof of claim even if your claim is scheduled. 

You may review the schedules at the bankruptcy clerk’s office or online at https://pacer.uscourts.gov. 

Secured creditors retain rights in their collateral regardless of whether they file a proof of claim. Filing a proof of 

claim submits a creditor to the jurisdiction of the bankruptcy court, with consequences a lawyer can explain. For 

example, a secured creditor who files a proof of claim may surrender important nonmonetary rights, including 

the right to a jury trial.

Deadline to object to exemptions: 

The law permits debtors to keep certain property as 

exempt. 

If you believe that the law does not authorize an exemption 

claimed, you may file an objection. 

Filing deadline: 30 days after the

conclusion of the meeting 

of creditors

9. Creditors with a foreign 

address

If you are a creditor receiving mailed notice at a foreign address, you may file a motion asking the court to 

extend the deadlines in this notice. Consult an attorney familiar with United States bankruptcy law if you have 

any questions about your rights in this case. 

10. Filing a Chapter 11 

bankruptcy case

Chapter 11 allows debtors to reorganize or liquidate according to a plan. A plan is not effective unless the court 

confirms it. You may receive a copy of the plan and a disclosure statement telling you about the plan, and you 

may have the opportunity to vote on the plan. You will receive notice of the date of the confirmation hearing, 

and you may object to confirmation of the plan and attend the confirmation hearing. The debtor will generally 

remain in possession of the property and may continue to operate the debtor’s business. 

For more information, see page 3 ►

Preliminary Draft | August 2021 Page 268 of 327
Official Form 309E2 (For Individuals or Joint Debtors under Subchapter V) Notice of Chapter 11 Bankruptcy Case page 3

11. Discharge of debts Confirmation of a chapter 11 plan may result in a discharge of debts, which may include all or part of a debt. 

See 11 U.S.C. § 1141(d). A discharge means that creditors may never try to collect the debt from the debtors 

personally except as provided in the plan. If you believe that a particular debt owed to you should be excepted 

from the discharge under 11 U.S.C. § 523 (a)(2), (4), or (6), you must file a complaint and pay the filing fee in 

the bankruptcy clerk’s office by the deadline. If you believe that the debtors are not entitled to a discharge of 

any of their debts under 11 U.S.C. § 1141 (d)(3), you must file a complaint and pay the filing fee in the clerk’s 

office by the first date set for the hearing on confirmation of the plan. The court will send you another notice 

telling you of that date. 

12. Exempt property The law allows debtors to keep certain property as exempt. Fully exempt property will not be sold and 

distributed to creditors, even if the case is converted to chapter 7. Debtors must file a list of property claimed as 

exempt. You may inspect that list at the bankruptcy clerk’s office or online at https://pacer.uscourts.gov. If you 

believe that the law does not authorize an exemption that the debtors claim, you may file an objection. The 

bankruptcy clerk’s office must receive the objection by the deadline to object to exemptions in line 8. 

Preliminary Draft | August 2021 Page 269 of 327
Official Form 309 (Committee Note) (12/22)

Committee Note 

Official Form 309E1, line 7, and Official Form 

309E2, line 8, are amended to clarify which deadline applies 

for filing complaints to deny the debtor a discharge and 

which applies for filing complaints seeking to except a 

particular debt from discharge. 

Preliminary Draft | August 2021 Page 270 of 327
Official Form 410C13-1N Trustee’s Midcase Notice of the Status of the Mortgage Claim page 1

Official Form 410C13-1N

Trustee’s Midcase Notice of the Status of the Mortgage Claim 12/23 

The trustee must file this notice in a chapter 13 case between 18 and 24 months after the petition was filed. Rule 3002.1(f)(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: Cure Amount

Amount

a. Allowed amount of prepetition arrearage, if any: (a) $ __________

b. Total prepetition arrearage paid by the trustee as of date of notice: (b) $ __________

c. Remaining balance of the prepetition arrearage: (c) $ __________

Part 3: Postpetition Mortgage Payment

Check one: 

 Ongoing postpetition mortgage payments are made by the debtor.

 Ongoing postpetition mortgage payments are paid through the trustee.

Current monthly payment: $ __________

Next mortgage payment due: ____/_____/______

MM / DD / YYYY

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 | August 2021 Page 271 of 327
Official Form 410C13-1N Trustee’s Midcase Notice of the Status of the Mortgage Claim page 2

Part 4: A Response Is Required by Bankruptcy Rule 3002.1(f)(2)

Within 21 days after service of this notice, the holder of the claim must file a response using Official Form 410C13-R.

__________________________________________________ Date ____/_____/________

Signature

Trustee _________________________________________________________ 

First Name Middle Name Last Name

Address _________________________________________________________

Number Street

___________________________________________________ 

City State ZIP Code

Contact phone (______) _____– _________ Email ____________________

Preliminary Draft | August 2021 Page 272 of 327
Official Form 410C13-1R Response to Trustee’s Midcase Notice of the Status of the Mortgage Claim page 1

Official Form 410C13-1R

Response to Trustee’s Midcase Notice of the Status of the Mortgage 

Claim 12/23 

The claim holder must respond to the Trustee’s Midcase Notice of the Status of the Mortgage Claim within 21 days after it was 

served. Rule 3002.1(f)(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: Cure Amount 

Check all that are applicable:

 Claim holder agrees with the allowed amount of the prepetition arrearage and the arrearage balance set forth in the Trustee’s

Notice. 

 Claim holder disagrees with the allowed amount of the prepetition arrearage set forth in the Trustee’s Notice. Claim holder asserts 

that the allowed amount of the prepetition arrearage is $ _________________. 

 Claim holder disagrees with the prepetition arrearage balance set forth in the Trustee’s Notice. Claim holder asserts that the 

prepetition balance as of the date of the Trustee’s Notice is $ _____________.

Part 3: Postpetition Mortgage Payment

The status of the ongoing postpetition mortgage payments as of the date of the Trustee’s Notice is:

Current postpetition monthly payment: $ __________

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 | August 2021 Page 273 of 327
Official Form 410C13-1R Response to Trustee’s Midcase Notice of the Status of the Mortgage Claim page 2

Date next postpetition mortgage payment due: ____/_____/______

MM / DD / YYYY

Total ongoing postpetition payments due and unpaid: $ __________

Check one:

 The debtor is current on the ongoing postpetition mortgage payments.

 Claim holder asserts that the debtor is not current on the ongoing postpetition mortgage payments.

Part 4: Itemized Payment History 

If the claim holder disagrees in Part 2 with the prepetition arrearage balance listed in the Trustee’s Notice or states in Part 3 that the 

debtor is not current on ongoing postpetition payments as of the date of the Trustee’s Notice, the claim holder must attach an itemized 

payment history listing:

• all payments received during the period from the filing of the bankruptcy petition through the date of this response; and

• how the payments were applied to principal, interest, and escrow from the filing of the bankruptcy petition through the date of 

this response.

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.

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 | August 2021 Page 274 of 327
Official Form 410C13-10C (12/23) 

United States Bankruptcy Court

_______________ District of _______________

In re _____________________________, Debtor Case No. ________

 Chapter 13

Motion to Determine the Status of the Mortgage Claim (conduit)

(The trustee should use this form if the trustee made the ongoing postpetition mortgage payments.)

The trustee states as follows:

1. On __________, debtor completed all payments under the chapter 13 plan. A copy 

of the trustee’s disbursement ledger for all payments to the claim holder is attached. 

2. 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

3. The trustee disbursed payments to cure arrearages as follows:

a. Allowed amount of the prepetition arrearage, if any: $ ___________________

b. Total amount of the prepetition arrearage paid by 

the trustee: $ ___________________

c. Allowed amount of postpetition arrearage, if any: $ ___________________

d. Postpetition arrearage paid by the trustee: $ ___________________

e. Total: (Add lines b. and d.): $ ___________________

4. The trustee disbursed payments for postpetition fees, expenses, and charges as 

follows:

a. Amount of postpetition fees, expenses, and charges 

recoverable under Rule 3002.1(c): $ ___________________

b. Amount of postpetition fees, expenses, and charges 

listed in a. and paid through the trustee: $ ___________________

Preliminary Draft | August 2021 Page 275 of 327
Official Form 410C13-10C Motion to Determine the Status of the Mortgage Claim (conduit) page 2 

5. The ongoing postpetition mortgage payments were paid through the trustee. 

Total postpetition ongoing mortgage payments paid $ __________________

Current monthly payment $ __________________

Date of next mortgage payment due ____/_____/________

6. Therefore, I ask the court for an order under Rule 3002.1(h) determining that, as of 

the date of this motion, the debtor is current on all payments required by the plan and 

§ 1322(b)(5) to be paid to the holder of the mortgage claim―including all escrow 

amounts―and that all postpetition fees, expenses, and charges are satisfied in full.

Signed: _______________________________ (Trustee)

Date: _______________________________

Preliminary Draft | August 2021 Page 276 of 327
Official Form 410C13-10NC (12/23) 

United States Bankruptcy Court

_______________ District of _______________

In re _____________________________, Debtor Case No. ________

 Chapter 13

Motion to Determine the Status of the Mortgage Claim (nonconduit)

(The trustee should use this form if the debtor made the ongoing postpetition mortgage payments directly

to the claim holder.)

The trustee states as follows:

1. On __________, debtor completed all payments under the chapter 13 plan. A copy 

of the trustee’s disbursement ledger for all payments to the claim holder is attached.

2. 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

3. The trustee disbursed payments to cure arrearages as follows:

a. Allowed amount of the prepetition arrearage, if any: $ ___________________

b. Total amount of the prepetition arrearage paid by 

the trustee: $ ___________________

c. Allowed amount of postpetition arrearage, if any: $ ___________________

d. Postpetition arrearage paid by the trustee: $ ___________________

e. Total: (Add lines b. and d.): $ ___________________

4. The trustee disbursed payments for postpetition fees, expenses, and charges as 

follows:

a. Amount of postpetition fees, expenses, and charges 

recoverable under Rule 3002.1(c): $ ___________________

b. Amount of postpetition fees, expenses, and charges 

listed in a. and paid through the trustee: $ ___________________

Preliminary Draft | August 2021 Page 277 of 327
Official Form 410C13-10NC Motion to Determine the Status of the Mortgage Claim (nonconduit) page 2 

5. The debtor’s chapter 13 plan provided that ongoing postpetition mortgage payments 

were to be paid by the debtor directly to the claim holder. 

 

6. Therefore, I ask the court for an order under Rule 3002.1(h) determining that, as of 

the date of this motion, the debtor has cured the prepetition arrearage on the mortgage 

and that all postpetition fees, expenses, and charges are satisfied in full. Unless the 

claim holder responds to this motion with an allegation that the debtor is not current on 

the ongoing postpetition mortgage payments, I also ask the court to determine that the 

debtor is current on all postpetition payments required by the plan and § 1322(b)(5) to 

be paid to the holder of the mortgage claim―including all escrow amounts.

Signed: _______________________________ (Trustee)

Date: _______________________________

Preliminary Draft | August 2021 Page 278 of 327
Official Form 410C13-10R (12/23) 

United States Bankruptcy Court

_______________ District of _______________

In re _____________________________, Debtor Case No. ________

 Chapter 13

Response to Trustee’s Motion 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. Prepetition Arrearage

Check one: 

 Debtor has paid in full the amount required to cure any prepetition arrearage on 

this mortgage claim. 

 Debtor has not paid in full the amount required to cure any prepetition arrearage 

on this mortgage claim. The claim holder asserts that the total prepetition 

arrearage amount remaining unpaid as of the date of this response is: $ 

___________________.

3. Ongoing Postpetition Mortgage Payments

Check all that apply: 

 Debtor is current on all ongoing postpetition mortgage payments consistent with 

§ 1322(b)(5) of the Bankruptcy Code, 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: _____________ 

Amount of the next postpetition payment that is due: $____________

Preliminary Draft | August 2021 Page 279 of 327
Official Form 410C13-10R Motion to Determine the Status of the Mortgage Claim page 2 

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 consistent with § 1322(b)(5) of 

the Bankruptcy Code. The claim holder asserts that the debtor is obligated for the 

postpetition payment(s) that first became due on: ____/_____/______.

 MM / DD / YYYY 

 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 $_____________________. 

4. Itemized Payment History

Include if applicable: 

Because the claim holder disagrees that the prepetition arrearage has 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 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 ____________________

First Name Middle Name Last Name

Company ___________________________________________________________

Preliminary Draft | August 2021 Page 280 of 327
Official Form 410C13-10R 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 | August 2021 Page 281 of 327
Official Form 410 (Committee Note) (12/23)

Committee Note 

Official Forms 410C13-1N, 410C13-1R, 410C13-

10C, 410C13-10NC, and 410C13-10R are new. They are 

adopted to implement new provisions of Rule 3002.1 that 

prescribe procedures for determining the status of a home 

mortgage claim in a chapter 13 case. 

Official Form 410C13-1N is to be used by a trustee 

to provide the notice required by Rule 3002.1(f)(1). This 

notice is filed midway through a chapter 13 case (18-24 

months after the petition was filed), and it requires the 

trustee to report on the status of payments to cure any 

prepetition arrearages and, if the trustee makes the ongoing 

postpetition mortgage payments, the amount and date of the 

next payment. 

Within 21 days after service of the trustee’s notice, 

the holder of the mortgage claim must file a response using 

Official Form 410C13-1R. See Rule 3002.1(f)(2). The 

claim holder must indicate whether it agrees with the 

trustee’s statements about the cure of any prepetition 

arrearage, and it must also provide information about the 

status of ongoing postpetition mortgage payments. If the 

claim holder disagrees with the trustee or states that the 

debtor is not current on postpetition mortgage payments, it 

must attach an itemized payment history for the postpetition 

period. 

Official Forms 410C13-10C and 410C13-10NC 

implement Rule 3002.1(g)(1). Form 410C13-10C is used if 

the trustee made the ongoing postpetition mortgage 

payments (as a conduit), and Form 410C13-10NC is used if 

those payments were made by the debtor directly to the 

holder of the mortgage claim (nonconduit). This motion is 

filed at the end of a chapter 13 case when the debtor has 

Preliminary Draft | August 2021 Page 282 of 327
completed all plan payments, and it seeks a court order 

determining the status of the mortgage claim. The trustee 

informs the court about the payments the trustee has made to 

the claim holder for the cure of any pre- and postpetition 

arrearages and for any postpetition fees, expenses, and 

charges. If the trustee made the ongoing postpetition 

mortgage payments, the trustee must also state the total 

amount paid and the amount and date of the next mortgage 

payment. 

As required by Rule 3002.1(g)(2), the holder of the 

mortgage claim must respond to the trustee’s motion within 

28 days after service, using Official Form 410C13-10R. The 

claim holder must indicate whether it agrees with the 

trustee’s statements about the cure of any arrearages and the 

payment of any postpetition fees, expenses, and charges. It 

must also provide information about the status of ongoing 

postpetition mortgage payments. If the claim holder 

disagrees with the trustee or states that the debtor is not 

current on postpetition mortgage payments, it must attach an 

itemized payment history for the postpetition period. If it 

asserts that the debtor is current on all postpetition payments, 

it must attach a payoff statement and provide the information 

listed in paragraph 3 of the form. 

Preliminary Draft | August 2021 Page 283 of 327
Official Form 417A (12/23)

Official Form 417A Notice of Appeal and Statement of Election page 1 

[Caption as in Form 416A, 416B, or 416D, as appropriate]

NOTICE OF APPEAL AND STATEMENT OF ELECTION 

Part 1: Identify the appellant(s) 

1. Name(s) of appellant(s):

_________________________________________________________________________

2. Position of appellant(s) in the adversary proceeding or bankruptcy case that is the subject of this

appeal:

For appeals in an adversary proceeding.

 Plaintiff

 Defendant

 Other (describe) ________________________

For appeals in a bankruptcy case and not in an 

adversary proceeding. 

 Debtor

 Creditor

 Trustee

 Other (describe) ________________________

Part 2: Identify the subject of this appeal 

1. Describe the judgment—or the appealable order or decree—from which the appeal is taken:

____________________________

2. State the date on which the judgment—or the appealable order or decree—was entered:

____________________________

Part 3: Identify the other parties to the appeal 

List the names of all parties to the judgment—or appealable order or decree—from which the appeal is 

taken and the names, addresses, and telephone numbers of their attorneys (attach additional pages if 

necessary):

1. Party: _________________ Attorney: ______________________________

 ______________________________ 

 ______________________________

 ______________________________

2. Party: _________________ Attorney: ______________________________

 ______________________________ 

 ______________________________

 ______________________________

Preliminary Draft | August 2021 Page 284 of 327
Official Form 417A Notice of Appeal and Statement of Election page 2 

Part 4: Optional election to have appeal heard by District Court (applicable only in 

certain districts) 

If a Bankruptcy Appellate Panel is available in this judicial district, the Bankruptcy Appellate Panel will 

hear this appeal unless, pursuant to 28 U.S.C. § 158(c)(1), a party elects to have the appeal heard by the 

United States District Court. If an appellant filing this notice wishes to have the appeal heard by the 

United States District Court, check below. Do not check the box if the appellant wishes the Bankruptcy 

Appellate Panel to hear the appeal.

 Appellant(s) elect to have the appeal heard by the United States District Court rather than by

the Bankruptcy Appellate Panel.

Part 5: Sign below

_____________________________________________________ Date: ____________________________

Signature of attorney for appellant(s) (or appellant(s)

if not represented by an attorney)

Name, address, and telephone number of attorney

(or appellant(s) if not represented by an attorney): 

_____________________________________________________

_____________________________________________________

_____________________________________________________

_____________________________________________________

Fee waiver notice: If appellant is a child support creditor or its representative and appellant has filed the 

form specified in § 304(g) of the Bankruptcy Reform Act of 1994, no fee is required. 

[Note to inmate filers: If you are an inmate filer in an institution and you seek the timing benefit of Fed. 

R. Bankr. P. 8002(c)(1), complete Director’s Form 4170 (Declaration of Inmate Filing) and file that

declaration along with the Notice of Appeal.]

Preliminary Draft | August 2021 Page 285 of 327
Committee Note

Parts 2 and 3 of the form are amended to conform to 

wording in the simultaneously amended Rule 8003. The 

new wording is intended to remind appellants that appeals as 

of right from orders and decrees are limited to those that are 

“appealable”―that is, either deemed final or issued under 

§ 1121(d). See 28 U.S.C. § 158(a)(2). It also seeks to avoid

the misconception that it is necessary or appropriate to

identify each and every order of the bankruptcy court that

the appellant may wish to challenge on appeal. It requires

identification of only “the judgment—or the appealable

order or decree—from which the appeal is taken.”

Official Form 417 (Committee Note) (12/23)

Preliminary Draft | August 2021 Page 286 of 327
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

REBECCA A. WOMELDORF

SECRETARY

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

TO: Hon. John D. Bates, Chair

Committee on Rules of Practice and Procedure

FROM: Hon. Robert M. Dow, Jr., Chair

Advisory Committee on Civil Rules

RE: Report of the Advisory Committee on Civil Rules

DATE: December 9, 2020

__________________________________________________________________

Introduction

The Advisory Committee on Civil Rules met on a teleconference

platform that included public access on October 16, 2020. Draft

minutes from the meeting are attached to this report.

Part I of this report presents three items for action. * * *

The others recommend approval for publication of an amendment to

clarify the intended meaning of Rule 15(a)(1) and an amendment to

broaden the means for providing notice of a magistrate judge’s

recommended disposition under Rule 72(b)(1). 

* * * * *

Preliminary Draft | August 2021 Page 287 of 327
I. Action Items

* * * * *

B. For Publication: Cure Literal Gap in Rule 15(a)(1)

Suggestion 19-CV-Z

A drafting mishap leaves the way open to read a dead zone into

the middle of the Rule 15(a)(1) provision for amending a pleading

once as a matter of course. The problem arises from the word

“within,” and is readily remedied by substituting “no later than.”

Describing the problem shows that correction is easy.

Using italics and overlining to emphasize the problem word,

and underlining to identify the cure, Rule 15(a)(1) provides:

(a) AMENDMENTS BEFORE TRIAL.

(1) Amending as a Matter of Course. A party may

amend its pleading once as a matter of course

within no later than:

(A) 21 days after serving it, or

(B) if the pleading is one to which a

responsive pleading is required, 21 days

after service of a responsive pleading

or 21 days after service of a motion

under Rule 12(b), (e), or (f), whichever

is earlier.

The problem is that a period introduced by “within” is

measured by the required interval counted from the described event.

An amendment “within” 21 days from service of a responsive pleading

or one of the described Rule 12 motions begins at service, not

before. If a responsive pleading is required, subparagraph (A)

allows one amendment as a matter of course within 21 days after

serving the pleading; that period then closes. The responsive

pleading or motion, however, may not have been served by that time.

The situations that appear on the face of the rules arise when the

time to plead or move is longer than 21 days, most commonly 60

days. Or the time may be extended by agreement of the parties, or

perhaps a scheduling order. In those situations, there is a gap in

the right to amend. It expires after 21 days from serving the

pleading, and is revived only on service of the responsive pleading

or motion.

The death and revival of the right to amend once as a matter

of course make no sense. It might be hoped that the folly of this

unintended result is so apparent that no one would adopt the

literal reading of “within.” But lawyers have struggled with the

issue, and a number of reported opinions show that courts have had

to work to reach the right result. The question is more than

Preliminary Draft | August 2021 Page 288 of 327
theoretical. And it can be fixed so readily that amendment is

appropriate.

Substituting “no later than” for “within” makes the intended

meaning clear. When a responsive pleading is required, the right to

amend once as a matter of course arises on serving the pleading and

continues until 21 days after service of a responsive pleading or

a designated Rule 12 motion, whichever is earlier.

The Advisory Committee recommends publication for comment of

an amendment that substitutes “no later than” for “within” in

Rule 15(a)(1).

* * * * *

C. For Publication: Rule 5 Service Under Rule 72(b)(1)

Rule 72(b)(1) directs a magistrate judge to enter a

recommended disposition “when assigned, without the parties’

consent, to hear a pretrial matter dispositive of a claim or

defense or a prisoner petition challenging the conditions of

confinement.” It concludes with this sentence: “The clerk must

promptly mail a copy to each party.”

Mailing a copy is out of step with current electronic docket

practices. Rule 77(d)(1) was amended in 2001 to direct that the

clerk serve notice of entry of an order or judgment “as provided in

Rule 5(b).”

Criminal Rule 59(b)(1) includes a provision analogous to Civil

Rule 72(b)(1), directing the magistrate judge to enter a

recommendation for disposition of described motions or matters, and

concluding: “The clerk must immediately serve copies on all

parties.”

The Advisory Committee recommends that Rule 72(b)(2) be

amended to incorporate all Rule 5(b) methods for serving notice[.]

* * * * *

Preliminary Draft | August 2021 Page 289 of 327
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF CIVIL PROCEDURE1

1 Rule 15. Amended and Supplemental Pleadings

2 (a) Amendments Before Trial. 

3 (1) Amending as a Matter of Course. A party 

4 may amend its pleading once as a matter of 

5 course withinno later than: 

6 (A) 21 days after serving it, or 

7 (B) if the pleading is one to which

8 a responsive pleading is required, 21 

9 days after service of a responsive 

10 pleading or 21 days after service of a 

11 motion under Rule 12(b), (e), or (f),

12 whichever is earlier.

13 * * * * * 

Committee Note

Rule 15(a)(1) is amended to substitute “no later than” 

for “within” to measure the time allowed to amend once as a 

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

lined through.

Preliminary Draft | August 2021 Page 290 of 327
2 FEDERAL RULES OF CIVIL PROCEDURE

matter of course. A literal reading of “within” would lead to 

an untoward practice if a pleading is one to which a 

responsive pleading is required and neither a responsive 

pleading nor one of the Rule 12 motions has been served 

within 21 days after service of the pleading. Under this 

reading, the time to amend once as a matter of course lapses 

21 days after the pleading is served and is revived only on 

the later service of a responsive pleading or one of the 

Rule 12 motions. [The amendment could not come “within” 

21 days after the event until the event had happened.] There 

is no reason to suspend the right to amend in this way. “No 

later than” makes it clear that the right to amend continues 

without interruption until 21 days after the earlier of the 

events described in Rule 15(a)(1)(B). 

Preliminary Draft | August 2021 Page 291 of 327
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF CIVIL PROCEDURE1

1 Rule 72. Magistrate Judges: Pretrial Order

2 * * * * * 

3 (b) Dispositive Motions and Prisoner Petitions.

4 (1) Findings and Recommendations. * * * The 

5 magistrate judge must enter a recommended disposition, 

6 including, if appropriate, proposed findings of fact. The 

7 clerk must promptly mailimmediately serve a copy toon each 

8 party as provided in Rule 5(b). 

9 * * * * * 

Committee Note

Rule 72(b)(1) is amended to permit the clerk to serve a 

copy of a magistrate judge’s recommended disposition by 

any of the means provided in Rule 5(b). [Service of a notice 

of entry of judgment under Rule 5(b) is permitted by 

Rule 77(d) as well.] 

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

lined through.

Preliminary Draft | August 2021 Page 292 of 327
Excerpt from the May 15, 2021 Report of the Advisory Committee on Evidence Rules

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

JOHN D. BATES

CHAIR

CHAIRS OF ADVISORY COMMITTEES

JAY S. BYBEE

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

ROBERT M. DOW, JR.

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

PATRICK J. SCHILTZ

EVIDENCE RULES

MEMORANDUM

 

TO: Honorable John D. Bates, Chair 

 Committee on Rules of Practice and Procedure

FROM: Honorable Patrick J. Schiltz, Chair 

 Advisory Committee on Evidence Rules 

DATE: May 15, 2021 

RE: Report of the Advisory Committee on Evidence Rules 

______________________________________________________________________________ 

 

I. Introduction

The Advisory Committee on Evidence Rules (the “Committee”) met remotely on April 30, 

2021. At the meeting the Committee discussed ongoing projects involving possible amendments 

to Rules 106, 615, and 702. It also considered items to be put on the agenda for further 

consideration by the Committee. 

 The Committee made the following determinations at the meeting:

● It unanimously approved proposed amendments to Rules 106, 615, and 702, and is 

submitting them to the Standing Committee with the recommendation that they be released for 

public comment; 

Preliminary Draft | August 2021 Page 293 of 327
Excerpt from the May 15, 2021 Report of the Advisory Committee on Evidence Rules

 ***** 

II. Action Items

A. Proposed Amendment to Rule 106, for Release for Public Comment 

At the suggestion of Hon. Paul Grimm, the Committee has for the last four years considered 

and discussed whether Rule 106 --- the rule of completeness --- should be amended. Rule 106 

provides that if a party introduces all or part of a written or recorded statement in such a way as to 

be misleading, the opponent may require admission of a completing statement that would correct 

the misimpression. The Committee has considered whether Rule 106 should be amended in two 

respects: 1) to provide that a completing statement is admissible over a hearsay objection; and 2) 

to provide that the rule covers unrecorded oral statements, as well as written and recorded 

statements. 

The courts are not uniform in the treatment of these issues. On the hearsay question, some 

courts have held that when a party introduces a portion of a statement that is misleading, it can still 

object, on hearsay grounds, to completing evidence that corrects the misimpression. Other courts 

have held essentially that if a party introduces a portion of a statement so that it can mislead the 

factfinder about the statement actually made, that party forfeits the right to object to the remainder 

that is necessary to remedy the misimpression. As to unrecorded oral statements, most courts have 

found that when necessary to complete, such statements are admissible either under Rule 611(a) 

or under the common law rule of completeness. 

After much discussion and consideration, the Committee has unanimously approved, for 

release for public comment, an amendment to Rule 106 that would: 1) allow the completing 

statement to be admissible over a hearsay objection; and 2) cover unrecorded oral statements. The 

overriding goal of the amendment is to treat all questions of completeness in a single rule. That is 

particularly important because completeness questions often arise at trial, and so it is important for 

the parties and the court to be able to refer to a single rule to govern admissibility. What has been 

particularly confusing to courts and practitioners is that Rule 106 has been considered a “partial 

codification” of the common law --- meaning that the parties must be aware that common law may 

still be invoked. One goal of the amendment is to displace the common law --- as it has been 

displaced by all the other Federal Rules of Evidence. 

As to admissibility of out-of-court statements, the amendment takes the position that the 

proponent, by providing a misleading presentation, forfeits the right to foreclose admission of a 

remainder that is necessary to remedy the misimpression. Simple notions of fairness, already 

embodied in Rule 106, dictate that a misleading presentation cannot stand unrebutted. The 

amendment leaves it up to the court to determine whether the completing remainder will be 

admissible to prove a fact, or admissible for the more limited non-hearsay purpose of providing 

context. Either usage is encompassed within the rule terminology--- that the completing remainder 

is admissible “over a hearsay objection.” 

 

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Excerpt from the May 15, 2021 Report of the Advisory Committee on Evidence Rules

As to unrecorded oral statements, the rationale for covering them is that most courts already 

admit such statements when necessary to complete --- they just do so under a different evidence 

rule or under the common law. The Committee was convinced that covering unrecorded oral

statements under Rule 106 would be a user-friendly change, especially because the existing 

hodgepodge of coverage of unrecorded statements presents a trap for the unwary. As stated above, 

the fact that completeness questions commonly rise at the trial itself means that parties cannot be 

expected to quickly get an answer from the common law, or from a rule such as Rule 611(a), that 

does not specifically deal with completeness. 

It is important to note that nothing in the amendment changes the basic rule, which applies 

only to the narrow circumstances in which a party has created a misimpression about the statement, 

and the adverse party proffers a statement that in fact corrects the misimpression. So, the mere fact 

that a statement is probative and contradicts a statement offered by the opponent is not enough to 

justify completion under Rule 106. 

The Committee unanimously approved the proposed amendment to Rule 106. The 

Committee recommends that the proposed amendment, and the accompanying Committee Note, 

be released for public comment. 

The proposed amendment to Rule 106, and the Committee Note, are attached to this Report.

B. Proposed Amendment to Rule 615, for Release for Public Comment

 

Rule 615 provides for court orders excluding witnesses so that they “cannot hear other 

witnesses’ testimony.” The Committee determined that there are problems raised in the case law 

and in practice regarding the scope of a Rule 615 order: does it apply only to exclude witnesses 

from the courtroom (as stated in the text of the rule) or does it extend outside the confines of the 

courtroom to prevent prospective witnesses from obtaining or being provided trial testimony? 

Most courts have held that a Rule 615 order extends to prevent access to trial testimony outside of 

court, because exclusion from the courtroom is not sufficient to protect against the risk of witnesses 

tailoring their testimony after obtaining access to trial testimony. But other courts have read the 

rule as it is written. 

After extensive consideration and research over three years, the Committee agreed on an 

amendment that would clarify the extent of an order under Rule 615. Committee members have 

noted that where parties can be held in contempt for violating a court order, some clarification of 

the operation of sequestration outside the actual trial setting itself is necessary. The Committee’s 

investigation of this problem is consistent with its ongoing efforts to ensure that the Evidence 

Rules are keeping up with technological advancement, given the increased possibility of witness 

access to information about testimony through news, social media, YouTube or daily transcripts. 

At the Spring, 2021 meeting the Committee unanimously voted in favor of an amendment 

that limits an exclusion order to just that --- exclusion of witnesses from the courtroom. But a new 

subdivision would provide that the court has discretion to issue further orders to “(1) prohibit 

disclosure of trial testimony to witnesses who are excluded from the courtroom; and (2) prohibit 

excluded witnesses from accessing trial testimony.” 

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Excerpt from the May 15, 2021 Report of the Advisory Committee on Evidence Rules

The Committee also considered whether an amendment to Rule 615 should address orders 

that prohibit counsel from preparing prospective witnesses with trial testimony. The Committee 

resolved that any amendment to Rule 615 should not mention trial counsel in text, because the 

question of whether counsel can use trial testimony to prepare witnesses raises issues of 

professional responsibility and the right to counsel that are beyond the purview of the Evidence 

Rules. 

Finally, the Committee approved an additional amendment to the existing provision that 

allows an entity-party to designate “an officer or employee” to be exempt from exclusion. There 

is some dispute in the courts on whether the entity-party is limited to one such exemption or is 

entitled to more than one. The amendment clarifies that the exemption is limited to one officer or 

employee. The rationale is that the exemption is intended to put entities on a par with individual 

parties, who cannot be excluded under Rule 615. Allowing the entity more than one exemption is 

inconsistent with that rationale. 

The Committee unanimously approved the proposed amendment to Rule 615. The 

Committee recommends that the proposed amendment, and the accompanying Committee Note, 

be released for public comment. 

The proposed amendment to Rule 615, and the Committee Note, are attached to this Report

C. Proposed Amendment to Rule 702, for Release for Public Comment

The Committee has been researching and discussing the possibility of an amendment to 

Rule 702 for four years. The project began with a Symposium on forensic experts and Daubert, 

held at Boston College School of Law in October, 2017. That Symposium addressed, among other 

things, the challenges to forensic evidence raised in a report by the President’s Council of Advisors 

on Science and Technology. A Subcommittee on Rule 702 was appointed to consider possible 

treatment of forensic experts, as well as the weight/admissibility question discussed below. The 

Subcommittee, after extensive discussion, recommended against certain courses of action. The 

Subcommittee found that: 1) It would be difficult to draft a freestanding rule on forensic expert

testimony, because any such amendment would have an inevitable and problematic overlap with 

Rule 702; and 2) It would not be advisable to set forth detailed requirements for forensic evidence 

either in text or Committee Note because such a project would require extensive input from the 

scientific community, and there is substantial debate about what requirements are appropriate. 

The Committee agreed with these suggestions by the Rule 702 Subcommittee. But the 

Subcommittee did express interest in considering an amendment to Rule 702 that would focus on 

one important aspect of forensic expert testimony --- the problem of overstating results (for 

example, by stating an opinion as having a “zero error rate”, where that conclusion is not 

supportable by the methodology). The Committee heard extensively from DOJ on the important 

efforts it is now employing to regulate the testimony of its forensic experts, and to limit possible 

overstatement. 

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Excerpt from the May 15, 2021 Report of the Advisory Committee on Evidence Rules

The Committee considered a proposal to add a new subdivision (e) to Rule 702 that would 

essentially prohibit any expert from drawing a conclusion overstating what could actually be 

concluded from a reliable application of a reliable methodology. But a majority of the members 

decided that the amendment would be problematic, because Rule 702(d) already requires that the 

expert must reliably apply a reliable methodology. If an expert overstates what can be reliably 

concluded (such as a forensic expert saying the rate of error is zero) then the expert’s opinion 

should be excluded under Rule 702(d). The Committee was also concerned about the possible 

unintended consequences of adding an overstatement provision that would be applied to all 

experts, not just forensic experts. 

The Committee, however, unanimously favored a slight change to existing Rule 702(d) 

that would emphasize that the court must focus on the expert’s opinion, and must find that the 

opinion actually proceeds from a reliable application of the methodology. The Committee 

unanimously approved a proposal that would amend Rule 702(d) to require the court to find that 

“the expert’s opinion reflects a reliable application of the principles and methods to the facts of 

the case.” As the Committee Note elaborates: “A testifying expert’s opinion must stay within the 

bounds of what can be concluded by a reliable application of the expert’s basis and methodology.” 

The language of the amendment more clearly empowers the court to pass judgment on the 

conclusion that the expert has drawn from the methodology. As such it is consistent with the 

decision in General Electric Co., v. Joiner, 522 U.S. 136 (1997), where the Court declared that a 

trial court must consider not only the expert’s methodology but also the expert’s conclusion; that 

is because the methodology must not only be reliable, it must be reliably applied. 

Finally, the Committee resolved to respond to the fact that many courts have declared that 

the reliability requirements set forth in Rule 702(b) and (d) --- that the expert has relied on 

sufficient facts or data and has reliably applied a reliable methodology --- are questions of weight 

and not admissibility, and more broadly that expert testimony is presumed to be admissible. These 

statements can be read to misstate Rule 702, because its admissibility requirements must be met 

by a preponderance of the evidence. The Committee has determined that in a fair number of cases, 

the courts have found expert testimony admissible even though the proponent has not satisfied the 

Rule 702(b) and (d) requirements by a preponderance of the evidence. 

Initially, the Committee was reluctant to propose a change to the text of Rule 702 to address 

these mistakes as to the proper standard of admissibility, in part because the preponderance of the 

evidence standard applies to almost all evidentiary determinations, and specifying that standard in 

one rule might raise negative inferences as to other rules. But ultimately the Committee

unanimously agreed that adding the preponderance of the evidence standard to the text of Rule 

702 would be a substantial improvement that would address an important conflict among the 

courts. While it is true that the Rule 104(a) preponderance of the evidence standard applies to Rule 

702 as well as other rules, it is with respect to the reliability requirements of expert testimony that 

many courts are misapplying that standard. Moreover, it takes some effort to determine the 

applicable standard of proof --- Rule 104(a) does not mention the applicable standard of proof, 

requiring a resort to case law. And while Daubert mentions the standard, it is only in a footnote, 

in a case in which there is much said about the liberal standards of the Federal Rules of Evidence. 

Consequently, the Committee unanimously approved an amendment that would explicitly add the 

preponderance of the evidence standard to Rule 702(a)-(d). The Committee Note to the proposal 

Preliminary Draft | August 2021 Page 297 of 327
Excerpt from the May 15, 2021 Report of the Advisory Committee on Evidence Rules

makes clear that there is no intent to raise any negative inference regarding the applicability of the 

Rule 104(a) standard of proof to other rules --- emphasizing the preponderance standard in Rule 

702 specifically was made necessary by the decisions that have failed to apply it to the reliability 

requirements of Rule 702. 

The Committee unanimously approved the proposed amendment to Rule 702. The 

Committee recommends that the proposed amendment, and the accompanying Committee Note, 

be released for public comment. 

The proposed amendment to Rule 702, and the Committee Note, are attached to this Report.

*****

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PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF EVIDENCE1

1 Rule 106. Remainder of or Related Writings or 

2 Recorded Written or Oral Statements 

3 If a party introduces all or part of a writing or recorded 

4 written or oral statement, an adverse party may require the 

5 introduction, at that time, of any other part—or any other 

6 writing or recorded written or oral statement—that in 

7 fairness ought to be considered at the same time. The 

8 adverse party may do so over a hearsay objection.

Committee Note

Rule 106 has been amended in two respects. First, the 

amendment provides that if the existing fairness standard 

requires completion, then that completing statement is 

admissible over a hearsay objection. Courts have been in 

conflict over whether completing evidence properly required 

for completion under Rule 106 can be admitted over a 

hearsay objection. The Committee has determined that the 

rule of completeness, grounded in fairness, cannot fulfill its 

function if the party that creates a misimpression about the 

meaning of a proffered statement can then object on hearsay 

grounds and exclude a statement that would correct the 

misimpression. See United States v. Sutton, 801 F.2d 1346, 

1368 (D.C. Cir.1986) (noting that “[a] contrary construction 

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

lined through.

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2 FEDERAL RULES OF EVIDENCE

raises the specter of distorted and misleading trials, and 

creates difficulties for both litigants and the trial court”). For 

example, assume the defendant in a murder case admits that 

he owned the murder weapon, but also simultaneously states 

that he sold it months before the murder. In this 

circumstance, admitting only the statement of ownership 

creates a misimpression because it suggests that the 

defendant implied that he owned the weapon at the time of 

the crime—when that is not what he said. In this example the 

prosecution, which has by definition created the situation 

that makes completion necessary, should not be permitted to 

invoke the hearsay rule and thereby allow the misleading 

statement to remain unrebutted. A party that presents a 

distortion can fairly be said to have forfeited its right to 

object on hearsay grounds to a statement that would be 

necessary to correct a misimpression. For similar results see 

Rules 502(a), 410(b)(1), and 804(b)(6). 

The courts that have permitted completion over 

hearsay objections have not usually specified whether the 

completing remainder may be used for its truth or only for 

its nonhearsay value in showing context. Under the amended 

rule, the use to which a completing statement can be put will 

be dependent on the circumstances. In some cases, 

completion will be sufficient for the proponent of the 

completing statement if it is admitted to provide context for 

the initially proffered statement. In such situations, the 

completing statement is properly admitted over a hearsay 

objection because it is offered for a non-hearsay purpose. An 

example would be a completing statement that corrects a 

misimpression about what a party heard before undertaking 

a disputed action, where the party’s state of mind is relevant. 

The completing statement in this example is admitted only 

to show what the party actually heard, regardless of the 

underlying truth of the completing statement. But in some 

cases, a completing statement places an initially proffered 

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 FEDERAL RULES OF EVIDENCE 3 

statement in context only if the completing statement is true. 

An example is the defendant in a murder case who admits 

that he owned the murder weapon, but also simultaneously 

states that he sold it months before the murder. The 

statement about selling the weapon corrects a misimpression 

only if it is offered for its truth. In such cases, Rule 106 

operates to allow the completing statement to be offered as 

proof of a fact. 

Second, Rule 106 has been amended to cover oral 

statements that have not been recorded. Most courts have 

already found unrecorded completing statements to be 

admissible under either Rule 611(a) or the common-law rule 

of completeness. This procedure, while reaching the correct 

result, is cumbersome and creates a trap for the unwary.

Most questions of completion arise when a statement is 

offered in the heat of trial—where neither the parties nor the 

court should be expected to consider the nuances of 

Rule 611(a) or the common law in resolving completeness 

questions. The amendment, as a matter of convenience, 

covers these questions under one rule. The rule is expanded 

to now cover all writings and all statements—whether in 

documents, in recordings, or in oral form. 

The original Advisory Committee Note cites 

“practical reasons” for limiting the coverage of the rule to 

writings and recordings. To the extent that the concern was 

about disputes over the content or existence of an unrecorded 

statement, that concern does not justify excluding all 

unrecorded statements completely from the coverage of the 

rule. See United States v. Bailey, 2017 WL 5126163, at *7 

(D. Md. Nov. 16, 2017) (“A blanket rule of prohibition is 

unwarranted, and invites abuse. Moreover, if the content of 

some oral statements are disputed and difficult to prove, 

others are not—because they have been summarized . . . , or

because they were witnessed by enough people to assure that 

Preliminary Draft | August 2021 Page 301 of 327
4 FEDERAL RULES OF EVIDENCE

what was actually said can be established with sufficient 

certainty.”). A party seeking completion with an oral 

statement would of course need to provide admissible 

evidence that the statement was made. Otherwise, there 

would be no showing that the original statement is 

misleading, and the request for completion should be denied. 

In some cases, the court may find that the difficulty in 

proving the completing statement substantially outweighs its 

probative value—in which case exclusion is possible under 

Rule 403. 

The rule retains the language that completion is made 

at the time the original portion is introduced. That said, many 

courts have held that the trial court has discretion to allow 

completion at a later point. See, e.g., Phoenix Assocs. III v. 

Stone, 60 F.3d 95, 103 (2d Cir. 1995) (“While the wording 

of Rule 106 appears to require the adverse party to proffer 

the associated document or portion contemporaneously with 

the introduction of the primary document, we have not 

applied this requirement rigidly.”). Nothing in the 

amendment is intended to limit the court’s discretion to 

allow completion at a later point.

The intent of the amendment is to displace the 

common-law rule of completeness. In Beech Aircraft Corp. 

v. Rainey, 488 U.S. 153, 171-72 (1988), the Court in dictum 

referred to Rule 106 as a “partial codification” of the 

common-law rule of completeness. There is no other rule of 

evidence that is interpreted as coexisting with common-law 

rules of evidence, and the practical problem of a rule of 

evidence operating with a common-law supplement is 

apparent—especially when the rule is one, like the rule of 

completeness, that arises most often during the trial. 

Displacing the common-law is especially appropriate 

because the results under this rule as amended will generally 

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 FEDERAL RULES OF EVIDENCE 5 

be in accord with the common-law doctrine of completeness 

at any rate.

The amendment does not give a green light of 

admissibility to all excised portions of written or oral 

statements. It does not change the basic rule, which applies 

only to the narrow circumstances in which a party has 

created a misimpression about the statement, and the adverse 

party proffers a statement that in fact corrects the 

misimpression. The mere fact that a statement is probative 

and contradicts a statement offered by the opponent is not 

enough to justify completion under Rule 106. So for 

example, the mere fact that a defendant denies guilt before 

later admitting it does not, without more, mandate the 

admission of his previous denial. See United States v. 

Williams, 930 F.3d 44 (2d Cir. 2019). 

Preliminary Draft | August 2021 Page 303 of 327
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF EVIDENCE1

1 Rule 615. Excluding Witnesses from the Courtroom; 

2 Preventing an Excluded Witness’s Access 

3 to Trial Testimony

4 (a) Excluding Witnesses. At a party’s request, the court 

5 must order witnesses excluded from the courtroom

6 so that they cannot hear other witnesses’ testimony. 

7 Or the court may do so on its own. But this rule does 

8 not authorize excluding: 

9 (a)(1) a party who is a natural person; 

10 (b)(2) an one officer or employee of a party that is 

11 not a natural person, after being if that officer 

12 or employee has been designated as the 

13 party’s representative by its attorney; 

14 (c)(3) a any person whose presence a party shows 

15 to be essential to presenting the party’s claim 

16 or defense; or 

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

lined through.

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2 FEDERAL RULES OF EVIDENCE

17 (d)(4) a person authorized by statute to be present. 

18 (b) Additional Orders to Prevent Disclosing and 

19 Accessing Testimony. An order under (a) operates 

20 only to exclude witnesses from the courtroom. But 

21 the court may also, by order: 

22 (1) prohibit disclosure of trial testimony to 

23 witnesses who are excluded from the 

24 courtroom; and 

25 (2) prohibit excluded witnesses from accessing 

26 trial testimony.

Committee Note

Rule 615 has been amended for two purposes. Most 

importantly, the amendment clarifies that the court, in 

entering an order under this rule, may also prohibit excluded 

witnesses from learning about, obtaining, or being provided 

with trial testimony. Many courts have found that a 

“Rule 615 order” extends beyond the courtroom, to prohibit 

excluded witnesses from obtaining access to or being 

provided with trial testimony. But the terms of the rule did 

not so provide; and other courts have held that a Rule 615 

order was limited to exclusion of witnesses from the trial. On 

the one hand, the courts extending Rule 615 beyond 

courtroom exclusion properly recognized that the core 

purpose of the rule is to prevent witnesses from tailoring 

their testimony to the evidence presented at trial—and that 

Preliminary Draft | August 2021 Page 305 of 327
 FEDERAL RULES OF EVIDENCE 3 

purpose can only be effectuated by regulating out-of-court 

exposure to trial testimony. See United States v. Robertson, 

895 F.3d 1206, 1215 (9th Cir. 2018) (“The danger that 

earlier testimony could improperly shape later testimony is 

equally present whether the witness hears that testimony in 

court or reads it from a transcript.”). On the other hand, a

rule extending an often vague “Rule 615 order” outside the 

courtroom raised questions of fair notice, given that the text 

of the rule itself was limited to exclusion of witnesses from 

the courtroom. 

An order under subdivision (a) operates only to 

exclude witnesses from the courtroom. This includes 

exclusion of witnesses from a virtual trial. Subdivision (b) 

emphasizes that the court may by order extend the 

sequestration beyond the courtroom, to prohibit parties 

subject to the order from disclosing trial testimony to 

excluded witnesses, as well as to directly prohibit excluded 

witnesses from trying to access trial testimony. Such an 

extension is often necessary to further the rule’s policy of 

preventing tailoring of testimony. 

The rule gives the court discretion to determine what 

requirements, if any, are appropriate in a particular case to 

protect against the risk that witnesses excluded from the 

courtroom will obtain trial testimony. 

Nothing in the language of the rule bars a court from 

prohibiting counsel from disclosing trial testimony to a 

sequestered witness. However, an order governing counsel’s 

disclosure of trial testimony to prepare a witness raises 

difficult questions of professional responsibility and 

effective assistance of counsel, as well as the right to 

confrontation in criminal cases, and is best addressed by the 

court on a case-by-case basis. 

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4 FEDERAL RULES OF EVIDENCE

Finally, the rule has been amended to clarify that the 

exception from exclusion for entity representatives is limited 

to one designated agent per entity. This limitation, which has 

been followed by most courts, generally provides parity for 

individual and entity parties. The rule does not prohibit the 

court from exercising discretion to allow an entity-party to 

swap one representative for another as the trial progresses, 

so long as only one witness-agent is exempt at any one time. 

If an entity seeks to have more than one witness-agent 

protected from exclusion, it is free to argue under 

subdivision (a)(3) that the additional agent is essential to 

presenting the party’s claim or defense. 

Nothing in this amendment prohibits a court from 

exempting from exclusion multiple witnesses if they are 

found essential under (a)(3). See, e.g., United States v. 

Arayatanon, 980 F.3d 444 (5th Cir. 2020) (no abuse of 

discretion in exempting from exclusion two agents, upon a 

showing that both were essential to the presentation of the 

government’s case).

Preliminary Draft | August 2021 Page 307 of 327
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF EVIDENCE1

1 Rule 702. Testimony by Expert Witnesses

2 A witness who is qualified as an expert by 

3 knowledge, skill, experience, training, or education may 

4 testify in the form of an opinion or otherwise if the proponent 

5 has demonstrated by a preponderance of the evidence that: 

6 (a) the expert’s scientific, technical, or other 

7 specialized knowledge will help the trier of 

8 fact to understand the evidence or to 

9 determine a fact in issue;

10 (b) the testimony is based on sufficient facts or 

11 data;

12 (c) the testimony is the product of reliable 

13 principles and methods; and 

14 (d) the expert has reliably appliedexpert’s 

15 opinion reflects a reliable application of the 

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

lined through.

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2 FEDERAL RULES OF EVIDENCE

16 principles and methods to the facts of the 

17 case.

Committee Note

Rule 702 has been amended in two respects. First, the 

rule has been amended to clarify and emphasize that the 

admissibility requirements set forth in the rule must be 

established to the court by a preponderance of the evidence. 

See Rule 104(a). Of course, the Rule 104(a) standard applies 

to most of the admissibility requirements set forth in the 

Evidence Rules. See Bourjaily v. United States, 483 U.S. 171 

(1987). But many courts have held that the critical questions 

of the sufficiency of an expert’s basis, and the application of 

the expert’s methodology, are questions of weight and not 

admissibility. These rulings are an incorrect application of 

Rules 702 and 104(a). 

There is no intent to raise any negative inference 

regarding the applicability of the Rule 104(a) standard of 

proof for other rules. The Committee concluded that 

emphasizing the preponderance standard in Rule 702 

specifically was made necessary by the courts that have 

failed to apply correctly the reliability requirements of that 

rule. 

The amendment clarifies that the preponderance 

standard applies to the three reliability-based requirements 

added in 2000—requirements that many courts have 

incorrectly determined to be governed by the more 

permissive Rule 104(b) standard. But of course other 

admissibility requirements in the rule (such as that the expert 

must be qualified and the expert’s testimony must help the 

trier of fact) are governed by the Rule 104(a) standard as 

well.

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 FEDERAL RULES OF EVIDENCE 3 

Of course, some challenges to expert testimony will 

raise matters of weight rather than admissibility even under 

the Rule 104(a) standard. For example, if the court finds by 

a preponderance of the evidence that an expert has a

sufficient basis to support an opinion, the fact that the expert 

has not read every single study that exists will raise a 

question of weight and not admissibility. But this does not 

mean, as certain courts have held, that arguments about the 

sufficiency of an expert’s basis always go to weight and not 

admissibility. Rather it means that once the court has found 

the admissibility requirement to be met by a preponderance 

of the evidence, any attack by the opponent will go only to 

the weight of the evidence. 

It will often occur that experts come to different 

conclusions based on contested sets of facts. Where that is 

so, the preponderance of the evidence standard does not 

necessarily require exclusion of either side’s experts. Rather, 

by deciding the disputed facts, the jury can decide which 

side’s experts to credit. 

Rule 702 requires that the expert’s knowledge “help” 

the trier of fact to understand the evidence or to determine a 

fact in issue. Unfortunately, some courts have required the 

expert’s testimony to “appreciably help” the trier of fact. 

Applying a higher standard than helpfulness to otherwise 

reliable expert testimony is unnecessarily strict.

Rule 702(d) has also been amended to emphasize that 

a trial judge must exercise gatekeeping authority with 

respect to the opinion ultimately expressed by a testifying 

expert. A testifying expert’s opinion must stay within the 

bounds of what can be concluded by a reliable application of 

the expert’s basis and methodology. Judicial gatekeeping is 

essential because just as jurors may be unable to evaluate 

meaningfully the reliability of scientific and other methods 

Preliminary Draft | August 2021 Page 310 of 327
4 FEDERAL RULES OF EVIDENCE

underlying expert opinion, jurors may also be unable to 

assess the conclusions of an expert that go beyond what the 

expert’s basis and methodology may reliably support. 

The amendment is especially pertinent to the 

testimony of forensic experts in both criminal and civil 

cases. Forensic experts should avoid assertions of absolute 

or one hundred percent certainty—or to a reasonable degree 

of scientific certainty—if the methodology is subjective and 

thus potentially subject to error. In deciding whether to admit 

forensic expert testimony, the judge should (where possible) 

receive an estimate of the known or potential rate of error of 

the methodology employed, based (where appropriate) on 

studies that reflect how often the method produces accurate 

results. Expert opinion testimony regarding the weight of 

feature comparison evidence (i.e., evidence that a set of 

features corresponds between two examined items) must be 

limited to those inferences that can reasonably be drawn 

from a reliable application of the principles and methods. 

This amendment does not, however, bar testimony that 

comports with substantive law requiring opinions to a 

particular degree of certainty.

Nothing in the amendment imposes any new, 

specific procedures. Rather, the amendment is simply 

intended to clarify that Rule 104(a)’s requirement that a 

court must determine admissibility by a preponderance 

applies to expert opinions under Rule 702. Similarly, nothing 

in the amendment requires the court to nitpick an expert’s 

opinion in order to reach a perfect expression of what the 

basis and methodology can support. The Rule 104(a) 

standard does not require perfection. On the other hand, it 

does not permit the expert to make extravagant claims that 

are unsupported by the expert’s basis and methodology. 

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 FEDERAL RULES OF EVIDENCE 5 

The amendment’s reference to “a preponderance of 

the evidence” is not meant to indicate that the information 

presented to the judge at a Rule 104(a) hearing must meet 

the rules of admissibility. It simply means that the judge 

must find, on the basis of the information presented, that the 

proponent has shown the requirements of the rule to be 

satisfied more likely than not.

Preliminary Draft | August 2021 Page 312 of 327
§ 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.

(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

Preliminary Draft | August 2021 Page 313 of 327
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.

(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.

Preliminary Draft | August 2021 Page 314 of 327
§ 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.

(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.

Preliminary Draft | August 2021 Page 315 of 327
(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 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

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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 01-023) April 6, 2021

Preliminary Draft | August 2021 Page 317 of 327
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

(Standing Committee)

Effective: January 1, 2021 to October 1, 2021 Page 1 

Revised: July 1, 2021

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 Jesse M. Furman

United States District Court

New York, NY 

Daniel C. Girard, Esq. 

Girard Sharp LLP

San Francisco, CA 

Robert J. Giuffra, Jr., Esq.

Sullivan & Cromwell LLP

New York, NY 

Honorable Frank M. Hull

United States Court of Appeals

Atlanta, GA 

Honorable William J. Kayatta, Jr.

United States Court of Appeals

Portland, ME 

Peter D. Keisler, Esq.

Sidley Austin, LLP 

Washington, DC 

Professor William K. Kelley

Notre Dame Law School 

Notre Dame, IN 

Honorable Carolyn B. Kuhl

Superior Court of the State of California

Los Angeles, CA 

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 

Honorable Gene E.K. Pratter

United States District Court

Philadelphia, 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 

Professor R. Joseph Kimble

Thomas M. Cooley Law School 

Lansing, MI 

Joseph F. Spaniol, Jr., Esq.

Bethesda, MD 

Preliminary Draft | August 2021 Page 318 of 327
ADVISORY COMMITTEE ON APPELLATE RULES

Effective: January 1, 2021 to October 1, 2021 Page 1 

Revised: July 1, 2021

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

Honorable Stephen J. Murphy III 

United States District Court

Detroit, MI 

Honorable Elizabeth Prelogar

Acting Solicitor General (ex officio)

United States Department of Justice

Washington, DC 

Professor Stephen E. Sachs

Harvard Law School 

Cambridge, MA 

Danielle Spinelli, Esq.

Wilmer Cutler Pickering Hale and Dorr LLP

Washington, DC 

Honorable Paul J. Watford

United States Court of Appeals

Pasadena, CA 

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 Bernice B. Donald 

(Bankruptcy) 

United States Court of Appeals 

Memphis, TN 

Honorable Frank M. Hull 

(Standing)

United States Court of Appeals

Atlanta, GA 

Clerk of Court Representative

Molly Dwyer, Esq. 

Clerk

United States Court of Appeals

San Francisco, CA 

Preliminary Draft | August 2021 Page 319 of 327
ADVISORY COMMITTEE ON BANKRUPTCY RULES

Effective: January 1, 2021 to October 1, 2021 Page 1 

Revised: July 1, 2021

Chair Reporter

Honorable Dennis R. Dow

United States Bankruptcy Court 

Kansas City, MO 

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 Thomas L. Ambro 

United States Court of Appeals

Wilmington, DE 

Honorable Rebecca B. Connelly 

United States Bankruptcy Court 

Harrisonburg, VA 

Honorable Bernice B. Donald

United States Court of Appeals

Memphis, TN 

Honorable David A. Hubbert

Acting Assistant Attorney General

Tax Division (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 

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

Professor David A. Skeel

University of Pennsylvania Law School 

Philadelphia, PA 

Tara Twomey, Esq. 

National Consumer Bankruptcy 

 Rights Center 

San Jose, CA

Honorable George H. Wu 

United States District Court

Los Angeles, CA 

Preliminary Draft | August 2021 Page 320 of 327
ADVISORY COMMITTEE ON BANKRUPTCY RULES

Effective: January 1, 2021 to October 1, 2021 Page 2 

Revised: July 1, 2021

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 

Clerk

United States Bankruptcy Court 

Denver, CO 

Preliminary Draft | August 2021 Page 321 of 327
ADVISORY COMMITTEE ON CIVIL RULES

Effective: January 1, 2021 to October 1, 2021 Page 1 

Revised: July 1, 2021

Chair Reporter

Honorable Robert M. Dow, Jr.

United States District Court

Chicago, IL 

Professor Edward H. Cooper 

University of Michigan Law School 

Ann Arbor, MI 

Associate Reporter

Professor Richard L. Marcus

University of California

Hastings College of the Law

San Francisco, CA 

Members

Honorable Jennifer C. Boal 

United States District Court

Boston, MA 

Honorable Brian M. Boynton 

Acting Assistant Attorney General (ex officio)

United States Department of Justice 

Washington, DC 

David J. Burman, Esq.

Perkins Coie LLP

Seattle, WA 

Honorable Joan N. Ericksen

United States District Court

Minneapolis, MN 

Honorable David C. Godbey

United States District Court

Dallas, TX 

Honorable Kent A. Jordan

United States Court of Appeals

Wilmington, DE 

Honorable Thomas R. Lee

Utah Supreme Court 

Salt Lake City, UT 

Honorable Sara Lioi

United States District Court

Akron, OH 

Honorable Brian Morris

United States District Court

Great Falls, MT 

Honorable Robin L. Rosenberg

United States District Court

West Palm Beach, FL 

Joseph M. Sellers, Esq.

Cohen Milstein Sellers & Toll PLLC

Washington, DC 

Dean A. Benjamin Spencer

William & Mary Law School 

Williamsburg, VA 

Ariana J. Tadler, Esq.

Tadler Law LLP 

New York, NY 

Helen E. Witt, Esq.

Kirkland & Ellis LLP

Chicago, IL 

Preliminary Draft | August 2021 Page 322 of 327
ADVISORY COMMITTEE ON CIVIL RULES

Effective: January 1, 2021 to October 1, 2021 Page 2 

Revised: July 1, 2021

Liaisons

Peter D. Keisler, Esq. 

(Standing) 

Sidley Austin, LLP 

Washington, DC 

Honorable Catherine P. McEwen

(Bankruptcy) 

United States Bankruptcy Court 

Tampa, FL 

Clerk of Court Representative

Susan Y. Soong, Esq. 

Clerk

United States District Court

San Francisco, CA 

Preliminary Draft | August 2021 Page 323 of 327
ADVISORY COMMITTEE ON CRIMINAL RULES

Effective: January 1, 2021 to October 1, 2021 Page 1 

Revised: July 1, 2021

Chair Reporter

Honorable Raymond M. Kethledge 

United States Court of Appeals

Ann Arbor, MI 

Professor Sara Sun Beale

Duke Law School 

Durham, NC 

Associate Reporter

Professor Nancy J. King

Vanderbilt University Law School 

Nashville, TN 

Members

Honorable Timothy Burgess 

United States District Court

Anchorage, AK 

Honorable James C. Dever III

United States District Court

Raleigh, NC 

Dean Roger A. Fairfax

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 Denise P. Hood

United States District Court

Detroit, MI 

Honorable Lewis A. Kaplan

United States District Court

New York, NY 

Honorable Bruce J. McGiverin

United States District Court

San Juan, PR 

Honorable Nicholas L. McQuaid

Acting Assistant Attorney General 

(ex officio)

United States Department of Justice

Washington, DC 

Honorable Jacqueline H. Nguyen

United States Court of Appeals

Pasadena, CA 

Catherine M. Recker, Esq.

Welsh & Recker PC

Philadelphia, PA 

Susan M. Robinson, Esq. 

Thomas Combs & Spann PLLC 

Charleston, WV 

Liaisons

Honorable Jesse M. Furman 

(Standing) 

United States District Court

New York, NY 

Preliminary Draft | August 2021 Page 324 of 327
ADVISORY COMMITTEE ON CRIMINAL RULES

Effective: January 1, 2021 to October 1, 2021 Page 2 

Revised: July 1, 2021

Clerk of Court Representative

James N. Hatten

Clerk

United States District Court 

Atlanta, GA 

Preliminary Draft | August 2021 Page 325 of 327
ADVISORY COMMITTEE ON EVIDENCE RULES

Effective: January 1, 2021 to October 1, 2021 Page 1 

Revised: July 1, 2021

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

Honorable James P. Bassett

New Hampshire Supreme Court 

Concord, NH 

Honorable John P. Carlin 

Principal Associate Deputy Attorney General

(ex officio)

United States Department of Justice

Washington, DC 

Honorable Shelly Dick

United States District Court

Baton Rouge, LA 

Traci L. Lovitt, Esq.

Jones Day

Boston, MA 

Kathryn N. Nester, Esq.

Federal Defenders of San Diego, Inc. 

San Diego, CA 

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 

Consultants

Professor Liesa Richter

University of Oklahoma School of Law 

Norman, OK 

Liaisons

Honorable James C. Dever III 

(Criminal) 

United States District Court

Raleigh, NC 

Honorable Carolyn B. Kuhl 

(Standing) 

Superior Court of the State of California

Los Angeles, CA 

Honorable Sara Lioi 

(Civil) 

United States District Court

Akron, OH 

Preliminary Draft | August 2021 Page 326 of 327
Committee on Rules of Practice and Procedure 

Judicial Conference of the United States

Thurgood Marshall Federal Judiciary Building

Washington, DC 20544

uscourts.gov

Committee on Rules of Practice and Procedure

Thurgood Marshall Federal Judiciary Building

Washington, DC

uscourts.gov

the united states courts