Prepared by the

Committee on Rules of Practice and Procedure 

Judicial Conference of the United States

August 2020

PRELIMINARY DRAFT 

Proposed Amendments to the Federal Rules of 

Appellate, Bankruptcy, Civil, and Criminal Procedure

Request For Comment

Comments are Sought 

on Amendments to: 

Appellate Rule

Bankruptcy Rules

Civil Rules

Criminal Rule

Written Comments Due by 

February 16, 2021

Committee on Rules of Practice and Procedure

Thurgood Marshall Federal Judiciary Building

WashingtonDC

the united states courts

25

Restyled Rules Parts I and II; Rules 

1007, 1020, 2009, 2012, 2015, 3002, 

3010, 3011, 3014, 3016, 3017.1, 

3017.2 (new), 3018, 3019, 5005, 

7004, and 8023; and Official Forms 

101, 122B, 201, 309E-1, 309E-2, 

309F-1, 309F-2, 314, 315, and 425A

Rule 12 and Supplemental 

Rules for Social Security 

Review Actions Under 42 

U.S.C. § 405(g)

16
THIS PAGE INTENTIONALLY BLANK
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, DC 20544 

DAVID G. CAMPBELL

CHAIR

REBECCA A. WOMELDORF

SECRETARY

CHAIRS OF ADVISORY COMMITTEES

MICHAEL A. CHAGARES

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

JOHN D. BATES

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

DEBRA A. LIVINGSTON

EVIDENCE RULES

M E M O R A N D U M

TO: The Bench, Bar, and Public 

FROM: Honorable David G. Campbell, Chair 

 Committee on Rules of Practice and Procedure 

DATE: August 14, 2020 

RE: Request for Comments on Proposed Rules and Forms Amendments 

____________________________________________________________________________ 

 The Judicial Conference Advisory Committees on Appellate, Bankruptcy, Civil, and 

Criminal Rules have proposed amendments to their respective rules and requested that the 

proposals be circulated to the bench, bar, and public for comment. The proposed amendments, 

excerpts from the advisory committees’ reports, and other information are attached and posted on 

the Judiciary’s website at:

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

Opportunity for Public Comment

 All comments on these proposed amendments will be carefully considered by the 

advisory committees, which are composed of experienced trial and appellate lawyers, judges, 

and scholars. Please provide any comments on the proposed amendments, whether favorable, 

adverse, or otherwise, as soon as possible, but no later than February 16, 2021. All comments 

are made part of the official record and are available to the public.

Preliminary Draft | August 2020 Page 3 of 280
Memorandum to the Bench, Bar, and Public 

August 14, 2020 

Page 2 

 Comments concerning the proposed amendments must be submitted electronically by 

following the instructions at: 

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

Members of the public who wish to present testimony may appear at public hearings on 

these proposals. The advisory committees will hold hearings on the proposed amendments on the 

following dates1: 

• Appellate Rules on October 19, 2020 and January 4, 2021; 

• Bankruptcy Rules on January 7, 2021 and January 29, 2021; 

• Civil Rules on November 10, 2020 and January 22, 2021; and 

• Criminal Rules on November 4, 2020 and January 25, 2021. 

If you wish to testify, you must notify the Secretary of the Committee on Rules of 

Practice and Procedure at least 30 days before the scheduled hearing by email: 

RulesCommittee_Secretary@ao.uscourts.gov. Hearing cancelations, if any, will be posted at: 

https://www.uscourts.gov/rules-policies/about-rulemaking-process/open-meetings-and-hearingsrules-committee. 

At this time, the Committee on Rules of Practice and Procedure has approved these 

proposed amendments only for publication and comment. The proposed amendments have not 

been submitted to or considered by the Judicial Conference or the Supreme Court. After the 

public comment period, the advisory committees will decide whether to submit the proposed 

amendments to the Committee on Rules of Practice and Procedure for approval in accordance 

with the Rules Enabling Act, 28 U.S.C. §§ 2072-2077. 

 Under the Rules Enabling Act, any rules amendments approved, with or without revision, 

by the relevant advisory committee must then be approved by the Committee on Rules of 

Practice and Procedure, the Judicial Conference, and the Supreme Court. The proposed 

amendments would become effective on December 1, 2022 absent congressional action. 

 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/rules-policies 

1

 Due to the Coronavirus Disease 2019 pandemic, the hearings will likely be conducted in a virtual 

format.

Preliminary Draft | August 2020 Page 4 of 280
TABLE OF CONTENTS 

 Page

PART I: FEDERAL RULES OF APPELLATE

PROCEDURE

Excerpt of Memorandum from Judge Michael A. Chagares, 

Chair, Advisory Committee on Appellate Rules, to 

Judge David G. Campbell, Chair, Committee on Rules of 

Practice and Procedure (June 1, 2020) ............................................. 9 

Rule 25. Filing and Service ................................................... 13 

PART II: FEDERAL RULES OF BANKRUPTCY 

PROCEDURE

Excerpt of Memorandum from Judge Dennis R. Dow, 

Chair, Advisory Committee on Bankruptcy Rules, to 

Judge David G. Campbell, Chair, Committee on Rules of 

Practice and Procedure (May 18, 2020) .......................................... 15 

Rule 3002. Filing Proof of Claim or Interest........................... 166 

Rule 5005. Filing and Transmittal of Papers ........................... 168 

Rule 7004. Process; Service of Summons, Complaint ............ 170 

Rule 8023. Voluntary Dismissal ............................................. 171 

Restyled Rules

Part I. .............................................................................................. 23 

Part II. ............................................................................................. 69 

Small Business Reorganization Act of 2019 Rules

Rule 1007. Lists, Schedules, Statements, and Other 

Documents; Time Limits ...................................... 135 

Rule 1020. Small Business Chapter 11 Reorganization 

Case ....................................................................... 138 

Rule 2009. Trustees for Estates When Joint Administration 

Ordered ................................................................. 142 

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TABLE OF CONTENTS 

 Page

Rule 2012. Substitution of Trustee or Successor Trustee; 

Accounting ............................................................ 144 

Rule 2015. Duty to Keep Records, Make Reports, and 

Give Notice of Case or Change of Status ............. 145 

Rule 3010. Small Dividends and Payments in Cases 

Under Chapter 7, Subchapter V of Chapter 11, 

Chapter 12, and Chapter 13 .................................. 152 

Rule 3011. Unclaimed Funds in Cases Under Chapter 7, 

Subchapter V of Chapter 11, Chapter 12, 

 and Chapter 13 ...................................................... 153 

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

in Chapter 9 Municipality or Chapter 11 

Reorganization Case ............................................. 154 

Rule 3016. Filing of Plan and Disclosure Statement in a 

Chapter 9 Municipality or Chapter 11 

Reorganization Case ............................................. 156 

Rule 3017.1. Court Consideration of Disclosure Statement in 

a Small Business Case .......................................... 158 

Rule 3017.2. Fixing of Dates by the Court in Subchapter V 

Cases in Which There Is No Disclosure 

Statement .............................................................. 160 

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

Municipality or a Chapter 11 Reorganization 

Case ....................................................................... 162 

Rule 3019. Modification of Accepted Plan in a Chapter 9 

Municipality or a Chapter 11 Reorganization 

Case ....................................................................... 164 

Small Business Reorganization Act of 2019 Forms

Form 101. Voluntary Petition for Individuals Filing for 

Bankruptcy ............................................................ 173 

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TABLE OF CONTENTS 

 Page

Form 122B. Chapter 11 Statement of Your Current 

Monthly Income .................................................... 182 

Form 201. Voluntary Petition for Non-Individuals Filing for 

Bankruptcy ........................................................... 185 

Form 309E-1. Notice of Chapter 11 Bankruptcy Case (For 

Individuals or Joint Debtors) ............................... 190 

Form 309E-2. Notice of Chapter 11 Bankruptcy Case (For 

Individuals or Joint Debtors under 

Subchapter V......................................................... 192 

Form 309F-1. Notice of Chapter 11 Bankruptcy Case (For 

Corporations or Partnerships ................................ 195 

Form 309F-2. Notice of Chapter 11 Bankruptcy Case (For 3 

Corporations or Partnerships under 

Subchapter V......................................................... 197 

Form 314. Ballot for Accepting or Rejecting Plan ................. 200 

Form 315. Order Confirming Plan ......................................... 203 

Form 425A. Plan of Reorganization for Small Business 

Under Chapter 11 .................................................. 205 

PART III: FEDERAL RULES OF CIVIL PROCEDURE

Excerpt of Memorandum from Judge John D. Bates, Chair, 

Advisory Committee on Civil Rules, to Judge David G. 

Campbell, Chair, Committee on Rules of Practice and 

Procedure (May 27, 2020) ............................................................ 213 

Rule 12. Defenses and Objections: When and How 

Presented; Motion for Judgment on the Pleadings; 

Consolidating Motions; Waiving Defenses; 

Pretrial Hearing ..................................................... 229 

Supplemental Rules for Social Security Review Actions Under 

42 U.S.C. § 405(g) ........................................................................ 231 

Preliminary Draft | August 2020 Page 7 of 280
TABLE OF CONTENTS 

 Page

PART IV: FEDERAL RULES OF CRIMINAL PROCEDURE

Excerpt of Memorandum from Judge Raymond Kethledge, Chair, 

Advisory Committee on Criminal Rules, to Judge David G. 

Campbell, Chair, Committee on Rules of Practice and 

Procedure (May 20, 2020) ............................................................ 243 

Rule 16. Discovery and Inspection...................................... 253 

APPENDIX: 

Procedures for the Judicial Conference’s Committee on 

Rules of Practice and Procedure and Its Advisory Rules 

Committees ................................................................................... 267 

Preliminary Draft | August 2020 Page 8 of 280
Excerpt from the June 1, 2020 Report of the Advisory Committee on Appellate Rules 

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544 

DAVID G. CAMPBELL

CHAIR

REBECCA A. WOMELDORF

SECRETARY

CHAIRS OF ADVISORY COMMITTEES

MICHAEL A. CHAGARES

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

JOHN D. BATES

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

DEBRA A. LIVINGSTON

EVIDENCE RULES

MEMORANDUM

To: Honorable David G. Campbell, Chair

 Committee on Rules of Practice and Procedure

From: Honorable Michael A. Chagares, Chair

 Advisory Committee on Appellate Rules 

Re: Report of the Advisory Committee on the Appellate Rules

Date: June 1, 2020

I. Introduction

The Advisory Committee on the Appellate Rules met by telephone conference 

call on Friday, April 3, 2020.

* * * * *

The Committee also approved a proposed amendment to Rule 25, dealing with 

privacy in Railroad Retirement Act cases, for which it seeks approval for publication.

* * * * *

Preliminary Draft | August 2020 Page 9 of 280
Excerpt from the June 1, 2020 Report of the Advisory Committee on Appellate Rules 

III. Item for Approval for Publication

The Committee seeks approval for publication of a proposed amendment to 

Rule 25 extending the privacy protections afforded in Social Security benefit cases to 

Railroad Retirement Act benefit cases.

Civil Rule 5.2(c) protects the privacy of Social Security claimants by limiting 

electronic access to case files. Although members of the public can access the full 

electronic record if they come to the courthouse, they can remotely access only the 

docket and judicial decisions. Appellate Rule 25(a)(5) piggybacks on Civil Rule 5.2(c): 

“An appeal in a case whose privacy protection was governed by . . . Federal Rule of 

Civil Procedure 5.2 . . . is governed by the same rule on appeal.”

 This piggyback approach works fine for categories of cases that can be heard 

in both the district courts and the courts of appeals. But unlike Social Security benefit 

cases, Railroad Retirement benefit cases go directly to the courts of appeals.

 There is little doubt that there are close parallels between the Social Security 

and Railroad Retirement programs. See BNSF Ry. Co. v. Loos, 139 S. Ct. 893, 898 

(2019) (“Given the similarities in timing and purpose of the two programs, it is hardly 

surprising that their statutory foundations mirror each other.”). Accordingly, the 

Committee believes that it makes sense to accord the same kind of privacy protection 

to both kinds of cases.

The Committee requests publication of the following, which has not changed 

since the Standing Committee saw a working draft in January: 

Rule 25. Filing and Service

(a) Filing

* * * *

(5) Privacy Protection. An appeal in a case whose privacy 

protection was governed by Federal Rule of Bankruptcy Procedure 

9037, Federal Rule of Civil Procedure 5.2, or Federal Rule of 

Criminal Procedure 49.1 is governed by the same rule on appeal. In 

all other proceedings, privacy protection is governed by Federal Rule 

of Civil Procedure 5.2, except that Federal Rule of Criminal 

Procedure 49.1 governs when an extraordinary writ is sought in a 

criminal case. The provisions on remote access in Federal Rule of 

Civil Procedure 5.2(c)(1) and (2) apply in a petition for review of a 

benefits decision of the Railroad Retirement Board under the 

Railroad Retirement Act. 

* * * *

Preliminary Draft | August 2020 Page 10 of 280
Excerpt from the June 1, 2020 Report of the Advisory Committee on Appellate Rules 

Committee Note

There are close parallels between the Social Security Act and 

the Railroad Retirement Act. One difference, however, is that judicial 

review in Social Security cases is initiated in the district courts, while 

judicial review in Railroad Retirement cases is initiated directly in 

the courts of appeals. Federal Rule of Civil Procedure 5.2 protects 

privacy in Social Security cases by limiting electronic access. The 

amendment extends those protections to Railroad Retirement cases.

At the January 2020 meeting of the Standing Committee, questions were 

raised about the scope of the proposal compared to the scope of the work of the 

Railroad Retirement Board (RRB). 

The Committee has confirmed that the RRB renders decisions that are not 

under the Railroad Retirement Act. In particular, it administers the Railroad 

Unemployment Insurance Act. The RRB also renders decisions under the Railroad 

Retirement Act that are not benefits decisions. For example, it decides whether a 

company is an employer under the Railroad Retirement Act.

 The Committee is not aware of any petitions for review under the Railroad 

Retirement Act that are not directed at the RRB. The Committee nevertheless 

decided to retain the phrase “Railroad Retirement Board” in the proposed 

amendment. Not only is clarity enhanced by including this phrase, but it is consonant 

with Rule 15(a)(2), which requires that a petition for review name the agency as a 

respondent.

* * * * *

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Preliminary Draft | August 2020 Page 12 of 280
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF APPELLATE PROCEDURE1

1 Rule 25. Filing and Service 

2 (a) Filing

3 * * * * *

4 (5) Privacy Protection. An appeal in a case

5 whose privacy protection was governed by

6 Federal Rule of Bankruptcy Procedure

7 9037, Federal Rule of Civil Procedure 5.2,

8 or Federal Rule of Criminal Procedure 49.1

9 is governed by the same rule on appeal. In

10 all other proceedings, privacy protection is

11 governed by Federal Rule of Civil

12 Procedure 5.2, except that Federal Rule of

13 Criminal Procedure 49.1 governs when an

14 extraordinary writ is sought in a criminal

15 case. The provisions on remote access in

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

is lined through. 

Preliminary Draft | August 2020 Page 13 of 280
2 FEDERAL RULES OF APPELLATE PROCEDURE 

16 Federal Rule of Civil Procedure 5.2(c)(1) 

17 and (2) apply in a petition for review of a 

18 benefits decision of the Railroad 

19 Retirement Board under the Railroad 

20 Retirement Act. 

21 * * * * * 

Committee Note 

There are close parallels between the Social Security 

Act and the Railroad Retirement Act. One difference, 

however, is that judicial review in Social Security cases is 

initiated in the district courts, while judicial review in 

Railroad Retirement cases is initiated directly in the courts 

of appeals. Federal Rule of Civil Procedure 5.2 protects 

privacy in Social Security cases by limiting electronic 

access. The amendment extends those protections to 

Railroad Retirement cases. 

Preliminary Draft | August 2020 Page 14 of 280
Excerpt from the May 18, 2020 Report of the Advisory Committee on Bankruptcy Rules 

(revised August 6, 2020) 

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

DAVID G. CAMPBELL

CHAIR

REBECCA A. WOMELDORF

SECRETARY

CHAIRS OF ADVISORY COMMITTEES

MICHAEL A. CHAGARES

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

JOHN D. BATES

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

DEBRA A. LIVINGSTON

EVIDENCE RULES

MEMORANDUM

TO: Honorable David G. Campbell, Chair 

 Standing Committee on Rules of Practice and Procedure 

FROM: Honorable Dennis R. Dow, Chair 

 Advisory Committee on Bankruptcy Rules 

DATE: May 18, 2020 (revised August 6, 2020) 

RE: Report of the Advisory Committee on Bankruptcy Rules 

I. Introduction

The Advisory Committee on Bankruptcy Rules met virtually via WebEx on April 2, 2020.

* * * * * 

Finally, the Advisory Committee voted to seek publication for comment of amendments to 

(1) Parts I and II of the Bankruptcy Rules that are proposed as part of the rules restyling project; 

(2) thirteen rules and ten official forms that were previously issued on an interim basis in response 

to the Small Business Reorganization Act of 2019 (“SBRA”); and (3) amendments to three

additional rules. 

Part II of this report presents those action items along with one other rule amendment for 

publication that the Advisory Committee voted on at its fall 2019 meeting. At that earlier meeting, 

Preliminary Draft | August 2020 Page 15 of 280
Excerpt from the May 18, 2020 Report of the Advisory Committee on Bankruptcy Rules 

(revised August 6, 2020) 

the Advisory Committee voted to seek publication of amendments to Rule 8023 (Voluntary 

Dismissal) to conform to amendments being proposed to the parallel appellate rule, FRAP 42. 

 

The action items are organized as follows:

* * * * * 

B. Items for Publication

• Restyled Rules Parts I and II;

• Rules 1007, 1020, 2009, 2012, 2015, 3010, 3011, 3014, 3016, 3017.1, new Rule 

3017.2, 3018, and 3019 (in response to SBRA); 

• Rule 3002(c)(6);

• Rule 5005; 

• Rule 7004; 

• Rule 8023; and 

• Official Forms 101, 122B, 201, 309E-1, 309E-2, 309F-1, 309F-2, 314, 315, and 

425A (in response to SBRA).

* * * * * 

B. Items for Publication 

The Advisory Committee recommends that the following rule amendments be 

published for public comment in August 2020. The rules in this group appear in Bankruptcy 

Appendix B. 

Action Item 6. Restyled Parts I and II. The restyled rules are the product of intensive 

and collaborative work between the style consultants, who produced the initial drafts, and the 

Reporters and Restyling Subcommittee of the Advisory Committee, who provided comments to 

the style consultants on those drafts. Each set of rules was the subject of several reviews by all 

parties, including many telephonic and Skype meetings by the Subcommittee to look at drafts 

while revisions were made and drafting issues discussed. 

The Advisory Committee has endorsed the following basic principles to guide the restyling 

project:

1. Make No Substantive Changes. Most of the comments the Reporters and Subcommittee 

made on the drafts were aimed at preventing an inadvertent substantive change in meaning by the 

use of a different word or phrase than in the existing rule. The rules are being restyled from the 

version in effect at the time of publication. Future rules changes unrelated to restyling will be 

incorporated before the restyled rules are finalized.

2. Respect Defined Terms. Any word or phrase that is defined in the Code should appear 

in the restyled rules exactly as it appears in the Code definition without restyling, despite any 

possible flaws from a stylistic standpoint. Examples include the unhyphenated terms “equity 

Preliminary Draft | August 2020 Page 16 of 280
Excerpt from the May 18, 2020 Report of the Advisory Committee on Bankruptcy Rules 

(revised August 6, 2020) 

security holder,” “small business case,” “small business debtor,” “health care business,” and 

“bankruptcy petition preparer.” 

On the other hand, when terms are used in the Code but are not defined, they may be 

restyled in the rules, such as “personal financial-management course,” “credit-counseling 

statement,” and “patient-care ombudsman.”

3. Preserve Terms of Art. When a phrase is used commonly in bankruptcy practice, we 

have recommended that it not be restyled. Such a phrase that was often used in Part I of the rules 

was “meeting of creditors.”

 4. Remain Open to New Ideas. The style consultants suggested some different approaches 

in the rules, which the Advisory Committee has embraced, including making references to specific 

forms by form number, and listing recipients of notices by bullet points. 

 5. Defer on Matter of Pure Style. Although the Subcommittee made many suggestions of 

ways to improve the drafting of the restyled rules, on matters of pure style the Advisory Committee 

has committed to deferring to the style consultants when they have different views. 

The Advisory Committee also decided not to attempt to restyle rules that were enacted by 

Congress. When Congress passed the Bankruptcy Amendments and Federal Judgeship Act of 

1984, Pub. L. 98-353, 98 Stat. 357, it included the following provision: 

SEC. 321. Rule 2002 of the Bankruptcy Rules is amended by adding at the end 

thereof the following new subdivision: 

 “(n) In a voluntary case commenced under the Code by an individual debtor 

whose debts are primarily consumer debts, the clerk, or some other person as the 

court may direct, shall give the trustee and all creditors notice by mail of the order 

for relief not more than 20 days after the entry of such order.” 

Other Bankruptcy Rules that were enacted by Congress in whole or in part are Rules 2002(f), 

3001(g), and 7004(h). The Advisory Committee concluded that, even if it has the authority to 

restyle statutory rules under the Rules Enabling Act, 28 U.S.C. § 2075, it would not be advisable 

to challenge Congressional authority in connection with this project. 

Although the Advisory Committee requests that the restyled rules be published for public 

comment in August 2020, none of the restyled rules will submitted to the Judicial Conference until 

all of the rules have been restyled and published for comment and given final approval by the 

Advisory Committee and the Standing Committee. 

Action Item 7. SBRA Rules. The interim rules that the Advisory Committee issued in 

response to the enactment of the Small Business Reorganization Act of 2019 took effect as local 

rules or standing orders on February 19, 2020, the effective date of the Act. Now the Advisory 

Committee has begun the process of promulgating national rules governing cases under subchapter 

V of chapter 11 by seeking publication of the amended and new rules for comment this summer, 

along with the SBRA form amendments. 

Preliminary Draft | August 2020 Page 17 of 280
Excerpt from the May 18, 2020 Report of the Advisory Committee on Bankruptcy Rules 

(revised August 6, 2020) 

 The SBRA rules consist of the following: 

• Rule 1007 (Lists, Schedules, Statements, and Other Documents; Time Limits),

• Rule 1020 (Small Business Chapter 11 Reorganization Case), 

• Rule 2009 (Trustees for Estates When Joint Administration Ordered),

• Rule 2012 (Substitution of Trustee or Successor Trustee; Accounting), 

• Rule 2015 (Duty to Keep Records, Make Reports, and Give Notice of Case or Change of 

Status),

• Rule 3010 (Small Dividends and Payments in Cases Under Chapter 7, Subchapter V of 

Chapter 11, Chapter 12, and Chapter 13), 

• Rule 3011 (Unclaimed Funds in Cases Under Chapter 7, Subchapter V of Chapter 11, 

Chapter 12, and Chapter 13), 

• Rule 3014 (Election Under § 1111(b) by Secured Creditor in Chapter 9 Municipality or 

Chapter 11 Reorganization Case), 

• Rule 3016 (Filing of Plan and Disclosure Statement in a Chapter 9 Municipality or Chapter 

11 Reorganization Case), 

• Rule 3017.1 (Court Consideration of Disclosure Statement in a Small Business Case),

• new Rule 3017.2 (Fixing of Dates by the Court in Subchapter V Cases in Which There Is 

No Disclosure Statement),

• Rule 3018 (Acceptance or Rejection of Plan in a Chapter 9 Municipality or a Chapter 11 

Reorganization Case), and

• Rule 3019 (Modification of Accepted Plan in a Chapter 9 Municipality or a Chapter 11 

Reorganization Case).

Because the interim rules had just recently gone into effect when the Advisory Committee 

met, there had been little experience with them. As a result, the only suggested changes of which 

the Advisory Committee was aware were a few stylistic changes to Rules 3017.2 and 3019 

suggested by the style consultants. 

The only concern the Advisory Committee had about the stylistic suggestions was that the 

proposed change to Rule 3019(c)―changing “MODIFICATION OF” to ”MODIFYING” 

―would make that title inconsistent with the titles of subdivision (a) (MODIFICATION OF PLAN 

BEFORE CONFIRMATION) and subdivision (b) (MODIFICATION OF PLAN AFTER 

CONFIRMATION IN INDIVIDUAL DEBTOR CASE). The Committee concluded that the title 

of (c) should be kept as it is for now and that the style consultants’ change should be made to all 

of the subdivisions in the restyling process. With that exception, the Advisory Committee 

approved the SBRA rules for publication with the changes recommended by the style consultants.

Action Item 8. Rule 3002(c)(6) (Time for Filing Proof of Claim). Rule 3002 requires 

creditors to file proofs of claim for their claims to be allowed, and it specifies in subdivision (c) 

the deadline for filing those proofs of claim in cases filed under chapter 7, 12 and 13. Rule 3002(c) 

then provides certain exceptions, including for domestic creditors, in paragraph (6)(A), when “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).” Because failure to timely file the list of creditors’ names and addresses required 

by Rule 1007(a) is grounds for dismissal of a bankruptcy case, the situation described in that 

Preliminary Draft | August 2020 Page 18 of 280
Excerpt from the May 18, 2020 Report of the Advisory Committee on Bankruptcy Rules 

(revised August 6, 2020) 

exception is unlikely to exist. The Advisory Committee therefore proposes amending Rule 

3002(c)(6) to allow an extension of time to file proofs of claim for both domestic and foreign 

creditors if “the notice was insufficient under the circumstances to give the creditor a reasonable 

time to file a proof of claim.” That is the standard now applicable to foreign creditors under Rule 

3002(c)(6)(B). 

Action Item 9. Rule 5005 (Filing and Transmittal of Papers). Amendments to Rule 

9036 that went into effect in December 2019 would allow clerks and parties to provide notices or 

serve documents (other than those governed by Rule 7004) by means of the court’s electronicfiling system on registered users of that system. The rule also allows service or noticing on any 

entity by any electronic means consented to in writing by that person. 

Transmittal of papers to the U.S. trustee is governed by Rule 5005(b), which requires that 

such papers be “mailed or delivered to an office of the United States trustee, or to another place 

designated by the United States trustee” and that the entity transmitting the paper file as proof of 

transmittal a verified statement. The proposed amendments to Rule 5005(b) conform this U.S. 

trustee-specific rule to both amended Rule 9036 and current bankruptcy practice under Rule 

5005(b). The proposed changes, which are supported by the Executive Office for U.S. Trustees,

would allow papers to be transmitted to the U.S. trustee by electronic means, and would eliminate 

the requirement that the filed statement evidencing transmittal be verified.

Action Item 10. Rule 7004 (Process; Service of Summons, Complaint). The proposed 

amendments add a new Rule 7004(i) clarifying that service can be made under Rule 7004(b)(3) or 

Rule 7004(h) by position or title rather than specific name and, if the recipient is named, that the 

name need not be correct if service is made to the proper address and position or title. The 

proposed amendments are consistent with an Advisory Committee Note to its predecessor, Rule 

704, that explicitly stated: 

In serving a corporation or partnership or other unincorporated association by mail 

pursuant to paragraph (3) of subdivision (c), it is not necessary for the officer or 

agent of the defendant to be named in the address so long as the mail is 

addressed to the defendant’s proper address and directed to the attention of 

the officer or agent by reference to his position or title. 

(Emphasis supplied). 

When the Bankruptcy Rules were revised following the enactment of the Bankruptcy 

Reform Act of 1978, and Rule 704 became 7004, the original Advisory Committee Note to Rule 

704 was no longer included in the published version. The absence of the original Advisory 

Committee Note has created confusion, and because Advisory Committee Notes cannot be 

amended without an amendment to the Rule itself, the proposed amendments insert the substance 

of the former Advisory Committee Note into proposed Rule 7004(i).

Action Item 11. Rule 8023 (Voluntary Dismissal). At the meeting of the Standing 

Committee on June 25, 2019, the Advisory Committee on Appellate Rules presented proposed 

amendments to Rule 42(b) dealing with voluntary dismissals. The amended version is intended to 

Preliminary Draft | August 2020 Page 19 of 280
Excerpt from the May 18, 2020 Report of the Advisory Committee on Bankruptcy Rules 

(revised August 6, 2020) 

make dismissal mandatory upon agreement by the parties, as the rule stated prior to its restyling. 

It also intends to clarify that a court order is required for any action other than a simple dismissal. 

The rule does not change applicable law requiring court approval of settlements, payments, or 

other consideration. The revised Rule 42(b) was published for comment last August.1 

Bankruptcy Rule 8023 was modeled on Rule 42(b), and the proposed amendments are 

intended to make conforming changes to Rule 8023. 

Action Item 12. SBRA Forms. The new and amended forms that the Advisory 

Committee promulgated in response to the enactment of SBRA took effect on February 19, 2020, 

the effective date of the Act. Unlike the interim SBRA rules, the forms were officially 

issued―under the Advisory Committee’s delegated authority to make conforming and technical 

amendments to Official Forms, subject to subsequent approval by the Standing Committee and 

notice to the Judicial Conference. Nevertheless, the Advisory Committee committed to publishing 

them for comment this summer, along with the SBRA rule amendments, in order to ensure that the 

public has a thorough opportunity to review them. 

 The current SBRA Official Forms consist of the following: 

• Official Form 101 (Voluntary Petition for Individuals Filing for Bankruptcy), 

• Official Form 201 (Voluntary Petition for Non-Individuals Filing for Bankruptcy), 

• Official Form 309E-1 (Notice of Chapter 11 Bankruptcy Case (For Individuals or Joint 

Debtors)),

• Official Form 309E-2 (Notice of Chapter 11 Bankruptcy Case (For Individuals or Joint 

Debtors under Subchapter V)), 

• Official Form 309F-1 (Notice of Chapter 11 Bankruptcy Case (For Corporations or 

Partnerships)),

• Official Form 309F-2 (Notice of Chapter 11 Bankruptcy Case (For Corporations or 

Partnerships under Subchapter V)), 

• Official Form 314 (Ballot for Accepting or Rejecting Plan), 

• Official Form 315 (Order Confirming Plan), and 

• Official Form 425A (Plan of Reorganization for Small Business Under Chapter 11). 

 The Advisory Committee was aware of only one suggestion for a needed change, and that 

change is to an additional form. A staff member at the Administrative Office of the Courts pointed 

out the need to add an exception to the instructions set out at the beginning of Official Form 122B 

(Chapter 11 Statement of Your Current Monthly Income). It currently begins, “You must file this 

form if you are an individual and are filing for bankruptcy under Chapter 11.” That statement is 

incorrect for individuals filing under subchapter V of chapter 11. Section 1191(a) and (b) of the 

Code make § 1129(a)(15) inapplicable in subchapter V cases. The latter provision makes an 

individual debtor’s current monthly income generally relevant in chapter 11 cases because it bases 

1

 N.B.: Based on discussion at the June 2020 Standing Committee meeting, the proposed amendment to 

Appellate Rule 42 is not yet moving forward for final approval because the Advisory Committee will 

study further the amendment’s implications for local circuit provisions that impose additional 

requirements for dismissal of an appeal. The proposed amendment to Rule 8023 is being published for 

comment in the meantime.

Preliminary Draft | August 2020 Page 20 of 280
Excerpt from the May 18, 2020 Report of the Advisory Committee on Bankruptcy Rules 

(revised August 6, 2020) 

projected disposable income on that amount. In subchapter V cases, however, § 1191(d) defines 

disposable income without reference to current monthly income. Therefore, the instructions to 

Official Form 122B need to express an exception for subchapter V cases. 

The Advisory Committee approved amending the first sentence of those instructions as 

follows: “You must file this form if you are an individual and are filing for bankruptcy under 

Chapter 11 (other than under subchapter V).”2 

The Advisory Committee unanimously voted to seek publication of the amendment to 

Official Form 122B and the SBRA forms listed above. 

* * * * * 

2 A similar change was needed for the instruction booklet―Bankruptcy Forms for Individuals. Because 

those instructions are issued by the Administrative Office of the Courts outside the rulemaking process, 

Rules Counsel Scott Myers made that correction. 

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THIS PAGE INTENTIONALLY BLANK

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Bankruptcy Rules Restyling

1000 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

Rule 1001. Scope of Rules and Forms; 

Short Title

Rule 1001. Scope; Title; Citations; 

References to a Specific Form

The Bankruptcy Rules and Forms 

govern procedure in cases under title 11 

of the United States Code. The rules 

shall be cited as the Federal Rules of 

Bankruptcy Procedure and the forms as 

the Official Bankruptcy Forms. These 

rules shall be construed, administered, 

and employed by the court and the 

parties to secure the just, speedy, and 

inexpensive determination of every case 

and proceeding. 

(a) In General. These rules, together with the 

bankruptcy forms, govern the procedure in 

cases under the Bankruptcy Code, Title 11 

of the United States Code. They must be 

construed, administered, and employed by 

both the court and the parties to secure the 

just, speedy, and inexpensive determination 

of every case and proceeding.

(b) Title. These rules should be referred to as 

the Federal Rules of Bankruptcy Procedure 

and the forms as the Official Bankruptcy 

Forms.

(c) Citations. In these rules, the Bankruptcy 

Code is cited with a section sign and 

number (§ 101). A rule is cited with “Rule” 

followed by the rule number (Rule 1001(a)). 

(d) References to a Specific Form. A 

reference to a “Form” followed by a 

number is a reference to an Official 

Bankruptcy Form. 

PART I—COMMENCEMENT OF 

CASE; PROCEEDINGS RELATING 

TO PETITION AND ORDER FOR 

RELIEF

PART I. COMMENCING A BANKRUPTCY 

CASE; THE PETITION AND ORDER FOR 

RELIEF

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ORIGINAL REVISION

Rule 1002. Commencement of Case Rule 1002. Commencing a 

Bankruptcy Case

(a) PETITION. A petition commencing 

a case under the Code shall be filed with 

the clerk.

(a) In General. A bankruptcy case is 

commenced by filing a petition with the 

clerk.

(b) TRANSMISSION TO UNITED 

STATES TRUSTEE. The clerk shall 

forthwith transmit to the United States 

trustee a copy of the petition filed 

pursuant to subdivision (a) of this rule. 

(b) Copy to the United States Trustee. The 

clerk must promptly send a copy of the 

petition to the United States trustee.

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ORIGINAL REVISION

Rule 1003. Involuntary Petition Rule 1003. Involuntary Petition: 

Transferred Claims; Joining Other 

Creditors; Additional Time to Join

(a) TRANSFEROR OR 

TRANSFEREE OF CLAIM. A 

transferor or transferee of a claim shall 

annex to the original and each copy of 

the petition a copy of all documents 

evidencing the transfer, whether 

transferred unconditionally, for security, 

or otherwise, and a signed statement 

that the claim was not transferred for 

the purpose of commencing the case 

and setting forth the consideration for 

and terms of the transfer. An entity that 

has transferred or acquired a claim for 

the purpose of commencing a case for 

liquidation under chapter 7 or for 

reorganization under chapter 11 shall 

not be a qualified petitioner. 

(a) Transferred Claims. An entity that has 

transferred or acquired a claim for the 

purpose of commencing an involuntary 

case under Chapter 7 or Chapter 11 is not a 

qualified petitioner. A petitioner that has 

transferred or acquired a claim must attach 

to the petition and to any copy: 

(1) all documents evidencing the transfer, 

whether it was unconditional, for 

security, or otherwise; and

(2) a signed statement that:

(A) affirms that the claim was not 

transferred for the purpose of 

commencing the case; and

(B) sets forth the consideration for the 

transfer and its terms.

(b) JOINDER OF PETITIONERS 

AFTER FILING. If the answer to an 

involuntary petition filed by fewer than 

three creditors avers the existence of 12 

or more creditors, the debtor shall file 

with the answer a list of all creditors 

with their addresses, a brief statement of 

the nature of their claims, and the 

amounts thereof. If it appears that there 

are 12 or more creditors as provided in 

§ 303(b) of the Code, the court shall 

afford a reasonable opportunity for 

other creditors to join in the petition 

before a hearing is held thereon. 

(b) Joining Other Creditors After Filing. If 

an involuntary petition is filed by fewer 

than 3 creditors and the debtor’s answer 

alleges the existence of 12 or more creditors 

as provided in § 303(b), the debtor must 

attach to the answer:

(1) the names and addresses of all 

creditors; and 

(2) a brief statement of the nature and 

amount of each creditor’s claim.

(c) Additional Time to Join. If there appear 

to be 12 or more creditors, the court must 

allow a reasonable time for other creditors 

to join the petition before holding a hearing 

on it. 

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ORIGINAL REVISION

Rule 1004. Involuntary Petition 

Against a Partnership

Rule 1004. Involuntary Petition 

Against a Partnership

After filing of an involuntary petition 

under § 303(b)(3) of the Code, (1) the 

petitioning partners or other petitioners 

shall promptly send to or serve on each 

general partner who is not a petitioner a 

copy of the petition; and (2) the clerk 

shall promptly issue a summons for 

service on each general partner who is 

not a petitioner. Rule 1010 applies to the 

form and service of the summons. 

A petitioner who files an involuntary petition 

against a partnership under § 303(b)(3) must 

promptly send the petition to—or serve a copy 

on—each general partner who is not a 

petitioner. The clerk must promptly issue a 

summons for service on any general partner 

who is not a petitioner. Rule 1010 governs the 

form and service of the summons. 

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ORIGINAL REVISION

Rule 1004.1. Petition for an Infant or 

Incompetent Person

Rule 1004.1. Voluntary Petition on 

Behalf of an Infant or Incompetent 

Person

If an infant or incompetent person has a 

representative, including a general 

guardian, committee, conservator, or 

similar fiduciary, the representative may 

file a voluntary petition on behalf of the 

infant or incompetent person. An infant 

or incompetent person who does not 

have a duly appointed representative 

may file a voluntary petition by next 

friend or guardian ad litem. The court 

shall appoint a guardian ad litem for an 

infant or incompetent person who is a 

debtor and is not otherwise represented 

or shall make any other order to protect 

the infant or incompetent debtor. 

(a) Represented Infant or Incompetent 

Person. If an infant or an incompetent 

person has a representative—such as a 

general guardian, committee, conservator, 

or similar fiduciary—the representative may 

file a voluntary petition on behalf of the 

infant or incompetent person. 

(b) Unrepresented Infant or Incompetent 

Person. If an infant or an incompetent 

person does not have a representative: 

(1) a next friend or guardian ad litem may 

file the petition; and 

(2) the court must appoint a guardian ad 

litem or issue any other order needed 

to protect the interests of the infant 

debtor or incompetent debtor. 

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ORIGINAL REVISION

Rule 1004.2. Petition in Chapter 15 

Cases

Rule 1004.2. Petition in a Chapter 15 

Case

(a) DESIGNATING CENTER OF 

MAIN INTERESTS. A petition for 

recognition of a foreign proceeding 

under chapter 15 of the Code shall state 

the country where the debtor has its 

center of main interests. The petition 

shall also identify each country in which 

a foreign proceeding by, regarding, or 

against the debtor is pending. 

(a) Designating the Center of Main 

Interests. A petition under Chapter 15 for 

recognition of a foreign proceeding must: 

(1) designate the country where the debtor 

has its center of main interests; and

(2) identify each country in which a foreign 

proceeding is pending against, by, or 

regarding the debtor. 

(b) CHALLENGING 

DESIGNATION. The United States 

trustee or a party in interest may file a 

motion for a determination that the 

debtor’s center of main interests is other 

than as stated in the petition for 

recognition commencing the chapter 15 

case. Unless the court orders otherwise, 

the motion shall be filed no later than 

seven days before the date set for the 

hearing on the petition. The motion 

shall be transmitted to the United States 

trustee and served 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 of the Code, all parties to 

litigation pending in the United States in 

which the debtor was a party as of the 

time the petition was filed, and such 

other entities as the court may direct.

(b) Challenging the Designation. The 

United States trustee or a party in interest 

may, by motion, challenge the designation. 

If the motion is filed by a party in interest, a 

copy must be sent to the United States 

trustee. Unless the court orders otherwise, 

the motion must be filed at least 7 days 

before the date set for the hearing on the 

petition. The motion must be served 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 pending United States 

litigation in which the debtor is a party 

when the petition is filed; and 

• any other entity as the court orders. 

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ORIGINAL REVISION

Rule 1005. Caption of Petition Rule 1005. Caption of a Petition;

Title of the Case

The caption of a petition commencing a 

case under the Code shall contain the 

name of the court, the title of the case, 

and the docket number. The title of the 

case shall include the following 

information about the debtor: name, 

employer identification number, last 

four digits of the social-security number 

or individual debtor’s taxpayeridentification number, any other federal 

taxpayer-identification number, and all 

other names used within eight years 

before filing the petition. If the petition 

is not filed by the debtor, it shall include 

all names used by the debtor which are 

known to the petitioners. 

(a) Caption and Title; Required 

Information. A petition’s caption must 

contain the name of the court, the title of 

the case, and the docket number. The title 

must include the following information 

about the debtor: 

(1) name;

(2) employer-identification number; 

(3) the last 4 digits of the social-security 

number or individual taxpayeridentification number; 

(4) any other federal taxpayeridentification number; and 

(5) all other names the debtor has used 

within 8 years before the petition was 

filed.

(b) Petition Not Filed by Debtor. A petition 

not filed by the debtor must include all 

names that the petitioner knows have been 

used by the debtor. 

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ORIGINAL REVISION

Rule 1006. Filing Fee Rule 1006. Filing Fee

(a) GENERAL REQUIREMENT. 

Every petition shall be accompanied by 

the filing fee except as provided in 

subdivisions (b) and (c) of this rule. For 

the purpose of this rule, ‘‘filing fee’’ 

means the filing fee prescribed by 28 

U.S.C. § 1930(a)(1)–(a)(5) and any other 

fee prescribed by the Judicial 

Conference of the United States under 

28 U.S.C. § 1930(b) that is payable to the 

clerk upon the commencement of a case 

under the Code. 

(a) In General. Unless (b) or (c) applies, every 

petition must be accompanied by: 

(1) the filing fee required by 28 U.S.C. 

§ 1930(a)(1)–(5); and

(2) any other fee that the Judicial 

Conference of the United States 

requires under 28 U.S.C. § 1930(b) to 

be paid upon filing. 

(b) PAYMENT OF FILING FEE IN 

INSTALLMENTS.

 (1) Application to Pay Filing Fee 

in Installments. A voluntary petition by 

an individual shall be accepted for filing, 

regardless of whether any portion of the 

filing fee is paid, if accompanied by the 

debtor’s signed application, prepared as 

prescribed by the appropriate Official 

Form, stating that the debtor is unable 

to pay the filing fee except in 

installments. 

 (2) Action on Application. Prior 

to the meeting of creditors, the court 

may order the filing fee paid to the clerk 

or grant leave to pay in installments and 

fix the number, amount and dates of 

payment. The number of installments 

shall not exceed four, and the final 

installment shall be payable not later 

than 120 days after filing the petition. 

For cause shown, the court may extend 

the time of any installment, provided the 

last installment is paid not later than 180 

days after filing the petition.

 (3) Postponement of Attorney’s 

Fees. All installments of the filing fee 

must be paid in full before the debtor or 

chapter 13 trustee may make further 

payments to an attorney or any other 

(b) Paying by Installment.

(1) Application to Pay by Installment.

The clerk must accept for filing an 

individual’s voluntary petition, 

regardless of whether any part of the 

filing fee is paid, if it is accompanied 

by a completed and signed application 

to pay in installments (Form 103A).

(2) Court Decision on Installments.

Before the meeting of creditors, the 

court may order payment of the entire 

filing fee or may order the debtor to 

pay it in installments, designating the 

number, amount, and payment dates. 

The number of payments must not 

exceed 4, and all payments must be 

made within 120 days after the petition 

is filed. The court may, for cause, 

extend the time to pay an installment, 

but the last one must be paid within 

180 days after the petition is filed.

(3) Postponing Other Payments. Until 

the filing fee has been paid in full, the 

debtor or Chapter 13 trustee must not 

make any further payment to an 

attorney or any other person who 

provides services to the debtor in 

connection with the case.

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ORIGINAL REVISION

person who renders services to the 

debtor in connection with the case. 

(c) WAIVER OF FILING FEE. A 

voluntary chapter 7 petition filed by an 

individual shall be accepted for filing if 

accompanied by the debtor’s application 

requesting a waiver under 28 U.S.C. 

§ 1930(f), prepared as prescribed by the 

appropriate Official Form.

(c) Waiving the Filing Fee. The clerk must 

accept for filing an individual’s voluntary 

Chapter 7 petition if it is accompanied by a 

completed and signed application to waive 

the filing fee (Form 103B).

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ORIGINAL REVISION

Rule 1007. Lists, Schedules, 

Statements, and Other Documents; 

Time Limits

Rule 1007. Lists, Schedules, 

Statements, and Other Documents; 

Time to File

(a) CORPORATE OWNERSHIP 

STATEMENT, LIST OF CREDITORS 

AND EQUITY SECURITY 

HOLDERS, AND OTHER LISTS.

 (1) Voluntary Case. In a 

voluntary case, the debtor shall file with 

the petition a list containing the name 

and address of each entity included or to 

be included on Schedules D, E/F, G, 

and H as prescribed by the Official 

Forms. If the debtor is a corporation, 

other than a governmental unit, the 

debtor shall file with the petition a 

corporate ownership statement 

containing the information described in 

Rule 7007.1. The debtor shall file a 

supplemental statement promptly upon 

any change in circumstances that renders 

the corporate ownership statement 

inaccurate.

 (2) Involuntary Case. In an 

involuntary case, the debtor shall file, 

within seven days after entry of the 

order for relief, a list containing the 

name and address of each entity 

included or to be included on Schedules 

D, E/F, G, and H as prescribed by the 

Official Forms. 

(3) Equity Security Holders. In a 

chapter 11 reorganization case, unless 

the court orders otherwise, the debtor 

shall file within 14 days after entry of the 

order for relief a list of the debtor’s 

equity security holders of each class 

showing the number and kind of 

interests registered in the name of each 

holder, and the last known address or 

place of business of each holder. 

 (4) Chapter 15 Case. In addition 

to the documents required under § 1515 

(a) Lists of Names and Addresses.

(1) Voluntary Case. In a voluntary case, 

the debtor must file with the petition a 

list containing the name and address of 

each entity included or to be included 

on Schedules D, E/F, G, and H of the 

Official Bankruptcy Forms. Unless it is 

a governmental unit, a corporate 

debtor must: 

(A) include a corporate-ownership 

statement containing the 

information described in 

Rule 7007.1; and

(B) promptly file a supplemental 

statement if changed circumstances 

make the original statement 

inaccurate.

(2) Involuntary Case. Within 7 days after 

the order for relief has been entered in 

an involuntary case, the debtor must 

file a list containing the name and 

address of each entity included or to be 

included on Schedules D, E/F, G, and 

H of the Official Bankruptcy Forms. 

(3) Chapter 11—List of Equity Security 

Holders. Unless the court orders 

otherwise, a Chapter 11 debtor must, 

within 14 days after the order for relief 

is entered, file a list of the debtor’s 

equity security holders by class. The list 

must show the number and type of 

interests registered in each holder’s 

name, along with the holder’s last 

known address or place of business. 

(4) Chapter 15—Information Required 

from a Foreign Representative. If a 

foreign representative files a petition 

under Chapter 15 for recognition of a 

foreign proceeding, the representative 

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ORIGINAL REVISION

of the Code, a foreign representative 

filing a petition for recognition under 

chapter 15 shall file with the petition: 

(A) a corporate ownership statement 

containing the information described in 

Rule 7007.1; and (B) unless the court 

orders otherwise, a list containing the 

names and addresses of all persons or 

bodies authorized to administer foreign 

proceedings of the debtor, all parties to 

litigation pending in the United States in 

which the debtor is a party at the time of 

the filing of the petition, and all entities 

against whom provisional relief is being 

sought under § 1519 of the Code.

 (5) Extension of Time. Any 

extension of time for the filing of the 

lists required by this subdivision may be 

granted only on motion for cause shown 

and on notice to the United States 

trustee and to any trustee, committee 

elected under § 705 or appointed under 

§ 1102 of the Code, or other party as the 

court may direct.

must—in addition to the documents 

required by § 1515—include with the 

petition: 

(A) a corporate-ownership statement 

containing the information 

described in Rule 7007.1; and

(B) unless the court orders otherwise, a 

list containing the names and 

addresses of: 

(i) all persons or bodies 

authorized to administer the 

debtor’s foreign proceedings; 

(ii) all parties to pending United 

States litigation in which the 

debtor was a party when the 

petition was filed; and 

(iii) all entities against whom 

provisional relief is sought 

under § 1519.

(5) Extending the Time to File. On 

motion and for cause, the court may 

extend the time to file any list required 

by this Rule 1007(a). Notice of the 

motion must be given to:

• the United States trustee;

• any trustee;

• any committee elected under § 705 

or appointed under § 1102; and

• any other party as the court orders. 

(b) SCHEDULES, STATEMENTS, 

AND OTHER DOCUMENTS 

REQUIRED.

(1) Except in a chapter 9 

municipality case, the debtor, unless the 

court orders otherwise, shall file the 

following schedules, statements, and 

other documents, prepared as prescribed 

(b) Schedules, Statements, and Other 

Documents.

(1) In General. Except in a Chapter 9 

case or when the court orders 

otherwise, the debtor must file—

prepared as prescribed by the 

appropriate Official Form, if any— 

(A) a schedule of assets and liabilities;

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ORIGINAL REVISION

by the appropriate Official Forms, if 

any:

(A) schedules of assets and 

liabilities;

(B) a schedule of current income 

and expenditures; 

(C) a schedule of executory 

contracts and unexpired leases; 

(D) a statement of financial affairs;

(E) copies of all payment advices or 

other evidence of payment, if 

any, received by the debtor 

from an employer within 60 

days before the filing of the 

petition, with redaction of all 

but the last four digits of the 

debtor’s social security number 

or individual taxpayeridentification number; and 

(F) a record of any interest that the 

debtor has in an account or 

program of the type specified 

in § 521(c) of the Code. 

 (2) An individual debtor in a 

chapter 7 case shall file a statement of 

intention as required by § 521(a) of the 

Code, prepared as prescribed by the 

appropriate Official Form. A copy of 

the statement of intention shall be 

served on the trustee and the creditors 

named in the statement on or before the 

filing of the statement.

(3) Unless the United States 

trustee has determined that the credit 

counseling requirement of § 109(h) does 

not apply in the district, an individual 

debtor must file a statement of 

compliance with the credit counseling 

requirement, prepared as prescribed by 

the appropriate Official Form which 

must include one of the following: 

(B) a schedule of current income and 

expenditures; 

(C) a schedule of executory contracts 

and unexpired leases; 

(D) a statement of financial affairs;

(E) copies of all payment advices or 

other evidence of payment that the 

debtor received from any employer 

within 60 days before the petition 

was filed—with all but the last 

4 digits of the debtor’s socialsecurity number or individual 

taxpayer-identification number 

deleted; and

(F) a record of the debtor’s interest, if 

any, in an account or program of 

the type specified in § 521(c).

(2) Statement of Intention. In a 

Chapter 7 case, an individual debtor 

must:

(A) file the statement of intention 

required by § 521(a) (Form 108); 

and 

(B) before or upon filing, serve a copy 

on the trustee and the creditors 

named in the statement.

(3) Credit-Counseling Statement.

Unless the United States trustee has 

determined that the requirement to file 

a credit-counseling statement under 

§ 109(h) does not apply in the district, 

an individual debtor must file a 

statement of compliance (included in 

Form 101). The debtor must include 

one of the following: 

(A) a certificate and any debtrepayment plan required by 

§ 521(b);

(B) a statement that the debtor has 

received the credit-counseling 

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ORIGINAL REVISION

(A) an attached 

certificate and debt repayment plan, if 

any, required by § 521(b); 

 (B) a statement that the 

debtor has received the credit counseling 

briefing required by § 109(h)(1) but does 

not have the certificate required by 

§ 521(b);

 (C) a certification under 

§ 109(h)(3); or

 (D) a request for a 

determination by the court under 

§ 109(h)(4).

(4) Unless § 707(b)(2)(D) 

applies, an individual debtor in a chapter 

7 case shall file a statement of current 

monthly income prepared as prescribed 

by the appropriate Official Form, and, if 

the current monthly income exceeds the 

median family income for the applicable 

state and household size, the 

information, including calculations, 

required by § 707(b), prepared as 

prescribed by the appropriate Official 

Form. 

 (5) An individual debtor in a 

chapter 11 case shall file a statement of 

current monthly income, prepared as 

prescribed by the appropriate Official 

Form. 

(6) A debtor in a chapter 13 case 

shall file a statement of current monthly 

income, prepared as prescribed by the 

appropriate Official Form, and, if the 

current monthly income exceeds the 

median family income for the applicable 

state and household size, a calculation of 

disposable income made in accordance 

with § 1325(b)(3), prepared as 

prescribed by the appropriate Official 

Form. 

briefing required by § 109(h)(1), 

but does not have a § 521(b) 

certificate;

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

(D) a request for a court determination 

under § 109(h)(4).

(4) Current Monthly Income—

Chapter 7. Unless § 707(b)(2)(D) 

applies, an individual debtor in a 

Chapter 7 case must:

(A) file a statement of current monthly 

income (Form 122A-1); and

(B) if that income exceeds the median 

family income for the debtor’s 

state and household size, file the 

Chapter 7 means-test calculation 

(Form 122A-2).

(5) Current Monthly Income—

Chapter 11. An individual debtor in a 

Chapter 11 case must file a statement 

of current monthly income 

(Form 122B).

(6) Current Monthly Income—

Chapter 13. A debtor in a Chapter 13 

case must:

(A) file a statement of current monthly 

income (Form 122C-1); and

(B) if that income exceeds the median 

family income for the debtor’s 

state and household size, file the 

Chapter 13 calculation of 

disposable income (Form 122C-2).

(7) Personal Financial-Management 

Course. Unless an approved provider 

has notified the court that the debtor 

has completed a course in personal 

financial management after filing the 

petition, an individual debtor in a 

Chapter 7 or Chapter 13 case—or in a 

Chapter 11 case in which § 1141(d)(3) 

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ORIGINAL REVISION

(7) Unless an approved provider 

of an instructional course concerning 

personal financial management has 

notified the court that a debtor has 

completed the course after filing the 

petition: 

 (A) An individual debtor 

in a chapter 7 or chapter 13 case shall 

file a statement of completion of the 

course, prepared as prescribed by the 

appropriate Official Form; and 

 (B) An individual debtor 

in a chapter 11 case shall file the 

statement if § 1141(d)(3) applies.

 (8) If an individual debtor in a 

chapter 11, 12, or 13 case has claimed an 

exemption under § 522(b)(3)(A) in 

property of the kind described in 

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

amount set out in § 522(q)(1), the debtor 

shall file a statement as to whether there 

is any proceeding pending in which the 

debtor may be found guilty of a felony 

of a kind described in § 522(q)(1)(A) or 

found liable for a debt of the kind 

described in § 522(q)(1)(B).

applies—must file a statement that 

such a course has been completed 

(Form 423).

(8) Limitation on Homestead 

Exemption. This Rule 1007(b)(8) 

applies if an individual debtor in a 

Chapter 11, 12, or 13 case claims an 

exemption under § 522(b)(3)(A) in 

property of the type described in 

§ 522(p)(1) and the property value 

exceeds the amount specified in 

§ 522(q)(1). The debtor must file a 

statement about any pending 

proceeding in which the debtor may be 

found: 

(A) guilty of the type of felony 

described in § 522(q)(1)(A); or

(B) liable for the type of debt 

described in § 522(q)(1)(B).

(c) TIME LIMITS. In a voluntary case, 

the schedules, statements, and other 

documents required by subdivision 

(b)(1), (4), (5), and (6) shall be filed with 

the petition or within 14 days thereafter, 

except as otherwise provided in 

subdivisions (d), (e), (f), and (h) of this 

rule. In an involuntary case, the 

schedules, statements, and other 

documents required by subdivision 

(b)(1) shall be filed by the debtor within 

14 days after the entry of the order for 

relief. In a voluntary case, the 

documents required by paragraphs (A), 

(C), and (D) of subdivision (b)(3) shall 

be filed with the petition. Unless the 

court orders otherwise, a debtor who 

(c) Time to File.

(1) Voluntary Case—Various 

Documents. Unless (d), (e), (f), or (h) 

provides otherwise, the debtor in a 

voluntary case must file the documents 

required by (b)(1), (b)(4), (b)(5), and 

(b)(6) with the petition or within 

14 days after it is filed.

(2) Involuntary Case—Various 

Documents. In an involuntary case, 

the debtor must file the documents 

required by (b)(1) within 14 days after 

the order for relief is entered.

(3) Credit-Counseling Documents. In a 

voluntary case, the documents required 

by (b)(3)(A), (C), or (D) must be filed 

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has filed a statement under subdivision 

(b)(3)(B), shall file the documents 

required by subdivision (b)(3)(A) within 

14 days of the order for relief. In a 

chapter 7 case, the debtor shall file the 

statement required by subdivision (b)(7) 

within 60 days after the first date set for 

the meeting of creditors under § 341 of 

the Code, and in a chapter 11 or 13 case 

no later than the date when the last 

payment was made by the debtor as 

required by the plan or the filing of a 

motion for a discharge under 

§ 1141(d)(5)(B) or § 1328(b) of the 

Code. The court may, at any time and in 

its discretion, enlarge the time to file the 

statement required by subdivision (b)(7). 

The debtor shall file the statement 

required by subdivision (b)(8) no earlier 

than the date of the last payment made 

under the plan or the date of the filing 

of a motion for a discharge under 

§§ 1141(d)(5)(B), 1228(b), or 1328(b) of 

the Code. Lists, schedules, statements, 

and other documents filed prior to the 

conversion of a case to another chapter 

shall be deemed filed in the converted 

case unless the court directs otherwise. 

Except as provided in § 1116(3), any 

extension of time to file schedules, 

statements, and other documents 

required under this rule may be granted 

only on motion for cause shown and on 

notice to the United States trustee, any 

committee elected under § 705 or 

appointed under § 1102 of the Code, 

trustee, examiner, or other party as the 

court may direct. Notice of an extension 

shall be given to the United States 

trustee and to any committee, trustee, or 

other party as the court may direct.

with the petition. Unless the court 

orders otherwise, a debtor who has 

filed a statement under (b)(3)(B) must 

file the documents required by 

(b)(3)(A) within 14 days after the order 

for relief is entered.

(4) Financial-Management Course.

Unless the court extends the time to 

file, an individual debtor must file the 

statement required by (b)(7) as follows: 

(A) in a Chapter 7 case, within 60 days 

after the first date set for the 

meeting of creditors under § 341; 

and 

(B) in a Chapter 11 or Chapter 13 case, 

before the last payment is made 

under the plan or before a motion 

for a discharge is filed under 

§ 1141(d)(5)(B) or § 1328(b).

(5) Limitation on Homestead 

Exemption. The debtor must file the 

statement required by (b)(8) no earlier 

than the date of the last payment made 

under the plan, or the date a motion 

for a discharge is filed under 

§ 1141(d)(5)(B), 1228(b), or 1328(b).

(6) Documents in a Converted Case.

Unless the court orders otherwise, a 

document filed before a case is 

converted to another chapter is 

considered filed in the converted case. 

(7) Extending the Time to File. Except 

as § 1116(3) provides otherwise, the 

court, on motion and for cause, may 

extend the time to file a document 

under this rule. The movant must give 

notice of the motion to:

• the United States trustee;

• any committee elected under § 705 

or appointed under § 1102; and

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• any trustee, examiner, and other 

party as the court directs.

If the motion is granted, notice must be 

given to the United States trustee and 

to any committee, trustee, and other 

party as the court orders.

(d) LIST OF 20 LARGEST 

CREDITORS IN CHAPTER 9 

MUNICIPALITY CASE OR 

CHAPTER 11 REORGANIZATION 

CASE. In addition to the list required by 

subdivision (a) of this rule, a debtor in a 

chapter 9 municipality case or a debtor 

in a voluntary chapter 11 reorganization 

case shall file with the petition a list 

containing the name, address and claim 

of the creditors that hold the 20 largest 

unsecured claims, excluding insiders, as 

prescribed by the appropriate Official 

Form. In an involuntary chapter 11 

reorganization case, such list shall be 

filed by the debtor within 2 days after 

entry of the order for relief under 

§ 303(h) of the Code. 

(d) List of the 20 Largest Unsecured 

Creditors in a Chapter 9 or Chapter 11 

Case. In addition to the lists required by 

(a), a debtor in a Chapter 9 case or in a 

voluntary Chapter 11 case must file with 

the petition a list containing the names, 

addresses, and claims of the creditors that 

hold the 20 largest unsecured claims, 

excluding insiders as prescribed by the 

appropriate Official Form (Form 104 or 

204). In an involuntary Chapter 11 case, the 

debtor must file the list within 2 days after 

the order for relief is entered under 

§ 303(h).

(e) LIST IN CHAPTER 9 

MUNICIPALITY CASES. The list 

required by subdivision (a) of this rule 

shall be filed by the debtor in a chapter 9 

municipality case within such time as the 

court shall fix. If a proposed plan 

requires a revision of assessments so 

that the proportion of special 

assessments or special taxes to be 

assessed against some real property will 

be different from the proportion in 

effect at the date the petition is filed, the 

debtor shall also file a list showing the 

name and address of each known holder 

of title, legal or equitable, to real 

property adversely affected. On motion 

for cause shown, the court may modify 

the requirements of this subdivision and 

subdivision (a) of this rule. 

(e) Chapter 9 Lists. In a Chapter 9 case, the 

court must set the time for the debtor to 

file a list required by (a). If a proposed plan 

requires the assessments on real estate to be 

revised so that the proportion of special 

assessments or special taxes for some 

property will be different from the 

proportion in effect when the petition is 

filed, the debtor must also file a list that 

shows—for each adversely affected 

property—the name and address of each 

known holder of title, both legal and 

equitable. On motion and for cause, the 

court may modify the requirements of this 

Rule 1007(e) and those of (a). 

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(f) STATEMENT OF SOCIAL 

SECURITY NUMBER. An individual 

debtor shall submit a verified statement 

that sets out the debtor’s social security 

number, or states that the debtor does 

not have a social security number. In a 

voluntary case, the debtor shall submit 

the statement with the petition. In an 

involuntary case, the debtor shall submit 

the statement within 14 days after the 

entry of the order for relief.

(f) Social-Security Number. In a voluntary 

case, an individual debtor must submit with 

the petition a statement that gives the 

debtor’s social-security number or states 

that the debtor does not have one 

(Form 121). In an involuntary case, the 

debtor must submit the statement within 

14 days after the order for relief is entered.

(g) PARTNERSHIP AND 

PARTNERS. The general partners of a 

debtor partnership shall prepare and file 

the list required under subdivision (a), 

schedules of the assets and liabilities, 

schedule of current income and 

expenditures, schedule of executory 

contracts and unexpired leases, and 

statement of financial affairs of the 

partnership. The court may order any 

general partner to file a statement of 

personal assets and liabilities within such 

time as the court may fix.

(g) Partnership Case. The general partners of 

a debtor partnership must file for the 

partnership the list required by (a) and the 

documents required by (b)(1)(A)–(D). The 

court may order any general partner to file a 

statement of personal assets and liabilities 

and may set the deadline for doing so. 

(h) INTERESTS ACQUIRED OR 

ARISING AFTER PETITION. If, as 

provided by § 541(a)(5) of the Code, the 

debtor acquires or becomes entitled to 

acquire any interest in property, the 

debtor shall within 14 days after the 

information comes to the debtor’s 

knowledge or within such further time 

the court may allow, file a supplemental 

schedule in the chapter 7 liquidation 

case, chapter 11 reorganization case, 

chapter 12 family farmer’s debt 

adjustment case, or chapter 13 individual 

debt adjustment case. If any of the 

property required to be reported under 

this subdivision is claimed by the debtor 

as exempt, the debtor shall claim the 

exemptions in the supplemental 

schedule. The duty to file a 

supplemental schedule in accordance 

(h) Interests in Property Acquired or 

Arising After a Petition Is Filed. After 

the petition is filed, in a Chapter 7, 11, 12, 

or 13 case, if the debtor acquires—or 

becomes entitled to acquire—an interest in 

property described in § 541(a)(5), the 

debtor must file a supplemental schedule 

and include any claimed exemption. Unless 

the court allows additional time, the debtor 

must file the schedule within 14 days after 

learning about the property interest. This 

duty continues even after the case is closed, 

except for property acquired after a plan is 

confirmed in a Chapter 11 case or a 

discharge is granted in a Chapter 12 or 13 

case.

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with this subdivision continues 

notwithstanding the closing of the case, 

except that the schedule need not be 

filed in a chapter 11, chapter 12, or 

chapter 13 case with respect to property 

acquired after entry of the order 

confirming a chapter 11 plan or 

discharging the debtor in a chapter 12 or 

chapter 13 case.

(i) DISCLOSURE OF LIST OF 

SECURITY HOLDERS. After notice 

and hearing and for cause shown, the 

court may direct an entity other than the 

debtor or trustee to disclose any list of 

security holders of the debtor in its 

possession or under its control, 

indicating the name, address and security 

held by any of them. The entity 

possessing this list may be required 

either to produce the list or a true copy 

thereof, or permit inspection or copying, 

or otherwise disclose the information 

contained on the list. 

(i) Security Holders Known to Others.

After notice and a hearing and for cause, 

the court may direct an entity other than 

the debtor or trustee to: 

(1) disclose any list of the debtor’s security 

holders in its possession or under its 

control by: 

(A) producing the list or a copy of it; 

(B) allowing inspection or copying; or 

(C) making any other disclosure; and

(2) indicate the name, address, and 

security held by each of them. 

(j) IMPOUNDING OF LISTS. On 

motion of a party in interest and for 

cause shown the court may direct the 

impounding of the lists filed under this 

rule, and may refuse to permit 

inspection by any entity. The court may 

permit inspection or use of the lists, 

however, by any party in interest on 

terms prescribed by the court. 

(j) Impounding Lists. On motion of a party 

in interest and for cause, the court may 

impound any list filed under this rule and 

may refuse inspection. But the court may 

permit a party in interest to inspect or use 

an impounded list on terms prescribed by 

the court. 

(k) PREPARATION OF LIST, 

SCHEDULES, OR STATEMENTS 

ON DEFAULT OF DEBTOR. If a list, 

schedule, or statement, other than a 

statement of intention, is not prepared 

and filed as required by this rule, the 

court may order the trustee, a 

petitioning creditor, committee, or other 

party to prepare and file any of these 

(k) Debtor’s Failure to File a Required 

Document. If a debtor fails to properly 

prepare and file a list, schedule, or 

statement (other than a statement of 

intention) as required by this rule, the court 

may order:

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papers within a time fixed by the court. 

The court may approve reimbursement 

of the cost incurred in complying with 

such an order as an administrative 

expense.

(1) that the trustee, a petitioning creditor, 

a committee, or other party to do so 

within the time set by the court; and 

(2) that the cost incurred be reimbursed as 

an administrative expense.

(l) TRANSMISSION TO UNITED 

STATES TRUSTEE. The clerk shall 

forthwith transmit to the United States 

trustee a copy of every list, schedule, and 

statement filed pursuant to subdivision 

(a)(1), (a)(2), (b), (d), or (h) of this rule.

(l) Copies to the United States Trustee.

The clerk must promptly send to the 

United States trustee a copy of every list, 

schedule, or statement filed under (a)(1), 

(a)(2), (b), (d), or (h).

(m) INFANTS AND INCOMPETENT 

PERSONS. If the debtor knows that a 

person on the list of creditors or 

schedules is an infant or incompetent 

person, the debtor also shall include the 

name, address, and legal relationship of 

any person upon whom process would 

be served in an adversary proceeding 

against the infant or incompetent person 

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

(m) Infant or Incompetent Person. If a 

debtor knows that a person named in a list 

of creditors or in a schedule is an infant or 

is incompetent, the debtor must include the 

name, address, and legal relationship of any 

person on whom process would be served 

in an adversary proceeding against that 

person under Rule 7004(b)(2).

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Rule 1008. Verification of Petitions 

and Accompanying Papers

Rule 1008. Requirement to Verify 

Petitions and Accompanying 

Documents

All petitions, lists, schedules, statements 

and amendments thereto shall be 

verified or contain an unsworn 

declaration as provided in 28 U.S.C. 

§ 1746.

A petition, list, schedule, statement, and any 

amendment must be verified or must contain an 

unsworn declaration under 28 U.S.C. § 1746.

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Rule 1009. Amendments of Voluntary 

Petitions, Lists, Schedules and 

Statements

Rule 1009. Amending a Voluntary 

Petition, List, Schedule, or Statement

(a) GENERAL RIGHT TO AMEND. 

A voluntary petition, list, schedule, or 

statement may be amended by the 

debtor as a matter of course at any time 

before the case is closed. The debtor 

shall give notice of the amendment to 

the trustee and to any entity affected 

thereby. On motion of a party in 

interest, after notice and a hearing, the 

court may order any voluntary petition, 

list, schedule, or statement to be 

amended and the clerk shall give notice 

of the amendment to entities designated 

by the court. 

(a) In General.

(1) By a Debtor. A debtor may amend a 

voluntary petition, list, schedule, or 

statement at any time before the case is 

closed. The debtor must give notice of 

the amendment to the trustee and any 

affected entity.

(2) By a Party in Interest. On motion of 

a party in interest and after notice and 

a hearing, the court may order a 

voluntary petition, list, schedule, or 

statement to be amended. The clerk 

must give notice of the amendment to 

entities that the court designates.

(b) STATEMENT OF INTENTION. 

The statement of intention may be 

amended by the debtor at any time 

before the expiration of the period 

provided in § 521(a) of the Code. The 

debtor shall give notice of the 

amendment to the trustee and to any 

entity affected there-by. 

(b) Amending a Statement of Intention. A 

debtor may amend a statement of intention 

at any time before the time provided in 

§ 521(a)(2) expires. The debtor must give 

notice of the amendment to the trustee and 

any affected entity.

(c) STATEMENT OF SOCIAL 

SECURITY NUMBER. If a debtor 

becomes aware that the statement of 

social security number submitted under 

Rule 1007(f) is incorrect, the debtor shall 

promptly submit an amended verified 

statement setting forth the correct social 

security number. The debtor shall give 

notice of the amendment to all of the 

entities required to be included on the 

list filed under Rule 1007(a)(1) or (a)(2).

(c) Incorrect Social-Security Number. If a 

debtor learns that a social-security number 

shown on the statement submitted under 

Rule 1007(f) is incorrect, the debtor must: 

(1) promptly submit an amended 

statement with the correct number 

(Form 121); and

(2) give notice of the amendment to all 

entities required to be listed under 

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

(d) TRANSMISSION TO UNITED 

STATES TRUSTEE. The clerk shall 

promptly transmit to the United States 

trustee a copy of every amendment filed 

(d) Copy to the United States Trustee. The 

clerk must promptly send a copy of every 

amendment filed under this rule to the 

United States trustee.

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or submitted under subdivision (a), (b), 

or (c) of this rule. 

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Rule 1010. Service of Involuntary 

Petition and Summons

Rule 1010. Serving an Involuntary 

Petition and Summons

(a) SERVICE OF INVOLUNTARY 

PETITION AND SUMMONS. On the 

filing of an involuntary petition, the 

clerk shall forthwith issue a summons 

for service. When an involuntary 

petition is filed, service shall be made on 

the debtor. The summons shall be 

served with a copy of the petition in the 

manner provided for service of a 

summons and complaint by Rule 

7004(a) or (b). If service cannot be so 

made, the court may order that the 

summons and petition be served by 

mailing copies to the party’s last known 

address, and by at least one publication 

in a manner and form directed by the 

court. The summons and petition may 

be served on the party anywhere. Rule 

7004(e) and Rule 4(l) F.R.Civ.P. apply 

when service is made or attempted 

under this rule. 

(a) In General. After an involuntary petition 

has been filed, the clerk must promptly 

issue a summons for service on the debtor. 

The summons must be served with a copy 

of the petition in the manner that 

Rule 7004(a) and (b) provide for service of 

a summons and complaint. If service 

cannot be so made, the court may order 

service by mail to the debtor’s last known 

address, and by at least one publication as 

the court orders. Service may be made 

anywhere. Rule 7004(e) and Fed. R. Civ. 

P. 4(l) govern service.

(b) CORPORATE OWNERSHIP 

STATEMENT. Each petitioner that is a 

corporation shall file with the 

involuntary petition a corporate 

ownership statement containing the 

information described in Rule 7007.1.

(b) Corporate-Ownership Statement. A 

corporation that files an involuntary 

petition must file and serve with the 

petition a corporate-ownership statement 

containing the information described in 

Rule 7007.1.

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Rule 1011. Responsive Pleading or 

Motion in Involuntary Cases

Rule 1011. Responsive Pleading in an 

Involuntary Case; Effect of a Motion

(a) WHO MAY CONTEST 

PETITION. The debtor named in an 

involuntary petition may contest the 

petition. In the case of a petition against 

a partnership under Rule 1004, a 

nonpetitioning general partner, or a 

person who is alleged to be a general 

partner but denies the allegation, may 

contest the petition. 

(a) Who May Contest a Petition. A debtor 

may contest an involuntary petition filed 

against it. In a partnership case under 

Rule 1004, a nonpetitioning general 

partner—or a person who is alleged to be a 

general partner but denies the allegation—

may contest the petition.

(b) DEFENSES AND OBJECTIONS; 

WHEN PRESENTED. Defenses and 

objections to the petition shall be 

presented in the manner prescribed by 

Rule 12 F.R.Civ.P. and shall be filed and 

served within 21 days after service of the 

summons, except that if service is made 

by publication on a party or partner not 

residing or found within the state in 

which the court sits, the court shall 

prescribe the time for filing and serving 

the response. 

(b) Defenses and Objections; Time to File.

A defense or objection to the petition must 

be presented as prescribed by Fed. R. Civ. 

P. 12. It must be filed and served within 

21 days after the summons is served. But if 

service is made by publication on a party or 

partner who does not reside in—or cannot 

be found in—the state where the court sits, 

the court must set the time to file and serve 

the answer.

(c) EFFECT OF MOTION. Service of 

a motion under Rule 12(b) F.R.Civ.P. 

shall extend the time for filing and 

serving a responsive pleading as 

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

(c) Effect of a Motion. Serving a motion 

under Fed. R. Civ. P. 12(b) extends the time 

to file and serve an answer as Fed. R. Civ. 

P. 12(a) permits.

(d) CLAIMS AGAINST 

PETITIONERS. A claim against a 

petitioning creditor may not be asserted 

in the answer except for the purpose of 

defeating the petition. 

(d) Debtor’s Claim Against a Petitioning 

Creditor. A debtor’s answer must not 

assert a claim against a petitioning creditor 

except to defeat the petition. 

(e) OTHER PLEADINGS. No other 

pleadings shall be permitted, except that 

the court may order a reply to an answer 

and prescribe the time for filing and 

service.

(e) Limit on Pleadings. No pleading other 

than an answer to the petition is allowed, 

but the court may order a reply to an 

answer and set the time for filing and 

service.

(f) CORPORATE OWNERSHIP 

STATEMENT. If the entity responding 

to the involuntary petition is a 

(f) Corporate-Ownership Statement. A 

corporation that responds to the petition 

must file a corporate-ownership statement 

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ORIGINAL REVISION

corporation, the entity shall file with its 

first appearance, pleading, motion, 

response, or other request addressed to 

the court a corporate ownership 

statement containing the information 

described in Rule 7007.1.

containing the information described in 

Rule 7007.1. The corporation must do so 

with its first appearance, pleading, motion, 

response, or other first request to the court. 

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Rule 1012. Responsive Pleading in 

Cross-Border Cases

Rule 1012. Contesting a Petition in a 

Chapter 15 Case

(a) WHO MAY CONTEST 

PETITION. The debtor or any party in 

interest may contest a petition for 

recognition of a foreign proceeding. 

(a) Who May Contest the Petition. A debtor 

or a party in interest may contest a 

Chapter 15 petition for recognition of a 

foreign proceeding. 

(b) OBJECTIONS AND RESPONSES; 

WHEN PRESENTED. Objections and 

other responses to the petition shall be 

presented no later than seven days 

before the date set for the hearing on 

the petition, unless the court prescribes 

some other time or manner for 

responses. 

(b) Time to File a Response. Unless the 

court sets a different time, a response to the 

petition must be filed at least 7 days before 

the date set for a hearing on the petition. 

(c) CORPORATE OWNERSHIP 

STATEMENT. If the entity responding 

to the petition is a corporation, then the 

entity shall file a corporate ownership 

statement containing the information 

described in Rule 7007.1 with its first 

appearance, pleading, motion, response, 

or other request addressed to the court. 

(c) Corporate-Ownership Statement. A 

corporation that responds to the petition 

must file a corporate-ownership statement 

containing the information described in 

Rule 7007.1. The corporation must do so 

with its first appearance, pleading, motion, 

response, or other first request to the court. 

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Rule 1013. Hearing and Disposition 

of a Petition in an Involuntary Case

Rule 1013. Contested Petition in an 

Involuntary Case; Default

(a) CONTESTED PETITION. The 

court shall determine the issues of a 

contested petition at the earliest 

practicable time and forthwith enter an 

order for relief, dismiss the petition, or 

enter any other appropriate order. 

(a) Hearing and Disposition. When a 

petition in an involuntary case is contested, 

the court must:

(1) rule on the issues presented at the 

earliest practicable time; and

(2) promptly issue an order for relief, 

dismiss the petition, or issue any other 

appropriate order. 

(b) DEFAULT. If no pleading or other 

defense to a petition is filed within the 

time provided by Rule 1011, the court, 

on the next day, or as soon thereafter as 

practicable, shall enter an order for the 

relief requested in the petition. 

(b) Default. If the petition is not contested 

within the time allowed by Rule 1011, the 

court must issue the order for relief on the 

next day or as soon as practicable. 

[(c) ORDER FOR RELIEF]

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Rule 1014. Dismissal and Change of 

Venue

Rule 1014. Transferring a Case to 

Another District; Dismissing a Case 

Improperly Filed

(a) DISMISSAL AND TRANSFER OF 

CASES.

 (1) Cases Filed in Proper 

District. If a petition is filed in the 

proper district, the court, on the timely 

motion of a party in interest or on its 

own motion, and after hearing on notice 

to the petitioners, the United States 

trustee, and other entities as directed by 

the court, may transfer the case to any 

other district if the court determines that 

the transfer is in the interest of justice or 

for the convenience of the parties.

 (2) Cases Filed in Improper 

District. If a petition is filed in an 

improper district, the court, on the 

timely motion of a party in interest or on 

its own motion, and after hearing on 

notice to the petitioners, the United 

States trustee, and other entities as 

directed by the court, may dismiss the 

case or transfer it to any other district if 

the court determines that transfer is in 

the interest of justice or for the 

convenience of the parties.

(a) Dismissal or Transfer.

(1) Petitions Filed in the Proper 

District. If a petition is filed in the 

proper district, the court may transfer 

the case to another district in the 

interest of justice or for the parties’ 

convenience. The court may do so: 

(A) on its own or on timely motion of 

a party in interest; and

(B) only after a hearing on notice to 

the petitioner, United States 

trustee, and other entities as the 

court orders. 

(2) Petitions Filed in an Improper 

District. If a petition is filed in an 

improper district, the court may 

dismiss the case or may transfer it to 

another district on the same grounds 

and under the same procedures as 

stated in (1).

(b) PROCEDURE WHEN 

PETITIONS INVOLVING THE 

SAME DEBTOR OR RELATED 

DEBTORS ARE FILED IN 

DIFFERENT COURTS. If petitions 

commencing cases under the Code or 

seeking recognition under chapter 15 are 

filed in different districts by, regarding, 

or against (1) the same debtor, (2) a 

partnership and one or more of its 

general partners, (3) two or more general 

partners, or (4) a debtor and an affiliate, 

the court in the district in which the 

first-filed petition is pending may 

determine, in the interest of justice or 

(b) Petitions Involving the Same or Related 

Debtors Filed in Different Districts.

(1) Scope. This Rule 1014(b) applies if 

petitions commencing cases or seeking 

recognition under Chapter 15 are filed 

in different districts by, regarding, or 

against:

(A) the same debtor;

(B) a partnership and one or more of 

its general partners;

(C) two or more general partners; or 

(D) a debtor and an affiliate. 

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ORIGINAL REVISION

for the convenience of the parties, the 

district or districts in which any of the 

cases should proceed. The court may so 

determine on motion and after a 

hearing, with notice to the following 

entities in the affected cases: the United 

States trustee, entities entitled to notice 

under Rule 2002(a), and other entities as 

the court directs. The court may order 

the parties to the later-filed cases not to 

proceed further until it makes the 

determination. 

(2) Court Action. The court in the district 

in which the first petition is filed may 

determine the district or districts in 

which the cases should proceed in the 

interest of justice or for the parties’ 

convenience. The court may do so on 

timely motion and after a hearing on 

notice to: 

• the United States trustee;

• entities entitled to notice under 

Rule 2002(a); and

• other entities as the court orders. 

(3) Later-Filed Petitions. The court may 

order the parties in a case commenced 

by a later-filed petition not to proceed 

further until the motion is decided.

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Rule 1015. Consolidation or Joint 

Administration of Cases Pending in 

Same Court

Rule 1015. Consolidating or Jointly 

Administering Cases Pending in the 

Same District

(a) CASES INVOLVING SAME 

DEBTOR. If two or more petitions by, 

regarding, or against the same debtor are 

pending in the same court, the court 

may order consolidation of the cases. 

(a) Consolidating Cases Involving the 

Same Debtor. The court may consolidate 

two or more cases regarding or brought by 

or against the same debtor that are pending 

in its district.

(b) CASES INVOLVING TWO OR 

MORE RELATED DEBTORS. If a 

joint petition or two or more petitions 

are pending in the same court by or 

against (1) spouses, or (2) a partnership 

and one or more of its general partners, 

or (3) two or more general partners, or 

(4) a debtor and an affiliate, the court 

may order a joint administration of the 

estates. Prior to entering an order the 

court shall give consideration to 

protecting creditors of different estates 

against potential conflicts of interest. An 

order directing joint administration of 

individual cases of spouses shall, if one 

spouse has elected the exemptions under 

§ 522(b)(2) of the Code and the other 

has elected the exemptions under 

§ 522(b)(3), fix a reasonable time within 

which either may amend the election so 

that both shall have elected the same 

exemptions. The order shall notify the 

debtors that unless they elect the same 

exemptions within the time fixed by the 

court, they will be deemed to have 

elected the exemptions provided by 

§ 522(b)(2).

(b) Jointly Administering Cases Involving 

Related Debtors; Exemptions of 

Spouses; Protective Orders to Avoid 

Conflicts of Interest.

(1) In General. The court may order joint 

administration of the estates in a joint 

case or in two or more cases pending 

in the court if they are brought by or 

against:

(A) spouses; 

(B) a partnership and one or more of 

its general partners;

(C) two or more general partners; or 

(D) a debtor and an affiliate. 

(2) Potential Conflicts of Interest.

Before issuing a joint-administration 

order, the court must consider how to 

protect the creditors of different 

estates against potential conflicts of 

interest.

(3) Exemptions in Cases Involving 

Spouses. If spouses have filed 

separate petitions, with one electing 

exemptions under § 522(b)(2) and the 

other under § 522(b)(3), and the court 

orders joint administration, that order 

must:

(A) set a reasonable time for the 

debtors to elect the same 

exemptions; and

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(B) advise the debtors that if they fail 

to do so, they will be considered to 

have elected exemptions under 

§ 522(b)(2).

(c) EXPEDITING AND 

PROTECTIVE ORDERS. When an 

order for consolidation or joint 

administration of a joint case or two or 

more cases is entered pursuant to this 

rule, while protecting the rights of the 

parties under the Code, the court may 

enter orders as may tend to avoid 

unnecessary costs and delay.

(c) Protective Orders to Avoid Unnecessary 

Costs and Delay. When cases are 

consolidated or jointly administered, the 

court may issue orders to avoid unnecessary 

costs and delay while still protecting the 

parties’ rights under the Code. 

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Rule 1016. Death or Incompetency of 

Debtor

Rule 1016. Death or Incompetency of 

a Debtor

Death or incompetency of the debtor 

shall not abate a liquidation case under 

chapter 7 of the Code. In such event the 

estate shall be administered and the case 

concluded in the same manner, so far as 

possible, as though the death or 

incompetency had not occurred. If a 

reorganization, family farmer’s debt 

adjustment, or individual’s debt 

adjustment case is pending under 

chapter 11, chapter 12, or chapter 13, 

the case may be dismissed; or if further 

administration is possible and in the best 

interest of the parties, the case may 

proceed and be concluded in the same 

manner, so far as possible, as though the 

death or incompetency had not 

occurred. 

(a) Chapter 7 Case. In a Chapter 7 case, the 

debtor’s death or incompetency does not 

abate the case. The case continues, as far as 

possible, as though the death or 

incompetency had not occurred. 

(b) Chapter 11, 12, or 13 Case. Upon the 

debtor’s death or incompetency in a 

Chapter 11, 12, or 13 case, the court may 

dismiss the case or may continue it if 

further administration is possible and is in 

the parties’ best interests. If the court 

chooses to continue, it must do so, as far as 

possible, as though the death or 

incompetency had not occurred. 

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Rule 1017. Dismissal or Conversion 

of Case; Suspension

Rule 1017. Dismissing a Case; 

Suspending Proceedings; Converting 

a Case to Another Chapter

(a) VOLUNTARY DISMISSAL; 

DISMISSAL FOR WANT OF 

PROSECUTION OR OTHER 

CAUSE. Except as provided in 

§§ 707(a)(3), 707(b), 1208(b), and 

1307(b) of the Code, and in Rule 

1017(b), (c), and (e), a case shall not be 

dismissed on motion of the petitioner, 

for want of prosecution or other cause, 

or by consent of the parties, before a 

hearing on notice as provided in Rule 

2002. For the purpose of the notice, the 

debtor shall file a list of creditors with 

their addresses within the time fixed by 

the court unless the list was previously 

filed. If the debtor fails to file the list, 

the court may order the debtor or 

another entity to prepare and file it. 

(a) Dismissing a Case. Except as provided in 

§ 707(a)(3), 707(b), 1208(b), or 1307(b), or 

in Rule 1017(b), (c), or (e), the court must 

conduct a hearing on notice under 

Rule 2002 before dismissing a case for any 

reason. For the purpose of the notice, a 

debtor who has not already done so must, 

before the court’s deadline, file a list of 

creditors and their addresses. If the debtor 

fails to timely file the list, the court may 

order the debtor or another entity to do so. 

(b) DISMISSAL FOR FAILURE TO 

PAY FILING FEE.

(1) If any installment of the filing 

fee has not been paid, the court may, 

after a hearing on notice to the debtor 

and the trustee, dismiss the case.

(2) If the case is dismissed or 

closed without full payment of the filing 

fee, the installments collected shall be 

distributed in the same manner and 

proportions as if the filing fee had been 

paid in full. 

(b) Dismissing a Case for Failure to Pay an 

Installment Toward the Filing Fee. If 

the debtor fails to pay any installment 

toward the filing fee, the court may dismiss 

the case after a hearing on notice to the 

debtor and trustee. If the court dismisses or 

closes the case without full payment of the 

filing fee, previous installment payments 

must be distributed as if full payment had 

been made.

(c) DISMISSAL OF VOLUNTARY 

CHAPTER 7 OR CHAPTER 13 CASE 

FOR FAILURE TO TIMELY FILE 

LIST OF CREDITORS, SCHEDULES, 

AND STATEMENT OF FINANCIAL 

AFFAIRS. The court may dismiss a 

voluntary chapter 7 or chapter 13 case 

under § 707(a)(3) or § 1307(c)(9) after a 

hearing on notice served by the United 

(c) Dismissing a Voluntary Chapter 7 or 

Chapter 13 Case for Failure to File a 

Document on Time. On motion of the 

United States trustee, the court may dismiss 

a voluntary Chapter 7 case under 

§ 707(a)(3), or a Chapter 13 case under 

§ 1307(c)(9), for a failure to timely file the 

information required by § 521(a)(1). But 

the court may do so only after a hearing on 

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ORIGINAL REVISION

States trustee on the debtor, the trustee, 

and any other entities as the court 

directs.

notice served by the United States trustee 

on the debtor, trustee, and any other entity 

as the court orders. 

(d) SUSPENSION. The court shall not 

dismiss a case or suspend proceedings 

under § 305 before a hearing on notice 

as provided in Rule 2002(a).

(d) Dismissing a Case or Suspending 

Proceedings Under § 305. The court may 

dismiss a case or suspend proceedings 

under § 305 only after a hearing on notice 

under Rule 2002(a).

(e) DISMISSAL OF AN INDIVIDUAL 

DEBTOR’S CHAPTER 7 CASE, OR 

CONVERSION TO A CASE UNDER 

CHAPTER 11 OR 13, FOR ABUSE. 

The court may dismiss or, with the 

debtor’s consent, convert an individual 

debtor’s case for abuse under § 707(b) 

only on motion and after a hearing on 

notice to the debtor, the trustee, the 

United States trustee, and any other 

entity as the court directs. 

 (1) Except as otherwise provided 

in § 704(b)(2), a motion to dismiss a case 

for abuse under § 707(b) or (c) may be 

filed only within 60 days after the first 

date set for the meeting of creditors 

under § 341(a), unless, on request filed 

before the time has expired, the court 

for cause extends the time for filing the 

motion to dismiss. The party filing the 

motion shall set forth in the motion all 

matters to be considered at the hearing. 

In addition, a motion to dismiss under 

§ 707(b)(1) and (3) shall state with 

particularity the circumstances alleged to 

constitute abuse. 

(2) If the hearing is set on the court’s 

own motion, notice of the hearing shall 

be served on the debtor no later than 60 

days after the first date set for the 

meeting of creditors under § 341(a). The 

notice shall set forth all matters to be 

considered by the court at the hearing. 

(e) Dismissing an Individual Debtor’s 

Chapter 7 Case for Abuse; Converting 

the Case to Chapter 11 or 13.

(1) In General. On motion under 

§ 707(b), the court may dismiss an 

individual debtor’s Chapter 7 case for 

abuse or, with the debtor’s consent, 

convert it to Chapter 11 or 13. The 

court may do so only after a hearing on 

notice to: 

• the debtor, 

• the trustee, 

• the United States trustee, and

• any other entity as the court 

orders.

(2) Time to File. Except as § 704(b)(2) 

provides otherwise, a motion to 

dismiss a case for abuse under § 707(b) 

or (c) must be filed within 60 days after 

the first date set for the meeting of 

creditors under § 341(a). On request 

made within the 60-day period, the 

court may, for cause, extend the time 

to file. The motion must: 

(A) set forth all matters to be 

considered at the hearing; and

(B) if made under § 707(b)(1) and (3), 

state with particularity the 

circumstances alleged to constitute 

abuse. 

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ORIGINAL REVISION

(3) Hearing on the Court’s Own 

Motion. If the hearing is set on the 

court’s own motion, the clerk must 

serve notice on the debtor within 

60 days after the first date set for the 

meeting of creditors under § 341(a). 

The notice must set forth all matters to 

be considered at the hearing.

(f) PROCEDURE FOR DISMISSAL, 

CONVERSION, OR SUSPENSION. 

(1) Rule 9014 governs a 

proceeding to dismiss or suspend a case, 

or to convert a case to another chapter, 

except under §§ 706(a), 1112(a), 1208(a) 

or (b), or 1307(a) or (b).

 (2) Conversion or dismissal 

under §§ 706(a), 1112(a), 1208(b), or 

1307(b) shall be on motion filed and 

served as required by Rule 9013.

 (3) A chapter 12 or chapter 13 

case shall be converted without court 

order when the debtor files a notice of 

conversion under §§ 1208(a) or 1307(a). 

The filing date of the notice becomes 

the date of the conversion order for the 

purposes of applying § 348(c) and Rule 

1019. The clerk shall promptly transmit 

a copy of the notice to the United States 

trustee.

(f) Procedures for Dismissing, Suspending, 

or Converting a Case.

(1) In General. Rule 9014 governs a 

proceeding to dismiss or suspend a 

case or to convert it to another 

chapter—except under § 706(a), 

1112(a), 1208(a) or (b), or 1307(a) or 

(b).

(2) Cases Requiring a Motion.

Dismissing or converting a case under 

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

requires a motion filed and served as 

required by Rule 9013.

(3) Conversion Date in a Chapter 12 or 

13 Case. If the debtor files a 

conversion notice under § 1208(a) or 

§ 1307(a), the case will be converted 

without court order, and the filing date 

of the notice becomes the conversion 

date in applying § 348(c) or Rule 1019. 

The clerk must promptly send a copy 

of the notice to the United States 

trustee.

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ORIGINAL REVISION

Rule 1018. Contested Involuntary 

Petitions; Contested Petitions 

Commencing Chapter 15 Cases; 

Proceedings to Vacate Order for 

Relief; Applicability of Rules in Part 

VII Governing Adversary 

Proceedings

Rule 1018. Contesting a Petition in an 

Involuntary or Chapter 15 Case; 

Vacating an Order for Relief; 

Applying Part VII Rules

Unless the court otherwise directs and 

except as otherwise prescribed in Part I 

of these rules, the following rules in Part 

VII apply to all proceedings contesting 

an involuntary petition or a chapter 15 

petition for recognition, and to all 

proceedings to vacate an order for relief: 

Rules 7005, 7008–7010, 7015, 7016, 

7024–7026, 7028–7037, 7052, 7054, 

7056, and 7062. The court may direct 

that other rules in Part VII shall also 

apply. For the purposes of this rule a 

reference in the Part VII rules to 

adversary proceedings shall be read as a 

reference to proceedings contesting an 

involuntary petition or a chapter 15 

petition for recognition, or proceedings 

to vacate an order for relief. Reference 

in the Federal Rules of Civil Procedure 

to the complaint shall be read as a 

reference to the petition.

(a) Applying Part VII Rules. Unless the 

court orders or a Part I rule provides 

otherwise, Rules 7005, 7008–10, 7015–16, 

7024–26, 7028–37, 7052, 7054, 7056, and 

7062—together with any other Part VII 

rules as the court may direct—apply to the 

following: 

(1) a proceeding contesting either an 

involuntary petition or a Chapter 15 

petition for recognition; and 

(2) a proceeding to vacate an order for 

relief.

(b) References to “Adversary Proceedings.”

Any reference to “adversary proceedings” 

in the rules listed in (a) is a reference to the 

proceedings listed in (a)(1)–(2).

(c) “Complaint” Means “Petition.” For the 

proceedings described in (a), a reference to 

the “complaint” in the Federal Rules of 

Civil Procedure must be read as a reference 

to the petition. 

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Rule 1019. Conversion of a Chapter 11 

Reorganization Case, Chapter 12 

Family Farmer’s Debt Adjustment 

Case, or Chapter 13 Individual’s Debt 

Adjustment Case to a Chapter 7 

Liquidation Case

Rule 1019. Converting or 

Reconverting a Chapter 11, 12, or 13 

Case to Chapter 7 

When a chapter 11, chapter 12, or 

chapter 13 case has been converted or 

reconverted to a chapter 7 case: 

(1) Filing of Lists, Inventories, 

Schedules, Statements.

(A) Lists, inventories, schedules, 

and statements of financial affairs 

theretofore filed shall be deemed to be 

filed in the chapter 7 case, unless the 

court directs otherwise. If they have not 

been previously filed, the debtor shall 

com-ply with Rule 1007 as if an order 

for relief had been entered on an 

involuntary petition on the date of the 

entry of the order directing that the case 

continue under chapter 7. 

(B) If a statement of intention is 

required, it shall be filed within 30 days 

after entry of the order of conversion or 

before the first date set for the meeting 

of creditors, whichever is earlier. The 

court may grant an extension of time for 

cause only on written motion filed, or 

oral request made during a hearing, 

before the time has expired. Notice of 

an extension shall be given to the United 

States trustee and to any committee, 

trustee, or other party as the court may 

direct.

(a) Papers Previously Filed; New Filing 

Dates; Statement of Intention.

(1) Papers Previously Filed. Unless the 

court orders otherwise, when a 

Chapter 11, 12, or 13 case is converted 

or reconverted to Chapter 7, the lists, 

inventories, schedules, and statements 

of financial affairs previously filed are 

considered filed in the Chapter 7 case. 

If they have not been previously filed, 

the debtor must comply with 

Rule 1007 as if an order for relief had 

been entered on an involuntary 

petition on the same date as the order 

directing that the case continue under 

Chapter 7.

(2) Statement of Intention. A statement 

of intention, if required, must be filed 

within 30 days after the conversion 

order is entered or before the first date 

set for the meeting of creditors, 

whichever is earlier. The court may, for 

cause, extend the time to file only on 

motion filed —or on oral request 

made during a hearing—before the 

time has expired. Notice of an 

extension must be given to the United 

States trustee and to any committee, 

trustee, or other party as the court 

orders.

(2) New Filing Periods.

(A) A new time period for filing 

a motion under § 707(b) or (c), a claim, a 

complaint objecting to discharge, or a 

complaint to obtain a determination of 

dischargeability of any debt shall 

commence under Rules 1017, 3002, 

(b) New Period to File a § 707(b) or (c) 

Motion, a Proof of Claim, an Objection 

to a Discharge, or a Complaint to 

Determine Dischargeability.

(1) When a New Period Begins. When a 

case is converted to Chapter 7, a new 

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ORIGINAL REVISION

4004, or 4007, but a new time period 

shall not commence if a chapter 7 case 

had been converted to a chapter 11, 12, 

or 13 case and thereafter reconverted to 

a chapter 7 case and the time for filing a 

motion under § 707(b) or (c), a claim, a 

complaint objecting to discharge, or a 

complaint to obtain a determination of 

the dischargeability of any debt, or any 

extension thereof, expired in the original 

chapter 7 case.

 (B) A new time period for filing 

an objection to a claim of exemptions 

shall commence under Rule 4003(b) 

after conversion of a case to chapter 7 

unless: 

 (i) the case was 

converted to chapter 7 more than one 

year after the entry of the first order 

confirming a plan under chapter 11, 12, 

or 13; or 

 (ii) the case was 

previously pending in chapter 7 and the 

time to object to a claimed exemption 

had expired in the original chapter 7 

case.

period begins under Rule 1017, 3002, 

4004, or 4007 for filing:

(A) a motion under § 707(b) or (c);

(B) a proof of claim; 

(C) a complaint objecting to a 

discharge; or 

(D) a complaint to determine whether 

a specific debt may be discharged.

(2) When a New Period Does Not 

Begin. No new period to file begins 

when a case is reconverted to 

Chapter 7 after a previous conversion 

to Chapter 11, 12, or 13 if the time to 

file in the original Chapter 7 case has 

expired. 

(3) New Period to Object to a Claimed 

Exemption. When a case is converted 

to Chapter 7, a new period begins 

under Rule 4003(b) to object to a 

claimed exemption unless: 

(A) more than 1 year has elapsed since 

the court issued the first order 

confirming a plan under 

Chapter 11, 12, or 13, or

(B) the case was previously pending in 

Chapter 7 and time has expired to 

object to a claimed exemption in 

the original Chapter 7 case.

(3) Claims Filed Before Conversion. All 

claims actually filed by a creditor before 

conversion of the case are deemed filed 

in the chapter 7 case.

(c) Proof of Claim Filed Before Conversion.

A proof of claim filed by a creditor before 

conversion is considered filed in the 

Chapter 7 case.

(4) Turnover of Records and Property. 

After qualification of, or assumption of 

duties by the chapter 7 trustee, any 

debtor in possession or trustee 

previously acting in the chapter 11, 12, 

or 13 case shall, forthwith, unless 

otherwise ordered, turn over to the 

chapter 7 trustee all records and 

(d) Turning Over Records and Property.

Unless the court orders otherwise, after a 

trustee in the Chapter 7 case qualifies or 

assumes duties, the debtor in possession—

or the previously acting trustee in the 

Chapter 11, 12, or 13 case—must promptly 

turn over to the Chapter 7 trustee all 

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ORIGINAL REVISION

property of the estate in the possession 

or control of the debtor in possession or 

trustee.

records and property of the estate that are 

in its possession or control. 

(5) Filing Final Report and Schedule of 

Postpetition Debts.

 (A) Conversion of Chapter 11 or 

Chapter 12 Case. Unless the court 

directs otherwise, if a chapter 11 or 

chapter 12 case is converted to chapter 

7, the debtor in possession or, if the 

debtor is not a debtor in possession, the 

trustee serving at the time of conversion, 

shall:

 (i) not later than 14 days 

after conversion of the case, file a 

schedule of unpaid debts incurred after 

the filing of the petition and before 

conversion of the case, including the 

name and address of each holder of a 

claim; and 

 (ii) not later than 30 days 

after conversion of the case, file and 

transmit to the United States trustee a 

final report and account; 

 (B) Conversion of Chapter 13 

Case. Unless the court directs otherwise, 

if a chapter 13 case is converted to 

chapter 7, 

 (i) the debtor, not later 

than 14 days after conversion of the 

case, shall file a schedule of unpaid debts 

incurred after the filing of the petition 

and before conversion of the case, 

including the name and address of each 

holder of a claim; and 

 (ii) the trustee, not later 

than 30 days after conversion of the 

case, shall file and transmit to the United 

States trustee a final report and account;

(C) Conversion After 

Confirmation of a Plan. Unless the court 

(e) Final Report and Account; Schedule of 

Unpaid Postpetition Debts.

(1) In a Chapter 11 or Chapter 12 Case.

Unless the court orders otherwise, 

when a Chapter 11 or 12 case is 

converted to Chapter 7, the debtor in 

possession or, if the debtor is not a 

debtor in possession, the trustee 

serving at the time of conversion must: 

(A) within 14 days after conversion, 

file a schedule of unpaid debts 

incurred after the petition was filed 

but before conversion and include 

the name and address of each 

claim holder; and 

(B) within 30 days after conversion, 

file and send to the United States 

trustee a final report and account. 

(2) In a Chapter 13 Case. Unless the 

court orders otherwise, when a 

Chapter 13 case is converted to 

Chapter 7:

(A) within 14 days after conversion, 

the debtor must file a schedule of 

unpaid debts incurred after the 

petition was filed but before 

conversion and include the name 

and address of each claim holder; 

and 

(B) within 30 days after conversion, 

the trustee must file and send to 

the United States trustee a final 

report and account. 

(3) Converting a Case to Chapter 7 

After a Plan Has Been Confirmed.

Unless the court orders otherwise, if a 

case under Chapter 11, 12, or 13 is 

converted to a case under Chapter 7 

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orders otherwise, if a chapter 11, chapter 

12, or chapter 13 case is converted to 

chapter 7 after confirmation of a plan, 

the debtor shall file: 

 (i) a schedule of property 

not listed in the final report and account 

acquired after the filing of the petition 

but before conversion, except if the case 

is converted from chapter 13 to chapter 

7 and § 348(f)(2) does not apply; 

 (ii) a schedule of unpaid 

debts not listed in the final report and 

account incurred after confirmation but 

before the conversion; and 

 (iii) a schedule of 

executory contracts and unexpired leases 

entered into or assumed after the filing 

of the petition but before conversion. 

 (D) Transmission to United 

States Trustee. The clerk shall forthwith 

transmit to the United States trustee a 

copy of every schedule filed pursuant to 

Rule 1019(5).

after a plan is confirmed, the debtor 

must file:

(A) a schedule of property that was 

acquired after the petition was filed 

but before conversion and was not 

listed in the final report and 

account, except when a Chapter 13 

case is converted to Chapter 7 and 

§ 348(f)(2) does not apply; 

(B) a schedule of unpaid debts that 

were incurred after confirmation 

but before conversion and were 

not listed in the final report and 

account; and 

(C) a schedule of executory contracts 

and unexpired leases that were 

entered into or assumed after the 

petition was filed but before 

conversion. 

(4) Copy to the United States Trustee.

The clerk must promptly send to the 

United States trustee a copy of any 

schedule filed under this Rule 1019(e).

(6) Postpetition Claims; Preconversion 

Administrative Expenses; Notice. A 

request for payment of an administrative 

expense incurred before conversion of 

the case is timely filed under § 503(a) of 

the Code if it is filed before conversion 

or a time fixed by the court. If the 

request is filed by a governmental unit, it 

is timely if it is filed before conversion 

or within the later of a time fixed by the 

court or 180 days after the date of the 

conversion. A claim of a kind specified 

in § 348(d) may be filed in accordance 

with Rules 3001(a)–(d) and 3002. Upon 

the filing of the schedule of unpaid 

debts incurred after commencement of 

the case and before conversion, the 

clerk, or some other person as the court 

may direct, shall give notice to those 

entities listed on the schedule of the 

(f) Postpetition Claims; Preconversion 

Administrative Expenses.

(1) Request to Pay an Administrative 

Expense; Time to File. A request to 

pay an administrative expense incurred 

before conversion is timely filed under 

§ 503(a) if it is filed before conversion 

or within a time set by the court. A 

request by a governmental unit is 

timely if it is filed:

(A) before conversion; or 

(B) within 180 days after conversion or 

within a time set by the court, 

whichever is later.

(2) Proof of Claim Against the Debtor 

or the Estate. A proof of claim under 

§ 348(d) against either the debtor or 

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ORIGINAL REVISION

time for filing a request for payment of 

an administrative expense and, unless a 

notice of insufficient assets to pay a 

dividend is mailed in accordance with 

Rule 2002(e), the time for filing a claim 

of a kind specified in § 348(d).

the estate may be filed as specified in 

Rules 3001(a)–(d) and 3002. 

(3) Giving Notice of Certain Time 

Limits. After the filing of a schedule 

of debts incurred after the case was 

commenced but before conversion, the 

clerk, or the court’s designee, must 

notify the entities listed on the 

schedule of: 

(A) the time to request payment of an 

administrative expense; and

(B) the time to file a proof of claim 

under § 348(d), unless a notice of 

insufficient assets to pay a dividend 

has been mailed under 

Rule 2002(e).

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ORIGINAL REVISION

Rule 1020. Small Business Chapter 11 

Reorganization Case

Rule 1020. Designating a Chapter 11 

Case as a Small Business Case

(a) SMALL BUSINESS DEBTOR 

DESIGNATION. In a voluntary 

chapter 11 case, the debtor shall state in 

the petition whether the debtor is a 

small business debtor. In an involuntary 

chapter 11 case, the debtor shall file 

within 14 days after entry of the order 

for relief a statement as to whether the 

debtor is a small business debtor. 

Except as provided in subdivision (c), 

the status of the case as a small business 

case shall be in accordance with the 

debtor’s statement under this 

subdivision, unless and until the court 

enters an order finding that the debtor’s 

statement is incorrect.

(a) In General. In a voluntary Chapter 11 

case, the debtor must state in the petition 

whether the debtor is a small business 

debtor. In an involuntary case, the debtor 

must do so in a statement filed within 

14 days after the order for relief is entered. 

Unless (c) applies, the case must proceed in 

accordance with the debtor’s statement, 

unless and until the court issues an order 

finding that the debtor’s statement is 

incorrect.

(b) OBJECTING TO 

DESIGNATION. Except as provided 

in subdivision (c), the United States 

trustee or a party in interest may file an 

objection to the debtor’s statement 

under subdivision (a) no later than 30 

days after the conclusion of the meeting 

of creditors held under § 341(a) of the 

Code, or within 30 days after any 

amendment to the statement, whichever 

is later.

(b) Objecting to the Designation. Unless (c) 

applies, the United States trustee or a party 

in interest may object to the debtor’s 

designation. The objection must be filed 

within 30 days after the conclusion of the 

meeting of creditors held under § 341(a) or 

within 30 days after an amendment to the 

designation is filed, whichever is later.

(c) APPOINTMENT OF 

COMMITTEE OF UNSECURED 

CREDITORS. If a committee of 

unsecured creditors has been appointed 

under § 1102(a)(1), the case shall 

proceed as a small business case only if, 

and from the time when, the court 

enters an order determining that the 

committee has not been sufficiently 

active and representative to provide 

effective oversight of the debtor and 

that the debtor satisfies all the other 

requirements for being a small business. 

A request for a determination under this 

(c) When a Committee of Unsecured 

Creditors Has Been Appointed.

(1) Determining Whether the 

Committee Is Active and 

Representative. If a committee of 

unsecured creditors has been 

appointed under § 1102(a)(1), the case 

may proceed as a small business case 

only if, and from the time when, the 

court determines that:

(A) the committee is not sufficiently 

active and representative in 

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ORIGINAL REVISION

subdivision may be filed by the United 

States trustee or a party in interest only 

within a reasonable time after the failure 

of the committee to be sufficiently 

active and representative. The debtor 

may file a request for a determination at 

any time as to whether the committee 

has been sufficiently active and 

representative.

providing effective oversight of the 

debtor; and 

(B) the debtor satisfies all other 

requirements for a small business 

debtor. 

(2) Motion for a Court Determination.

Within a reasonable time after the 

committee has become insufficiently 

active or representative, the United 

States trustee or a party in interest may 

move for a determination by the court. 

The debtor may do so at any time. 

(d) PROCEDURE FOR OBJECTION 

OR DETERMINATION. Any 

objection or request for a determination 

under this rule shall be governed by Rule 

9014 and served on: the debtor; the 

debtor’s attorney; the United States 

trustee; the trustee; any committee 

appointed under § 1102 or its authorized 

agent, or, if no committee of unsecured 

creditors has been appointed under 

§ 1102, the creditors included on the list 

filed under Rule 1007(d); and any other 

entity as the court directs.

(d) Procedure; Service. An objection or 

request under this rule is governed by 

Rule 9014 and must be served on: 

• the debtor; 

• the debtor’s attorney; 

• the United States trustee;

• the trustee;

• any committee appointed under § 1102 

or its authorized agent, or, if no 

unsecured creditors’ committee has 

been appointed, the creditors on the list 

filed under Rule 1007(d); and

• any other entity as the court orders. 

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ORIGINAL REVISION

Rule 1021. Health Care Business 

Case

Rule 1021. Designating a Chapter 7, 9, 

or 11 Case as a HealthCare Business 

Case

(a) HEALTH CARE BUSINESS 

DESIGNATION. Unless the court 

orders otherwise, if a petition in a case 

under chapter 7, chapter 9, or chapter 11 

states that the debtor is a health care 

business, the case shall proceed as a case 

in which the debtor is a health care 

business. 

(a) In General. If a petition in a Chapter 7, 9, 

or 11 case designates the debtor as a health 

care business, the case must proceed in 

accordance with the designation unless the 

court orders otherwise. 

(b) MOTION. The United States trustee 

or a party in interest may file a motion 

to determine whether the debtor is a 

health care business. The motion shall 

be transmitted to the United States 

trustee and served on: the debtor; the 

trustee; any committee elected under 

§ 705 or appointed under § 1102 of the 

Code or its authorized agent, or, if the 

case is a chapter 9 municipality case or a 

chapter 11 reorganization case and no 

committee of unsecured creditors has 

been appointed under § 1102, the 

creditors included on the list filed under 

Rule 1007(d); and any other entity as the 

court directs. The motion shall be 

governed by Rule 9014.

(b) Seeking a Court Determination. The 

United States trustee or a party in interest 

may move the court to determine whether 

the debtor is a health care business. 

Proceedings on the motion are governed by 

Rule 9014. If the motion is filed by a party 

in interest, a copy must be sent to the 

United States trustee. The motion must be 

served on: 

• the debtor; 

• the trustee;

• any committee elected under § 705 or 

appointed under § 1102, or its 

authorized agent; 

• in a Chapter 9 or Chapter 11 case in 

which an unsecured creditors’ 

committee has not been appointed 

under § 1102, the creditors on the list 

filed under Rule 1007(d); and

• any other entity as the court orders. 

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THIS PAGE INTENTIONALLY BLANK

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Bankruptcy Rules Restyling

2000 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 II— OFFICERS AND 

ADMINISTRATION; NOTICES; 

MEETINGS; EXAMINATIONS; 

ELECTIONS; ATTORNEYS AND 

ACCOUNTANTS

PART II. OFFICERS AND 

ADMINISTRATION; NOTICES;

MEETINGS; EXAMINATIONS;

ELECTIONS AND APPOINTMENTS;

FINAL REPORT; COMPENSATION

Rule 2001. Appointment of Interim 

Trustee Before Order for Relief in a 

Chapter 7 Liquidation Case

Rule 2001. Appointing an Interim 

Trustee Before the Order for Relief in 

an Involuntary Chapter 7 Case

(a) APPOINTMENT. At any time 

following the commencement of an 

involuntary liquidation case and before 

an order for relief, the court on written 

motion of a party in interest may order 

the appointment of an interim trustee 

under § 303(g) of the Code. The motion 

shall set forth the necessity for the 

appointment and may be granted only 

after hearing on notice to the debtor, the 

petitioning creditors, the United States 

trustee, and other parties in interest as 

the court may designate.

(a) Appointing an Interim Trustee. After an 

involuntary Chapter 7 case commences but 

before an order for relief, the court may, on 

a party in interest’s motion, order the 

United States trustee to appoint an interim 

trustee under § 303(g). The motion must set 

forth the need for the appointment and 

may be granted only after a hearing on 

notice to: 

• the debtor; 

• the petitioning creditors; 

• the United States trustee; and 

• other parties in interest as the court 

orders. 

(b) BOND OF MOVANT. An interim 

trustee may not be appointed under this 

rule unless the movant furnishes a bond 

in an amount approved by the court, 

conditioned to indemnify the debtor for 

costs, attorney’s fee, expenses, and 

damages allowable under § 303(i) of the 

Code. 

(b) Bond Required. An interim trustee may 

be appointed only if the movant furnishes a 

bond, in an amount that the court 

approves, to indemnify the debtor for any 

costs, attorney’s fees, expenses, and 

damages allowable under § 303(i).

(c) ORDER OF APPOINTMENT. The 

order directing the appointment of an 

interim trustee shall state the reason the 

appointment is necessary and shall 

specify the trustee’s duties.

(c) The Order’s Content. The court’s order 

must state the reason the appointment is 

needed and specify the trustee’s duties. 

(d) TURNOVER AND REPORT. 

Following qualification of the trustee 

selected under § 702 of the Code, the 

(d) The Interim Trustee’s Final Report.

Unless the court orders otherwise, after 

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ORIGINAL REVISION

interim trustee, unless otherwise 

ordered, shall (1) forthwith deliver to the 

trustee all the records and property of 

the estate in possession or subject to 

control of the interim trustee and, (2) 

within 30 days thereafter file a final 

report and account. 

qualification of a trustee selected under 

§ 702, the interim trustee must: 

(1) promptly deliver to the trustee all the 

records and property of the estate that 

are in the interim trustee’s possession 

or under its control; and 

(2) within 30 days after the trustee 

qualifies, file a final report and 

account. 

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ORIGINAL REVISION

Rule 2002. Notices to Creditors, 

Equity Security Holders, 

Administrators in Foreign 

Proceedings, Persons Against Whom 

Provisional Relief is Sought in 

Ancillary and Other Cross-Border 

Cases, United States, and United 

States Trustee

Rule 2002. Notices

(a) TWENTY-ONE-DAY NOTICES 

TO PARTIES IN INTEREST. Except 

as provided in subdivisions (h), (i), (l), 

(p), and (q) of this rule, the clerk, or 

some other person as the court may 

direct, shall give the debtor, the trustee, 

all creditors and indenture trustees at 

least 21 days’ notice by mail of: 

(1) the meeting of creditors 

under § 341 or § 1104(b) of the Code, 

which notice, unless the court orders 

otherwise, shall include the debtor’s 

employer identification number, social 

security number, and any other federal 

taxpayer identification number;

 (2) a proposed use, sale, or lease 

of property of the estate other than in 

the ordinary course of business, unless 

the court for cause shown shortens the 

time or directs another method of giving 

notice; 

(3) the hearing on approval of a 

compromise or settlement of a 

controversy other than approval of an 

agreement pursuant to Rule 4001(d), 

unless the court for cause shown directs 

that notice not be sent; 

 (4) in a chapter 7 liquidation, a 

chapter 11 reorganization case, or a 

chapter 12 family farmer debt 

adjustment case, the hearing on the 

dismissal of the case or the conversion 

of the case to another chapter, unless 

the hearing is under § 707(a)(3) or § 

707(b) or is on dismissal of the case for 

(a) 21-Day Notices to the Debtor, Trustee, 

Creditors, and Indenture Trustees.

Except as (h), (i), (l), (p), and (q) provide 

otherwise, the clerk or the court’s designee 

must give the debtor, the trustee, all 

creditors, and all indenture trustees at least 

21 days’ notice by mail of:

(1) the meeting of creditors under § 341 or 

§ 1104(b), which notice—unless the 

court orders otherwise—must include 

the debtor’s: 

(A) employer-identification number; 

(B) social-security number; and

(C) any other federal taxpayeridentification number; 

(2) a proposal to use, sell, or lease 

property of the estate other than in the 

ordinary course of business—unless 

the court, for cause, shortens the time 

or orders another method of giving 

notice; 

(3) a hearing to approve a compromise or 

settlement other than an agreement 

under Rule 4001(d)—unless the court, 

for cause, orders that notice not be 

sent;

(4) a hearing on a motion to dismiss a 

Chapter 7, 11, or 12 case or convert it 

to another chapter—unless the hearing 

is under § 707(a)(3) or § 707(b) or is on 

a motion to dismiss the case for failure 

to pay the filing fee;

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ORIGINAL REVISION

failure to pay the filing fee;

(5) the time fixed to accept or 

reject a proposed modification of a plan; 

 (6) a hearing on any entity’s 

request for compensation or 

reimbursement of expenses if the 

request exceeds $1,000;

(7) the time fixed for filing 

proofs of claims pursuant to Rule 

3003(c);

(8) the time fixed for filing 

objections and the hearing to consider 

confirmation of a chapter 12 plan; and 

(9) the time fixed for filing 

objections to confirmation of a chapter 

13 plan.

(5) the time to accept or reject a proposal 

to modify a plan; 

(6) a hearing on a request for 

compensation or for reimbursement of 

expenses, if the request exceeds 

$1,000; 

(7) the time to file proofs of claims under 

Rule 3003(c);

(8) the time to file objections to—and the 

time of the hearing to consider 

whether to confirm—a Chapter 12 

plan; and 

(9) the time to object to confirming a 

Chapter 13 plan.

(b) TWENTY-EIGHT-DAY 

NOTICES TO PARTIES IN 

INTEREST. Except as provided in 

subdivision (l) of this rule, the clerk, or 

some other person as the court may 

direct, shall give the debtor, the trustee, 

all creditors and indenture trustees not 

less than 28 days’ notice by mail of the 

time fixed (1) for filing objections and 

the hearing to consider approval of a 

disclosure statement or, under § 1125(f), 

to make a final determination whether 

the plan provides adequate information 

so that a separate disclosure statement is 

not necessary; (2) for filing objections 

and the hearing to consider 

confirmation of a chapter 9 or chapter 

11 plan; and (3) for the hearing to 

consider confirmation of a chapter 13 

plan. 

(b) 28-Day Notices to the Debtor, Trustee, 

Creditors, and Indenture Trustees.

Except as (l) provides otherwise, the clerk 

or the court’s designee must give the 

debtor, trustee, all creditors, and all 

indenture trustees at least 28 days’ notice by 

mail of: 

(1) the time to file objections and the time 

of a hearing to: 

(A) consider approving a disclosure 

statement; or 

(B) determine under § 1125(f) whether 

a plan includes adequate 

information to make a separate 

disclosure statement unnecessary; 

(2) the time to file objections to—and the 

time of the hearing to consider 

whether to confirm—a Chapter 9 or 

11 plan; and 

(3) the time of a hearing to consider 

whether to confirm a Chapter 13 plan.

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ORIGINAL REVISION

(c) CONTENT OF NOTICE.

(1) Proposed Use, Sale, or Lease of 

Property. Subject to Rule 6004, the notice 

of a proposed use, sale, or lease of 

property required by subdivision (a)(2) 

of this rule shall include the time and 

place of any public sale, the terms and 

conditions of any private sale and the 

time fixed for filing objections. The 

notice of a proposed use, sale, or lease 

of property, including real estate, is 

sufficient if it generally describes the 

property. The notice of a proposed sale 

or lease of personally identifiable 

information under § 363(b)(1) of the 

Code shall state whether the sale is 

consistent with any policy prohibiting 

the transfer of the information. 

(2) Notice of Hearing on 

Compensation. The notice of a hearing on 

an application for compensation or 

reimbursement of expenses required by 

subdivision (a)(6) of this rule shall 

identify the applicant and the amounts 

requested. 

(3) Notice of Hearing on 

Confirmation When Plan Provides for an 

Injunction. If a plan provides for an 

injunction against conduct not otherwise 

enjoined under the Code, the notice 

required under Rule 2002(b)(2) shall: 

 (A) include in 

conspicuous language (bold, italic, or 

underlined text) a statement that the 

plan proposes an injunction; 

 (B) describe briefly the 

nature of the injunction; and 

 (C) identify the entities 

that would be subject to the injunction. 

(c) Content of Notice.

(1) Proposed Use, Sale, or Lease of 

Property. Subject to Rule 6004, a 

notice of a proposed use, sale, or lease 

of property under (a)(2) must include: 

(A) the time and place of any public 

sale; 

(B) the terms and conditions of any 

private sale; and 

(C) the time to file objections. 

The notice suffices if it generally 

describes the property. In a notice of a 

proposed sale or lease of personally 

identifiable information under 

§ 363(b)(1), the notice must state 

whether the sale is consistent with any 

policy that prohibits transferring the

information. 

(2) Hearing on an Application for 

Compensation or Reimbursement.

A notice under (a)(6) of a hearing on a 

request for compensation or for 

reimbursement of expenses must

identify the applicant and the amounts 

requested. 

(3) Hearing on Confirming a Plan That 

Proposes an Injunction. If a plan 

proposes an injunction against conduct 

not otherwise enjoined under the 

Code, the notice under (b)(2) must: 

(A) state in conspicuous language 

(bold, italic, or underlined text) 

that the plan proposes an 

injunction; 

(B) describe briefly the nature of the 

injunction; and 

(C) identify the entities that would be 

subject to it. 

(d) NOTICE TO EQUITY SECURITY 

HOLDERS. In a chapter 11 

(d) Notice to Equity Security Holders in a 

Chapter 11 Case. Unless the court orders 

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ORIGINAL REVISION

reorganization case, unless otherwise 

ordered by the court, the clerk, or some 

other person as the court may direct, 

shall in the manner and form directed by 

the court give notice to all equity 

security holders of (1) the order for 

relief; (2) any meeting of equity security 

holders held pursuant to § 341 of the 

Code; (3) the hearing on the proposed 

sale of all or substantially all of the 

debtor’s assets; (4) the hearing on the 

dismissal or conversion of a case to 

another chapter; (5) the time fixed for 

filing objections to and the hearing to 

consider approval of a disclosure 

statement; (6) the time fixed for filing 

objections to and the hearing to 

consider confirmation of a plan; and (7) 

the time fixed to accept or reject a 

proposed modification of a plan. 

otherwise, in a Chapter 11 case, the clerk or 

the court’s designee must give notice as the 

court orders to the equity security holders 

of: 

(1) the order for relief;

(2) a meeting of equity security holders 

under § 341;

(3) a hearing on a proposed sale of all, or 

substantially all, the debtor’s assets;

(4) a hearing on a motion to dismiss a case 

or convert it to another chapter; 

(5) the time to file objections to—and the 

time of the hearing to consider 

whether to approve—a disclosure 

statement; 

(6) the time to file objections to—and the 

time of the hearing to consider 

whether to confirm—a Chapter 11 

plan; and 

(7) the time to accept or reject a proposal 

to modify a plan. 

(e) NOTICE OF NO DIVIDEND. In a 

chapter 7 liquidation case, if it appears 

from the schedules that there are no 

assets from which a dividend can be 

paid, the notice of the meeting of 

creditors may include a statement to that 

effect; that it is unnecessary to file 

claims; and that if sufficient assets 

become available for the payment of a 

dividend, further notice will be given for 

the filing of claims.

(e) Notice of No Dividend in a Chapter 7 

Case. In a Chapter 7 case, if it appears 

from the schedules that there are no assets 

from which to pay a dividend, the notice of 

the meeting of creditors may state: 

(1) that fact; 

(2) that filing proofs of claim is 

unnecessary; and 

(3) that further notice of the time to file 

proofs of claim will be given if enough 

assets become available to pay a 

dividend. 

(f) OTHER NOTICES. Except as 

provided in subdivision (l) of this rule, 

the clerk, or some other person as the 

court may direct, shall give the debtor, 

all creditors, and indenture trustees 

(f) Other Notices.

(1) Various Notices to the Debtor, 

Creditors, and Indenture Trustees.

Except as (l) provides otherwise, the 

clerk, or some other person as the 

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ORIGINAL REVISION

notice by mail of:

(1) the order for relief;

(2) the dismissal or the 

conversion of the case to another 

chapter, or the suspension of 

proceedings under § 305; 

(3) the time allowed for filing 

claims pursuant to Rule 3002; 

(4) the time fixed for filing a 

complaint objecting to the debtor’s 

discharge pursuant to § 727 of the Code 

as provided in Rule 4004; 

(5) the time fixed for filing a 

complaint to determine the 

dischargeability of a debt pursuant to § 

523 of the Code as provided in Rule 

4007; 

(6) the waiver, denial, or 

revocation of a discharge as provided in 

Rule 4006; 

 (7) entry of an order confirming 

a chapter 9, 11, or 12 plan;

(8) a summary of the trustee’s 

final report in a chapter 7 case if the net 

proceeds realized exceed $1,500; 

 (9) a notice under Rule 5008 

regarding the presumption of abuse; 

(10) a statement under § 

704(b)(1) as to whether the debtor’s case 

would be presumed to be an abuse 

under § 707(b); and 

(11) the time to request a delay 

in the entry of the discharge under §§ 

1141(d)(5)(C), 1228(f), and 1328(h). 

Notice of the time fixed for accepting or 

rejecting a plan pursuant to Rule 3017(c) 

shall be given in accordance with Rule 

3017(d).

court may direct, must give the debtor, 

creditors, and indenture trustees notice 

by mail of: 

(A) the order for relief;

(B) a case’s dismissal or conversion to 

another chapter; 

(C) a suspension of proceedings under 

§ 305;

(D) the time to file a proof of claim 

under Rule 3002;

(E) the time to file a complaint to 

object to the debtor’s discharge 

under § 727, as Rule 4004

provides; 

(F) the time to file a complaint to 

determine whether a debt is 

dischargeable under § 523, as 

Rule 4007 provides; 

(G) a waiver, denial, or revocation of a 

discharge, as Rule 4006 provides; 

(H) entry of an order confirming a plan 

in a Chapter 9, 11, or 12 case; 

(I) a summary of the trustee’s final 

report in a Chapter 7 case if the net 

proceeds realized exceed $1,500;

(J) a notice under Rule 5008 regarding 

the presumption of abuse; 

(K) a statement under § 704(b)(1) 

about whether the debtor’s case 

would be presumed to be an abuse 

under § 707(b); and 

(L) the time to request a delay in 

granting the discharge under 

§§ 1141(d)(5)(C), 1228(f), or 

1328(h). 

(2) Notice of the Time to Accept or 

Reject a Plan. Notice of the time to 

accept or reject a plan under 

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ORIGINAL REVISION

Rule 3017(c) must be given in 

accordance with Rule 3017(d).

(g) ADDRESSING NOTICES.

 (1) Notices required to be mailed 

under Rule 2002 to a creditor, indenture 

trustee, or equity security holder shall be 

addressed as such entity or an 

authorized agent has directed in its last 

request filed in the particular case. For 

the purposes of this subdivision— 

 (A) a proof of claim filed 

by a creditor or indenture trustee that 

designates a mailing address constitutes 

a filed request to mail notices to that 

address, unless a notice of no dividend 

has been given under Rule 2002(e) and a 

later notice of possible dividend under 

Rule 3002(c)(5) has not been given; and 

 (B) a proof of interest 

filed by an equity security holder that 

designates a mailing address constitutes 

a filed request to mail notices to that 

address. 

 (2) Except as provided in § 

342(f) of the Code, if a creditor or 

indenture trustee has not filed a request 

designating a mailing address under Rule 

2002(g)(1) or Rule 5003(e), the notices 

shall be mailed to the address shown on 

the list of creditors or schedule of 

liabilities, whichever is filed later. If an 

equity security holder has not filed a 

request designating a mailing address 

under Rule 2002(g)(1) or Rule 5003(e), 

the notices shall be mailed to the address 

shown on the list of equity security 

holders. 

 (3) If a list or schedule filed 

under Rule 1007 includes the name and 

address of a legal representative of an 

infant or incompetent person, and a 

person other than that representative 

(g) Addressing Notices.

(1) In General. A notice mailed to a 

creditor, indenture trustee, or equity 

security holder must be addressed as 

the entity or its authorized agent 

provided in its last request filed in the 

case. The request may be:

(A) a proof of claim filed by a creditor 

or an indenture trustee designating 

a mailing address (unless a notice 

of no dividend has been given 

under (e) and a later notice of a 

possible dividend under 

Rule 3002(c)(5) has not been 

given); or 

(B) a proof of interest filed by an 

equity security holder designating a 

mailing address. 

(2) When No Request Has Been Filed.

Except as § 342(f) provides otherwise, 

if a creditor or indenture trustee has 

not filed a request under (1) or 

Rule 5003(e), the notice must be 

mailed to the address shown on the list 

of creditors or schedule of liabilities, 

whichever is filed later. If an equity

security holder has not filed a request, 

the notice must be mailed to the 

address shown on the list of equity 

security holders.

(3) Notices to Representatives of an 

Infant or Incompetent Person. If a 

list or schedule filed under Rule 1007 

includes a name and address of an 

infant’s or an incompetent person’s 

representative, and a person other than 

that representative files a request or 

proof of claim designating a different 

name and mailing address, then unless 

the court orders otherwise, the notice 

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ORIGINAL REVISION

files a request or proof of claim 

designating a name and mailing address 

that differs from the name and address 

of the representative included in the list 

or schedule, unless the court orders 

otherwise, notices under Rule 2002 shall 

be mailed to the representative included 

in the list or schedules and to the name 

and address designated in the request or 

proof of claim. 

(4) Notwithstanding Rule 

2002(g)(1)–(3), an entity and a notice 

provider may agree that when the notice 

provider is directed by the court to give 

a notice, the notice provider shall give 

the notice to the entity in the manner 

agreed to and at the address or addresses 

the entity supplies to the notice 

provider. That address is conclusively 

presumed to be a proper address for the 

notice. The notice provider’s failure to 

use the supplied address does not 

invalidate any notice that is otherwise 

effective under applicable law. 

(5) A creditor may treat a notice 

as not having been brought to the 

creditor’s attention under § 342(g)(1) 

only if, prior to issuance of the notice, 

the creditor has filed a statement that 

designates the name and address of the 

person or organizational subdivision of 

the creditor responsible for receiving 

notices under the Code, and that 

describes the procedures established by 

the creditor to cause such notices to be 

delivered to the designated person or 

subdivision. 

must be mailed to both persons at 

their designated addresses. 

(4) Using an Address Agreed to 

Between an Entity and a Notice 

Provider. Notwithstanding (g)(1)-(3), 

when the court orders that a notice 

provider give a notice, the provider 

may do so in the manner agreed to 

between the provider and an entity, 

and at the address or addresses the 

entity supplies. An address supplied by 

the entity is conclusively presumed to 

be a proper address for the notice. But 

a failure to use a supplied address does 

not invalidate a notice that is otherwise 

effective under applicable law. 

(5) When a Notice Is Not Brought to a 

Creditor’s Attention. A creditor may 

treat a notice as not having been 

brought to the creditor’s attention 

under § 342(g)(1) only if, before the 

notice was issued, the creditor has filed

a statement: 

(A) designating the name and address 

of the person or organizational 

subdivision responsible for 

receiving notices; and 

(B) describing the creditor’s 

procedures for delivering notices 

to the designated person or 

organizational subdivision. 

(h) NOTICES TO CREDITORS 

WHOSE CLAIMS ARE FILED. In a 

chapter 7 case, after 90 days following 

the first date set for the meeting of 

creditors under § 341 of the Code, the 

court may direct that all notices required 

by subdivision (a) of this rule be mailed 

(h) Notice to Creditors That Have Filed

Proofs of Claim in a Chapter 7 Case.

(1) In General. In a Chapter 7 case, after

90 days following the first date set for 

the meeting of creditors under § 341, 

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ORIGINAL REVISION

only to the debtor, the trustee, all 

indenture trustees, creditors that hold 

claims for which proofs of claim have 

been filed, and creditors, if any, that are 

still permitted to file claims by reason of 

an extension granted pursuant to Rule 

3002(c)(1) or (c)(2). In a case where 

notice of insufficient assets to pay a 

dividend has been given to creditors 

pursuant to subdivision (e) of this rule, 

after 90 days following the mailing of a 

notice of the time for filing claims 

pursuant to Rule 3002(c)(5), the court 

may direct that notices be mailed only to 

the entities specified in the preceding 

sentence.

the court may order that all notices 

required by (a) be mailed only to: 

• the debtor; 

• the trustee; 

• indenture trustees; 

• creditors with claims for which

proofs of claim have been filed; 

and 

• creditors that have received an 

extension of time under 

Rule 3002(c)(1) or (2) to file proofs 

of claim. 

(2) When a Notice of Insufficient 

Assets Has Been Given. If notice of 

insufficient assets to pay a dividend has 

been given to creditors under (e), after

90 days following the mailing of a 

notice of the time to file proofs of 

claim under Rule 3002(c)(5), the court 

may order that notices be mailed only 

to those entities listed in (1). 

(i) NOTICES TO COMMITTEES. 

Copies of all notices required to be 

mailed pursuant to this rule shall be 

mailed to the committees elected under 

§ 705 or appointed under § 1102 of the 

Code or to their authorized agents. 

Notwithstanding the foregoing 

subdivisions, the court may order that 

notices required by subdivision (a)(2), (3) 

and (6) of this rule be transmitted to the 

United States trustee and be mailed only 

to the committees elected under § 705 

or appointed under § 1102 of the Code 

or to their authorized agents and to the 

creditors and equity security holders 

who serve on the trustee or debtor in 

possession and file a request that all 

notices be mailed to them. A committee 

appointed under § 1114 shall receive 

copies of all notices required by 

(i) Notice to a Committee.

(1) In General. Any notice required to be 

mailed under this Rule 2002 must also 

be mailed to a committee elected under 

§ 705 or appointed under § 1102, or to 

its authorized agent.

(2) Limiting Notices. The court may 

order that a notice required by (a)(2), 

(3), or (6) be: 

(A) sent to the United States trustee; 

and 

(B) mailed only to: 

(i) the committees elected under 

§ 705 or appointed under 

§ 1102, or to their authorized 

agents; and 

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ORIGINAL REVISION

subdivisions (a)(1), (a)(5), (b), (f)(2), and 

(f)(7), and such other notices as the 

court may direct.

(ii) those creditors and equity

security holders who file—

and serve on the trustee or 

debtor in possession—a 

request that all notices be 

mailed to them.

(3) Copy to a Committee. A notice 

required under (a)(1), (a)(5), (b), 

(f)(1)(B)–(C), or (f)(1)(H)—and any 

other notice as the court orders—must 

be sent to a committee appointed 

under § 1114. 

(j) NOTICES TO THE UNITED 

STATES. Copies of notices required to 

be mailed to all creditors under this rule 

shall be mailed (1) in a chapter 11 

reorganization case, to the Securities and 

Exchange Commission at any place the 

Commission designates, if the 

Commission has filed either a notice of 

appearance in the case or a written 

request to receive notices; (2) in a 

commodity broker case, to the 

Commodity Futures Trading 

Commission at Washington, D.C.; (3) in 

a chapter 11 case, to the Internal 

Revenue Service at its address set out in 

the register maintained under Rule 

5003(e) for the district in which the case 

is pending; (4) if the papers in the case 

disclose a debt to the United States 

other than for taxes, to the United States 

attorney for the district in which the 

case is pending and to the department, 

agency, or instrumentality of the United 

States through which the debtor became 

indebted; or (5) if the filed papers 

disclose a stock interest of the United 

States, to the Secretary of the Treasury 

at Washington, D.C. 

(j) Notice to the United States. A notice 

required to be mailed to all creditors under 

this Rule 2002 must also be mailed:

(1) in a Chapter 11 case in which the 

Securities and Exchange Commission 

has filed either a notice of appearance 

or a request to receive notices, to the 

SEC at any place it designates;

(2) in a commodity-broker case, to the 

Commodity Futures Trading 

Commission at Washington, D.C.;

(3) in a Chapter 11 case, to the Internal 

Revenue Service at the address in the 

register maintained under Rule 5003(e) 

for the district where the case is 

pending;

(4) in a case for which the papers indicate 

that a debt (other than for taxes) is 

owed to the United States, to the 

United States attorney for the district 

where the case is pending and to the 

department, agency, or instrumentality 

of the United States through which the 

debtor became indebted; or

(5) in a case for which the papers disclose 

a stock interest of the United States, to 

the Secretary of the Treasury at 

Washington, D.C. 

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ORIGINAL REVISION

(k) NOTICES TO UNITED STATES 

TRUSTEE. Unless the case is a chapter 

9 municipality case or unless the United 

States trustee requests otherwise, the 

clerk, or some other person as the court 

may direct, shall transmit to the United 

States trustee notice of the matters 

described in subdivisions (a)(2), (a)(3), 

(a)(4), (a)(8), (b), (f)(1), (f)(2), (f)(4), 

(f)(6), (f)(7), (f)(8), and (q) of this rule 

and notice of hearings on all applications 

for compensation or reimbursement of 

expenses. Notices to the United States 

trustee shall be transmitted within the 

time prescribed in subdivision (a) or (b) 

of this rule. The United States trustee 

shall also receive notice of any other 

matter if such notice is requested by the 

United States trustee or ordered by the 

court. Nothing in these rules requires 

the clerk or any other person to transmit 

to the United States trustee any notice, 

schedule, report, application or other 

document in a case under the Securities 

Investor Protection Act, 15 U.S.C. § 

78aaa et. seq.

(k) Notice to the United States Trustee.

(1) In General. Except in a Chapter 9 

case or unless the United States trustee 

requests otherwise, the clerk or the 

court’s designee must send to the 

United States trustee notice of: 

(A) all matters described in (a)(2)–(4),

(a)(8), (b), (f)(1)(A)–(C), (f)(1)(E), 

(f)(1)(G)–(I), and (q); 

(B) all hearings on applications for 

compensation or for 

reimbursement of expenses; and 

(C) any other matter if the United 

States trustee requests it or the 

court orders it. 

(2) Time to Send. The notice must be 

sent within the time (a) or (b)

prescribes. 

(3) Exception Under the Securities 

Investor Protection Act. In a case 

under the Securities Investor 

Protection Act, 15 U.S.C. § 78aaa et 

seq., these rules do not require any 

document to be sent to the United 

States trustee.

(l) NOTICE BY PUBLICATION. The 

court may order notice by publication if 

it finds that notice by mail is 

impracticable or that it is desirable to 

supplement the notice. 

(l) Notice by Publication. The court may 

order notice by publication if notice by mail 

is impracticable or if it is desirable to 

supplement the notice. 

(m) ORDERS DESIGNATING 

MATTER OF NOTICES. The court 

may from time to time enter orders 

designating the matters in respect to 

which, the entity to whom, and the form 

and manner in which notices shall be 

sent except as otherwise provided by 

these rules.

(m) Orders Concerning Notices. Except as 

these rules provide otherwise, the court 

may designate the matters about which, the 

entity to whom, and the form and manner 

in which a notice must be sent.

(n) CAPTION. The caption of every 

notice given under this rule shall comply 

(n) Notice of an Order for Relief in a 

Consumer Case. In a voluntary case 

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ORIGINAL REVISION

with Rule 1005. The caption of every 

notice required to be given by the debtor 

to a creditor shall include the 

information required to be in the notice 

by § 342(c) of the Code. 

commenced under the Code by an 

individual debtor whose debts are primarily 

consumer debts, the clerk, or some other 

person as the court may direct, shall give 

the trustee and all creditors notice by mail 

of the order for relief not more than 

20 days after the entry of such order.

(o) NOTICE OF ORDER FOR 

RELIEF IN CONSUMER CASE. In a 

voluntary case commenced by an 

individual debtor whose debts are 

primarily consumer debts, the clerk or 

some other person as the court may 

direct shall give the trustee and all 

creditors notice by mail of the order for 

relief within 21 days from the date 

thereof.

(o) Caption. The caption of a notice given 

under this Rule 2002 must conform to 

Rule 1005. The caption of a debtor’s notice 

to a creditor must also include the 

information that § 342(c) requires. 

(p) NOTICE TO A CREDITOR 

WITH A FOREIGN ADDRESS.

(1) If, at the request of the 

United States trustee or a party in 

interest, or on its own initiative, the 

court finds that a notice mailed within 

the time prescribed by these rules would 

not be sufficient to give a creditor with a 

foreign address to which notices under 

these rules are mailed reasonable notice 

under the circumstances, the court may 

order that the notice be supplemented 

with notice by other means or that the 

time prescribed for the notice by mail be 

enlarged.

(2) Unless the court for cause 

orders otherwise, a creditor with a 

foreign address to which notices under 

this rule are mailed shall be given at least 

30 days’ notice of the time fixed for 

filing a proof of claim under Rule 

3002(c) or Rule 3003(c).

(3) Unless the court for cause 

orders otherwise, the mailing address of 

a creditor with a foreign address shall be 

(p) Notice to a Creditor with Foreign 

Address. 

(1) When Notice by Mail Does Not 

Suffice. At the request of the United 

States trustee or a party in interest, or 

on its own, the court may find that a 

notice mailed to a creditor with a 

foreign address within the time these 

rules prescribe would not give the 

creditor reasonable notice. The court 

may then order that the notice be 

supplemented with notice by other 

means or that the time prescribed for 

the notice by mail be extended. 

(2) Notice of the Time to File a Proof 

of Claim. Unless the court, for cause, 

orders otherwise, a creditor with a 

foreign address must be given at least 

30 days’ notice of the time to file a 

proof of claim under Rule 3002(c) or 

Rule 3003(c).

(3) Determining a Foreign Address.

Unless the court, for cause, orders 

otherwise, the mailing address of a 

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determined under Rule 2002(g). creditor with a foreign address must be 

determined under (g). 

(q) NOTICE OF PETITION FOR 

RECOGNITION OF FOREIGN 

PROCEEDING AND OF COURT’S 

INTENTION TO COMMUNICATE 

WITH FOREIGN COURTS AND 

FOREIGN REPRESENTATIVES.

(1) Notice of Petition for Recognition.

After the filing of a petition for 

recognition of a foreign proceeding, the 

court shall promptly schedule and hold a 

hearing on the petition. The clerk, or 

some other person as the court may 

direct, shall forthwith give the debtor, all 

persons or bodies authorized to 

administer foreign proceedings of the 

debtor, all entities against whom 

provisional relief is being sought under § 

1519 of the Code, all parties to litigation 

pending in the United States in which 

the debtor is a party at the time of the 

filing of the petition, and such other 

entities as the court may direct, at least 

21 days’ notice by mail of the hearing. 

The notice shall state whether the 

petition seeks recognition as a foreign

main proceeding or foreign nonmain 

proceeding and shall include the petition 

and any other document the court may 

require. If the court consolidates the 

hearing on the petition with the hearing 

on a request for provisional relief, the 

court may set a shorter notice period, 

with notice to the entities listed in this 

subdivision. 

(2) Notice of Court’s Intention to 

Communicate with Foreign Courts and Foreign 

Representatives. The clerk, or some other 

person as the court may direct, shall give 

the debtor, all persons or bodies 

authorized to administer foreign 

proceedings of the debtor, all entities 

against whom provisional relief is being 

(q) Notice of a Petition for Recognition of a

Foreign Proceeding; Notice of Intent to 

Communicate with a Foreign Court or 

Foreign Representative.

(1) Timing of the Notice; Who Must 

Receive It. After a petition for 

recognition of a foreign proceeding is 

filed, the court must promptly hold a 

hearing on it. The clerk or the court’s 

designee must promptly give at least 

21 days’ notice by mail of the hearing 

to:

• the debtor; 

• all persons or bodies authorized to 

administer the debtor’s foreign 

proceedings; 

• 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 when the 

petition was filed; and 

• any other entities as the court 

orders. 

If the court consolidates the hearing 

on the petition with a hearing on a 

request for provisional relief, the court 

may set a shorter notice period. 

(2) Contents of the Notice. The notice 

must:

(A) state whether the petition seeks 

recognition as a foreign main 

proceeding or a foreign nonmain 

proceeding; and 

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ORIGINAL REVISION

sought under § 1519 of the Code, all 

parties to litigation pending in the 

United States in which the debtor is a 

party at the time of the filing of the 

petition, and such other entities as the 

court may direct, notice by mail of the 

court’s intention to communicate with a 

foreign court or foreign representative. 

(B) include a copy of the petition and 

any other document the court 

specifies.

(3) Communicating with a Foreign 

Court or Foreign Representative. If 

the court intends to communicate with 

a foreign court or foreign 

representative, the clerk or the court’s 

designee must give notice by mail of 

the court’s intention to all those listed 

in (q)(1).

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Rule 2003. Meeting of Creditors or 

Equity Security Holders

Rule 2003. Meeting of Creditors or 

Equity Security Holders

(a) DATE AND PLACE. Except as 

otherwise provided in § 341(e) of the 

Code, in a chapter 7 liquidation or a 

chapter 11 reorganization case, the 

United States trustee shall call a meeting 

of creditors to be held no fewer than 21 

and no more than 40 days after the 

order for relief. In a chapter 12 family 

farmer debt adjustment case, the United 

States trustee shall call a meeting of 

creditors to be held no fewer than 21 

and no more than 35 days after the 

order for relief. In a chapter 13 

individual’s debt adjustment case, the 

United States trustee shall call a meeting 

of creditors to be held no fewer than 21 

and no more than 50 days after the 

order for relief. If there is an appeal 

from or a motion to vacate the order for 

relief, or if there is a motion to dismiss 

the case, the United States trustee may 

set a later date for the meeting. The 

meeting may be held at a regular place 

for holding court or at any other place 

designated by the United States trustee 

within the district convenient for the 

parties in interest. If the United States 

trustee designates a place for the 

meeting which is not regularly staffed by 

the United States trustee or an assistant 

who may preside at the meeting, the 

meeting may be held not more than 60 

days after the order for relief.

(a) Date and Place of the Meeting.

(1) Date. Unless § 341(e) applies, the 

United States trustee must call a 

meeting of creditors to be held: 

(A) in a Chapter 7 or 11 case, no fewer 

than 21 days and no more than 

40 days after the order for relief; 

(B) in a Chapter 12 case, no fewer than 

21 days and no more than 35 days 

after the order for relief; or

(C) in a Chapter 13 case, no fewer than 

21 days and no more than 50 days 

after the order for relief.

(2) Effect of a Motion or an Appeal.

The United States trustee may set a 

later date for the meeting if there is a 

motion to vacate the order for relief, 

an appeal from such an order, or a 

motion to dismiss the case. 

(3) Place; Possible Change in the 

Meeting Date. The meeting may be 

held at a regular place for holding 

court. Or the United States trustee may 

designate any other place in the district 

that is convenient for the parties in 

interest. If the designated meeting 

place is not regularly staffed by the 

United States trustee or an assistant 

who may preside, the meeting may be 

held no more than 60 days after the 

order for relief.

(b) ORDER OF MEETING.

 (1) Meeting of Creditors. The 

United States trustee shall preside at the 

meeting of creditors. The business of 

the meeting shall include the 

examination of the debtor under oath 

and, in a chapter 7 liquidation case, may 

(b) Conducting the Meeting; Agenda; Who 

May Vote. 

(1) At a Meeting of Creditors.

(A) Generally. The United States trustee 

must preside at the meeting of 

creditors. The meeting must 

include an examination of the 

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ORIGINAL REVISION

include the election of a creditors’ 

committee and, if the case is not under 

subchapter V of chapter 7, the election 

of a trustee. The presiding officer shall 

have the authority to administer oaths. 

(2) Meeting of Equity Security 

Holders. If the United States trustee 

convenes a meeting of equity security 

holders pursuant to § 341(b) of the 

Code, the United States trustee shall fix 

a date for the meeting and shall preside. 

(3) Right To Vote. In a chapter 7 

liquidation case, a creditor is entitled to 

vote at a meeting if, at or before the 

meeting, the creditor has filed a proof of 

claim or a writing setting forth facts 

evidencing a right to vote pursuant to § 

702(a) of the Code unless objection is 

made to the claim or the proof of claim 

is insufficient on its face. A creditor of a 

partnership may file a proof of claim or 

writing evidencing a right to vote for the 

trustee for the estate of the general 

partner notwithstanding that a trustee 

for the estate of the partnership has 

previously qualified. In the event of an 

objection to the amount or allowability 

of a claim for the purpose of voting, 

unless the court orders otherwise, the 

United States trustee shall tabulate the 

votes for each alternative presented by 

the dispute and, if resolution of such 

dispute is necessary to determine the 

result of the election, the tabulations for 

each alternative shall be reported to the 

court. 

debtor under oath. The presiding 

officer has the authority to 

administer oaths. 

(B) Chapter 7 Cases. In a Chapter 7 case, 

the meeting may include the 

election of a creditors’ committee; 

and if the case is not under 

Subchapter V, the meeting may 

include electing a trustee.

(2) At a Meeting of Equity Security 

Holders. If the United States trustee 

convenes a meeting of equity security 

holders under § 341(b), the United 

States trustee must set a date for the

meeting and preside over it. 

(3) Who Has a Right to Vote; 

Objecting to the Right to Vote.

(A) In a Chapter 7 Case. A creditor in a 

Chapter 7 case may vote if, at or 

before the meeting: 

(i) the creditor has filed a proof 

of claim or a writing setting 

forth facts evidencing a right 

to vote under § 702(a); 

(ii) the proof of claim is not 

insufficient on its face; and

(iii) no objection is made to the 

claim.

(B) In a Partnership Case. A creditor in a 

partnership case may file a proof of 

claim or a writing evidencing a 

right to vote for a trustee for the 

general partner’s estate even if a 

trustee for the partnership’s estate 

has previously qualified. 

(C) Objecting to the Amount or Allowability 

of a Claim for Voting Purposes. Unless 

the court orders otherwise, if there 

is an objection to the amount or 

allowability of a claim for voting

purposes, the United States trustee 

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ORIGINAL REVISION

must tabulate the votes for each 

alternative presented by the 

dispute. If resolving the dispute is 

necessary to determine the 

election’s result, the United States 

trustee must report to the court the 

tabulations for each alternative.

(c) RECORD OF MEETING. Any 

examination under oath at the meeting 

of creditors held pursuant to § 341(a) of 

the Code shall be recorded verbatim by 

the United States trustee using electronic 

sound recording equipment or other 

means of recording, and such record 

shall be preserved by the United States 

trustee and available for public access 

until two years after the conclusion of 

the meeting of creditors. Upon request 

of any entity, the United States trustee 

shall certify and provide a copy or 

transcript of such recording at the 

entity’s expense.

(c) Recording the Proceedings. At the 

meeting of creditors under § 341(a), the 

United States trustee must: 

(1) record verbatim—using electronic 

sound-recording equipment or other 

means of recording—all examinations 

under oath; 

(2) preserve the recording and make it 

available for public access for 2 years 

after the meeting concludes; and 

(3) upon request, certify and provide a 

copy or transcript of the recording to 

any entity at that entity’s expense. 

(d) REPORT OF ELECTION AND 

RESOLUTION OF DISPUTES IN A 

CHAPTER 7 CASE. 

 (1) Report of Undisputed 

Election. In a chapter 7 case, if the 

election of a trustee or a member of a 

creditors’ committee is not disputed, the 

United States trustee shall promptly file 

a report of the election, including the 

name and address of the person or 

entity elected and a statement that the 

election is undisputed. 

(2) Disputed Election. If the 

election is disputed, the United States 

trustee shall promptly file a report 

stating that the election is disputed, 

informing the court of the nature of the 

dispute, and listing the name and 

address of any candidate elected under 

any alternative presented by the dispute. 

No later than the date on which the 

(d) Reporting Election Results in a

Chapter 7 Case.

(1) Undisputed Election. In a Chapter 7 

case, if the election of a trustee or a 

member of a creditors’ committee is 

undisputed, the United States trustee 

must promptly file a report of the 

election. The report must include the 

name and address of the person or 

entity elected and a statement that the 

election was undisputed. 

(2) Disputed Election.

(A) United States Trustee’s Report. If the 

election is disputed, the United 

States trustee must: 

(i) promptly file a report 

informing the court of the 

nature of the dispute and 

listing the name and address 

of any candidate elected 

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ORIGINAL REVISION

report is filed, the United States trustee 

shall mail a copy of the report to any 

party in interest that has made a request 

to receive a copy of the report. Pending 

disposition by the court of a disputed 

election for trustee, the interim trustee 

shall continue in office. Unless a motion 

for the resolution of the dispute is filed 

no later than 14 days after the United 

States trustee files a report of a disputed 

election for trustee, the interim trustee 

shall serve as trustee in the case.

under any alternative 

presented by the dispute; and 

(ii) no later than the date on 

which the report is filed, mail 

a copy to any party in interest 

that has requested one. 

(B) Interim Trustee. Until the court 

resolves the dispute, the interim 

trustee must continue in office. 

Unless a motion to resolve the 

dispute is filed within 14 days after 

the report is filed, the interim 

trustee must serve as trustee in the 

case.

(e) ADJOURNMENT. The meeting 

may be adjourned from time to time by 

announcement at the meeting of the 

adjourned date and time. The presiding 

official shall promptly file a statement 

specifying the date and time to which 

the meeting is adjourned. 

(e) Adjournment. The presiding official may 

adjourn the meeting from time to time by 

announcing at the meeting the date and 

time to reconvene. The presiding official 

must promptly file a statement showing the 

adjournment and the date and time to 

reconvene. 

(f) SPECIAL MEETINGS. The United 

States trustee may call a special meeting 

of creditors on request of a party in 

interest or on the United States trustee’s 

own initiative.

(f) Special Meetings of Creditors. The 

United States trustee may call a special 

meeting of creditors or may do so on 

request of a party in interest. 

(g) FINAL MEETING. If the United 

States trustee calls a final meeting of 

creditors in a case in which the net 

proceeds realized exceed $1,500, the 

clerk shall mail a summary of the 

trustee’s final account to the creditors 

with a notice of the meeting, together 

with a statement of the amount of the 

claims allowed. The trustee shall attend 

the final meeting and shall, if requested, 

report on the administration of the 

estate.

(g) Final Meeting of Creditors. If the United 

States trustee calls a final meeting of 

creditors in a case in which the net 

proceeds realized exceed $1,500, the clerk 

must give notice of the meeting to the 

creditors. The notice must include a 

summary of the trustee’s final account and 

a statement of the amount of the claims 

allowed. The trustee must attend the 

meeting and, if requested, report on the 

administration of the estate. 

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ORIGINAL REVISION

Rule 2004. Examination Rule 2004. Examinations

(a) EXAMINATION ON MOTION. 

On motion of any party in interest, the 

court may order the examination of any 

entity.

(a) In General. On motion of a party in 

interest, the court may order the 

examination of any entity.

(b) SCOPE OF EXAMINATION. The 

examination of an entity under this rule 

or of the debtor under § 343 of the 

Code may relate only to the acts, 

conduct, or property or to the liabilities 

and financial condition of the debtor, or 

to any matter which may affect the 

administration of the debtor’s estate, or 

to the debtor’s right to a discharge. In a 

family farmer’s debt adjustment case 

under chapter 12, an individual’s debt 

adjustment case under chapter 13, or a 

reorganization case under chapter 11 of 

the Code, other than for the 

reorganization of a railroad, the 

examination may also relate to the 

operation of any business and the 

desirability of its continuance, the source 

of any money or property acquired or to 

be acquired by the debtor for purposes 

of consummating a plan and the 

consideration given or offered therefor, 

and any other matter relevant to the case 

or to the formulation of a plan. 

(b) Scope of the Examination.

(1) In General. The examination of an 

entity under this Rule 2004, or of a 

debtor under § 343, may relate only to: 

(A) the debtor’s acts, conduct, or 

property; 

(B) the debtor’s liabilities and financial 

condition; 

(C) any matter that may affect the 

administration of the debtor’s 

estate; or 

(D) the debtor’s right to a discharge. 

(2) Other Topics in Certain Cases. In a 

Chapter 12 or 13 case, or in a 

Chapter 11 case that is not a railroad

reorganization, the examination may 

also relate to: 

(A) the operation of any business and 

the desirability of its continuing; 

(B) the source of any money or 

property the debtor acquired or 

will acquire for the purpose of 

consummating a plan and the 

consideration given or offered; and 

(C) any other matter relevant to the 

case or to formulating a plan. 

(c) COMPELLING ATTENDANCE 

AND PRODUCTION OF 

DOCUMENTS. The attendance of an 

entity for examination and for the 

production of documents, whether the 

examination is to be conducted within 

or without the district in which the case 

is pending, may be compelled as 

(c) Compelling Attendance and the 

Production of Documents. Regardless of 

the district where the examination will be 

conducted, an entity may be compelled 

under Rule 9016 to attend and produce 

documents. An attorney may issue and sign 

a subpoena on behalf of the court for the 

district in which the examination is to be 

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ORIGINAL REVISION

provided in Rule 9016 for the 

attendance of a witness at a hearing or 

trial. As an officer of the court, an 

attorney may issue and sign a subpoena 

on behalf of the court for the district in 

which the examination is to be held if 

the attorney is admitted to practice in 

that court or in the court in which the 

case is pending.

held if the attorney is admitted to practice 

in that court or in the court where the case 

is pending. 

(d) TIME AND PLACE OF 

EXAMINATION OF DEBTOR. The 

court may for cause shown and on terms 

as it may impose order the debtor to be 

examined under this rule at any time or 

place it designates, whether within or 

without the district wherein the case is 

pending. 

(d) Time and Place to Examine the Debtor.

The court may, for cause and on terms it 

may impose, order the debtor to be 

examined under this Rule 2004 at any 

designated time and place, in or outside the 

district.

(e) MILEAGE. An entity other than a 

debtor shall not be required to attend as 

a witness unless lawful mileage and 

witness fee for one day’s attendance 

shall be first tendered. If the debtor 

resides more than 100 miles from the 

place of examination when required to 

appear for an examination under this 

rule, the mileage allowed by law to a 

witness shall be tendered for any 

distance more than 100 miles from the 

debtor’s residence at the date of the 

filing of the first petition commencing a 

case under the Code or the residence at 

the time the debtor is required to appear 

for the examination, whichever is the 

lesser.

(e) Witness Fees and Mileage.

(1) For a Nondebtor Witness. An entity, 

except the debtor, may be required to 

attend as a witness only if the lawful 

mileage and witness fee for 1 day’s 

attendance are first tendered. 

(2) For a Debtor Witness. A debtor 

witness must be tendered a mileage fee 

if required to appear for examination 

more than 100 miles from the debtor’s 

residence. The fee need cover only the 

distance exceeding 100 miles from the 

debtor’s residence at the time of the 

examination or when the first petition 

was filed, whichever residence is 

nearer. 

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ORIGINAL REVISION

Rule 2005. Apprehension and 

Removal of Debtor to Compel 

Attendance for Examination

Rule 2005. Apprehending and 

Removing a Debtor for Examination

(a) ORDER TO COMPEL 

ATTENDANCE FOR 

EXAMINATION. On motion of any 

party in interest supported by an 

affidavit alleging (1) that the 

examination of the debtor is necessary 

for the proper administration of the 

estate and that there is reasonable cause 

to believe that the debtor is about to 

leave or has left the debtor’s residence 

or principal place of business to avoid 

examination, or (2) that the debtor has 

evaded service of a subpoena or of an 

order to attend for examination, or (3) 

that the debtor has willfully disobeyed a 

subpoena or order to attend for 

examination, duly served, the court may 

issue to the marshal, or some other 

officer authorized by law, an order 

directing the officer to bring the debtor 

before the court without unnecessary 

delay. If, after hearing, the court finds 

the allegations to be true, the court shall 

thereupon cause the debtor to be 

examined forthwith. If necessary, the 

court shall fix conditions for further 

examination and for the debtor’s 

obedience to all orders made in 

reference thereto.

(a) Compelling the Debtor’s Attendance.

(1) Order to Apprehend the Debtor. On 

motion of a party in interest, 

supported by an affidavit, the court 

may order a marshal or other official 

authorized by law to bring the debtor 

before the court without unnecessary 

delay. The affidavit must allege that:

(A) an examination is necessary to 

properly administer the estate, and 

there is reasonable cause to believe 

that the debtor is about to leave or 

has left the debtor’s residence or 

principal place of business to avoid 

the examination; 

(B) the debtor has evaded service of a 

subpoena or an order to attend the 

examination; or 

(C) the debtor has willfully disobeyed a 

duly served subpoena or order to 

attend the examination. 

(2) Ordering an Immediate 

Examination. If, after hearing, the 

court finds the allegations to be true, it 

must: 

(A) order the immediate examination 

of the debtor; and 

(B) if necessary, set conditions for 

further examination and for the 

debtor’s obedience to any further 

order regarding it. 

(b) REMOVAL. Whenever any order to 

bring the debtor before the court is 

issued under this rule and the debtor is 

found in a district other than that of the 

court issuing the order, the debtor may 

be taken into custody under the order 

and removed in accordance with the 

(b) Removing a Debtor to Another District 

for Examination.

(1) In General. When an order is issued 

under (a)(1) and the debtor is found in 

another district, the debtor may be 

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following rules:

 (1) If the debtor is taken into 

custody under the order at a place less 

than 100 miles from the place of issue of 

the order, the debtor shall be brought 

forthwith before the court that issued 

the order. 

 (2) If the debtor is taken into 

custody under the order at a place 100 

miles or more from the place of issue of 

the order, the debtor shall be brought 

without unnecessary delay before the 

nearest available United States 

magistrate judge, bankruptcy judge, or 

district judge. If, after hearing, the 

magistrate judge, bankruptcy judge, or 

district judge finds that an order has 

issued under this rule and that the 

person in custody is the debtor, or if the 

person in custody waives a hearing, the 

magistrate judge, bankruptcy judge, or 

district judge shall order removal, and 

the person in custody shall be released 

on conditions ensuring prompt 

appearance before the court that issued 

the order to compel the attendance. 

taken into custody and removed as 

provided in (2) and (3). 

(2) Within 100 Miles. A debtor who is 

taken into custody less than 100 miles 

from where the order was issued must 

be brought promptly before the court 

that issued the order. 

(3) At 100 Miles or More. A debtor who 

is taken into custody 100 miles or 

more from where the order was issued

must be brought without unnecessary 

delay for a hearing before the nearest 

available United States magistrate 

judge, bankruptcy judge, or district 

judge. If, after hearing, the judge finds 

that the person in custody is the debtor 

and is subject to an order under (a)(1), 

or if the person waives a hearing, the 

judge must order removal, and must 

release the person in custody on 

conditions ensuring prompt 

appearance before the court that issued 

the order compelling attendance. 

(c) CONDITIONS OF RELEASE. In 

determining what conditions will 

reasonably assure attendance or 

obedience under subdivision (a) of this 

rule or appearance under subdivision (b) 

of this rule, the court shall be governed 

by the provisions and policies of title 18, 

U.S.C., § 3146(a) and (b).

(4) Conditions of Release. 18 U.S.C. 

§ 3146(a) and (b) govern the court’s 

determination of what conditions will 

reasonably assure attendance and 

obedience under this Rule 2005. 

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ORIGINAL REVISION

Rule 2006. Solicitation and Voting of 

Proxies in Chapter 7 Liquidation 

Cases

Rule 2006. Soliciting and Voting 

Proxies in a Chapter 7 Case

(a) APPLICABILITY. This rule applies 

only in a liquidation case pending under 

chapter 7 of the Code. 

(a) Applicability. This Rule 2006 applies only 

in a Chapter 7 case. 

(b) DEFINITIONS.

(1) Proxy. A proxy is a written 

power of attorney authorizing any entity 

to vote the claim or otherwise act as the 

owner’s attorney in fact in connection 

with the administration of the estate.

(2) Solicitation of Proxy. The 

solicitation of a proxy is any 

communication, other than one from an 

attorney to a regular client who owns a 

claim or from an attorney to the owner 

of a claim who has requested the 

attorney to represent the owner, by 

which a creditor is asked, directly or 

indirectly, to give a proxy after or in 

contemplation of the filing of a petition 

by or against the debtor. 

(b) Definitions.

(1) Proxy. A “proxy” is a written power 

of attorney that authorizes an entity to 

vote the claim or otherwise act as the 

holder’s attorney-in-fact in connection 

with the administration of the estate.

(2) Soliciting a Proxy. “Soliciting a 

proxy” means any communication by 

which a creditor is asked, directly or 

indirectly, to give a proxy after or in 

contemplation of a Chapter 7 petition 

filed by or against the debtor. But such 

a communication is not considered 

soliciting a proxy if it comes from an 

attorney to a claim owner who is a 

regular client or who has requested the 

attorney’s representation.

(c) AUTHORIZED SOLICITATION.

 (1) A proxy may be solicited only 

by (A) a creditor owning an allowable 

unsecured claim against the estate on the 

date of the filing of the petition; (B) a 

committee elected pursuant to § 705 of 

the Code; (C) a committee of creditors 

selected by a majority in number and 

amount of claims of creditors (i) whose 

claims are not contingent or 

unliquidated, (ii) who are not 

disqualified from voting under § 702(a) 

of the Code and (iii) who were present 

or represented at a meeting of which all 

creditors having claims of over $500 or 

the 100 creditors having the largest 

claims had at least seven days’ notice in 

writing and of which meeting written 

minutes were kept and are available 

(c) Who May Solicit a Proxy. A proxy may 

be solicited only in writing and only by: 

(1) a creditor that, on the date the petition 

was filed, held an allowable unsecured 

claim against the estate;

(2) a committee elected under § 705;

(3) a committee elected by creditors that 

hold a majority of claims in number 

and in total amount and that: 

(A) have claims that are not contingent 

or unliquidated; 

(B) are not disqualified from voting 

under § 702(a); and 

(C) were present or represented at a 

creditors’ meeting of which: 

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ORIGINAL REVISION

reporting the names of the creditors 

present or represented and voting and 

the amounts of their claims; or (D) a 

bona fide trade or credit association, but 

such association may solicit only 

creditors who were its members or 

subscribers in good standing and had 

allowable unsecured claims on the date 

of the filing of the petition. 

 (2) A proxy may be solicited only 

in writing.

(i) all creditors with claims over 

$500 or the 100 creditors 

with the largest claims had at 

least 7 days’ written notice; 

and 

(ii) written minutes are available 

that report the voting 

creditors’ names and the 

amounts of their claims; or 

(4) a bona fide trade or credit association, 

which may solicit only creditors who, 

on the petition date: 

(A) were its members or subscribers in 

good standing; and 

(B) held allowable unsecured claims.

(d) SOLICITATION NOT 

AUTHORIZED. This rule does not 

permit solicitation (1) in any interest 

other than that of general creditors; (2) 

by or on behalf of any custodian; (3) by 

the interim trustee or by or on behalf of 

any entity not qualified to vote under § 

702(a) of the Code; (4) by or on behalf 

of an attorney at law; or (5) by or on 

behalf of a transferee of a claim for 

collection only. 

(d) When Soliciting a Proxy Is Not 

Permitted. This Rule 2006 does not permit 

soliciting a proxy: 

(1) for any interest except that of a general 

creditor; 

(2) by the interim trustee; or 

(3) by or on behalf of: 

(A) a custodian; 

(B) any entity not qualified to vote 

under § 702(a);

(C) an attorney-at-law; or

(D) a transferee holding a claim for 

collection purposes only. 

(e) DATA REQUIRED FROM 

HOLDERS OF MULTIPLE 

PROXIES. At any time before the 

voting commences at any meeting of 

creditors pursuant to § 341(a) of the 

Code, or at any other time as the court 

may direct, a holder of two or more 

proxies shall file and transmit to the 

United States trustee a verified list of the 

proxies to be voted and a verified 

(e) Duties of Holders of Multiple Proxies.

Before voting begins at any meeting of 

creditors under § 341(a)—or at any other 

time the court orders—a holder of 2 or 

more proxies must file and send to the 

United States trustee a verified list of the 

proxies to be voted and a verified statement 

of the pertinent facts and circumstances 

regarding each proxy’s execution and 

delivery. The statement must include: 

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ORIGINAL REVISION

statement of the pertinent facts and 

circumstances in connection with the 

execution and delivery of each proxy, 

including: 

 (1) a copy of the solicitation; 

(2) identification of the solicitor, 

the forwarder, if the forwarder is neither 

the solicitor nor the owner of the claim, 

and the proxyholder, including their 

connections with the debtor and with 

each other. If the solicitor, forwarder, or 

proxyholder is an association, there shall 

also be included a statement that the 

creditors whose claims have been 

solicited and the creditors whose claims 

are to be voted were members or 

subscribers in good standing and had 

allowable unsecured claims on the date 

of the filing of the petition. If the 

solicitor, forwarder, or proxyholder is a 

committee of creditors, the statement 

shall also set forth the date and place the 

committee was organized, that the 

committee was organized in accordance 

with clause (B) or (C) of paragraph (c)(1)

of this rule, the members of the 

committee, the amounts of their claims, 

when the claims were acquired, the 

amounts paid therefor, and the extent to 

which the claims of the committee 

members are secured or entitled to 

priority; 

(3) a statement that no 

consideration has been paid or promised 

by the proxyholder for the proxy; 

(4) a statement as to whether 

there is any agreement and, if so, the 

particulars thereof, between the 

proxyholder and any other entity for the 

payment of any consideration in 

connection with voting the proxy, or for 

the sharing of compensation with any 

entity, other than a member or regular 

associate of the proxyholder’s law firm, 

(1) a copy of the solicitation;

(2) an identification of the solicitor, the 

forwarder (if the forwarder is neither 

the solicitor nor the claim owner), and 

the proxyholder—including their 

connections with the debtor and with 

each other—together with:

(A) if the solicitor, forwarder, or 

proxyholder is an association, a 

statement that the creditors whose 

claims have been solicited and the 

creditors whose claims are to be 

voted were, on the petition date,

members or subscribers in good 

standing with allowable unsecured 

claims; and 

(B) if the solicitor, forwarder, or 

proxyholder is a committee of 

creditors, a list stating: 

(i) the date and place the 

committee was organized; 

(ii) that the committee was 

organized under (c)(1)(B) or 

(C);

(iii) the committee’s members; 

(iv) the amounts of their claims; 

(v) when the claims were 

acquired; 

(vi) the amounts paid for the 

claims; and 

(vii) the extent to which the 

committee members’ claims

are secured or entitled to 

priority;

(3) a statement that the proxyholder has 

neither paid nor promised any 

consideration for the proxy; 

(4) a statement addressing whether there is 

any agreement—and, if so, giving its 

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ORIGINAL REVISION

which may be allowed the trustee or any 

entity for services rendered in the case, 

or for the employment of any person as 

attorney, accountant, appraiser, 

auctioneer, or other employee for the 

estate; 

(5) if the proxy was solicited by 

an entity other than the proxyholder, or 

forwarded to the holder by an entity 

who is neither a solicitor of the proxy 

nor the owner of the claim, a statement 

signed and verified by the solicitor or 

forwarder that no consideration has 

been paid or promised for the proxy, 

and whether there is any agreement, and, 

if so, the particulars thereof, between the 

solicitor or forwarder and any other 

entity for the payment of any 

consideration in connection with voting 

the proxy, or for sharing compensation 

with any entity other than a member or 

regular associate of the solicitor’s or 

forwarder’s law firm which may be 

allowed the trustee or any entity for 

services rendered in the case, or for the 

employment of any person as attorney, 

accountant, appraiser, auctioneer, or 

other employee for the estate; 

(6) if the solicitor, forwarder, or 

proxyholder is a committee, a statement 

signed and verified by each member as 

to the amount and source of any 

consideration paid or to be paid to such 

member in connection with the case 

other than by way of dividend on the 

member’s claim.

particulars—between the proxyholder 

and any other entity to pay any 

consideration related to voting the 

proxy or to share with any entity 

(except a member or regular associate 

of the proxyholder’s law firm) 

compensation that may be allowed to: 

(A) the trustee or any entity for 

services rendered in the case; or 

(B) any person employed by the estate;

(5) if the proxy was solicited by an entity 

other than the proxyholder—or 

forwarded to the holder by an entity 

who is neither a solicitor of the proxy 

nor the claim owner—a statement 

signed and verified by the solicitor or 

forwarder: 

(A) confirming that no consideration 

has been paid or promised for the 

proxy; 

(B) addressing whether there is any 

agreement—and, if so, giving its

particulars—between the solicitor 

or forwarder and any other entity 

to pay any consideration related to

voting the proxy or to share with 

any entity (except a member or 

regular associate of the solicitor’s 

or forwarder’s law firm) 

compensation that may be allowed 

to: 

(i) the trustee or any entity for 

services rendered in the case; 

or 

(ii) any person employed by the 

estate; and 

(6) if the solicitor, forwarder, or 

proxyholder is a committee, a 

statement signed and verified by each 

member disclosing the amount and 

source of any consideration paid or to 

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ORIGINAL REVISION

be paid to the member in connection 

with the case, except a dividend on the 

member’s claim.

(f) ENFORCEMENT OF 

RESTRICTIONS ON 

SOLICITATION. On motion of any 

party in interest or on its own initiative, 

the court may determine whether there 

has been a failure to comply with the 

provisions of this rule or any other 

impropriety in connection with the 

solicitation or voting of a proxy. After 

notice and a hearing the court may reject 

any proxy for cause, vacate any order 

entered in consequence of the voting of 

any proxy which should have been 

rejected, or take any other appropriate 

action. 

(f) Enforcing Restrictions on Soliciting 

Proxies. On motion of a party in interest 

or on its own, the court may determine 

whether there has been a failure to comply 

with this Rule 2006 or any other 

impropriety related to soliciting or voting a 

proxy. After notice and a hearing, the court 

may: 

(1) reject a proxy for cause; 

(2) vacate an order entered because a 

proxy was voted that should have been 

rejected; or 

(3) take other appropriate action. 

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ORIGINAL REVISION

Rule 2007. Review of Appointment of 

Creditors’ Committee Organized 

Before Commencement of the Case

Rule 2007. Reviewing the

Appointment of a Creditors’ 

Committee Organized Before a 

Chapter 9 or 11 Case Is Commenced

(a) MOTION TO REVIEW 

APPOINTMENT. If a committee 

appointed by the United States trustee 

pursuant to § 1102(a) of the Code 

consists of the members of a committee 

organized by creditors before the 

commencement of a chapter 9 or 

chapter 11 case, on motion of a party in 

interest and after a hearing on notice to 

the United States trustee and other 

entities as the court may direct, the court 

may determine whether the appointment 

of the committee satisfies the 

requirements of § 1102(b)(1) of the 

Code. 

(a) Motion to Review the Appointment. If, 

in a Chapter 9 or 11 case, a committee 

appointed by the United States trustee 

under § 1102(a) consists of the members of 

a committee organized by creditors before

the case commenced, the court may

determine whether the committee’s 

appointment satisfies the requirements of 

§ 1102(b)(1). The court may do so on a 

party in interest’s motion and after a 

hearing on notice to the United States 

trustee and other entities as the court 

orders. 

(b) SELECTION OF MEMBERS OF 

COMMITTEE. The court may find that 

a committee organized by unsecured 

creditors before the commencement of a 

chapter 9 or chapter 11 case was fairly 

chosen if: 

(1) it was selected by a majority 

in number and amount of claims of 

unsecured creditors who may vote under 

§ 702(a) of the Code and were present in 

person or represented at a meeting of 

which all creditors having unsecured 

claims of over $1,000 or the 100 

unsecured creditors having the largest 

claims had at least seven days’ notice in 

writing, and of which meeting written 

minutes reporting the names of the 

creditors present or represented and 

voting and the amounts of their claims 

were kept and are available for 

inspection; 

(2) all proxies voted at the 

meeting for the elected committee were 

solicited pursuant to Rule 2006 and the 

(b) Determining Whether the Committee

Was Fairly Chosen. The court may find 

that the committee was fairly chosen if:

(1) it was selected by a majority in number 

and amount of claims of unsecured 

creditors who are entitled to vote 

under § 702(a) and who were present 

or represented at a meeting of which: 

(A) all creditors with unsecured claims 

of over $1,000 or the 

100 unsecured creditors with the 

largest claims had at least 7 days’ 

written notice; and 

(B) written minutes are available for 

inspection reporting the voting 

creditors’ names and the amounts 

of their claims;

(2) all proxies voted at the meeting were 

solicited under Rule 2006; 

(3) the lists and statements required by 

Rule 2006(e) have been sent to the 

United States trustee; and

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ORIGINAL REVISION

lists and statements required by 

subdivision (e) thereof have been 

transmitted to the United States trustee; 

and 

 (3) the organization of the 

committee was in all other respects fair 

and proper. 

(4) the committee’s organization was in all 

other respects fair and proper. 

(c) FAILURE TO COMPLY WITH 

REQUIREMENTS FOR 

APPOINTMENT. After a hearing on 

notice pursuant to subdivision (a) of this 

rule, the court shall direct the United 

States trustee to vacate the appointment 

of the committee and may order other 

appropriate action if the court finds that 

such appointment failed to satisfy the 

requirements of § 1102(b)(1) of the 

Code. 

(c) Failure to Comply with Appointment 

Requirements. If, after a hearing on notice 

under (a), the court finds that a committee 

appointment fails to satisfy the 

requirements of § 1102(b)(1), it: 

(1) must order the United States trustee to 

vacate the appointment; and

(2) may order other appropriate action. 

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ORIGINAL REVISION

Rule 2007.1. Appointment of Trustee 

or Examiner in a Chapter 11 

Reorganization Case

Rule 2007.1. Appointing a Trustee or 

Examiner in a Chapter 11 Case

(a) ORDER TO APPOINT TRUSTEE 

OR EXAMINER. In a chapter 11 

reorganization case, a motion for an 

order to appoint a trustee or an 

examiner under § 1104(a) or § 1104(c) of 

the Code shall be made in accordance 

with Rule 9014.

(a) In General. In a Chapter 11 case, a motion 

to appoint a trustee or examiner under 

§ 1104(a) or (c) must be made in 

accordance with Rule 9014.

(b) ELECTION OF TRUSTEE.

(1) Request for an Election. A 

request to convene a meeting of 

creditors for the purpose of electing a 

trustee in a chapter 11 reorganization 

case shall be filed and transmitted to the 

United States trustee in accordance with 

Rule 5005 within the time prescribed by 

§ 1104(b) of the Code. Pending court 

approval of the person elected, any 

person appointed by the United States 

trustee under § 1104(d) and approved in 

accordance with subdivision (c) of this 

rule shall serve as trustee.

(2) Manner of Election and Notice.

An election of a trustee under § 1104(b) 

of the Code shall be conducted in the 

manner provided in Rules 2003(b)(3) 

and 2006. Notice of the meeting of 

creditors convened under § 1104(b) shall 

be given as provided in Rule 2002. The 

United States trustee shall preside at the 

meeting. A proxy for the purpose of 

voting in the election may be solicited 

only by a committee of creditors 

appointed under § 1102 of the Code or 

by any other party entitled to solicit a 

proxy pursuant to Rule 2006. 

(3) Report of Election and Resolution 

of Disputes.

 (A) Report of Undisputed 

Election. If no dispute arises out of the 

(b) Requesting the United States Trustee to 

Convene a Meeting of Creditors to Elect 

a Trustee.

(1) In General. A request to the United 

States trustee to convene a meeting of 

creditors to elect a trustee must be 

filed and sent to the United States 

trustee in accordance with Rule 5005 

and within the time prescribed by 

§ 1104(b). Pending court approval of 

the person elected, any person 

appointed by the United States trustee 

under § 1104(d) and approved under 

(c) below must serve as trustee.

(2) Notice and Manner of Conducting 

the Election. A trustee’s election

under § 1104(b) must be conducted as 

Rules 2003(b)(3) and 2006 provide, 

and notice of the meeting of creditors 

must be given as Rule 2002 provides. 

The United States trustee must preside 

at the meeting. A proxy to vote in the 

election may be solicited only by a 

creditors’ committee appointed under 

§ 1102 or by another party entitled to 

solicit a proxy under Rule 2006.

(3) Reporting Election Results; 

Resolving Disputes.

(A) Undisputed Election. If the election is 

undisputed, the United States 

trustee must promptly file a report 

certifying the election, including 

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ORIGINAL REVISION

election, the United States trustee shall 

promptly file a report certifying the 

election, including the name and address 

of the person elected and a statement 

that the election is undisputed. The 

report shall be accompanied by a 

verified statement of the person elected 

setting forth that person’s connections 

with the debtor, creditors, any other 

party in interest, their respective 

attorneys and accountants, the United 

States trustee, or any person employed 

in the office of the United States trustee.

 (B) Dispute Arising Out of 

an Election. If a dispute arises out of an 

election, the United States trustee shall 

promptly file a report stating that the 

election is disputed, informing the court 

of the nature of the dispute, and listing 

the name and address of any candidate 

elected under any alternative presented 

by the dispute. The report shall be 

accompanied by a verified statement by 

each candidate elected under each 

alternative presented by the dispute, 

setting forth the person’s connections 

with the debtor, creditors, any other 

party in interest, their respective 

attorneys and accountants, the United 

States trustee, or any person employed 

in the office of the United States trustee. 

Not later than the date on which the 

report of the disputed election is filed, 

the United States trustee shall mail a 

copy of the report and each verified 

statement to any party in interest that 

has made a request to convene a 

meeting under § 1104(b) or to receive a 

copy of the report, and to any 

committee appointed under § 1102 of 

the Code. 

the name and address of the 

person elected and a statement that 

the election is undisputed. The 

report must be accompanied by a 

verified statement of the person 

elected setting forth that person’s 

connections with: 

(i) the debtor; 

(ii) creditors; 

(iii) any other party in interest; 

(iv) their respective attorneys and 

accountants; 

(v) the United States trustee; or 

(vi) any person employed in the 

United States trustee’s office. 

(B) Disputed Election. If the election is 

disputed, the United States trustee 

must promptly file a report stating 

that the election is disputed, 

informing the court of the nature 

of the dispute, and listing the name 

and address of any candidate 

elected under any alternative 

presented by the dispute. The 

report must be accompanied by a 

verified statement by each such 

candidate, setting forth the 

candidate’s connections with any 

entity listed in (A). No later than 

the date on which the report of the 

disputed election is filed, the 

United States trustee must mail a 

copy of the report and each 

verified statement to: 

(i) any party in interest that has 

made a request to convene a 

meeting under § 1104(b) or to 

receive a copy of the report; 

and 

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ORIGINAL REVISION

(ii) any committee appointed 

under § 1102.

(c) APPROVAL OF APPOINTMENT. 

An order approving the appointment of 

a trustee or an examiner under § 1104(d) 

of the Code shall be made on 

application of the United States trustee. 

The application shall state the name of 

the person appointed and, to the best of 

the applicant’s knowledge, all the 

person’s connections with the debtor, 

creditors, any other parties in interest, 

their respective attorneys and 

accountants, the United States trustee, 

or persons employed in the office of the 

United States trustee. The application 

shall state the names of the parties in 

interest with whom the United States 

trustee consulted regarding the 

appointment. The application shall be 

accompanied by a verified statement of 

the person appointed setting forth the 

person’s connections with the debtor, 

creditors, any other party in interest, 

their respective attorneys and 

accountants, the United States trustee, 

or any person employed in the office of 

the United States trustee.

(c) Approving an Appointment. On

application of the United States trustee, the 

court may approve a trustee’s or examiner’s 

appointment under § 1104(d). The 

application must: 

(1) name the person appointed and state, 

to the best of the applicant’s 

knowledge, all that person’s 

connections with any entity listed in 

(b)(3)(A); 

(2) state the names of the parties in 

interest with whom the United States 

trustee consulted about the 

appointment; and 

(3) be accompanied by a verified 

statement of the person appointed 

setting forth that person’s connections 

with any entity listed in (b)(3)(A). 

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ORIGINAL REVISION

Rule 2007.2. Appointment of Patient 

Care Ombudsman in a Health Care 

Business Case

Rule 2007.2. Appointing a PatientCare Ombudsman in a Health 

Care Business Case

(a) ORDER TO APPOINT PATIENT 

CARE OMBUDSMAN. In a chapter 7, 

chapter 9, or chapter 11 case in which 

the debtor is a health care business, the 

court shall order the appointment of a 

patient care ombudsman under § 333 of 

the Code, unless the court, on motion of 

the United States trustee or a party in 

interest filed no later than 21 days after 

the commencement of the case or 

within another time fixed by the court, 

finds that the appointment of a patient 

care ombudsman is not necessary under 

the specific circumstances of the case 

for the protection of patients. 

(a) In General. In a Chapter 7, 9, or 11 case in 

which the debtor is a health care business, 

the court must order the appointment of a 

patient-care ombudsman under § 333—

unless the court, on motion of the United 

States trustee or a party in interest, finds 

that appointing a patient-care ombudsman 

in that case is not necessary to protect 

patients. The motion must be filed within

21 days after the case was commenced or at 

another time set by the court. 

(b) MOTION FOR ORDER TO 

APPOINT OMBUDSMAN. If the 

court has found that the appointment of 

an ombudsman is not necessary, or has 

terminated the appointment, the court, 

on motion of the United States trustee 

or a party in interest, may order the 

appointment at a later time if it finds 

that the appointment has become 

necessary to protect patients.

(b) Deferred Appointment. If the court has 

found that appointing an ombudsman is 

unnecessary, or has terminated the 

appointment, the court may, on motion of 

the United States trustee or a party in 

interest, order an appointment later if it 

finds that an appointment has become 

necessary to protect patients.

(c) NOTICE OF APPOINTMENT. If 

a patient care ombudsman is appointed 

under § 333, the United States trustee 

shall promptly file a notice of the 

appointment, including the name and 

address of the person appointed. Unless 

the person appointed is a State LongTerm Care Ombudsman, the notice shall 

be accompanied by a verified statement 

of the person appointed setting forth the 

person’s connections with the debtor, 

creditors, patients, any other party in 

interest, their respective attorneys and 

accountants, the United States trustee, 

and any person employed in the office 

(c) Giving Notice. When a patient-care 

ombudsman is appointed under § 333, the 

United States trustee must promptly file a 

notice of the appointment, including the 

name and address of the person appointed. 

Unless that person is a State Long-TermCare Ombudsman, the notice must be 

accompanied by a verified statement of the 

person appointed setting forth that person’s 

connections with: 

(1) the debtor; 

(2) creditors; 

(3) patients; 

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ORIGINAL REVISION

of the United States trustee. (4) any other party in interest;

(5) their respective attorneys and 

accountants; 

(6) the United States trustee; or 

(7) any person employed in the United 

States trustee’s office. 

(d) TERMINATION OF 

APPOINTMENT. On motion of the 

United States trustee or a party in 

interest, the court may terminate the 

appointment of a patient care 

ombudsman if the court finds that the 

appointment is not necessary to protect 

patients.

(d) Terminating an Appointment. On 

motion of the United States trustee or a 

party in interest, the court may terminate a 

patient-care ombudsman’s appointment 

that it finds to be unnecessary to protect 

patients.

(e) MOTION. A motion under this rule 

shall be governed by Rule 9014. The 

motion shall be transmitted to the 

United States trustee and served on: the 

debtor; the trustee; any committee 

elected under § 705 or appointed under 

§ 1102 of the Code or its authorized 

agent, or, if the case is a chapter 9 

municipality case or a chapter 11 

reorganization case and no committee of 

unsecured creditors has been appointed 

under § 1102, on the creditors included 

on the list filed under Rule 1007(d); and 

such other entities as the court may 

direct.

(e) Procedure. Rule 9014 governs any motion 

under this Rule 2007.2. The motion must 

be sent to the United States trustee and 

served on: 

• the debtor; 

• the trustee;

• any committee elected under § 705 or 

appointed under § 1102, or its 

authorized agent; and 

• any other entity as the court orders. 

In a Chapter 9 or 11 case, if no committee 

of unsecured creditors has been appointed 

under § 1102, the motion must also be 

served on the creditors included on the list 

filed under Rule 1007(d).

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ORIGINAL REVISION

Rule 2008. Notice to Trustee of 

Selection

Rule 2008. Notice to the Person 

Selected as Trustee

The United States trustee shall 

immediately notify the person selected 

as trustee how to qualify and, if 

applicable, the amount of the trustee’s 

bond. A trustee that has filed a blanket 

bond pursuant to Rule 2010 and has 

been selected as trustee in a chapter 7, 

chapter 12, or chapter 13 case that does 

not notify the court and the United 

States trustee in writing of rejection of 

the office within seven days after receipt 

of notice of selection shall be deemed to 

have accepted the office. Any other 

person selected as trustee shall notify the 

court and the United States trustee in 

writing of acceptance of the office 

within seven days after receipt of notice 

of selection or shall be deemed to have 

rejected the office.

(a) Giving Notice. The United States trustee 

must immediately notify the person selected 

as trustee how to qualify and, if applicable, 

the amount of the trustee’s bond. 

(b) Accepting the Position of Trustee.

(1) Trustee Who Has Filed a Blanket 

Bond. A trustee selected in a 

Chapter 7, 12, or 13 case who has filed 

a blanket bond under Rule 2010 may 

reject the office by notifying the court 

and the United States trustee in writing 

within 7 days after receiving notice of 

selection. Otherwise, the trustee will be 

deemed to have accepted the office.

(2) Other Trustees. Any other person 

selected as trustee may accept the 

office by notifying the court and the 

United States trustee in writing within 

7 days after receiving notice of 

selection. Otherwise, the person will be 

deemed to have rejected the office.

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ORIGINAL REVISION

Rule 2009. Trustees for Estates When 

Joint Administration Ordered

Rule 2009. Trustees for Jointly 

Administered Estates 

(a) ELECTION OF SINGLE 

TRUSTEE FOR ESTATES BEING 

JOINTLY ADMINISTERED. If the 

court orders a joint administration of 

two or more estates under Rule 1015(b), 

creditors may elect a single trustee for 

the estates being jointly administered, 

unless the case is under subchapter V of 

chapter 7 of the Code. 

(a) Creditors’ Right to Elect a Single 

Trustee. Except in a case under 

Subchapter V of Chapter 7, if the court 

orders that 2 or more estates be jointly 

administered under Rule 1015(b), the 

creditors may elect a single trustee for those 

estates.

(b) RIGHT OF CREDITORS TO 

ELECT SEPARATE TRUSTEE. 

Notwithstanding entry of an order for 

joint administration under Rule 1015(b), 

the creditors of any debtor may elect a 

separate trustee for the estate of the 

debtor as provided in § 702 of the Code, 

unless the case is under subchapter V of 

chapter 7.

(b) Creditors’ Right to Elect a Separate 

Trustee. Except in a case under 

Subchapter V of Chapter 7, any debtor’s 

creditors may elect a separate trustee for 

the debtor’s estate under § 702—even if the 

court orders joint administration under 

Rule 1015(b). 

(c) APPOINTMENT OF TRUSTEES 

FOR ESTATES BEING JOINTLY 

ADMINISTERED. 

(1) Chapter 7 Liquidation Cases.

Except in a case governed by subchapter 

V of chapter 7, the United States trustee 

may appoint one or more interim 

trustees for estates being jointly 

administered in chapter 7 cases. 

(2) Chapter 11 Reorganization 

Cases. If the appointment of a trustee is 

ordered, the United States trustee may 

appoint one or more trustees for estates 

being jointly administered in chapter 11 

cases. 

(3) Chapter 12 Family Farmer’s 

Debt Adjustment Cases. The United States 

trustee may appoint one or more 

trustees for estates being jointly 

administered in chapter 12 cases.

(4) Chapter 13 Individual’s Debt 

(c) United States Trustee’s Right to 

Appoint Interim Trustees in Cases with 

Jointly Administered Estates. 

(1) Chapter 7. Except in a case under 

Subchapter V of Chapter 7, the United 

States trustee may appoint one or more 

interim trustees for estates being 

jointly administered in Chapter 7. 

(2) Chapter 11. If the court orders the 

appointment of a trustee, the United 

States trustee may appoint one or more 

trustees for estates being jointly 

administered in Chapter 11. 

(3) Chapter 12 or 13. The United States 

trustee may appoint one or more 

trustees for estates being jointly 

administered in Chapter 12 or 13. 

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ORIGINAL REVISION

Adjustment Cases. The United States 

trustee may appoint one or more 

trustees for estates being jointly 

administered in chapter 13 cases.

(d) POTENTIAL CONFLICTS OF 

INTEREST. On a showing that 

creditors or equity security holders of 

the different estates will be prejudiced 

by conflicts of interest of a common 

trustee who has been elected or 

appointed, the court shall order the 

selection of separate trustees for estates 

being jointly administered. 

(d) Conflicts of Interest. On a showing that a 

common trustee’s conflicts of interest will 

prejudice creditors or equity security 

holders of jointly administered estates, the 

court must order the selection of separate 

trustees for the estates.

(e) SEPARATE ACCOUNTS. The 

trustee or trustees of estates being jointly 

administered shall keep separate 

accounts of the property and 

distribution of each estate. 

(e) Keeping Separate Accounts. A trustee of 

jointly administered estates must keep 

separate accounts of each estate’s property 

and distribution. 

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ORIGINAL REVISION

Rule 2010. Qualification by Trustee; 

Proceeding on Bond

Rule 2010. Blanket Bond; Proceedings

on the Bond

(a) BLANKET BOND. The United 

States trustee may authorize a blanket 

bond in favor of the United States 

conditioned on the faithful performance 

of official duties by the trustee or 

trustees to cover (1) a person who 

qualifies as trustee in a number of cases, 

and (2) a number of trustees each of 

whom qualifies in a different case.

(a) Authorizing a Blanket Bond. The United 

States trustee may authorize a blanket bond 

in the United States’ favor, conditioned on 

the faithful performance of a trustee’s 

official duties to cover: 

(1) a person who qualifies as trustee in a 

number of cases; or 

(2) multiple trustees who each qualifies in 

a different case.

(b) PROCEEDING ON BOND. A 

proceeding on the trustee’s bond may be 

brought by any party in interest in the 

name of the United States for the use of 

the entity injured by the breach of the 

condition. 

(b) Proceedings on the Bond. A party in 

interest may bring a proceeding in the name 

of the United States on a trustee’s bond for 

the use of the entity injured by the trustee’s 

breach of the condition. 

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ORIGINAL REVISION

Rule 2011. Evidence of Debtor in 

Possession or Qualification of

Trustee

Rule 2011. Evidence That a Debtor Is 

a Debtor in Possession or That a 

Trustee Has Qualified

(a) Whenever evidence is required that a 

debtor is a debtor in possession or that a 

trustee has qualified, the clerk may so 

certify and the certificate shall constitute 

conclusive evidence of that fact.

(a) The Clerk’s Certification. Whenever 

evidence is required that a debtor is a 

debtor in possession or that a trustee has 

qualified, the clerk may issue a certificate to 

that effect. The certification constitutes 

conclusive evidence of that fact.

(b) If a person elected or appointed as 

trustee does not qualify within the time 

prescribed by § 322(a) of the Code, the 

clerk shall so notify the court and the 

United States trustee.

(b) Trustee’s Failure to Qualify. If a person 

elected or appointed as trustee does not 

qualify within the time prescribed by 

§ 322(a), the clerk must so notify the court 

and the United States trustee.

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ORIGINAL REVISION

Rule 2012. Substitution of Trustee or 

Successor Trustee; Accounting

Rule 2012. Substituting a Trustee in a 

Chapter 11 or 12 Case; Successor 

Trustee in a Pending Proceeding

(a) TRUSTEE. If a trustee is appointed 

in a chapter 11 case or the debtor is 

removed as debtor in possession in a 

chapter 12 case, the trustee is substituted 

automatically for the debtor in 

possession as a party in any pending 

action, proceeding, or matter.

(a) Substituting a Trustee. If a trustee is 

appointed in a Chapter 11 case or the 

debtor is removed as debtor in possession 

in a Chapter 12 case, the trustee is 

automatically substituted for the debtor in 

possession as a party in any pending action, 

proceeding, or matter. 

(b) SUCCESSOR TRUSTEE. When a 

trustee dies, resigns, is removed, or 

otherwise ceases to hold office during 

the pendency of a case under the Code 

(1) the successor is automatically 

substituted as a party in any pending 

action, proceeding, or matter; and (2) 

the successor trustee shall prepare, file, 

and transmit to the United States trustee 

an accounting of the prior 

administration of the estate.

(b) Successor Trustee. When a trustee dies, 

resigns, is removed, or otherwise ceases to 

hold office while a bankruptcy case is 

pending, the successor trustee is 

automatically substituted as a party in any 

pending action, proceeding, or matter. The 

successor trustee must prepare, file, and 

send to the United States trustee an 

accounting of the estate’s prior 

administration. 

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ORIGINAL REVISION

Rule 2013. Public Record of 

Compensation Awarded to Trustees, 

Examiners, and Professionals

Rule 2013. Keeping a Public Record 

of Compensation Awarded by the 

Court to Examiners, Trustees, and 

Professionals

(a) RECORD TO BE KEPT. The clerk 

shall maintain a public record listing fees 

awarded by the court (1) to trustees and 

attorneys, accountants, appraisers, 

auctioneers and other professionals 

employed by trustees, and (2) to 

examiners. The record shall include the 

name and docket number of the case, 

the name of the individual or firm 

receiving the fee and the amount of the 

fee awarded. The record shall be 

maintained chronologically and shall be 

kept current and open to examination by 

the public without charge. ‘‘Trustees,’’ as 

used in this rule, does not include 

debtors in possession. 

(a) In General. The clerk must keep a public 

record of fees the court awards to 

examiners and trustees, and to attorneys, 

accountants, appraisers, auctioneers, and 

other professionals that trustees employ. 

The record must include the case name and 

docket number, the name of the individual 

or firm receiving the fee, and the amount 

awarded. The record must be maintained 

chronologically and be kept current and 

open for public examination without 

charge. ‘‘Trustee,’’ as used in this 

Rule 2013, does not include a debtor in 

possession.

(b) SUMMARY OF RECORD. At the 

close of each annual period, the clerk 

shall prepare a summary of the public 

record by individual or firm name, to 

reflect total fees awarded during the 

preceding year. The summary shall be 

open to examination by the public 

without charge. The clerk shall transmit 

a copy of the summary to the United 

States trustee.

(b) Annual Summary of the Record. At the 

end of each year, the clerk must prepare a 

summary of the public record, by individual 

or firm name, showing the total fees 

awarded during the year. The summary 

must be open for public examination 

without charge. The clerk must send a copy 

of the summary to the United States 

trustee.

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ORIGINAL REVISION

Rule 2014. Employment of 

Professional Persons

Rule 2014. Employing Professionals

(a) APPLICATION FOR AND 

ORDER OF EMPLOYMENT. An 

order approving the employment of 

attorneys, accountants, appraisers, 

auctioneers, agents, or other 

professionals pursuant to § 327, § 1103, 

or § 1114 of the Code shall be made 

only on application of the trustee or 

committee. The application shall be filed 

and, unless the case is a chapter 9 

municipality case, a copy of the 

application shall be transmitted by the 

applicant to the United States trustee. 

The application shall state the specific 

facts showing the necessity for the 

employment, the name of the person to 

be employed, the reasons for the 

selection, the professional services to be 

rendered, any proposed arrangement for 

compensation, and, to the best of the 

applicant’s knowledge, all of the 

person’s connections with the debtor, 

creditors, any other party in interest, 

their respective attorneys and 

accountants, the United States trustee, 

or any person employed in the office of 

the United States trustee. The 

application shall be accompanied by a 

verified statement of the person to be 

employed setting forth the person’s 

connections with the debtor, creditors, 

any other party in interest, their 

respective attorneys and accountants, 

the United States trustee, or any person 

employed in the office of the United 

States trustee.

(a) Order Approving Employment; 

Application for Employment.

(1) Order Approving Employment. The 

court may approve the employment of 

an attorney, accountant, appraiser, 

auctioneer, agent, or other professional 

under § 327, § 1103, or § 1114 only on 

the trustee’s or committee’s 

application. 

(2) Application for Employment. The 

applicant must file the application and, 

except in a Chapter 9 case, must send a 

copy to the United States trustee. The 

application must state specific facts 

showing: 

(A) the necessity for the employment; 

(B) the name of the person to be 

employed; 

(C) the reasons for the selection; 

(D) the professional services to be 

rendered; 

(E) any proposed arrangement for 

compensation; and 

(F) to the best of the applicant’s 

knowledge, all the person’s 

connections with: 

• the debtor; 

• creditors; 

• 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. 

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ORIGINAL REVISION

(3) Verified Statement. The application 

must be accompanied by a verified 

statement of the person to be 

employed, setting forth that person’s 

connections with any entity listed in 

(2)(F). 

(b) SERVICES RENDERED BY 

MEMBER OR ASSOCIATE OF FIRM 

OF ATTORNEYS OR 

ACCOUNTANTS. If, under the Code 

and this rule, a law partnership or 

corporation is employed as an attorney, 

or an accounting partnership or 

corporation is employed as an 

accountant, or if a named attorney or 

accountant is employed, any partner, 

member, or regular associate of the 

partnership, corporation, or individual 

may act as attorney or accountant so 

employed, without further order of the 

court. 

(b) Services Rendered by a Member or 

Associate of a Law or Accounting Firm.

If a law partnership or corporation is 

employed as an attorney, or an accounting 

partnership or corporation is employed as 

an accountant—or if a named attorney or 

accountant is employed—then any partner, 

member, or regular associate may act as so 

employed, without further court order.

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ORIGINAL REVISION

Rule 2015. Duty to Keep Records, 

Make Reports, and Give Notice of 

Case or Change of Status

Rule 2015. Duty to Keep Records, 

Make Reports, and Give Notices 

(a) TRUSTEE OR DEBTOR IN 

POSSESSION. A trustee or debtor in 

possession shall:

(1) in a chapter 7 liquidation case 

and, if the court directs, in a chapter 11 

reorganization case file and transmit to 

the United States trustee a complete 

inventory of the property of the debtor 

within 30 days after qualifying as a 

trustee or debtor in possession, unless 

such an inventory has already been filed; 

(2) keep a record of receipts and 

the disposition of money and property 

received; 

 (3) file the reports and 

summaries required by § 704(a)(8) of the 

Code, which shall include a statement, if 

payments are made to employees, of the 

amounts of deductions for all taxes 

required to be withheld or paid for and 

in behalf of employees and the place 

where these amounts are deposited; 

 (4) as soon as possible after the 

commencement of the case, give notice 

of the case to every entity known to be 

holding money or property subject to 

withdrawal or order of the debtor, 

including every bank, savings or building 

and loan association, public utility 

company, and landlord with whom the 

debtor has a deposit, and to every 

insurance company which has issued a 

policy having a cash surrender value 

payable to the debtor, except that notice 

need not be given to any entity who has 

knowledge or has previously been 

notified of the case; 

(5) in a chapter 11 reorganization 

case, on or before the last day of the 

month after each calendar quarter 

(a) Duties of a Trustee or Debtor in 

Possession. A trustee or debtor in 

possession must: 

(1) in a Chapter 7 case and, if the court so 

orders, in a Chapter 11 case, file and 

send to the United States trustee a 

complete inventory of the debtor’s 

property within 30 days after qualifying 

as a trustee or debtor in possession, 

unless such an inventory has already 

been filed; 

(2) keep a record of receipts and the 

disposition of money and property 

received;

(3) file: 

(A) the reports and summaries 

required by § 704(a)(8); and

(B) if payments are made to 

employees, a statement of the 

amounts of deductions for all taxes 

required to be withheld or paid on 

the employees’ behalf and the 

place where these funds are 

deposited; 

(4) give notice of the case, as soon as 

possible after it commences, to the 

following entities, except those who 

know or have previously been notified 

of the case:

(A) every entity known to be holding 

money or property subject to the 

debtor’s withdrawal or order, 

including every bank, savings- or 

building-and-loan association, 

public utility company, and 

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ORIGINAL REVISION

during which there is a duty to pay fees 

under 28 U.S.C. § 1930(a)(6), file and 

transmit to the United States trustee a 

statement of any disbursements made 

during that quarter and of any fees 

payable under 28 U.S.C. § 1930(a)(6) for 

that quarter; and 

(6) in a chapter 11 small business 

case, unless the court, for cause, sets 

another reporting interval, file and 

transmit to the United States trustee for 

each calendar month after the order for 

relief, on the appropriate Official Form, 

the report required by § 308. If the order 

for relief is within the first 15 days of a 

calendar month, a report shall be filed 

for the portion of the month that 

follows the order for relief. If the order 

for relief is after the 15th day of a 

calendar month, the period for the 

remainder of the month shall be 

included in the report for the next 

calendar month. Each report shall be 

filed no later than 21 days after the last 

day of the calendar month following the 

month covered by the report. The 

obligation to file reports under this 

subparagraph terminates on the effective 

date of the plan, or conversion or 

dismissal of the case.

landlord with whom the debtor has 

a deposit; and 

(B) every insurance company that has 

issued a policy with a cashsurrender value payable to the 

debtor; 

(5) in a Chapter 11 case, on or before the 

last day of the month after each 

calendar quarter during which fees 

must be paid under 28 U.S.C. 

§ 1930(a)(6), file and send to the 

United States trustee a statement of 

those fees and any disbursements 

made during that quarter; and 

(6) in a Chapter 11 small business case, 

unless the court, for cause, sets a 

different schedule, file and send to the 

United States trustee a report under 

§ 308, using Form 425C, for each 

calendar month after the order for 

relief on the following schedule: 

• If the order for relief is within the 

first 15 days of a calendar month, 

the report must be filed for the rest 

of that month. 

• If the order for relief is after the 

15th, the information for the rest 

of that month must be included in 

the report for the next calendar 

month. 

Each report must be filed within

21 days after the last day of the month 

following the month that the report

covers. The obligation to file reports 

ends on the date that the plan becomes 

effective or the case is converted or 

dismissed. 

(b) CHAPTER 12 TRUSTEE AND 

DEBTOR IN POSSESSION. In a 

chapter 12 family farmer’s debt 

adjustment case, the debtor in 

(b) Duties of a Chapter 12 Trustee or 

Debtor in Possession. In a Chapter 12 

case, the debtor in possession must 

perform the duties prescribed in (a)(2)–(4) 

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ORIGINAL REVISION

possession shall perform the duties 

prescribed in clauses (2)–(4) of 

subdivision (a) of this rule and, if the 

court directs, shall file and transmit to 

the United States trustee a complete 

inventory of the property of the debtor 

within the time fixed by the court. If the 

debtor is removed as debtor in 

possession, the trustee shall perform the 

duties of the debtor in possession 

prescribed in this paragraph. 

and, if the court orders, file and send to the 

United States trustee a complete inventory 

of the debtor’s property within the time the 

court sets. If the debtor is removed as 

debtor in possession, the trustee must 

perform these duties. 

(c) CHAPTER 13 TRUSTEE AND 

DEBTOR.

(1) Business Cases. In a chapter 

13 individual’s debt adjustment case, 

when the debtor is engaged in business, 

the debtor shall perform the duties 

prescribed by clauses (2)–(4) of 

subdivision (a) of this rule and, if the 

court directs, shall file and transmit to 

the United States trustee a complete 

inventory of the property of the debtor 

within the time fixed by the court.(2) 

Nonbusiness Cases. In a chapter 13 

individual’s debt adjustment case, when 

the debtor is not engaged in business, 

the trustee shall perform the duties 

prescribed by clause (2) of subdivision 

(a) of this rule.

(c) Duties of a Chapter 13 Trustee and 

Debtor.

(1) Chapter 13 Business Case. In a 

Chapter 13 case, a debtor engaged in 

business must: 

(A) perform the duties prescribed by 

(a)(2)–(4); and 

(B) if the court so orders, file and send 

to the United States trustee a 

complete inventory of the debtor’s 

property within the time the court 

sets. 

(2) Other Chapter 13 Case. In a 

Chapter 13 case in which the debtor is 

not engaged in business, the trustee 

must perform the duties prescribed by 

(a)(2).

(d) FOREIGN REPRESENTATIVE. 

In a case in which the court has granted 

recognition of a foreign proceeding 

under chapter 15, the foreign 

representative shall file any notice 

required under § 1518 of the Code 

within 14 days after the date when the 

representative becomes aware of the 

subsequent information. 

(d) Duties of a Chapter 15 Foreign 

Representative. In a Chapter 15 case in 

which the court has granted recognition of 

a foreign proceeding, the foreign 

representative must file any notice required 

under § 1518 within 14 days after becoming 

aware of the subsequent information. 

(e) TRANSMISSION OF REPORTS. 

In a chapter 11 case the court may direct 

that copies or summaries of annual 

reports and copies or summaries of 

(e) Making Reports Available in a 

Chapter 11 Case. In a Chapter 11 case, the 

court may order that copies or summaries 

of annual reports and other reports be 

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ORIGINAL REVISION

other reports shall be mailed to the 

creditors, equity security holders, and 

indenture trustees. The court may also 

direct the publication of summaries of 

any such reports. A copy of every report 

or summary mailed or published 

pursuant to this subdivision shall be 

transmitted to the United States trustee.

mailed to creditors, equity security holders, 

and indenture trustees. The court may also 

order that summaries of these reports be 

published. A copy of every such report or 

summary, whether mailed or published, 

must be sent to the United States trustee.

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Rule 2015.1. Patient Care 

Ombudsman

Rule 2015.1. Patient-Care 

Ombudsman

(a) REPORTS. A patient care 

ombudsman, at least 14 days before 

making a report under § 333(b)(2) of the 

Code, shall give notice that the report 

will be made to the court, unless the 

court orders otherwise. The notice shall 

be transmitted to the United States 

trustee, posted conspicuously at the 

health care facility that is the subject of 

the report, and served on: the debtor; 

the trustee; all patients; and any 

committee elected under § 705 or 

appointed under § 1102 of the Code or 

its authorized agent, or, if the case is a 

chapter 9 municipality case or a chapter 

11 reorganization case and no 

committee of unsecured creditors has 

been appointed under § 1102, on the 

creditors included on the list filed under 

Rule 1007(d); and such other entities as 

the court may direct. The notice shall 

state the date and time when the report 

will be made, the manner in which the 

report will be made, and, if the report is 

in writing, the name, address, telephone 

number, email address, and website, if 

any, of the person from whom a copy of 

the report may be obtained at the 

debtor’s expense. 

(a) Notice of the Report. Unless the court 

orders otherwise, a patient-care 

ombudsman must give at least 14 days’ 

notice before making a report under 

§ 333(b)(2).

(1) Recipients of the Notice. The notice 

must be sent to the United States 

trustee, posted conspicuously at the 

healthcare facility that is the report’s 

subject, and served on: 

• the debtor; 

• the trustee;

• all patients;

• any committee elected under § 705 

or appointed under § 1102 or its 

authorized agent; 

• in a Chapter 9 or 11 case, the 

creditors on the list filed under 

Rule 1007(d) if no committee of 

unsecured creditors has been 

appointed under § 1102; and

• any other entity as the court 

orders. 

(2) Contents of the Notice. The notice 

must state: 

(A) the date and time when the report 

will be made; 

(B) the manner in which it will be 

made; and 

(C) if it will be written, the name, 

address, telephone number, email 

address, and any website of the 

person from whom a copy may be 

obtained at the debtor’s expense. 

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(b) AUTHORIZATION TO REVIEW 

CONFIDENTIAL PATIENT 

RECORDS. A motion by a patient care 

ombudsman under § 333(c) to review 

confidential patient records shall be 

governed by Rule 9014, served on the 

patient and any family member or other 

contact person whose name and address 

have been given to the trustee or the 

debtor for the purpose of providing 

information regarding the patient’s 

health care, and transmitted to the 

United States trustee subject to 

applicable nonbankruptcy law relating to 

patient privacy. Unless the court orders 

otherwise, a hearing on the motion may 

not be commenced earlier than 14 days 

after service of the motion.

(b) Authorization to Review Confidential 

Patient Records. 

(1) Motion to Review; Service. A 

patient-care ombudsman’s motion

under § 333(c) to review confidential 

patient records is governed by 

Rule 9014. The motion must: 

(A) be served on the patient; 

(B) be served on any family member 

or other contact person whose 

name and address have been given 

to the trustee or the debtor to 

provide information about the 

patient’s healthcare; and 

(C) be sent to the United States 

trustee, subject to applicable 

nonbankruptcy law relating to 

patient privacy. 

(2) Time for a Hearing. Unless the 

court orders otherwise, a hearing on 

the motion may not commence earlier 

than 14 days after the motion is served. 

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Rule 2015.2. Transfer of Patient in 

Health Care Business Case

Rule 2015.2. Transferring a Patient in 

a Health Care Business Case

Unless the court orders otherwise, if the 

debtor is a health care business, the 

trustee may not transfer a patient to 

another health care business under § 

704(a)(12) of the Code unless the trustee 

gives at least 14 days’ notice of the 

transfer to the patient care ombudsman, 

if any, the patient, and any family 

member or other contact person whose 

name and address has been given to the 

trustee or the debtor for the purpose of 

providing information regarding the 

patient’s health care. The notice is 

subject to applicable nonbankruptcy law 

relating to patient privacy.

Unless the court orders otherwise, if the debtor 

is a health care business, the trustee may transfer 

a patient to another health care business under 

§ 704(a)(12) only if the trustee gives at least 

14 days’ notice of the transfer to: 

• any patient-care ombudsman; 

• the patient; and 

• any family member or other contact 

person whose name and address have 

been given to the trustee or the debtor 

to provide information about the 

patient’s healthcare.

The notice is subject to applicable 

nonbankruptcy law concerning patient privacy.

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Rule 2015.3. Reports of Financial 

Information on Entities in Which a 

Chapter 11 Estate Holds a 

Controlling or Substantial Interest

Rule 2015.3. Reporting Financial 

Information About Entities in Which 

a Chapter 11 Estate Holds a 

Substantial or Controlling Interest

(a) REPORTING REQUIREMENT. 

In a chapter 11 case, the trustee or 

debtor in possession shall file periodic 

financial reports of the value, 

operations, and profitability of each 

entity that is not a publicly traded 

corporation or a debtor in a case under 

title 11, and in which the estate holds a 

substantial or controlling interest. The 

reports shall be prepared as prescribed 

by the appropriate Official Form, and 

shall be based upon the most recent 

information reasonably available to the 

trustee or debtor in possession.

(a) Reporting Requirement; Contents of 

the Report. In a Chapter 11 case, the 

trustee or debtor in possession must file 

periodic financial reports of the value, 

operations, and profitability of each entity 

in which the estate holds a substantial or 

controlling interest—unless the entity is a 

publicly traded corporation or a debtor in a 

bankruptcy case. The reports must be 

prepared as prescribed by Form 426 and be 

based on the most recent information 

reasonably available to the filer. 

(b) TIME FOR FILING; SERVICE. 

The first report required by this rule 

shall be filed no later than seven days 

before the first date set for the meeting 

of creditors under § 341 of the Code. 

Subsequent reports shall be filed no less 

frequently than every six months 

thereafter, until the effective date of a 

plan or the case is dismissed or 

converted. Copies of the report shall be 

served on the United States trustee, any 

committee appointed under § 1102 of 

the Code, and any other party in interest 

that has filed a request therefor. 

(b) Time to File; Service. The first report 

must be filed at least 7 days before the first 

date set for the meeting of creditors under 

§ 341. Later reports must be filed at least 

every 6 months, until the date the plan 

becomes effective or the case is converted 

or dismissed. A copy of each report must 

be served on the United States trustee, any 

committee appointed under § 1102, and any 

other party in interest that has filed a 

request for it. 

(c) PRESUMPTION OF 

SUBSTANTIAL OR CONTROLLING 

INTEREST; JUDICIAL 

DETERMINATION. For purposes of 

this rule, an entity of which the estate 

controls or owns at least a 20 percent 

interest, shall be presumed to be an 

entity in which the estate has a 

substantial or controlling interest. An 

entity in which the estate controls or 

owns less than a 20 percent interest shall 

(c) Presumption of a Substantial or 

Controlling Interest.

(1) When a Presumption Applies.

Under this Rule 2015.3, the estate is 

presumed to have a substantial or 

controlling interest in an entity of 

which it controls or owns at least a 

20% interest. Otherwise, the estate is 

presumed not to have a substantial or 

controlling interest. 

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ORIGINAL REVISION

be presumed not to be an entity in 

which the estate has a substantial or 

controlling interest. Upon motion, the 

entity, any holder of an interest therein, 

the United States trustee, or any other 

party in interest may seek to rebut either 

presumption, and the court shall, after 

notice and a hearing, determine whether 

the estate’s interest in the entity is 

substantial or controlling. 

(2) Rebutting the Presumption. The 

entity, any holder of an interest in it, 

the United States trustee, or any other 

party in interest may move to rebut 

either presumption. After notice and a 

hearing, the court must determine

whether the estate’s interest in the 

entity is substantial or controlling. 

(d) MODIFICATION OF 

REPORTING REQUIREMENT. The 

court may, after notice and a hearing, 

vary the reporting requirement 

established by subdivision (a) of this rule 

for cause, including that the trustee or 

debtor in possession is not able, after a 

good faith effort, to comply with those 

reporting requirements, or that the 

information required by subdivision (a) 

is publicly available.

(d) Modifying the Reporting Requirement.

After notice and a hearing, the court may 

vary the reporting requirements of (a) for 

cause, including that: 

(1) the trustee or debtor in possession is 

not able, after a good-faith effort, to 

comply with them; or 

(2) the required information is publicly 

available.

(e) NOTICE AND PROTECTIVE 

ORDERS. No later than 14 days before 

filing the first report required by this 

rule, the trustee or debtor in possession 

shall send notice to the entity in which 

the estate has a substantial or controlling 

interest, and to all holders—known to 

the trustee or debtor in possession—of 

an interest in that entity, that the trustee 

or debtor in possession expects to file 

and serve financial information relating 

to the entity in accordance with this rule. 

The entity in which the estate has a 

substantial or controlling interest, or a 

person holding an interest in that entity, 

may request protection of the 

information under § 107 of the Code. 

(e) Notice to Entities in Which the Estate 

has a Substantial or Controlling 

Interest; Protective Order. At least

14 days before filing the first report under 

(a), the trustee or debtor in possession must 

send notice to every entity in which the 

estate has a substantial or controlling 

interest—and all known holders of an 

interest in the entity—that the trustee or 

debtor in possession expects to file and 

serve financial information about the entity 

in accordance with this Rule 2015.3. Any 

such entity, or person holding an interest in 

it, may request that the information be 

protected under § 107.

(f) EFFECT OF REQUEST. Unless the 

court orders otherwise, the pendency of 

a request under subdivisions (c), (d), or 

(e) of this rule shall not alter or stay the 

(f) Effect of a Request. Unless the court 

orders otherwise, a pending request under 

(c), (d), or (e) does not alter or stay the 

requirements of (a).

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requirements of subdivision (a).

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Rule 2016. Compensation for Services 

Rendered and Reimbursement of 

Expenses

Rule 2016. Compensation for Services 

Rendered; Reimbursing Expenses

(a) APPLICATION FOR 

COMPENSATION OR 

REIMBURSEMENT. An entity seeking 

interim or final compensation for 

services, or reimbursement of necessary 

expenses, from the estate shall file an 

application setting forth a detailed 

statement of (1) the services rendered, 

time expended and expenses incurred, 

and (2) the amounts requested. An 

application for compensation shall 

include a statement as to what payments 

have theretofore been made or promised 

to the applicant for services rendered or 

to be rendered in any capacity 

whatsoever in connection with the case, 

the source of the compensation so paid 

or promised, whether any compensation 

previously received has been shared and 

whether an agreement or understanding 

exists between the applicant and any 

other entity for the sharing of 

compensation received or to be received 

for services rendered in or in connection 

with the case, and the particulars of any 

sharing of compensation or agreement 

or understanding therefor, except that 

details of any agreement by the applicant 

for the sharing of compensation as a 

member or regular associate of a firm of 

lawyers or accountants shall not be 

required. The requirements of this 

subdivision shall apply to an application 

for compensation for services rendered 

by an attorney or accountant even 

though the application is filed by a 

creditor or other entity. Unless the case 

is a chapter 9 municipality case, the 

applicant shall transmit to the United 

States trustee a copy of the application.

(a) In General.

(1) Application. An entity seeking from 

the estate interim or final 

compensation for services or 

reimbursement of necessary expenses

must file an application showing: 

(A) in detail the amounts requested 

and the services rendered, time 

expended, and expenses incurred; 

(B) all payments previously made or 

promised for services rendered or 

to be rendered in connection with 

the case; 

(C) the source of the paid or promised 

compensation; 

(D)whether any previous 

compensation has been shared and 

whether an agreement or 

understanding exists between the 

applicant and any other entity for 

sharing compensation for services 

rendered or to be rendered in 

connection with the case; and 

(E) the particulars of any 

compensation sharing or 

agreement or understanding to 

share, except by the applicant as a 

member or regular associate of a 

law or accounting firm.

(2) Application for Services Rendered 

or to be Rendered by Attorney or 

Accountant. The requirements of (a)

apply to an application for 

compensation for services rendered by 

an attorney or accountant, even though 

a creditor or other entity files the 

application. 

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ORIGINAL REVISION

(3) Copy to United States Trustee.

Except in a Chapter 9 case, the 

applicant must send a copy of the 

application to the United States 

trustee.

(b) DISCLOSURE OF 

COMPENSATION PAID OR 

PROMISED TO ATTORNEY FOR 

DEBTOR. Every attorney for a debtor, 

whether or not the attorney applies for 

compensation, shall file and transmit to 

the United States trustee within 14 days 

after the order for relief, or at another 

time as the court may direct, the 

statement required by § 329 of the Code 

including whether the attorney has 

shared or agreed to share the 

compensation with any other entity. The 

statement shall include the particulars of 

any such sharing or agreement to share 

by the attorney, but the details of any 

agreement for the sharing of the 

compensation with a member or regular 

associate of the attorney’s law firm shall 

not be required. A supplemental 

statement shall be filed and transmitted 

to the United States trustee within 14 

days after any payment or agreement not 

previously disclosed. 

(b) Disclosing Compensation Paid or 

Promised to the Debtor’s Attorney.

Within 14 days after the order for relief—

or at another time as the court orders—

every debtor’s attorney (whether or not 

applying for compensation) must file and 

send to the United States trustee the 

statement required by § 329. The statement 

must show whether the attorney has shared 

or agreed to share compensation with any 

other entity and, if so, the particulars of any 

sharing or agreement to share, except with 

a member or regular associate of the 

attorney’s law firm. Within 14 days after 

any payment or agreement to pay not 

previously disclosed, the attorney must file 

and send to the United States trustee a 

supplemental statement. 

(c) DISCLOSURE OF 

COMPENSATION PAID OR 

PROMISED TO BANKRUPTCY 

PETITION PREPARER. Before a 

petition is filed, every bankruptcy 

petition preparer for a debtor shall 

deliver to the debtor, the declaration 

under penalty of perjury required by § 

110(h)(2). The declaration shall disclose 

any fee, and the source of any fee, 

received from or on behalf of the debtor 

within 12 months of the filing of the 

case and all unpaid fees charged to the 

debtor. The declaration shall also 

describe the services performed and 

(c) Disclosing Compensation Paid or 

Promised to a Bankruptcy Petition 

Preparer.

(1) Basic Requirements. Before a 

petition is filed, every bankruptcy 

petition preparer for a debtor must 

deliver to the debtor the declaration 

under penalty of perjury required by 

§ 110(h)(2). The declaration must:

(A) disclose any fee, and its source, 

received from or on behalf of the 

debtor within 12 months before 

the petition’s filing, together with 

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ORIGINAL REVISION

documents prepared or caused to be 

prepared by the bankruptcy petition 

preparer. The declaration shall be filed 

with the petition. The petition preparer 

shall file a supplemental statement 

within 14 days after any payment or 

agreement not previously disclosed. 

all unpaid fees charged to the 

debtor; 

(B) describe the services performed 

and the documents prepared or 

caused to be prepared by the 

bankruptcy petition preparer; and 

(C) be filed with the petition. 

(2) Supplemental Statement. Within 

14 days after any later payment or 

agreement to pay not previously 

disclosed, the bankruptcy petition 

preparer must file a supplemental 

statement.

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Rule 2017. Examination of Debtor’s 

Transactions with Debtor’s Attorney

Rule 2017. Examining Transactions 

Between a Debtor and the Debtor’s 

Attorney

(a) PAYMENT OR TRANSFER TO 

ATTORNEY BEFORE ORDER FOR 

RELIEF. On motion by any party in 

interest or on the court’s own initiative, 

the court after notice and a hearing may 

determine whether any payment of 

money or any transfer of property by the 

debtor, made directly or indirectly and in 

contemplation of the filing of a petition 

under the Code by or against the debtor 

or before entry of the order for relief in 

an involuntary case, to an attorney for 

services rendered or to be rendered is 

excessive.

(a) Payments or Transfers to an Attorney 

Made Before the Order for Relief. On 

motion of a party in interest, or on its own, 

the court may, after notice and a hearing, 

determine whether a debtor’s direct or 

indirect payment of money or transfer of 

property to an attorney for services 

rendered or to be rendered was excessive if 

it was made: 

(1) in contemplation of the filing of a 

bankruptcy petition by or against the 

debtor, or 

(2) before the order for relief is entered in 

an involuntary case. 

(b) PAYMENT OR TRANSFER TO 

ATTORNEY AFTER ORDER FOR 

RELIEF. On motion by the debtor, the 

United States trustee, or on the court’s 

own initiative, the court after notice and 

a hearing may determine whether any 

payment of money or any transfer of 

property, or any agreement therefor, by 

the debtor to an attorney after entry of 

an order for relief in a case under the 

Code is excessive, whether the payment 

or transfer is made or is to be made 

directly or indirectly, if the payment, 

transfer, or agreement therefor is for 

services in any way related to the case.

(b) Payments or Transfers to an Attorney 

Made After the Order for Relief Is 

Entered. On motion of the debtor or the 

United States trustee, or on its own, the 

court may, after notice and a hearing, 

determine whether a debtor’s payment of 

money or transfer of property―or 

agreement to pay money or transfer

property―to an attorney after an order for 

relief is entered is excessive. It does not 

matter for the determination whether the 

payment or transfer is made, or to be made, 

direct or indirect, if the payment, transfer, 

or agreement is for services related to the 

case.

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ORIGINAL REVISION

Rule 2018. Intervention; Right to Be 

Heard

Rule 2018. Intervention by an 

Interested Entity; Right to Be Heard

(a) PERMISSIVE INTERVENTION. 

In a case under the Code, after hearing 

on such notice as the court directs and 

for cause shown, the court may permit 

any interested entity to intervene 

generally or with respect to any specified 

matter.

(a) In General. After hearing on such notice 

as the court orders and for cause, the court 

may permit an interested entity to intervene 

generally or regarding any specified matter.

(b) INTERVENTION BY 

ATTORNEY GENERAL OF A 

STATE. In a chapter 7, 11, 12, or 13 

case, the Attorney General of a State 

may appear and be heard on behalf of 

consumer creditors if the court 

determines the appearance is in the 

public interest, but the Attorney General 

may not appeal from any judgment, 

order, or decree in the case.

(b) Intervention by a State Attorney 

General. In a Chapter 7, 11, 12, or 13 case, 

a state attorney general may appear and be 

heard on behalf of consumer creditors if 

the court determines that the appearance is 

in the public interest. But the state attorney 

general may not appeal from any judgment, 

order, or decree entered in the case.

(c) CHAPTER 9 MUNICIPALITY 

CASE. The Secretary of the Treasury of 

the United States may, or if requested by 

the court shall, intervene in a chapter 9 

case. Representatives of the state in 

which the debtor is located may 

intervene in a chapter 9 case with 

respect to matters specified by the court.

(c) Intervention by the United States 

Secretary of the Treasury or a State 

Representative. In a Chapter 9 case: 

(1) the United States Secretary of the 

Treasury may—and if requested by the 

court must—intervene; and

(2) a representative of the state where the 

debtor is located may intervene on 

matters the court specifies. 

(d) LABOR UNIONS. In a chapter 9, 

11, or 12 case, a labor union or 

employees’ association, representative of 

employees of the debtor, shall have the 

right to be heard on the economic 

soundness of a plan affecting the 

interests of the employees. A labor 

union or employees’ association which 

exercises its right to be heard under this 

subdivision shall not be entitled to 

appeal any judgment, order, or decree 

relating to the plan, unless otherwise 

permitted by law.

(d) Intervention by a Labor Union or an 

Association Representing the Debtor’s 

Employees. In a Chapter 9, 11, or 12 case, 

a labor union or an association representing 

the debtor’s employees has the right to be 

heard on the economic soundness of a plan 

affecting the employees’ interests. Unless 

otherwise permitted by law, the labor union 

or employees’ association may not appeal 

any judgment, order, or decree related to 

the plan. 

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ORIGINAL REVISION

(e) SERVICE ON ENTITIES 

COVERED BY THIS RULE. The 

court may enter orders governing the 

service of notice and papers on entities 

permitted to intervene or be heard 

pursuant to this rule. 

(e) Serving Entities Covered by This Rule.

The court may issue orders governing the 

service of notice and papers on entities 

permitted to intervene or be heard under 

this Rule 2018. 

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ORIGINAL REVISION

Rule 2019. Disclosure Regarding 

Creditors and Equity Security 

Holders in Chapter 9 and Chapter 11 

Cases

Rule 2019. Disclosures by Groups, 

Committees, and Other Entities in a 

Chapter 9 or 11 Case

(a) DEFINITIONS. In this rule the 

following terms have the meanings 

indicated: 

(1) ‘‘Disclosable economic 

interest’’ means any claim, interest, 

pledge, lien, option, participation, 

derivative instrument, or any other right 

or derivative right granting the holder an 

economic interest that is affected by the 

value, acquisition, or disposition of a 

claim or interest.

(2) ‘‘Represent’’ or ‘‘represents’’ 

means to take a position before the 

court or to solicit votes regarding the 

confirmation of a plan on behalf of 

another. 

(a) Definitions. In this Rule 2019:

(1) ‘‘disclosable economic interest’’ means 

any claim, interest, pledge, lien, option, 

participation, derivative instrument, or 

other right or derivative right granting 

the holder an economic interest that is 

affected by the value, acquisition, or 

disposition of a claim or interest; and 

(2) ‘‘represent’’ or ‘‘represents’’ means to 

take a position before the court or to 

solicit votes regarding a plan’s 

confirmation on another’s behalf. 

(b) DISCLOSURE BY GROUPS, 

COMMITTEES, AND ENTITIES.

(1) In a chapter 9 or 11 case, a 

verified statement setting forth the 

information specified in subdivision (c) 

of this rule shall be filed by every group 

or committee that consists of or 

represents, and every entity that 

represents, multiple creditors or equity 

security holders that are (A) acting in 

concert to advance their common 

interests, and (B) not composed entirely 

of affiliates or insiders of one another. 

 (2) Unless the court orders 

otherwise, an entity is not required to 

file the verified statement described in 

paragraph (1) of this subdivision solely 

because of its status as:

 (A) an indenture trustee; 

 (B) an agent for one or 

more other entities under an agreement 

(b) Who Must Disclose.

(1) In General. In a Chapter 9 or 11 case, 

a verified statement containing the 

information listed in (c) must be filed 

by every group or committee 

consisting of or representing, and 

every entity representing, multiple 

creditors or equity security holders that 

are: 

(A) acting in concert to advance their 

common interests; and 

(B) not composed entirely of affiliates 

or insiders of one another. 

(2) When a Disclosure Statement Is 

Not Required. Unless the court 

orders otherwise, an entity need not 

file the statement described in (1) 

solely because it is: 

(A) an indenture trustee; 

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ORIGINAL REVISION

for the extension of credit;

 (C) a class action 

representative; or

 (D) a governmental unit 

that is not a person. 

(B) an agent for one or more other 

entities under an agreement to 

extend credit;

(C) a class-action representative; or

(D) a governmental unit that is not a 

person. 

(c) INFORMATION REQUIRED. The 

verified statement shall include:

(1) the pertinent facts and 

circumstances concerning:

 (A) with respect to a 

group or committee, other than a 

committee appointed under § 1102 or § 

1114 of the Code, the formation of the 

group or committee, including the name 

of each entity at whose instance the 

group or committee was formed or for 

whom the group or committee has 

agreed to act; or 

 (B) with respect to an 

entity, the employment of the entity, 

including the name of each creditor or 

equity security holder at whose instance 

the employment was arranged;

 (2) if not disclosed under 

subdivision (c)(1), with respect to an 

entity, and with respect to each member 

of a group or committee: 

 (A) name and address; 

 (B) the nature and 

amount of each disclosable economic 

interest held in relation to the debtor as 

of the date the entity was employed or 

the group or committee was formed; 

and 

 (C) with respect to each 

member of a group or committee that 

claims to represent any entity in addition 

to the members of the group or 

committee, other than a committee 

(c) Required Information. The verified 

statement must include: 

(1) the pertinent facts and circumstances 

concerning: 

(A) for a group or committee (except a 

committee appointed under § 1102 

or § 1114), its formation, including 

the name of each entity at whose 

instance it was formed or for 

whom it has agreed to act; or

(B) for an entity, the entity’s 

employment, including the name 

of each creditor or equity security 

holder at whose instance the 

employment was arranged;

(2) if not disclosed under (1), for each 

member of a group or committee and 

for an entity:

(A) name and address; 

(B) the nature and amount of each 

disclosable economic interest held 

in relation to the debtor when the 

group or committee was formed or 

the entity was employed; and 

(C) for each member of a group or 

committee claiming to represent 

any entity in addition to its own 

members (except a committee 

appointed under § 1102 or § 1114),

the quarter and year in which each 

disclosable economic interest was 

acquired—unless it was acquired 

more than 1 year before the 

petition was filed; 

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ORIGINAL REVISION

appointed under § 1102 or § 1114 of the 

Code, the date of acquisition by quarter 

and year of each disclosable economic 

interest, unless acquired more than one 

year before the petition was filed; 

 (3) if not disclosed under 

subdivision (c)(1) or (c)(2), with respect 

to each creditor or equity security holder 

represented by an entity, group, or 

committee, other than a committee 

appointed under § 1102 or § 1114 of the 

Code: 

 (A) name and address; 

and 

 (B) the nature and 

amount of each disclosable economic 

interest held in relation to the debtor as 

of the date of the statement; and

 (4) a copy of the instrument, if 

any, authorizing the entity, group, or 

committee to act on behalf of creditors 

or equity security holders. 

(3) if not disclosed under (1) or (2), for

each creditor or equity security holder 

represented by an entity, group, or 

committee (except a committee 

appointed under § 1102 or § 1114): 

(A) name and address; and 

(B) the nature and amount of each 

disclosable economic interest held 

in relation to the debtor on the 

statement’s date; and

(4) a copy of any instrument authorizing 

the group, committee, or entity to act 

on behalf of creditors or equity 

security holders. 

(d) SUPPLEMENTAL 

STATEMENTS. If any fact disclosed in 

its most recently filed statement has 

changed materially, an entity, group, or 

committee shall file a verified 

supplemental statement whenever it 

takes a position before the court or 

solicits votes on the confirmation of a 

plan. The supplemental statement shall 

set forth the material changes in the 

facts required by subdivision (c) to be 

disclosed. 

(d) Supplemental Statements. If a fact 

disclosed in its most recent statement has 

changed materially, a group, committee, or 

entity must file a verified supplemental 

statement whenever it takes a position 

before the court or solicits votes on a plan’s 

confirmation. The supplemental statement 

must set forth any material changes in the 

information specified in (c).

(e) DETERMINATION OF FAILURE 

TO COMPLY; SANCTIONS.

 (1) On motion of any party in 

interest, or on its own motion, the court 

may determine whether there has been a 

failure to comply with any provision of 

this rule. 

(e) Failure to Comply; Sanctions.

(1) Failure to Comply. On a party in 

interest’s motion, or on its own, the 

court may determine whether there has 

been a failure to comply with this 

Rule 2019. 

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65 of 66

ORIGINAL REVISION

(2) If the court finds such a 

failure to comply, it may:

 (A) refuse to permit the 

entity, group, or committee to be heard 

or to intervene in the case; 

 (B) hold invalid any 

authority, acceptance, rejection, or 

objection given, procured, or received 

by the entity, group, or committee; or 

 (C) grant other 

appropriate relief.

(2) Sanctions. If the court finds a failure 

to comply, it may:

(A) refuse to permit the group, 

committee, or entity to be heard or 

to intervene in the case;

(B) hold invalid any authority, 

acceptance, rejection, or objection 

that the group, committee, or 

entity has given, procured, or 

received; or

(C) grant other appropriate relief. 

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66 of 66

ORIGINAL REVISION

Rule 2020. Review of Acts by United 

States Trustee

Rule 2020. Reviewing an Act by a 

United States Trustee

A proceeding to contest any act or 

failure to act by the United States trustee 

is governed by Rule 9014.

A proceeding to contest any act or failure to act 

by a United States trustee is governed by 

Rule 9014.

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PROPOSED AMENDMENTS TO THE FEDERAL 

RULES OF BANKRUPTCY PROCEDURE1

1 Rule 1007. Lists, Schedules, Statements, and Other 

2 Documents; Time Limits

3 * * * * *

4 (b) SCHEDULES, STATEMENTS, AND OTHER 

5 DOCUMENTS REQUIRED.

6 * * * * * 

7 (5) An individual debtor in a chapter 11 case

8 (unless under subchapter V) shall file a statement of 

9 current monthly income, prepared as prescribed by 

10 the appropriate Official Form.

11 * * * * * 

12 (h) INTERESTS ACQUIRED OR ARISING 

13 AFTER PETITION. If, as provided by § 541(a)(5) of the 

14 Code, the debtor acquires or becomes entitled to acquire any 

15 interest in property, the debtor shall within 14 days after the 

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 information comes to the debtor’s knowledge or within such 

17 further time the court may allow, file a supplemental 

18 schedule in the chapter 7 liquidation case, chapter 11 

19 reorganization case, chapter 12 family farmer’s debt 

20 adjustment case, or chapter 13 individual debt adjustment 

21 case. If any of the property required to be reported under 

22 this subdivision is claimed by the debtor as exempt, the 

23 debtor shall claim the exemptions in the supplemental 

24 schedule. The This duty to file a supplemental schedule in 

25 accordance with this subdivision continues even after the 

26 case is closed, except for property acquired after an order is 

27 entered: notwithstanding the closing of the case, except that 

28 the schedule need not be filed in a chapter 11, chapter 12, or 

29 chapter 13 case with respect to property acquired after entry 

30 of the order 

31 (1) confirming a chapter 11 plan (other than one 

32 confirmed under § 1191(b)); or 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 3

33 (2) discharging the debtor in a chapter 12 case, or a 

34 chapter 13 case, or a case under subchapter V of 

35 chapter 11 in which the plan is confirmed under 

36 § 1191(b). * * * * *

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. As amended, subdivision (b)(5) of the rule 

includes an exception for subchapter V cases. Because Code 

§ 1129(a)(15) is inapplicable to such cases, there is no need 

for an individual debtor in a subchapter V case to file a 

statement of current monthly income. 

Subdivision (h) is amended to provide that the duty 

to file a supplemental schedule under the rule terminates 

upon confirmation of the plan in a subchapter V case, unless 

the plan is confirmed under § 1191(b), in which case it 

terminates upon discharge as provided in § 1192. 

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4 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 1020. Small Business Chapter 11 Reorganization 

2 Case for Small Business Debtors

3 (a) SMALL BUSINESS DEBTOR 

4 DESIGNATION. In a voluntary chapter 11 case, the debtor 

5 shall state in the petition whether the debtor is a small 

6 business debtor and, if so, whether the debtor elects to have 

7 subchapter V of chapter 11 apply. In an involuntary chapter 

8 11 case, the debtor shall file within 14 days after entry of the 

9 order for relief a statement as to whether the debtor is a small 

10 business debtor and, if so, whether the debtor elects to have 

11 subchapter V of chapter 11 apply. Except as provided in 

12 subdivision (c), the The status of the case as a small business 

13 case or a case under subchapter V of chapter 11 shall be in 

14 accordance with the debtor’s statement under this 

15 subdivision, unless and until the court enters an order finding 

16 that the debtor’s statement is incorrect.

17 (b) OBJECTING TO DESIGNATION. Except as 

18 provided in subdivision (c), the The United States trustee or 

19 a party in interest may file an objection to the debtor’s 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 5

20 statement under subdivision (a) no later than 30 days after 

21 the conclusion of the meeting of creditors held under 

22 § 341(a) of the Code, or within 30 days after any amendment 

23 to the statement, whichever is later.

24 (c) APPOINTMENT OF COMMITTEE OF 

25 UNSECURED CREDITORS. If a committee of unsecured 

26 creditors has been appointed under § 1102(a)(1), the case 

27 shall proceed as a small business case only if, and from the 

28 time when, the court enters an order determining that the 

29 committee has not been sufficiently active and 

30 representative to provide effective oversight of the debtor 

31 and that the debtor satisfies all the other requirements for 

32 being a small business. A request for a determination under 

33 this subdivision may be filed by the United States trustee or 

34 a party in interest only within a reasonable time after the 

35 failure of the committee to be sufficiently active and 

36 representative. The debtor may file a request for a 

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6 FEDERAL RULES OF BANKRUPTCY PROCEDURE

37 determination at any time as to whether the committee has 

38 been sufficiently active and representative.

39 (dc) PROCEDURE FOR OBJECTION OR 

40 DETERMINATION. Any objection or request for a 

41 determination under this rule shall be governed by Rule 9014 

42 and served on: the debtor; the debtor’s attorney; the United 

43 States trustee; the trustee; the creditors included on the list 

44 filed under Rule 1007(d) or, if any a committee has been 

45 appointed under § 1102(a)(3), the committee or its 

46 authorized agent, or, if no committee of unsecured creditors 

47 has been appointed under § 1102, the creditors included on 

48 the list filed under Rule 1007(d); and any other entity as the 

49 court directs.

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019 (“SBRA”), 

Pub. L. No. 116-54, 133 Stat. 1079. That law gives a small 

business debtor the option of electing to be a debtor under 

subchapter V of chapter 11. The title and subdivision (a) of 

the rule are amended to include that option and to require a 

small business debtor to state in its voluntary petition, or in 

a statement filed within 14 days after the order for relief is 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 7

entered in an involuntary case, whether it elects to proceed 

under subchapter V. The rule does not address whether the 

court, on a case-by-case basis, may allow a debtor to make 

an election to proceed under subchapter V after the times 

specified in subdivision (a) or, if it can, under what 

conditions. 

 Former subdivision (c) of the rule is deleted because 

the existence or level of activity of a creditors’ committee is 

no longer a criterion for small-business-debtor status. The 

SBRA eliminated that portion of the definition of “small 

business debtor” in § 101(51D) of the Code. 

Former subdivision (d) is redesignated as 

subdivision (c), and the list of entities to be served is revised 

to reflect that in most small business and subchapter V cases 

there will not be a committee of creditors.

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8 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 2009. Trustees for Estates When Joint 

2 Administration Ordered

3 (a) ELECTION OF SINGLE TRUSTEE FOR 

4 ESTATES BEING JOINTLY ADMINISTERED. If the 

5 court orders a joint administration of two or more estates 

6 under Rule 1015(b), creditors may elect a single trustee for 

7 the estates being jointly administered, unless the case is 

8 under subchapter V of chapter 7 or subchapter V of chapter 

9 11 of the Code. 

10 (b) RIGHT OF CREDITORS TO ELECT 

11 SEPARATE TRUSTEE. Notwithstanding entry of an order 

12 for joint administration under Rule 1015(b), the creditors of 

13 any debtor may elect a separate trustee for the estate of the 

14 debtor as provided in § 702 of the Code, unless the case is 

15 under subchapter V of chapter 7 or subchapter V of chapter 

16 11 of the Code. 

17 (c) APPOINTMENT OF TRUSTEES FOR 

18 ESTATES BEING JOINTLY ADMINISTERED.

19 (1) Chapter 7 Liquidation Cases. * * * * * 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 9

20 (2) Chapter 11 Reorganization Cases. If the 

21 appointment of a trustee is ordered or is required by 

22 the Code, the United States trustee may appoint one 

23 or more trustees for estates being jointly 

24 administered in chapter 11 cases.

25 * * * * * 

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. In a case under that subchapter, § 1183 of 

the Code requires the United States trustee to appoint a 

trustee, so there will be no election. Accordingly, 

subdivisions (a) and (b) of the rule are amended to except 

cases under subchapter V from their coverage. Subdivision 

(c)(2), which addresses the appointment of trustees in jointly 

administered chapter 11 cases, is amended to make it 

applicable to cases under subchapter V.

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10 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 2012. Substitution of Trustee or Successor 

2 Trustee; Accounting

3 

4 (a) TRUSTEE. If a trustee is appointed in a chapter 

5 11 case (other than under subchapter V), or the debtor is 

6 removed as debtor in possession in a chapter 12 case or in a 

7 case under subchapter V of chapter 11, the trustee is 

8 substituted automatically for the debtor in possession as a 

9 party in any pending action, proceeding, or matter. 

10 * * * * * 

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No.

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. Subdivision (a) of the rule is amended to 

include any case under that subchapter in which the debtor 

is removed as debtor in possession under § 1185 of the Code.

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 11

1 Rule 2015. Duty to Keep Records, Make Reports, and 

2 Give Notice of Case or Change of Status 

3 (a) TRUSTEE OR DEBTOR IN POSSESSION. A 

4 trustee or debtor in possession shall: 

5 (1) in a chapter 7 liquidation case and, if the 

6 court directs, in a chapter 11 reorganization case 

7 (other than under subchapter V), file and transmit to 

8 the United States trustee a complete inventory of the 

9 property of the debtor within 30 days after qualifying 

10 as a trustee or debtor in possession, unless such an 

11 inventory has already been filed; 

12 (2) keep a record of receipts and the 

13 disposition of money and property received; 

14 (3) file the reports and summaries required by 

15 § 704(a)(8) of the Code, which shall include a 

16 statement, if payments are made to employees, of the 

17 amounts of deductions for all taxes required to be 

18 withheld or paid for and in behalf of employees and 

19 the place where these amounts are deposited; 

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12 FEDERAL RULES OF BANKRUPTCY PROCEDURE

20 (4) as soon as possible after the 

21 commencement of the case, give notice of the case to 

22 every entity known to be holding money or property 

23 subject to withdrawal or order of the debtor, 

24 including every bank, savings or building and loan 

25 association, public utility company, and landlord 

26 with whom the debtor has a deposit, and to every 

27 insurance company which has issued a policy having 

28 a cash surrender value payable to the debtor, except 

29 that notice need not be given to any entity who has 

30 knowledge or has previously been notified of the 

31 case; 

32 (5) in a chapter 11 reorganization case (other 

33 than under subchapter V), on or before the last day 

34 of the month after each calendar quarter during 

35 which there is a duty to pay fees under 28 U.S.C. 

36 § 1930(a)(6), file and transmit to the United States 

37 trustee a statement of any disbursements made 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 13

38 during that quarter and of any fees payable under 28 

39 U.S.C. § 1930(a)(6) for that quarter; and 

40 (6) in a chapter 11 small business case, unless 

41 the court, for cause, sets another reporting interval, 

42 file and transmit to the United States trustee for each 

43 calendar month after the order for relief, on the 

44 appropriate Official Form, the report required by 

45 § 308. If the order for relief is within the first 15 days 

46 of a calendar month, a report shall be filed for the 

47 portion of the month that follows the order for relief. 

48 If the order for relief is after the 15th day of a 

49 calendar month, the period for the remainder of the 

50 month shall be included in the report for the next 

51 calendar month. Each report shall be filed no later 

52 than 21 days after the last day of the calendar month 

53 following the month covered by the report. The 

54 obligation to file reports under this subparagraph 

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14 FEDERAL RULES OF BANKRUPTCY PROCEDURE

55 terminates on the effective date of the plan, or 

56 conversion or dismissal of the case. 

57 (b) TRUSTEE, DEBTOR IN POSSESSION, AND 

58 DEBTOR IN A CASE UNDER SUBCHAPTER V OF 

59 CHAPTER 11. In a case under subchapter V of chapter 11, 

60 the debtor in possession shall perform the duties prescribed 

61 in (a)(2)–(4) and, if the court directs, shall file and transmit 

62 to the United States trustee a complete inventory of the 

63 debtor’s property within the time fixed by the court. If the 

64 debtor is removed as debtor in possession, the trustee shall 

65 perform the duties of the debtor in possession prescribed in 

66 this subdivision (b). The debtor shall perform the duties 

67 prescribed in (a)(6).

68 (bc) CHAPTER 12 TRUSTEE AND DEBTOR IN 

69 POSSESSION. In a chapter 12 family farmer’s debt 

70 adjustment case, the debtor in possession shall perform the 

71 duties prescribed in clauses (2)–(4) of subdivision (a) of this 

72 rule and, if the court directs, shall file and transmit to the 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 15

73 United States trustee a complete inventory of the property of 

74 the debtor within the time fixed by the court. If the debtor is 

75 removed as debtor in possession, the trustee shall perform 

76 the duties of the debtor in possession prescribed in this 

77 paragraph subdivision (c). 

78 (cd) CHAPTER 13 TRUSTEE AND 

79 DEBTOR.

80 (1) Business Cases. In a chapter 13 

81 individual’s debt adjustment case, when the debtor is 

82 engaged in business, the debtor shall perform the 

83 duties prescribed by clauses (2)–(4) of subdivision 

84 (a) of this rule and, if the court directs, shall file and 

85 transmit to the United States trustee a complete 

86 inventory of the property of the debtor within the 

87 time fixed by the court. 

88 (2) Nonbusiness Cases. In a chapter 13 

89 individual’s debt adjustment case, when the debtor is 

90 not engaged in business, the trustee shall perform the 

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16 FEDERAL RULES OF BANKRUPTCY PROCEDURE

91 duties prescribed by clause (2) of subdivision (a) of 

92 this rule.

93 (de) FOREIGN REPRESENTATIVE. In a case in 

94 which the court has granted recognition of a foreign 

95 proceeding under chapter 15, the foreign representative shall 

96 file any notice required under § 1518 of the Code within 14 

97 days after the date when the representative becomes aware 

98 of the subsequent information. 

99 (ef) TRANSMISSION OF REPORTS. In a chapter 

100 11 case the court may direct that copies or summaries of 

101 annual reports and copies or summaries of other reports shall 

102 be mailed to the creditors, equity security holders, and 

103 indenture trustees. The court may also direct the publication 

104 of summaries of any such reports. A copy of every report or 

105 summary mailed or published pursuant to this subdivision 

106 shall be transmitted to the United States trustee.

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 17

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. Subdivision (b) is amended to prescribe the 

duties of a debtor in possession, trustee, and debtor in a 

subchapter V case. Those cases are excepted from 

subdivision (a) because, unlike other chapter 11 cases, there 

will generally be both a trustee and a debtor in possession. 

Subdivision (b) also reflects that § 1187 of the Code 

prescribes reporting duties for the debtor in a subchapter V 

case.

Former subdivisions (b), (c), (d), and (e) are 

redesignated (c), (d), (e), and (f) respectively.

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18 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 3010. Small Dividends and Payments in Cases 

2 Under Chapter 7 Liquidation, Subchapter V of Chapter 

3 11, Chapter 12 Family Farmer’s Debt Adjustment, and 

4 Chapter 13 Individual’s Debt Adjustment Cases 

5 * * * * * 

6 (b) CASES UNDER SUBCHAPTER V OF 

7 CHAPTER 11, CHAPTER 12, AND CHAPTER 13 

8 CASES. In a case under subchapter V of chapter 11, chapter 

9 12, or chapter 13, case no payment in an amount less than 

10 $15 shall be distributed by the trustee to any creditor unless 

11 authorized by local rule or order of the court. Funds not 

12 distributed because of this subdivision shall accumulate and 

13 shall be paid whenever the accumulation aggregates $15. 

14 Any funds remaining shall be distributed with the final 

15 payment. 

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. To avoid the undue cost and inconvenience 

of distributing small payments, the title and subdivision (b) 

are amended to include subchapter V cases.

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 19

1 Rule 3011. Unclaimed Funds in Cases Under Chapter 7 

2 Liquidation, Subchapter V of Chapter 11, Chapter 12 

3 Family Farmer’s Debt Adjustment, and Chapter 13 

4 Individual’s Debt Adjustment Cases

5 The trustee shall file a list of all known names and 

6 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. 

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. The rule is amended to include such cases 

because § 347(a) of the Code applies to them. 

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20 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 3014. Election Under § 1111(b) by Secured 

2 Creditor in Chapter 9 Municipality or Chapter 11 

3 Reorganization Case 

4 An election of application of § 1111(b)(2) of the 

5 Code by a class of secured creditors in a chapter 9 or 11 case 

6 may be made at any time prior to the conclusion of the 

7 hearing on the disclosure statement or within such later time 

8 as the court may fix. If the disclosure statement is 

9 conditionally approved pursuant to Rule 3017.1, and a final 

10 hearing on the disclosure statement is not held, the election 

11 of application of § 1111(b)(2) may be made not later than the 

12 date fixed pursuant to Rule 3017.1(a)(2) or another date the 

13 court may fix. In a case under subchapter V of chapter 11 in 

14 which § 1125 of the Code does not apply, the election may 

15 be made not later than a date the court may fix. The election 

16 shall be in writing and signed unless made at the hearing on 

17 the disclosure statement. The election, if made by the 

18 majorities required by § 1111(b)(1)(A)(i), shall be binding 

19 on all members of the class with respect to the plan. 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 21

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. Because there generally will not be a 

disclosure statement in a subchapter V case, see § 1181(b) 

of the Code, the rule is amended to provide a deadline for 

making an election under § 1111(b) in such cases that is set 

by the court. 

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22 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 3016. Filing of Plan and Disclosure Statement in a 

2 Chapter 9 Municipality or Chapter 11 Reorganization 

3 Case 

4 (a) IDENTIFICATION OF PLAN. Every proposed 

5 plan and any modification thereof shall be dated and, in a 

6 chapter 11 case, identified with the name of the entity or 

7 entities submitting or filing it. 

8 (b) DISCLOSURE STATEMENT. In a chapter 9 or 

9 11 case, a disclosure statement, if required under § 1125 of 

10 the Code, or evidence showing compliance with § 1126(b) 

11 shall be filed with the plan or within a time fixed by the 

12 court, unless the plan is intended to provide adequate 

13 information under § 1125(f)(1). If the plan is intended to 

14 provide adequate information under § 1125(f)(1), it shall be 

15 so designated, and Rule 3017.1 shall apply as if the plan is a 

16 disclosure statement. 

17 * * * * * 

18 (d) STANDARD FORM SMALL BUSINESS 

19 DISCLOSURE STATEMENT AND PLAN. In a small 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 23

20 business case or a case under subchapter V of chapter 11, the 

21 court may approve a disclosure statement and may confirm 

22 a plan that conform substantially to the appropriate Official 

23 Forms or other standard forms approved by the court. 

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. Subdivision (b) of the rule is amended to 

reflect that under § 1181(b) of the Code, § 1125 does not 

apply to subchapter V cases (and thus a disclosure statement 

is not required) unless the court for cause orders otherwise. 

Subdivision (d) is amended to include subchapter V cases as 

ones in which Official Forms are available for a 

reorganization plan and, when required, a disclosure 

statement.

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24 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 3017.1. Court Consideration of Disclosure 

2 Statement in a Small Business Case or in a Case Under 

3 Subchapter V of Chapter 11 

4 (a) CONDITIONAL APPROVAL OF 

5 DISCLOSURE STATEMENT. In a small business case or 

6 in a case under subchapter V of chapter 11 in which the court 

7 has ordered that § 1125 applies, the court may, on 

8 application of the plan proponent or on its own initiative, 

9 conditionally approve a disclosure statement filed in 

10 accordance with Rule 3016. On or before conditional 

11 approval of the disclosure statement, the court shall: 

12 (1) fix a time within which the holders of claims and 

13 interests may accept or reject the plan; 

14 (2) fix a time for filing objections to the disclosure 

15 statement; 

16 (3) fix a date for the hearing on final approval of the 

17 disclosure statement to be held if a timely objection 

18 is filed; and 

19 (4) fix a date for the hearing on confirmation. 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 25

20 * * * * * 

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. The title and subdivision (a) of the rule are 

amended to cover such cases when the court orders that 

§ 1125 of the Code applies. 

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26 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 3017.2. Fixing of Dates by the Court in 

2 Subchapter V Cases in Which There Is No Disclosure 

3 Statement

4 In a case under subchapter V of chapter 11 in which 

5 § 1125 does not apply, the court shall: 

6 (a) fix a time within which the holders of claims and 

7 interests may accept or reject the plan;

8 (b) fix a date on which an equity security holder or 

9 creditor whose claim is based on a security must be 

10 the holder of record of the security in order to be 

11 eligible to accept or reject the plan; 

12 (c) fix a date for the hearing on confirmation; and 

13 (d) fix a date for transmitting the plan, notice of the 

14 time within which the holders of claims and interests 

15 may accept or reject it, and notice of the date for the 

16 hearing on confirmation. 

Committee Note

The rule is added in response to the enactment of the 

Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 27

V of chapter 11. Because there generally will not be a 

disclosure statement in a subchapter V case, see § 1181(b) 

of the Code, the rule is added to authorize the court in such 

a case to act at a time other than when a disclosure statement 

is approved to set certain times and dates.

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28 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 3018. Acceptance or Rejection of Plan in a Chapter 

2 9 Municipality or a Chapter 11 Reorganization Case

3 (a) ENTITIES ENTITLED TO ACCEPT OR 

4 REJECT PLAN; TIME FOR ACCEPTANCE OR 

5 REJECTION. A plan may be accepted or rejected in 

6 accordance with § 1126 of the Code within the time fixed by 

7 the court pursuant to Rule 3017, 3017.1, or 3017.2. Subject 

8 to subdivision (b) of this rule, an equity security holder or 

9 creditor whose claim is based on a security of record shall 

10 not be entitled to accept or reject a plan unless the equity 

11 security holder or creditor is the holder of record of the 

12 security on the date the order approving the disclosure 

13 statement is entered or on another date fixed by the court 

14 under Rule 3017.2, or fixed for cause, after notice and a 

15 hearing. For cause shown, the court after notice and hearing 

16 may permit a creditor or equity security holder to change or 

17 withdraw an acceptance or rejection. Notwithstanding 

18 objection to a claim or interest, the court after notice and 

19 hearing may temporarily allow the claim or interest in an 

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FEDERAL RULES OF BANKRUPTCY PROCEDURE 29

20 amount which the court deems proper for the purpose of 

21 accepting or rejecting a plan.

22 * * * * * 

Committee Note

Subdivision (a) of the rule is amended to take 

account of the court’s authority to set times under Rules 

3017.1 and 3017.2 in small business cases and cases under 

subchapter V of chapter 11. 

Preliminary Draft | August 2020 Page 163 of 280
30 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 3019. Modification of Accepted Plan in a Chapter 

2 9 Municipality or a Chapter 11 Reorganization Case

3 * * * * * 

4 (b) MODIFICATION OF PLAN AFTER 

5 CONFIRMATION IN INDIVIDUAL DEBTOR CASE. If 

6 the debtor is an individual, a request to modify the plan under 

7 § 1127(e) of the Code is governed by Rule 9014. The request 

8 shall identify the proponent and shall be filed together with 

9 the proposed modification. The clerk, or some other person 

10 as the court may direct, shall give the debtor, the trustee, and 

11 all creditors not less than 21 days’ notice by mail of the time 

12 fixed to file objections and, if an objection is filed, the 

13 hearing to consider the proposed modification, unless the 

14 court orders otherwise with respect to creditors who are not 

15 affected by the proposed modification. A copy of the notice 

16 shall be transmitted to the United States trustee, together 

17 with a copy of the proposed modification. Any objection to 

18 the proposed modification shall be filed and served on the 

19 debtor, the proponent of the modification, the trustee, and 

Preliminary Draft | August 2020 Page 164 of 280
FEDERAL RULES OF BANKRUPTCY PROCEDURE 31

20 any other entity designated by the court, and shall be 

21 transmitted to the United States trustee.

22 (c) MODIFICATION OF PLAN AFTER 

23 CONFIRMATION IN A SUBCHAPTER V CASE. In a 

24 case under subchapter V of chapter 11, a request to modify 

25 the plan under § 1193(b) or (c) of the Code is governed by 

26 Rule 9014, and the provisions of this Rule 3019(b) apply. 

Committee Note

The rule is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. Subdivision (c) is added to the rule to 

govern requests to modify a plan after confirmation in such 

cases under § 1193(b) or (c) of the Code. 

Preliminary Draft | August 2020 Page 165 of 280
32 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 3002. Filing Proof of Claim or Interest 

2 * * * * * 

3 (c) TIME FOR FILING. In a voluntary chapter 7 

4 case, chapter 12 case, or chapter 13 case, a proof of claim is 

5 timely filed if it is filed not later than 70 days after the order 

6 for relief under that chapter or the date of the order of 

7 conversion to a case under chapter 12 or chapter 13. In an 

8 involuntary chapter 7 case, a proof of claim is timely filed if 

9 it is filed not later than 90 days after the order for relief under 

10 that chapter is entered. But in all these cases, the following 

11 exceptions apply: 

12 * * * * * 

13 (6) On motion filed by a creditor before or 

14 after the expiration of the time to file a proof of 

15 claim, the court may extend the time by not more 

16 than 60 days from the date of the order granting the 

17 motion. The motion may be granted if the court finds 

18 that: 

Preliminary Draft | August 2020 Page 166 of 280
FEDERAL RULES OF BANKRUPTCY PROCEDURE 33

19 (A) the notice was insufficient under 

20 the circumstances to give the creditor a 

21 reasonable time to file a proof of claim 

22 because the debtor failed to timely file the list 

23 of creditors’ names and addresses required by 

24 Rule 1007(a); or 

25 (B) the notice was insufficient under 

26 the circumstances to give the creditor a 

27 reasonable time to file a proof of claim, and 

28 the notice was mailed to the creditor at a 

29 foreign address. 

30 * * * * *

Committee Note

Rule 3002(c)(6) is amended to provide a single 

standard for granting motions for an extension of time to file 

a proof of claim, whether the creditor has a domestic address 

or a foreign address. If the notice to such creditor was 

“insufficient under the circumstances to give the creditor a 

reasonable time to file a proof of claim,” the court may grant 

an extension. 

Preliminary Draft | August 2020 Page 167 of 280
34 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 5005. Filing and Transmittal of Papers

2 * * * * * 

3 (b) TRANSMITTAL TO THE UNITED STATES 

4 TRUSTEE. 

5 (1) The complaints, notices, motions, 

6 applications, objections and other papers required to 

7 be transmitted to the United States trustee by these 

8 rules shall be mailed or delivered to an office of the 

9 United States trustee, or to another place designated 

10 by the United States trustee, in the district where the 

11 case under the Code is pending may be sent by filing 

12 with the court’s electronic-filing system in 

13 accordance with Rule 9036, unless a court order or 

14 local rule provides otherwise. 

15 (2) The entity, other than the clerk, 

16 transmitting a paper to the United States trustee other 

17 than through the court’s electronic-filing system 

18 shall promptly file as proof of such transmittal a 

Preliminary Draft | August 2020 Page 168 of 280
FEDERAL RULES OF BANKRUPTCY PROCEDURE 35

19 verified statement identifying the paper and stating 

20 the manner by which and the date on which it was 

21 transmitted to the United States trustee. 

22 (3) Nothing in these rules shall require the 

23 clerk to transmit any paper to the United States 

24 trustee if the United States trustee requests in writing 

25 that the paper not be transmitted. 

Committee Note 

Subdivision (b)(1) is amended to authorize the clerk or 

parties to transmit papers to the United States trustee by 

electronic means in accordance with Rule 9036, regardless 

of whether the United States trustee is a registered user with 

the court’s electronic-filing system. Subdivision (b)(2) is 

amended to recognize that parties meeting transmittal 

obligations to the United States trustee using the court’s 

electronic-filing system need not file a statement evidencing 

transmittal under Rule 5005(b)(2). The amendment to 

subdivision (b)(2) also eliminates the requirement that 

statements evidencing transmittal filed under Rule 

5005(b)(2) be verified.

Preliminary Draft | August 2020 Page 169 of 280
36 FEDERAL RULES OF BANKRUPTCY PROCEDURE

1 Rule 7004. Process; Service of Summons, Complaint

2 * * * * * 

3 (i) SERVICE OF PROCESS BY TITLE. This 

4 subdivision (i) applies to service on a domestic or foreign 

5 corporation or partnership or other unincorporated 

6 association under Rule 7004(b)(3), or on an officer of an 

7 insured depository institution under Rule 7004(h). The 

8 defendant’s officer or agent need not be correctly named in 

9 the address – or even be named – if the envelope is addressed 

10 to the defendant’s proper address and directed to the 

11 attention of the officer’s or agent’s position or title. 

Committee Note

New Rule 7004(i) is intended to reject those cases 

interpreting Rule 7004(b)(3) and Rule 7004(h) to require 

service on a named officer, managing or general agent or 

other agent, rather than use of their titles. Service to a 

corporation or partnership, unincorporated association or 

insured depository institution at its proper address directed 

to the attention of the “Chief Executive Officer,” 

“President,” “Officer for Receiving Service of Process,” 

“Managing Agent,” “General Agent,” “Officer,” or “Agent” 

(or other similar titles) is sufficient.

Preliminary Draft | August 2020 Page 170 of 280
FEDERAL RULES OF BANKRUPTCY PROCEDURE 37

1 Rule 8023. Voluntary Dismissal. 

2 (a) STIPULATED DISMISSAL. The clerk of the 

3 district court or BAP must dismiss an appeal if the parties 

4 file a signed dismissal agreement specifying how costs are 

5 to be paid and pay any court fees that are due. 

6 (b) APPELLANT’S MOTION TO DISMISS. An 

7 appeal may be dismissed on the appellant’s motion on terms 

8 agreed to by the parties or fixed by the district court or BAP.

9 (c) OTHER RELIEF. A court order is required for 

10 any relief under Rule 8023(a) or (b) beyond the dismissal of 

11 an appeal—including approving a settlement, vacating an 

12 action of the bankruptcy court, or remanding the case to it. 

13 (d) COURT APPROVAL. This rule does not alter 

14 the legal requirements governing court approval of a 

15 settlement, payment, or other consideration. 

Preliminary Draft | August 2020 Page 171 of 280
38 FEDERAL RULES OF BANKRUPTCY PROCEDURE

Committee Note

The amendment is intended to conform the rule to the 

revised version of Federal Rule of Appellate Procedure 42(b) 

on which it was modelled. It clarifies that the fees that must 

be paid are court fees, not attorney’s fees. The Rule does not 

alter the legal requirements governing court approval of a 

settlement, payment, or other consideration. See, e.g., Fed. 

R. Bankr. P. 9019 (requiring court approval of compromise 

or settlement). The amendment clarifies that any order 

beyond mere dismissal—including approving a settlement, 

vacating or remanding—requires a court order.

Preliminary Draft | August 2020 Page 172 of 280
Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 1 

Official Form 101

Voluntary Petition for Individuals Filing for Bankruptcy /

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.

__________________________________________________

First name

__________________________________________________

Middle name

__________________________________________________

Last name

__________________________________________________

First name

__________________________________________________

Middle name

__________________________________________________

Last name

__________________________________________________

First name

__________________________________________________

Middle name

__________________________________________________

Last name

__________________________________________________

First name

__________________________________________________

Middle name

__________________________________________________

Last name

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 ________

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

__________ District of __________

Preliminary Draft | August 2020 Page 173 of 280
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. Any business names 

and Employer 

Identification Numbers 

(EIN) you have used in 

the last 8 years 

Include trade names and 

doing business as names 

 I have not used any business names or EINs.

_________________________________________________ 

Business name

_________________________________________________ 

Business name

___ ___ – ___ ___ ___ ___ ___ ___ ___ 

EIN

___ ___ – ___ ___ ___ ___ ___ ___ ___ 

EIN

 I have not used any business names or EINs.

_________________________________________________ 

Business name

_________________________________________________ 

Business name

___ ___ – ___ ___ ___ ___ ___ ___ ___ 

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 2020 Page 174 of 280
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 2020 Page 175 of 280
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. 

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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

 <HV,DPILOLQJXQGHU&KDSWHU,DPDVPDOOEXVLQHVVGHEWRUDFFRUGLQJWRWKHGHILQLWLRQLQWKH

%DQNUXSWF\&RGHDQG,FKRRVHWRSURFHHGXQGHU6XEFKDSWHU9RI&KDSWHU

Preliminary Draft | August 2020 Page 176 of 280
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 2020 Page 177 of 280
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

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. 

8______________________________________________ 8_____________________________ Signature of Debtor 1 Signature of Debtor 2

Executed on _________________ Executed on __________________ 

MM / DD / YYYY MM / DD / YYYY 

Preliminary Draft | August 2020 Page 178 of 280
Debtor 1 _______________________________________________________ Case number (if known)_____________________________________ First Name Middle Name Last Name

 Official Form 101 Voluntary Petition for Individuals Filing for Bankruptcy page 7 

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. 

8_________________________________ 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 2020 Page 179 of 280
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. 

8_______________________________________________ 8______________________________ 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 2020 Page 180 of 280
Official Form 101 (Committee Note) (02/20)

Committee Note 

Line 13 is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. Line 13 is amended to add a check box for 

a small business debtor to indicate that it is making that 

choice, and the existing check box for small business debtors 

is amended to allow the debtor to indicate that it is not 

electing to proceed under subchapter V. 

Preliminary Draft | August 2020 Page 181 of 280
Official Form 122B Chapter 11 Statement of Your Current Monthly Income page 1

Official Form 122B 

Chapter 11 Statement of Your Current Monthly Income 12/21

You must file this form if you are an individual and are filing for bankruptcy under Chapter 11 (other than under Subchapter V). If more space is 

needed, attach a separate sheet to this form. Include the line number to which the additional information applies. On the top of any additional 

pages, write your name and case number (if known). 

Part 1: Calculate Your Current Monthly Income

1. What is your marital and filing status? Check one only. 

 Not married. Fill out Column A, lines 2-11. 

 Married and your spouse is filing with you. Fill out both Columns A and B, lines 2-11. 

 Married and your spouse is NOT filing with you. Fill out Column A, lines 2-11.

Fill in the average monthly income that you received from all sources, derived during the 6 full months before you file this bankruptcy 

case. 11 U.S.C. § 101(10A). For example, if you are filing on September 15, the 6-month period would be March 1 through August 31. If the 

amount of your monthly income varied during the 6 months, add the income for all 6 months and divide the total by 6. Fill in the result. 

Do not include any income amount more than once. For example, if both spouses own the same rental property, put the income from that 

property in one column only. If you have nothing to report for any line, write $0 in the space.

Column A 

Debtor 1

Column B 

Debtor 2

2. Your gross wages, salary, tips, bonuses, overtime, and commissions (before all 

payroll deductions). $____________ $__________ 

3. Alimony and maintenance payments. Do not include payments from a spouse if 

Column B is filled in. $____________ $__________ 

4. All amounts from any source which are regularly paid for household expenses of 

you or your dependents, including child support. Include regular contributions from 

an unmarried partner, members of your household, your dependents, parents, and 

roommates. Include regular contributions from a spouse only if Column B is not filled in. 

Do not include payments you listed on line 3. $____________ $__________ 

5. Net income from operating a business, profession, 

or farm Debtor 1 Debtor 2

Gross receipts (before all deductions) $______ $______ Ordinary and necessary operating expenses – $______ – $______

Net monthly income from a business, profession, or farm $______ $______ Copy 

hereÎ $_________ $__________ 

6. Net income from rental and other real property Debtor 1 Debtor 2

Gross receipts (before all deductions) $______ $______

Ordinary and necessary operating expenses – $______ – $______ 

Net monthly income from rental or other real property $______ $______ 

Copy 

hereÎ $_________ $__________ 

Debtor 1 __________________________________________________________________ First Name Middle Name Last Name

Debtor 2 _________________________________________________________________ 

(Spouse, if filing) First Name Middle Name Last Name

United States Bankruptcy Court for the: ______________________ District of __________ 

 (State) 

Case number ___________________________________________ 

 (If known) 

Fill in this information to identify your case: 

 Check if this is an amended filing

Preliminary Draft | August 2020 Page 182 of 280
Debtor 1 _______________________________________________________ Case number (if known)_____________________________________ First Name Middle Name Last Name

Official Form 122B Chapter 11 Statement of Your Current Monthly Income page 2

Column A 

Debtor 1

Column B 

Debtor 2 

7. Interest, dividends, and royalties $____________ $__________ 

8. Unemployment compensation $____________ $__________ 

Do not enter the amount if you contend that the amount received was a benefit 

under the Social Security Act. Instead, list it here: ............................... Ð

 

For you ........................................................................ $_________ 

For your spouse ........................................................... $_________ 

9. Pension or retirement income. Do not include any amount received that was a 

benefit under the Social Security Act. Also, except as stated in the next sentence, 

do not include any compensation, pension, pay, annuity, or allowance paid by the 

United States Government in connection with a disability, combat-related injury or 

disability, or death of a member of the uniformed services. If you received any 

retired pay paid under chapter 61 of title 10, then include that pay only to the 

extent that it does not exceed the amount of retired pay to which you would 

otherwise be entitled if retired under any provision of title 10 other than chapter 61 

of that title. $____________ $__________ 

10. Income from all other sources not listed above. Specify the source and amount. 

Do not include any benefits received under the Social Security Act; payments 

received as a victim of a war crime, a crime against humanity, or international or 

domestic terrorism; or compensation, pension, pay, annuity, or allowance paid by 

the United States Government in connection with a disability, combat-related injury 

or disability, or death of a member of the uniformed services. If necessary, list 

other sources on a separate page and put the total below.

 

________________________________________ $____________ $__________ 

________________________________________ $____________ $__________ 

Total amounts from separate pages, if any. + $____________ + $__________ 

11. Calculate your total current monthly income. 

Add lines 2 through 10 for each column. 

Then add the total for Column A to the total for Column B. $____________ 

+ 

$_________ 

= 

$_______

Total current 

monthly income

Part 2: Sign Below

By signing here, under penalty of perjury I declare that the information on this statement and in any attachments is true and correct. 

8______________________________________________ 8______________________________________ Signature of Debtor 1 Signature of Debtor 2 

Date _________________ Date_________________ 

 MM / DD / YYYY MM / DD / YYYY

Preliminary Draft | August 2020 Page 183 of 280
Official Form 122 (Committee Note) (12/21) 

CRPPLWWHH1RWH

Official Form 122B is amended in response 

to the enactment of the Small Business 

Reorganization Act of 2019, Pub. L. No. 116-54, 133 

Stat. 1079. That law gives a small business debtor the 

option of electing to be a debtor under subchapter V 

of chapter 11. As amended, the initial instruction in 

the form includes an exception for subchapter V 

cases. Because Code § 1129(a)(15) is inapplicable to 

such cases, there is no need for an individual debtor 

in a subchapter V case to file a statement of current 

monthly income. 

Preliminary Draft | August 2020 Page 184 of 280
Official Form 201 Voluntary Petition for Non-Individuals Filing for Bankruptcy page 1 

 

Official Form 201 

Voluntary Petition for Non-Individuals Filing for Bankruptcy 02/20

If more space is needed, attach a separate sheet to this form. On the top of any additional pages, write the debtor’s name and the case 

number (if known). For more information, a separate document, Instructions for Bankruptcy Forms for Non-Individuals, is available. 

1. Debtor’s name ______________________________________________________________________________________________________ 

2. All other names debtor used 

in the last 8 years 

Include any assumed names, 

trade names, and doing business 

as names 

______________________________________________________________________________________________________ 

______________________________________________________________________________________________________ 

______________________________________________________________________________________________________ 

______________________________________________________________________________________________________ 

______________________________________________________________________________________________________

3. Debtor’s federal Employer 

Identification Number (EIN) ___ ___ – ___ ___ ___ ___ ___ ___ ___ 

4. Debtor’s address Principal place of business 

______________________________________________ 

Number Street 

______________________________________________ 

______________________________________________ 

City State ZIP Code 

______________________________________________ 

County 

Mailing address, if different from principal place 

of business

_______________________________________________ 

Number Street 

_______________________________________________ 

P.O. Box 

_______________________________________________ 

City State ZIP Code 

Location of principal assets, if different from 

principal place of business

_______________________________________________ 

Number Street 

_______________________________________________ 

_______________________________________________ 

City State ZIP Code 

5. Debtor’s website (URL) ____________________________________________________________________________________________________

 Fill in this information to identify the case: 

 Check if this is an 

amended filing

United States Bankruptcy Court for the:

 

____________________ District of _________________ (State) 

Case number (If known): _________________________ Chapter _____ 

Preliminary Draft | August 2020 Page 185 of 280
Debtor _______________________________________________________ Case number (if known)_____________________________________ Name

 Official Form 201 Voluntary Petition for Non-Individuals Filing for Bankruptcy page 2

6. Type of debtor  Corporation (including Limited Liability Company (LLC) and Limited Liability Partnership (LLP)) 

 Partnership (excluding LLP) 

 Other. Specify: __________________________________________________________________ 

7. Describe debtor’s business

A. Check one:

 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)) 

 Railroad (as defined in 11 U.S.C. § 101(44)) 

 Stockbroker (as defined in 11 U.S.C. § 101(53A)) 

 Commodity Broker (as defined in 11 U.S.C. § 101(6)) 

 Clearing Bank (as defined in 11 U.S.C. § 781(3)) 

 None of the above

B. Check all that apply: 

 Tax-exempt entity (as described in 26 U.S.C. § 501)

 Investment company, including hedge fund or pooled investment vehicle (as defined in 15 U.S.C. 

§ 80a-3) 

 Investment advisor (as defined in 15 U.S.C. § 80b-2(a)(11)) 

C. NAICS (North American Industry Classification System) 4-digit code that best describes debtor. See 

http://www.uscourts.gov/four-digit-national-association-naics-codes . 

 ___ ___ ___ ___ 

8. Under which chapter of the 

Bankruptcy Code is the 

debtor filing? 

Check one: 

 Chapter 7 

 Chapter 9 

 Chapter 11. Check all that apply: 

Debtor’s aggregate noncontingent liquidated debts (excluding debts owed to 

insiders or affiliates) are less than $2,725,625 (amount subject to adjustment on 

4/01/22 and every 3 years after that). 

The debtor is a small business debtor as defined in 11 U.S.C. § 101(51D). If the 

debtor is a small business debtor, attach the most recent balance sheet, statement 

of operations, cash-flow statement, and federal income tax return or if all of these 

documents do not exist, follow the procedure in 11 U.S.C. § 1116(1)(B). 

The debtor is a small business debtor as defined in 11 U.S.C. § 101(51D), and it 

chooses to proceed under Subchapter V of Chapter 11. 

 A plan is being filed with this petition. 

 Acceptances of the plan were solicited prepetition from one or more classes of 

creditors, in accordance with 11 U.S.C. § 1126(b). 

 The debtor is required to file periodic reports (for example, 10K and 10Q) with the 

Securities and Exchange Commission according to § 13 or 15(d) of the Securities 

Exchange Act of 1934. File the Attachment to Voluntary Petition for Non-Individuals Filing 

for Bankruptcy under Chapter 11 (Official Form 201A) with this form. 

 The debtor is a shell company as defined in the Securities Exchange Act of 1934 Rule 

12b-2. 

 Chapter 12

9. Were prior bankruptcy cases 

filed by or against the debtor 

within the last 8 years? 

If more than 2 cases, attach a 

separate list. 

 No 

 Yes. District _______________________ When _______________ Case number _________________________

 MM / DD / YYYY

District _______________________ When _______________ Case number _________________________

 MM / DD / YYYY

Preliminary Draft | August 2020 Page 186 of 280
Debtor _______________________________________________________ Case number (if known)_____________________________________ Name

 Official Form 201 Voluntary Petition for Non-Individuals Filing for Bankruptcy page 3

10. Are any bankruptcy cases 

pending or being filed by a 

business partner or an 

affiliate of the debtor? 

List all cases. If more than 1, 

attach a separate list. 

 No

 Yes. Debtor _____________________________________________ Relationship _________________________

 District _____________________________________________ When __________________ 

 MM / DD / YYYY 

 Case number, if known ________________________________

11. Why is the case filed in this 

district? 

Check all that apply:

 Debtor has had its domicile, principal place of business, or principal assets in this district for 180 days 

immediately preceding the date of this petition or for a longer part of such 180 days than in any other 

district. 

 A bankruptcy case concerning debtor’s affiliate, general partner, or partnership is pending in this district. 

12. Does the debtor own or have 

possession of any real 

property or personal property 

that needs immediate 

attention? 

 No 

 Yes. Answer below for each property that needs immediate attention. Attach additional sheets if needed.

Why does the property need immediate attention? (Check all that apply.) 

 It poses or is alleged to pose a threat of imminent and identifiable hazard to public health or safety. 

 What is the hazard? _____________________________________________________________________

 It needs to be physically secured or protected from the weather. 

 It includes perishable goods or assets that could quickly deteriorate or lose value without 

attention (for example, livestock, seasonal goods, meat, dairy, produce, or securities-related 

assets or other options). 

 Other _______________________________________________________________________________

Where is the property?_____________________________________________________________________ 

 Number Street 

 

____________________________________________________________________ 

_______________________________________ _______ ________________ 

City State ZIP Code 

Is the property insured?

 No 

 Yes. Insurance agency ____________________________________________________________________ 

Contact name ____________________________________________________________________

 Phone ________________________________ 

Statistical and administrative information

13. Debtor’s estimation of 

available funds 

Check one: 

 Funds will be available for distribution to unsecured creditors. 

 After any administrative expenses are paid, no funds will be available for distribution to unsecured creditors. 

14. Estimated number of 

creditors 

 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

Preliminary Draft | August 2020 Page 187 of 280
Debtor _______________________________________________________ Case number (if known)_____________________________________ Name

 Official Form 201 Voluntary Petition for Non-Individuals Filing for Bankruptcy page 4

15. Estimated assets 

 $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

16. Estimated liabilities 

 $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

Request for Relief, Declaration, and Signatures

WARNING -- Bankruptcy fraud is a serious crime. Making a false statement in connection with a bankruptcy case can result in fines up to 

$500,000 or imprisonment for up to 20 years, or both. 18 U.S.C. §§ 152, 1341, 1519, and 3571. 

17. Declaration and signature of 

authorized representative of 

debtor 

The debtor requests relief in accordance with the chapter of title 11, United States Code, specified in this 

petition. 

I have been authorized to file this petition on behalf of the debtor. 

I have examined the information in this petition and have a reasonable belief that the information is true and 

correct. 

I declare under penalty of perjury that the foregoing is true and correct. 

Executed on _________________ 

 MM / DD / YYYY 

8_____________________________________________ _______________________________________________ 

 Signature of authorized representative of debtor Printed name

 Title _________________________________________ 

18. Signature of attorney 8_____________________________________________ 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 2020 Page 188 of 280
Official Form 201 (Committee Note) (02/20)

Committee Note 

Line 8 of the form is amended in response to the 

enactment of the Small Business Reorganization Act of 

2019, Pub. L. No. 116-54, 133 Stat. 1079. That law gives a 

small business debtor the option of electing to be a debtor 

under subchapter V of chapter 11. Line 8 is amended to 

provide a check box for a small business debtor to indicate 

that it is making that choice. 

Preliminary Draft | August 2020 Page 189 of 280
Official Form 309E-1 (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 309EɅ1 (For Individuals or Joint Debtors) 

Notice of Chapter 11 Bankruptcy Case 02/20

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 www.pacer.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 www.pacer.gov.

 Hours open _______________________________ 

 Contact phone _______________________________ 

 For more information, see page 2 Ź

Preliminary Draft | August 2020 Page 190 of 280
Official Form 309E-1 (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.

File by the deadline to object to discharge or to challenge 

whether certain debts are dischargeable: 

You must file a complaint: 

 if you assert that the debtor is not entitled to receive a 

discharge of any debts under 11 U.S.C. § 1141(d)(3) or 

 if you want to have a debt excepted from discharge 

under 11 U.S.C. § 523(a)(2), (4), or (6). 

First date set for hearing on confirmation of 

plan. The court will send you a notice of that 

date later. 

Filing deadline for dischargeability 

complaints: __________________

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 www.pacer.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 www.pacer.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 2020 Page 191 of 280
Official Form 309E-2 (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 309EɅ2 (For Individuals or Joint Debtors under Subchapter V) 

Notice of Chapter 11 Bankruptcy Case 02/20

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 www.pacer.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 Ź

Preliminary Draft | August 2020 Page 192 of 280
Official Form 309E-2 (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 www.pacer.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.

File by the deadline to object to discharge or to challenge 

whether certain debts are dischargeable: 

You must file a complaint: 

 if you assert that the debtor is not entitled to receive a 

discharge of any debts under 11 U.S.C. § 1141(d)(3) or 

 if you want to have a debt excepted from discharge 

under 11 U.S.C. § 523(a)(2), (4), or (6). 

First date set for hearing on confirmation of 

plan. The court will send you a notice of that 

date later. 

Filing deadline for dischargeability 

complaints: __________________

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 www.pacer.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 Ź

Preliminary Draft | August 2020 Page 193 of 280
Official Form 309E-2 (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 www.pacer.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 2020 Page 194 of 280
Official Form 309F-1 (For Corporations or Partnerships) Notice of Chapter 11 Bankruptcy Case page 1 

Official Form 309FɅ1 (For Corporations or Partnerships) 

Notice of Chapter 11 Bankruptcy Case 02/20

For the debtor 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 debtor or the debtor’s property. For example, while the stay is in effect, creditors cannot sue, assert a deficiency, 

repossess property, or otherwise try to collect from the debtor. Creditors cannot demand repayment from the debtor by mail, phone, or 

otherwise. Creditors who violate the stay can be required to pay actual and punitive damages and attorney’s fees.

Confirmation of a chapter 11 plan may result in a discharge of debt. A creditor who wants to have a particular debt excepted from discharge 

may be required to file a complaint in the bankruptcy clerk’s office within the deadline 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 www.pacer.gov). 

The staff of the bankruptcy clerk’s office cannot give legal advice. 

Do not file this notice with any proof of claim or other filing in the case. 

1. Debtor’s full name 

2. All other names used in 

the last 8 years 

3. 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 www.pacer.gov.

 Hours open _______________________________ 

 Contact phone _______________________________ 

6. Meeting of creditors

The debtor’s representative 

must attend the meeting to be 

questioned under oath. 

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:

For more information, see page 2 Ź

Debtor __________________________________________________________________ EIN ___ ___ – ___ ___ ___ ___ ___ ___ ___

 Name 

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:

Preliminary Draft | August 2020 Page 195 of 280
Debtor _______________________________________________________ Case number (if known)_____________________________________ Name

Official Form 309F-1 (For Corporations or Partnerships) Notice of Chapter 11 Bankruptcy Case page 2

7. Proof of claim deadline 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 www.pacer.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. 

8. Exception to discharge 

deadline 

The bankruptcy clerk’s office 

must receive a complaint and 

any required filing fee by the 

following deadline. 

If § 523(c) applies to your claim and you seek to have it excepted from discharge, you must start a judicial 

proceeding by filing a complaint by the deadline stated below. 

Deadline for filing the complaint: _________________ 

9. Creditors with a foreign 

address 

If you are a creditor receiving notice mailed to 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. Unless a trustee is serving, the 

debtor will remain in possession of the property and may continue to operate its business. 

11. Discharge of debts Confirmation of a chapter 11 plan may result in a discharge of debts, which may include all or part of your debt. 

See 11 U.S.C. § 1141(d). A discharge means that creditors may never try to collect the debt from the debtor 

except as provided in the plan. If you want to have a particular debt owed to you excepted from the discharge 

and § 523(c) applies to your claim, you must start a judicial proceeding by filing a complaint and paying the filing 

fee in the bankruptcy clerk’s office by the deadline. 

Preliminary Draft | August 2020 Page 196 of 280
Official Form 309F-2 (For Corporations or Partnerships under Subchapter V) Notice of Chapter 11 Bankruptcy Case page 1 

Official Form 309FɅ2 (For Corporations or Partnerships under 

Subchapter V) 

Notice of Chapter 11 Bankruptcy Case 02/20

For the debtor 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 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 debtor or the debtor’s property. For example, while the stay is in effect, creditors cannot sue, assert a deficiency, 

repossess property, or otherwise try to collect from the debtor. Creditors cannot demand repayment from the debtor by mail, phone, or 

otherwise. Creditors who violate the stay can be required to pay actual and punitive damages and attorney’s fees.

Confirmation of a chapter 11 plan may result in a discharge of debt. A creditor who wants to have a particular debt excepted from discharge 

may be required to file a complaint in the bankruptcy clerk’s office within the deadline specified in this notice. (See line 12 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 www.pacer.gov). 

The staff of the bankruptcy clerk’s office cannot give legal advice. 

Do not file this notice with any proof of claim or other filing in the case. 

1. Debtor’s full name 

2. All other names used in 

the last 8 years 

3. Address 

4. Debtor’s attorney 

Name and address

 Contact phone ______________________________ 

 Email ______________________________ 

5. Bankruptcy trustee 

Name and address

 

 Contact phone ______________________________ 

 Email ______________________________ 

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 www.pacer.gov.

 Hours open _______________________________ 

 Contact phone _______________________________ 

For more information, see page 2 Ź

Debtor __________________________________________________________________ EIN ___ ___ – ___ ___ ___ ___ ___ ___ ___

 Name 

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:

Preliminary Draft | August 2020 Page 197 of 280
Debtor _______________________________________________________ Case number (if known)_____________________________________ Name

Official Form 309F-2 (For Corporations or Partnerships under Subchapter V) Notice of Chapter 11 Bankruptcy Case page 2

7. Meeting of creditors

The debtor’s representative 

must attend the meeting to be 

questioned under oath. 

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. Proof of claim deadline 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 www.pacer.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. 

9. Exception to discharge 

deadline 

The bankruptcy clerk’s office 

must receive a complaint and 

any required filing fee by the 

following deadline. 

If § 523(c) applies to your claim and you seek to have it excepted from discharge, you must start a judicial 

proceeding by filing a complaint by the deadline stated below. 

Deadline for filing the complaint: _________________ 

10. Creditors with a foreign 

address 

If you are a creditor receiving notice mailed to 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.

11. 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. 

12. Discharge of debts Confirmation of a chapter 11 plan may result in a discharge of debts, which may include all or part of your debt. 

See 11 U.S.C. § 1141(d). A discharge means that creditors may never try to collect the debt from the debtor 

except as provided in the plan. If you want to have a particular debt owed to you excepted from the discharge 

and § 523(c) applies to your claim, you must start a judicial proceeding by filing a complaint and paying the filing 

fee in the bankruptcy clerk’s office by the deadline. 

Preliminary Draft | August 2020 Page 198 of 280
Official Form 309 (Committee Note) (02/20)

Committee Note 

 Official Forms 309E-2 and 309F-2 are new. They 

are promulgated in response to the enactment of the Small 

Business Reorganization Act of 2019, Pub. L. No. 116-54, 

133 Stat. 1079. That law gives a small business debtor the 

option of electing to be a debtor under subchapter V of 

chapter 11. 

 Because a trustee is always appointed in a subchapter 

V case, both forms require the name and contact information 

of the trustee to be provided. 

 Previously existing Official Forms 309E and 309F 

have been renumbered 309E-1 and 309F-1, respectively. 

Other changes are stylistic. 

 

Preliminary Draft | August 2020 Page 199 of 280
Official Form 314 (02/20) 

[Caption as in 416A]

Class [ ] Ballot for Accepting or Rejecting Plan of Reorganization

[Proponent] filed a plan of reorganization dated [Date] (the Plan) for the Debtor in this case. {The Court has 

[conditionally] approved a disclosure statement with respect to the Plan (the Disclosure Statement). The Disclosure 

Statement provides information to assist you in deciding how to vote your ballot. If you do not have a Disclosure 

Statement, you may obtain a copy from [name, address, telephone number and telecopy number of 

proponent/proponent’s attorney.]} 

{Court approval of the Disclosure Statement does not indicate approval of the Plan by the Court.} 

You should review {the Disclosure Statement and} the Plan before you vote. You may wish to seek legal 

advice concerning the Plan and your classification and treatment under the Plan. Your [claim] [equity 

interest] has been placed in class [ ] under the Plan. If you hold claims or equity interests in more than one 

class, you will receive a ballot for each class in which you are entitled to vote. 

If your ballot is not received by [name and address of proponent’s attorney or other appropriate address] on 

or before [date], and such deadline is not extended, your vote will not count as either an acceptance or 

rejection of the Plan. 

If the Plan is confirmed by the Bankruptcy Court, it will be binding on you whether or not you vote. 

Acceptance or Rejection of the Plan 

[At this point the ballot should provide for voting by the particular class of creditors or equity holders receiving the 

ballot using one of the following alternatives;] 

[If the voter is the holder of a secured, priority, or unsecured nonpriority claim:] 

The undersigned, the holder of a Class [ ] claim against the Debtor in the unpaid amount of Dollars ($ ) 

[or, if the voter is the holder of a bond, debenture, or other debt security:] 

The undersigned, the holder of a Class [ ] claim against the Debtor, consisting of Dollars ($ ) principal amount of 

[describe bond, debenture, or other debt security] of the Debtor (For purposes of this Ballot, it is not necessary and 

you should not adjust the principal amount for any accrued or unmatured interest.) 

[or, if the voter is the holder of an equity interest:] 

The undersigned, the holder of Class [ ] equity interest in the Debtor, consisting of ______ shares or other interests 

of [describe equity interest] in the Debtor 

 

Preliminary Draft | August 2020 Page 200 of 280
Official Form 314 (02/20) page 2 

[In each case, the following language should be included:] 

Check one box only 

 Accepts the plan

Rejects the plan 

Dated: ___________________ 

Print or type name: _________________________________________ 

Signature: _________________________________________ Title (if corporation or partnership) ________ 

Address: _________________________________________ 

 _________________________________________ 

 _________________________________________

Return this ballot to: 

[Name and address of proponent’s attorney or other appropriate address]

Preliminary Draft | August 2020 Page 201 of 280
Official Form 314 (Committee Note) (02/20)

Committee Note 

The form is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. The first three paragraphs of the form are 

amended to place braces around all references to a disclosure 

statement. Section 1125 of the Code does not apply to 

subchapter V cases unless the court for cause orders 

otherwise. See Code § 1181(b). Thus, in most chapter V 

cases there will not be a disclosure statement, and the 

language in braces on the form should not be included on the 

ballot. 

Preliminary Draft | August 2020 Page 202 of 280
Official Form 315 (02/20) 

[Caption as in 416A]

Order Confirming Plan

The plan under chapter 11 of the Bankruptcy Code filed by _____________________________________, on 

____________________ [if applicable, as modified by a modification filed on ______________________,] or a 

summary thereof, having been transmitted to creditors and equity security holders; and 

It having been determined after hearing on notice that the requirements for confirmation set forth in 

11 U.S.C. § 1129(a) [or, if appropriate, 11 U.S.C. § 1129(b), 1191(a), or 1191(b)] have been 

satisfied; 

IT IS ORDERED that: 

The plan filed by ________________________________________________, on _________________, 

[If appropriate, include dates and any other pertinent details of modifications to the plan] is confirmed. [If 

the plan provides for an injunction against conduct not otherwise enjoined under the Code, include the 

information required by Rule 3020.] 

A copy of the confirmed plan is attached. 

_____________ By the court: _____________________________

MM / DD / YYYY United States Bankruptcy Judge 

Preliminary Draft | August 2020 Page 203 of 280
Official Form 315 (Committee Note) (02/20)

Committee Note 

The form is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. Citations to the statutory provisions 

governing confirmation in such cases are added to the form 

for the court to include as appropriate. 

Preliminary Draft | August 2020 Page 204 of 280
Official Form 425A Plan of Reorganization for Small Business Under Chapter 11 page 1

 

 Check if this is an amended filing 

Official Form 425A 

Plan of Reorganization for Small Business Under Chapter 11 02/20

[Name of Proponent ]’s Plan of Reorganization, Dated [Insert Date] 

[If this plan is for a small business debtor under Subchapter V, 11 U.S.C. § 1190 requires that it include “(A) a brief history of the business operations 

of the debtor; (B) a liquidation analysis; and (C) projections with respect to the ability of the debtor to make payments under the proposed plan of 

reorganization.” The Background section below may be used for that purpose. Otherwise, the Background section can be deleted from the form, and 

the Plan can start with “Article 1: Summary”] 

Background for Cases Filed Under Subchapter V 

A. Description and History of the Debtor’s Business

The Debtor is a [corporation, partnership, etc.]. Since [insert year operations commenced], the Debtor has been in the 

business of __________________________________________. [Describe the Debtor’s business]. 

B. Liquidation Analysis

To confirm the Plan, the Court must find that all creditors and equity interest holders who do not accept the Plan 

will receive at least as much under the Plan as such claim and equity interest holders would receive in a chapter 

7 liquidation. A liquidation analysis is attached to the Plan as Exhibit___. 

C. Ability to make future plan payments and operate without further reorganization

The Plan Proponent must also show that it will have enough cash over the life of the Plan to make the required 

Plan payments and operate the debtor’s business. 

The Plan Proponent has provided projected financial information as Exhibit ___. 

The Plan Proponent’s financial projections show that the Debtor will have projected disposable income (as 

defined by § 1191(d) of the Bankruptcy Code) for the period described in § 1191(c)(2) of $ _________. 

The final Plan payment is expected to be paid on _________. 

[Summarize the numerical projections, and highlight any assumptions that are not in accord with past experience. Explain why such 

assumptions should now be made.] 

You should consult with your accountant or other financial advisor if you have any questions pertaining to these 

projections. 

Debtor Name __________________________________________________________________ 

United States Bankruptcy Court for the:_______________________ District of __________ (State) 

Case number: _________________________ 

 Fill in this information to identify the case: 

Preliminary Draft | August 2020 Page 205 of 280
Debtor Name _______________________________________________________ Case number_____________________________________ 

Official Form 425A Plan of Reorganization for Small Business Under Chapter 11 page 2

Article 1: Summary

This Plan of Reorganization (the Plan) under chapter 11 of the Bankruptcy Code (the Code) proposes to pay 

creditors of [insert the name of the Debtor] (the Debtor) from [Specify sources of payment, such as an infusion of capital, loan 

proceeds, sale of assets, cash flow from operations, or future income]. 

This Plan provides for: classes of priority claims; 

 classes of secured claims; 

 classes of non-priority unsecured clams; and 

 classes of equity security holders. 

Non-priority unsecured creditors holding allowed claims will receive distributions, which the proponent of this 

Plan has valued at approximately __ cents on the dollar. This Plan also provides for the payment of 

administrative and priority claims. 

All creditors and equity security holders should refer to Articles 3 through 6 of this Plan for information 

regarding the precise treatment of their claim. A disclosure statement that provides more detailed information 

regarding this Plan and the rights of creditors and equity security holders has been circulated with this Plan. 

Your rights may be affected. You should read these papers carefully and discuss them with your attorney, if you 

have one. (If you do not have an attorney, you may wish to consult one.) 

Article 2: Classification of Claims and Interests

2.01 Class 1 ................................ All allowed claims entitled to priority under § 507(a) of the Code (except administrative 

expense claims under § 507(a)(2), [“gap” period claims in an involuntary case under § 507(a)(3),] 

and priority tax claims under § 507(a)(8)). 

[Add classes of priority claims, if applicable] 

2.02 Class 2 ................................... The claim of ________________________________ , to the extent 

allowed as a secured claim under § 506 of the Code. 

[Add other classes of secured creditors, if any. Note: Section 1129(a)(9)(D) of the Code provides that a 

secured tax claim which would otherwise meet the description of a priority tax claim under § 507(a)(8) of the 

Code is to be paid in the same manner and over the same period as prescribed in § 507(a)(8).] 

2.03 Class 3 ................................... All non-priority unsecured claims allowed under § 502 of the Code. 

[Add other classes of unsecured claims, if any.] 

2.04 Class 4 ................................... Equity interests of the Debtor. [If the Debtor is an individual, change this heading to The interests of 

the individual Debtor in property of the estate.] 

Article 3: Treatment of Administrative Expense Claims, Priority Tax Claims, and Quarterly and Court Fees

3.01 Unclassified claims Under section § 1123(a)(1), administrative expense claims, [“gap” period claims in an 

involuntary case allowed under § 502(f) of the Code,] and priority tax claims are not in classes. 

3.02 Administrative expense 

claims 

Each holder of an administrative expense claim allowed under § 503 of the Code, [and 

a “gap” claim in an involuntary case allowed under § 502(f) of the Code,] will be paid in full on the 

effective date of this Plan, in cash, or upon such other terms as may be agreed upon 

by the holder of the claim and the Debtor. 

Or 

Each holder of an administrative expense claim allowed under § 503 of the Code, [and 

a “gap” claim in an involuntary case allowed under § 502(f) of the Code,] will be paid [specify terms of 

treatment, including the form, amount, and timing of distribution, consistent with section 1191(e) of the 

Preliminary Draft | August 2020 Page 206 of 280
Debtor Name _______________________________________________________ Case number_____________________________________ 

Official Form 425A Plan of Reorganization for Small Business Under Chapter 11 page 3

Code]. 

[Note: the second provision is appropriate only in a subchapter V plan that is confirmed non-consensually 

under section 1191(b).] 

3.03 Priority tax claims Each holder of a priority tax claim will be paid [Specify terms of treatment consistent 

with § 1129(a)(9)(C) of the Code]. 

3.04 Statutory fees All fees required to be paid under 28 U.S.C. § 1930 that are owed on or before the 

effective date of this Plan have been paid or will be paid on the effective date. 

3.05 Prospective quarterly fees All quarterly fees required to be paid under 28 U.S.C. § 1930(a)(6) or (a)(7) will accrue 

and be timely paid until the case is closed, dismissed, or converted to another chapter 

of the Code. 

Article 4: Treatment of Claims and Interests Under the Plan

4.01 Claims and interests shall be treated as follows under this Plan: 

Class Impairment Treatment 

Class 1 - Priority claims 

excluding those in Article 3 

 Impaired 

 Unimpaired

[Insert treatment of priority claims in this Class, including the 

form, amount and timing of distribution, if any. 

For example: “Class 1 is unimpaired by this Plan, and each 

holder of a Class 1 Priority Claim will be paid in full, in cash, 

upon the later of the effective date of this Plan, or the date 

on which such claim is allowed by a final non-appealable 

order. Except: ________.”] 

[Add classes of priority claims if applicable] 

Class 2 – Secured claim of 

[Insert name of secured 

creditor.] 

 Impaired 

 Unimpaired

[Insert treatment of secured claim in this Class, including 

the form, amount and timing of distribution, if any.] 

[Add classes of secured claims if applicable] 

Class 3 – Non-priority 

unsecured creditors  Impaired 

 Unimpaired

[Insert treatment of unsecured creditors in this Class, 

including the form, amount and timing of distribution, if any.] 

[Add administrative convenience class if applicable] 

Class 4 - Equity security 

holders of the Debtor 

 Impaired 

 Unimpaired

[Insert treatment of equity security holders in this Class, 

including the form, amount and timing of distribution, if any.] 

Article 5: Allowance and Disallowance of Claims

5.01 Disputed claim A disputed claim is a claim that has not been allowed or disallowed [by a final nonappealable order], and as to which either: 

(i) a proof of claim has been filed or deemed filed, and the Debtor or another party in 

interest has filed an objection; or 

(ii) no proof of claim has been filed, and the Debtor has scheduled such claim as 

disputed, contingent, or unliquidated.

5.02 Delay of distribution on a 

disputed claim 

No distribution will be made on account of a disputed claim unless such claim is 

allowed [by a final non-appealable order]. 

5.03 Settlement of disputed 

claims 

The Debtor will have the power and authority to settle and compromise a disputed 

claim with court approval and compliance with Rule 9019 of the Federal Rules of 

Bankruptcy Procedure. 

Article 6: Provisions for Executory Contracts and Unexpired Leases

Preliminary Draft | August 2020 Page 207 of 280
Debtor Name _______________________________________________________ Case number_____________________________________ 

Official Form 425A Plan of Reorganization for Small Business Under Chapter 11 page 4

6.01 Assumed executory 

contracts and unexpired 

leases 

(a) The Debtor assumes, and if applicable assigns, the following executory 

contracts and unexpired leases as of the effective date: 

 [List assumed, or if applicable assigned, executory contracts and unexpired leases.] 

(b) Except for executory contracts and unexpired leases that have been assumed, 

and if applicable assigned, before the effective date or under section 6.01(a) of 

this Plan, or that are the subject of a pending motion to assume, and if 

applicable assign, the Debtor will be conclusively deemed to have rejected all 

executory contracts and unexpired leases as of the effective date. 

 A proof of a claim arising from the rejection of an executory contract or 

unexpired lease under this section must be filed no later than __________ days 

after the date of the order confirming this Plan. 

Article 7: Means for Implementation of the Plan

[Insert here provisions regarding how the plan will be implemented as required under § 1123(a)(5) of the 

Code. For example, provisions may include those that set out how the plan will be funded, including any 

claims reserve to be established in connection with the plan, as well as who will be serving as directors, 

officers or voting trustees of the reorganized Debtor.] 

Article 8: General Provisions 

8.01 Definitions and rules of 

construction 

The definitions and rules of construction set forth in §§ 101 and 102 of the 

Code shall apply when terms defined or construed in the Code are used in 

this Plan, and they are supplemented by the following definitions: 

[Insert additional definitions if necessary]. 

8.02 Effective date The effective date of this Plan is the first business day following the date that 

is 14 days after the entry of the confirmation order. If, however, a stay of the 

confirmation order is in effect on that date, the effective date will be the first 

business day after the date on which the stay expires or is otherwise 

terminated. 

8.03 Severability If any provision in this Plan is determined to be unenforceable, the 

determination will in no way limit or affect the enforceability and operative 

effect of any other provision of this Plan. 

8.04 Binding effect The rights and obligations of any entity named or referred to in this Plan will 

be binding upon, and will inure to the benefit of the successors or assigns of 

such entity. 

8.05 Captions The headings contained in this Plan are for convenience of reference only and 

do not affect the meaning or interpretation of this Plan. 

[8.06 Controlling effect Unless a rule of law or procedure is supplied by federal law (including the 

Code or the Federal Rules of Bankruptcy Procedure), the laws of the State of 

____________ govern this Plan and any agreements, documents, and 

instruments executed in connection with this Plan, except as otherwise 

provided in this Plan.] 

[8.07 Corporate governance [If the Debtor is a corporation include provisions required by § 1123(a)(6) of the Code.] 

Preliminary Draft | August 2020 Page 208 of 280
Debtor Name _______________________________________________________ Case number_____________________________________ 

Official Form 425A Plan of Reorganization for Small Business Under Chapter 11 page 5

[8.08 Retention of Jurisdiction Language addressing the extent and the scope of the bankruptcy court’s jurisdiction 

after the effective date of the plan.] 

Article 9: Discharge 

[Include the appropriate provision in the Plan] 

[No Discharge -- Section 1141(d)(3) IS applicable.] 

In accordance with § 1141(d)(3) of the Code, the Debtor will not receive any discharge of debt in this bankruptcy 

case. 

[Discharge -- Section 1141(d)(3) IS NOT applicable; use one of the alternatives below] 

[The following 3 alternatives apply to cases in which a discharge is applicable and the Debtor DID NOT elect to proceed under Subchapter V of Chapter 

11.] 

[Discharge if the Debtor is an individual and did not proceed under Subchapter V] 

Confirmation of this Plan does not discharge any debt provided for in this Plan until the court grants a discharge on 

completion of all payments under this Plan, or as otherwise provided in § 1141(d)(5) of the Code. The Debtor will 

not be discharged from any debt excepted from discharge under § 523 of the Code, except as provided in Rule 

4007(c) of the Federal Rules of Bankruptcy Procedure. 

[Discharge if the Debtor is a partnership and did not proceed under Subchapter V] 

On the effective date of this Plan, the Debtor will be discharged from any debt that arose before confirmation of this 

Plan, to the extent specified in § 1141(d)(1)(A) of the Code. The Debtor will not be discharged from any debt 

imposed by this Plan. 

[Discharge if the Debtor is a corporation and did not proceed under Subchapter V] 

On the effective date of this Plan, the Debtor will be discharged from any debt that arose before confirmation of this 

Plan, to the extent specified in § 1141(d)(1)(A) of the Code, except that the Debtor will not be discharged of any debt: 

(i) imposed by this Plan; or 

(ii) to the extent provided in § 1141(d)(6).

[The following 3 alternatives apply to cases in which the Debtor DID elect to proceed under Subchapter V of Chapter 11.]

[Discharge if the Debtor is an individual under Subchapter V] 

If the Debtor’s Plan is confirmed under § 1191(a), on the effective date of the Plan, the Debtor will be discharged from any 

debt that arose before confirmation of this Plan, to the extent specified in § 1141(d)(1)(A) of the Code. The Debtor will not 

be discharged from any debt:

(i) imposed by this Plan; or 

(ii) excepted from discharge under § 523(a) of the Code, except as provided in Rule 4007(c) of the 

Federal Rules of Bankruptcy Procedure. 

Preliminary Draft | August 2020 Page 209 of 280
Debtor Name _______________________________________________________ Case number_____________________________________ 

Official Form 425A Plan of Reorganization for Small Business Under Chapter 11 page 6

If the Debtor’s Plan is confirmed under § 1191(b), confirmation of the Plan does not discharge any debt provided for in this 

Plan until the court grants a discharge on completion of all payments due within the first 3 years of this Plan, or as 

otherwise provided in § 1192 of the Code. The Debtor will not be discharged from any debt: 

(i) on which the last payment is due after the first 3 years of the plan, or as otherwise provided in § 1192; 

or 

(ii) excepted from discharge under § 523(a) of the Code, except as provided in Rule 4007(c) of the 

Federal Rules of Bankruptcy Procedure. 

[Discharge if the Debtor is a partnership under Subchapter V] 

If the Debtor’s Plan is confirmed under § 1191(a), on the effective date of the Plan, the Debtor will be discharged from any 

debt that arose before confirmation of this Plan, to the extent specified in § 1141(d)(1)(A) of the Code. The Debtor will not 

be discharged from any debt imposed by this Plan. 

If the Debtor’s Plan is confirmed under § 1191(b), confirmation of the Plan does not discharge any debt provided for in this 

Plan until the court grants a discharge on completion of all payments due within the first 3 years of this Plan, or as 

otherwise provided in § 1192 of the Code. The Debtor will not be discharged from any debt: 

(i) on which the last payment is due after the first 3 years of the plan, or as otherwise provided in § 1192; 

or 

(ii) excepted from discharge under § 523(a) of the Code, except as provided in Rule 4007(c) of the 

Federal Rules of Bankruptcy Procedure. 

[Discharge if the Debtor is a corporation under Subchapter V] 

If the Debtor’s Plan is confirmed under § 1191(a), on the effective date of the Plan, the Debtor will be discharged from any 

debt that arose before confirmation of this Plan, to the extent specified in § 1141(d)(1)(A) of the Code, except that the 

Debtor will not be discharged of any debt: 

(i) imposed by this Plan; or 

(ii) to the extent provided in § 1141(d)(6). 

If the Debtor’s Plan is confirmed under § 1191(b), confirmation of this Plan does not discharge any debt provided for in this 

Plan until the court grants a discharge on completion of all payments due within the first 3 years of this Plan, or as 

otherwise provided in § 1192 of the Code. The Debtor will not be discharged from any debt: 

(i) on which the last payment is due after the first 3 years of the plan, or as otherwise provided in § 1192; 

or 

(ii) excepted from discharge under § 523(a) of the Code, except as provided in Rule 4007(c) of the 

Federal Rules of Bankruptcy Procedure. 

Article 10: Other Provisions

 [Insert other provisions, as applicable.] 

Respectfully submitted, 

Preliminary Draft | August 2020 Page 210 of 280
Debtor Name _______________________________________________________ Case number_____________________________________ 

Official Form 425A Plan of Reorganization for Small Business Under Chapter 11 page 7

8____________________________________________________ ____________________________________________________

 [Signature of the Plan Proponent] [Printed Name] 

8____________________________________________________ ____________________________________________________

 [Signature of the Attorney for the Plan Proponent] [Printed Name]

Preliminary Draft | August 2020 Page 211 of 280
Official Form 425A (Committee Note) (02/20)

Committee Note 

The form is amended in response to the enactment of 

the Small Business Reorganization Act of 2019, Pub. L. No. 

116-54, 133 Stat. 1079. That law gives a small business 

debtor the option of electing to be a debtor under subchapter 

V of chapter 11. Because there will generally not be a 

disclosure statement in subchapter V cases, § 1190 of the 

Code provides that plans in those cases must include a brief 

history of the debtor’s business operations, a liquidation 

analysis, and projections of the debtor’s ability to make 

payments under the plan. Those provisions are added to a 

new Background section of the form with an indication that 

they are to be included in plans only in subchapter V cases. 

 

 Article 3.02 is amended to reflect a special rule for 

the treatment of administrative expense claims in subchapter 

V plans that are confirmed non-consensually. See § 1191(e). 

 Article 9 of the form is amended to include 

descriptions of the effect of a discharge in a case under 

subchapter V. The plan proponent is directed to include in 

the plan the particular provision that is appropriate for the 

case. 

Preliminary Draft | August 2020 Page 212 of 280
Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE OF 

THE

JUDICIAL CONFERENCE OF THE UNITED STATES 

WASHINGTON, D.C. 20544 

DAVID G. CAMPBELL

CHAIR

REBECCA A. WOMELDORF

SECRETARY

CHAIRS OF ADVISORY COMMITTEES

MICHAEL A. CHAGARES

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

JOHN D. BATES

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

DEBRA A. LIVINGSTON

EVIDENCE RULES

MEMORANDUM 

TO: Hon. David G. Campbell, Chair 

 Committee on Rules of Practice and Procedure 

FROM: Hon. John D. Bates, Chair 

Advisory Committee on Civil Rules

RE: Report of the Advisory Committee on Civil Rules 

DATE: May 27, 2020 

Introduction 

The Advisory Committee on Civil Rules met by 

videoconference on April 1, 2020. The meeting was originally 

noticed for an in-person meeting in West Palm Beach, Florida, 

but was re-noticed in the Federal Register for a remote meeting, 

with the opportunity for public access. 

* * * * * 

Part IB recommends approval for publication of two 

proposals. The first is a set of Supplemental Rules for Social 

Security Review Actions Under 42 U.S.C. § 405(g). The second is 

an amendment of Rule 12(a)(4) that would extend the time to 

respond when an action is brought against a federal officer or 

employee in an individual capacity. 

Preliminary Draft | August 2020 Page 213 of 280
Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

* * * * * 

 B. For Publication 

1. Supplemental Rules for Social Security Review 

Introduction 

The Advisory Committee recommends publication for comment of 

a new set of Supplemental Rules for Social Security Review 

Actions Under 42 U.S.C. § 405(g). The broad nature of this 

project is familiar from discussion in earlier Standing Committee 

meetings. The particular concerns that arise from rules that 

address a specific substantive area, captured in the 

“transsubstantivity” label, were discussed at the January 2020 

meeting. The proposal is strongly supported by the Administrative 

Conference of the United States (the Administrative Conference) 

and the Social Security Administration (the SSA). Groups 

representing claimants’ representatives have offered modest 

opposition. The Department of Justice opposes publication; 

without expressing doubts about the value of the proposed 

procedures——indeed, having propounded a model local rule that 

closely reflects early drafts of these procedures——the Department 

of Justice is of the view that the potential gains are not great 

enough to overcome the presumption for transsubstantivity. 

The details of the proposed Supplemental Rules are described 

below. It suffices for introduction to note that the rules 

reflect the character of the § 405(g) actions they cover. These 

actions seek review on a closed administrative record governed by 

the familiar substantial evidence standard. They are every bit as 

much appellate in character as administrative review proceedings 

that go directly to a court of appeals without beginning on what 

may be a detour to, but often is final disposition in, a district 

court. 

This project was not self-generated within the Enabling Act 

committee structure. It began with an elaborate study of 

disparate district court practices and outcomes by Professors 

Jonah Gelbach and David Marcus for the Administrative Conference. 

The Administrative Conference sent a recommendation to the 

Judicial Conference urging that special rules be adopted for 

§ 405(g) review actions. The recommendation was framed in general 

terms that did not specify whether the rules might be framed as 

Civil Rules, Supplemental Rules to the Civil Rules, or some other 

kind of rules. The project was delegated to the Advisory 

Committee to consider possible additions to the Civil Rules. 

Preliminary Draft | August 2020 Page 214 of 280
Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

A subcommittee was formed. It first brought the project on 

for discussion at the Advisory Committee’s November 2017 meeting. 

The work has been pursued steadily since then. The subcommittee 

held two meetings that included representatives of the SSA, the 

Administrative Conference, the American Association for Justice, 

and the National Organization of Social Security Claimants 

Representatives. Representatives of most of those groups engaged 

in some of the subcommittee’s conference calls. District judges 

and magistrate judges were involved in the formal meetings. At 

least some of the judges expressed frustration over their 

perception that the Civil Rules do not work well for § 405(g) 

cases and either force adoption of local practices that do work 

or, for some, require adherence to unsuitable practices. Such 

resistance as plaintiffs’ representatives have offered seems to 

be based on the comfort of adhering to known procedures that 

they have mastered, as well as the fear that some judges will be 

displeased by displacement of their own preferred practices and 

will react by providing less efficient review. No reasons have 

been expressed to doubt the efficacy of the practices embodied 

in the supplemental rules. 

The subcommittee and the Advisory Committee repeatedly 

considered an alternative project that would attempt to draft 

uniform procedures for all administrative review actions that 

begin in a district court. A broader set of rules might offer 

several advantages. The first would be to establish procedures 

good for more than social security review actions. Another 

advantage would be to allay the concerns that arise around any 

proposal to create a substance-specific rule of procedure, 

concerns that are familiar from earlier meetings and that will be 

summarized below. 

All-agency review rules, however, present serious 

challenges. The realm of administrative agencies is broad, and 

includes very different entities that act in very different ways 

on very different subjects. Indeed it could prove difficult to 

define limits that distinguish purely executive acts from 

“agency” acts. Some of the review actions that come to the 

district courts involve little if anything more than review on a 

paper administrative record. But others call for some use of the 

pretrial and even trial procedures that are used for actions 

brought to the court for initial disposition on the merits. An 

integrated set of rules for all of these actions would be 

complicated and might easily fail in practice. 

Powerful reasons can be advanced for framing rules that 

address only social security review proceedings. A central 

reason is that almost all of them are pure appeals on a closed 

Preliminary Draft | August 2020 Page 215 of 280
Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

administrative record, whether it be the original record or a 

record as supplemented or completed on remand to the Social 

Security Administration. This uniform characteristic supports 

uniform review procedures. A related reason is that there are a 

great many social security review actions. A common estimate is 

that 17,000 to 18,000 are brought to the district courts every 

year, accounting for 7% to 8% of the civil docket. They receive 

substantial judicial attention——it may not be an exaggeration to 

suggest that a district court often lavishes more time on an 

individual claimant’s case than it received in the agency 

hearing and appeal. 

One last note of introduction. The draft Supplemental Rules 

are modest, indeed rather spare. The drafting process began by 

simplifying a long and intricate draft provided by the SSA, and 

proceeded by pruning off and paring down what remained. Clarity 

has been promoted by reverting to the supplemental rules format 

adopted for the first several drafts, abandoning the more 

compact effort to squeeze all provisions into a single new Civil 

Rule. These rules are so clear that they should be readily 

accessible to most pro se claimants. At the same time they 

establish an approach that will enable lawyers and courts to 

manage these appeals in a way that best realizes the aspirations 

of Civil Rule 1. 

The Supplemental Rules 

Rule 1. Review of Social Security Decisions Under 

42 U.S.C. § 405(g)

(a) Applicability of these Rules. These rules 

govern an action under 42 U.S.C. § 405(g) 

for review on the record of a final decision 

of the Commissioner of Social Security that 

presents only an individual claim. 

(b) Federal Rules of Civil Procedure. The Federal 

Rules of Civil Procedure also apply to a 

proceeding under these rules, except to the 

extent that they are inconsistent with these 

rules. 

Rule 2. Complaint 

(a) Commencing Action. An action for review under 

these rules is commenced by filing a complaint 

with the court. 

(b) Contents. 

(1) The complaint must state: 

(A) that the action is brought under 

§ 405(g), identifying the final 

Preliminary Draft | August 2020 Page 216 of 280
Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

decision to be reviewed; 

(B) the name, the county of residence, 

and the last four digits of the 

social security number of the person 

for whom benefits are claimed; 

(C) the name and last four digits of 

the social security number of the 

person on whose wage record 

benefits are claimed; and 

(D) the type of benefits claimed. 

(2) The complaint may include a short and 

plain statement of the grounds for 

relief. 

Rule 3. Service 

The court must notify the Commissioner of the 

commencement of the action by transmitting a Notice of 

Electronic Filing to the appropriate office within the 

Social Security Administration’s Office of General 

Counsel and to the United States Attorney for the 

district [where the action is filed]. [If the complaint 

was not filed electronically, the court must notify the 

plaintiff of the transmission.] The plaintiff need not 

serve a summons and complaint under Civil Rule 4. 

Rule 4. Answer; Motions; Time 

(a) Serving the Answer. An answer must be served 

on the plaintiff within 60 days after notice 

of the action is given under Rule 3. 

(b) The Answer. An answer may be limited to a 

certified copy of the administrative record, 

and to any affirmative defenses under Civil

Rule 8(c). Civil Rule 8(b) does not apply. 

(c) Motions under Civil Rule 12. A motion under 

Civil Rule 12 must be made within 60 days 

after notice of the action is given under 

Rule 3. 

(d) Time to Answer after a Motion under Rule 4(c).

Unless the court sets a different time, 

serving a motion under Rule 4(c) alters the 

time to answer as provided by Civil Rule 

12(a)(4). 

Rule 5. Presenting the Action for Decision 

The action is presented for decision by the parties’ 

briefs. A brief must support assertions of fact by 

citations to particular parts of the record. 

Preliminary Draft | August 2020 Page 217 of 280
Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

Rule 6. Plaintiff’s Brief 

The plaintiff must file and serve on the 

Commissioner a brief for the requested relief within 30 

days after the answer is filed or 30 days after the court 

disposes of all motions filed under Rule 4(c), whichever 

is later. 

Rule 7. Commissioner’s Brief 

The Commissioner must file a brief and serve it on 

the plaintiff within 30 days after service of the 

plaintiff’s brief. 

Rule 8. Reply Brief 

The plaintiff may file a reply brief and serve it on 

the Commissioner within 14 days after service of the 

Commissioner’s brief. 

Committee Note 

Actions to review a final decision of the 

Commissioner of Social Security under 42 U.S.C. § 405(g) 

have been governed by the Civil Rules. These Supplemental 

Rules, however, establish a simplified procedure that 

recognizes the essentially appellate character of actions 

that seek only review of an individual’s claims on a 

single administrative record. These rules apply only to 

final decisions actually made by the Commissioner of 

Social Security. They do not apply to actions against 

another agency under a statute that adopts § 405(g) by 

considering the head of the other agency to be the 

Commissioner. There is not enough experience with such 

actions to determine whether they should be brought into 

the simplified procedures contemplated by these rules. 

But a court can employ these procedures on its own if 

they seem useful, apart from the Rule 3 provision for 

service on the Commissioner. 

Some actions may plead a claim for review under 

§ 405(g) but also join more than one plaintiff, or add 

a defendant or a claim for relief beyond review on the 

administrative record. Such actions fall outside these 

Supplemental Rules and are governed by the Civil Rules 

alone. 

The Civil Rules continue to apply to actions for 

review under § 405(g) except to the extent that the Civil 

Rules are inconsistent with these Supplemental Rules. 

Supplemental Rules 2, 3, 4, and 5 are the core of the 

Preliminary Draft | August 2020 Page 218 of 280
Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

provisions that are inconsistent with, and supersede, the 

corresponding rules on pleading, service, and presenting 

the action for decision. 

These Supplemental Rules establish a uniform 

procedure for pleading and serving the complaint; for 

answering and making motions under Rule 12; and for 

presenting the action for decision by briefs. These 

procedures reflect the ways in which a civil action under 

§ 405(g) resembles an appeal or a petition for review of 

administrative action filed directly in a court of 

appeals. 

Supplemental Rule 2 adopts the procedure of Civil 

Rule 3, which directs that a civil action be commenced by 

filing a complaint with the court. In an action that 

seeks only review on the administrative record, however, 

the complaint is similar to a notice of appeal. 

Simplified pleading is often desirable. 

Jurisdiction is pleaded under Rule 2(b)(1)(A) by 

identifying the action as one brought under § 405(g). 

The elements of the claim for review are adequately 

pleaded under Rule 2(b)(1)(B), (C), and (D). Failure to 

plead all the matters described in Rule 2(b)(1)(B), 

(C), and (D), moreover, should be cured by leave to 

amend, not dismissal. Rule 2(b)(2), however, permits a 

plaintiff who wishes to plead more than Rule 2(b)(1) 

requires to do so. 

Rule 3 provides a means for giving notice of the 

action that supersedes Civil Rule 4(i)(2). The Notice of 

Electronic Filing sent by the court suffices for service, 

so long as it provides a means of electronic access to 

the complaint. Notice to the Commissioner is sent to the 

appropriate regional office. The plaintiff need not serve 

a summons and complaint under Civil Rule 4. 

Rule 4’s provisions for the answer build from this 

part of § 405(g): “As part of the Commissioner’s answer 

the Commissioner of Social Security shall file a 

certified copy of the transcript of the record including 

the evidence upon which the findings and decision 

complained of are made.” In addition to filing the 

record, the Commissioner must plead any affirmative 

defenses under Civil Rule 8(c). Civil Rule 8(b) does not 

apply, but the Commissioner is free to answer any 

allegations that the Commissioner may wish to address in 

Preliminary Draft | August 2020 Page 219 of 280
Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

the pleadings. 

The time to answer or to file a motion under Civil 

Rule 12 is set at 60 days after notice of the action is 

given under Rule 3. If a timely motion is made under 

Civil Rule 12, the time to answer is governed by Civil 

Rule 12(a)(4) unless the court sets a different time. 

Rule 5 states the procedure for presenting for 

decision on the merits a § 405(g) review action that is 

governed by the Supplemental Rules. Like an appeal, the 

briefs present the action for decision on the merits. 

This procedure displaces summary judgment or such devices 

as a joint statement of facts as the means of review on 

the administrative record. Rule 5 also displaces local 

rules or practices that are inconsistent with the 

simplified procedure established by these Supplemental 

Rules for treating the action as one for review on the 

administrative record. 

All briefs are similar to appellate briefs, citing 

to the parts of the administrative record that support an 

assertion that the final decision is not supported by 

substantial evidence or is contrary to law. 

Rules 6, 7, and 8 set the times for serving and 

filing the briefs: 30 days after the answer is filed 

or 30 days after the court disposes of all motions 

filed under Rule 4(b) for the plaintiff’s brief, 30 

days after service of the plaintiff’s brief for the 

Commissioner’s brief, and 14 days after service of the 

Commissioner’s brief for a reply brief. The court may 

revise these times when appropriate. 

* * * * * 

Rule 5 establishes the functional core of the Supplemental 

Rules. The case is presented for decision through the briefs. 

That is how an appeal is effectively presented. The other seven 

rules establish the procedures that establish the foundation for 

the briefs and set the times for serving and filing the briefs. 

Rule 1 defines the cases that come within the Supplemental 

Rules and the relationship between the Supplemental Rules and 

the Civil Rules for those cases. 

Rule 1(a) defines the scope of the Supplemental Rules. It 

limits them to the actions that present only a claim for benefits 

Preliminary Draft | August 2020 Page 220 of 280
Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

for a single individual, or perhaps plural claimants who rely on 

a single individual’s wage record and circumstances. Such actions 

comprise an overwhelming majority of all § 405(g) review actions. 

Other actions, those that involve more claimants, more 

defendants, or claims in addition to the § 405(g) review claim, 

are governed by the Civil Rules alone. 

Rule 1(b) supplements Rule 1(a) by recognizing that the 

Civil Rules “also apply to a proceeding under these rules, except 

to the extent that they are inconsistent with these rules.” A 

great many of the Civil Rules remain relevant, even necessary, 

beginning with Rule 1. They are essential to orderly management 

of the action. Other of the Civil Rules will be relevant only in 

unusual circumstances. In rare cases, discovery may be 

appropriate to explore such matters as claims of improper ex 

parte contacts with an administrative law judge, other 

improprieties, or the completeness of the materials filed as the 

administrative record. Still other rules, such as the jury trial 

rules, are irrelevant. And as observed in the committee note, the 

procedure for review and decision on the briefs supersedes Rule 

56 summary-judgment practice. 

Pleading is simplified by Rules 2 and 4. 

Rule 2 contemplates a complaint that is designed to do no 

more than identify the plaintiff, including the last 4 digits of 

the social security number that the SSA needs to ensure proper 

identification of the administrative record. The plaintiff 

remains free to add “a short and plain statement of the grounds 

for relief,” but may omit any such statement. The Commissioner as 

defendant is required by Rule 4 to answer by filing the 

administrative record and pleading any affirmative defenses under 

Civil Rule 8(c). Civil Rule 8(b) does not apply, freeing the 

Commissioner from any obligation to respond to allegations in the 

complaint, but the Commissioner may respond to the allegations. 

Claimants, more likely those represented by counsel, may find it 

useful to plead more than Rule 2 requires as a means of 

educating the Commissioner about issues that may persuade the 

Commissioner to seek a voluntary remand. Voluntary remands are a 

common occurrence, and pleading may expedite the Commissioner’s 

decision whether to ask for a remand. 

Rule 3 supersedes the Civil Rule 4 provisions for service of 

the summons and complaint by directing that the court must notify 

the Commissioner by transmitting a Notice of Electronic Filing. 

This procedure has been adopted in some districts, and wins 

strong support from plaintiffs’ representatives, the SSA, and 

court clerks. It has been universally popular from the moment it 

Preliminary Draft | August 2020 Page 221 of 280
Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

was introduced. The proposed rule text includes in brackets a 

sentence directing the court to notify the plaintiff of the 

transmission if the complaint was not filed electronically. 

Initial information indicates that the CM/ECF system cannot be 

manipulated in a way that will automatically generate a notice 

that can be delivered by non-electronic means. The brackets 

indicate a hope for comments that will address the level of the 

burden imposed on the clerk’s office by requiring notice outside 

the CM/ECF system and the importance of providing this notice to 

the plaintiff. 

Rule 4 is rounded out by subdivisions that address motion 

practice. These provisions serve primarily as reminders of Civil 

Rules provisions that would apply under Rule 1(b), in part to 

form a single compact package but more importantly to guide pro 

se plaintiffs. 

As noted earlier, Rules 5 through 8 form a package that 

establishes the practice of presenting § 405(g) actions as 

appeals to be decided on the briefs and administrative record. 

The package is divided among separate rules to guide pro se 

plaintiffs as readily as can be managed. 

The rule text is ready for public comment. The rule text 

has been reviewed by the Style Consultants and the Advisory 

Committee has approved the changes made in response to their 

comments. The prolonged process that generated these rules has 

included more contributions, from a wider variety of 

perspectives, than often emerge from public comments on rules 

that have no obvious constituencies. The process also revealed a 

number of engaged constituencies. Publication of the rules for 

comment in the full course of the rules committee process will 

provide an invaluable test. The subcommittee and full committee 

deliberations have come as far as can be without publication for 

comment, but public comments inevitably point out opportunities 

for improvement in both style and substance. 

Substance-Specific Rules 

Publication for comment also will test the wisdom of 

adopting any rules specific to the substantive task of § 405(g) 

review. The reasons for caution are familiar from earlier 

meetings, but can be summarized to pave the way for further 

discussion. 

The reasons for caution in approaching substance-specific 

rules begin with the text of the Rules Enabling Act. Section 

2072(a) authorizes “general” rules of practice and procedure and 

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Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

rules of evidence. Subsection (b) admonishes that “[s]uch rules 

shall not abridge, enlarge or modify any substantive right.” 

Caution, however, is not the same as prohibition. The powerful 

tradition that Enabling Act rules generally should be 

transsubstantive is not unyielding. Familiar examples of 

substance-specific provisions in the Civil Rules are noted 

below. Other examples may be drawn from the Evidence Rules as 

well as from the Appellate Rules, authorized in the same 

sentence as the Civil Rules. 

Familiar examples of Civil Rules and adjunct sets of rules 

that address specific subjects include both broad and narrow 

provisions. Broad examples include the Supplemental Rules for 

Admiralty or Maritime Claims and Asset Forfeiture Actions (Rule G 

was adopted in response to strong urging by the Department of 

Justice); the Rules for § 2254 Cases and the Rules for § 2255 

Proceedings (the § 2254 Rules may be seen as hybrid because of 

the civil character of habeas corpus); and Civil Rule 71.1 for 

proceedings to condemn real and personal property by eminent 

domain. An earlier example was provided by the Copyright Rules 

that were framed around the 1909 Copyright Act and repealed 

through the Enabling Act process after enactment of the 1976 

Copyright Act, surviving only in Civil Rule 65(f), which applies 

Rule 65 to copyright impoundment proceedings. Civil Rule 5.2 is 

an example of a narrow provision that limits remote access to 

court files in social security and immigration proceedings. Even 

the familiar Civil Rule 9(b) provisions for pleading fraud and 

mistake with particularity are sometimes offered as substancespecific, although at least the fraud provision applies across a 

wide swath of fraud statutes as well as common-law fraud. 

These examples suggest that transsubstantivity is best 

addressed by asking whether a particular proposal for procedures 

that apply only to a specific subject matter promises gains 

sufficient to overcome the grounds for caution. The inquiry 

might be expressed as a rebuttable presumption, applied by 

weighing the values advanced by a particular proposal against 

the general grounds for resisting substance-specific rules. 

One of the chief concerns is that good substance-specific 

rules can be framed only by reaching a clear understanding of the 

substantive law and the real-world character of litigation to 

enforce that law. The long-drawn process that framed the proposed 

Supplemental Rules included several missteps that were corrected 

with the advice of expert social security litigators. The 

simplification of the rules that resulted may have erased all 

such mistakes. Public comment will provide an essential check, 

and a means of correcting any substance-related mistakes that may 

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Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

remain. 

Another concern is that substance-specific rules may be 

tainted by special interests. The careful process of generating 

these rules, and the clear simplicity of the final proposal, 

provide strong reassurances on this score. The Administrative 

Conference has no apparent special interest. The SSA has its own 

interests, but one of them is acting in the public interest. To 

the extent that the rules make review actions more efficient, the 

benefits will flow to all parties and the courts as well. 

Even rules that do not favor one side or another may be 

viewed with suspicion by one side or all sides. Perceptions are 

important. Care must be taken in advancing rules that in fact are 

neutral but that are clouded by suspicions of favoritism. 

Concerns such as these focus on the fear that substancespecific rules may prove inferior in application to applying the 

general rules. They have played a relatively minor role in 

considering rules for social security review actions. As noted 

above, some representatives of the claimants’ bar have suggested 

that new rules would disrupt proceedings before judges that have 

become comfortable with their own practices, whatever they may 

be. And some perceive that rules advocated by the SSA must 

benefit the SSA, even if only from a workload or resource 

perspective. But the practical value of the proposed 

supplemental rules has not been seriously questioned. Only 

publication for comment will test their value further. 

Concern about making yet another departure from 

transsubstantivity has largely displaced questions about the 

quality of the proposed rules. The Department of Justice 

explained its dissenting vote from the committee recommendation 

that the rules be published for comment by invoking this concern. 

The fear is that adopting any new substance-specific rules will 

serve as an invitation to private interest groups to press for 

other substance-specific rules that promote private advantage. 

Even public entities that seek to promote their own views of the 

public interest may be encouraged to make unwise proposals. At 

best, the Rules Committees will need to devote limited resources 

to fending off these proposals. At worst, the barrier may be 

breached for unworthy procedures. 

Experience with proposals designed to advance particular 

interests is not wanting. Often the proposals are framed in 

transsubstantive terms. At other times they take on a more 

particular, and occasionally clear, substance-specific focus. 

Proponents may take their proposals to Congress after failing in 

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Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

the Rules Committees, or may choose to go directly to Congress. 

Resisting legislative proposals is a sensitive and burdensome 

responsibility. Unwavering adherence to a strong presumption 

against substance-specific rules may make resistance more 

effective. 

Balancing the value of particular proposed rules against the 

general concerns expressed as transsubstantivity is an important 

and at times difficult task. The social security review rules 

present an instance that can fairly be described as weighing the 

value of good and nationally uniform procedures against the 

generic concerns about substance-specific rules. The Department 

of Justice itself has propounded a model local rule for social 

security review actions and supported it for adoption by district 

courts. The model rule closely resembles earlier committee 

drafts. The Department’s doubts about the proposed rules reflect 

its view that the presumption against substance-specific rules 

should not be rebutted simply because better procedures can be 

crafted for a particular category of adjudication. On this view, 

substance-specific local rules do not impair the 

transsubstantivity approach that should be preserved in national 

rules. 

The Advisory Committee believes that the proposed 

Supplemental Rules will advance adjudication of § 405(g) appeal 

actions in important ways, sufficient to overcome the 

transsubstantivity presumption. That proposition deserves to be 

tested by publication for comment. 

2. Rule 12(a)(4): Time to Respond When Official Sued 

 as Individual 

The Advisory Committee recommends publication for comment 

of a proposal made by the Department of Justice to amend 

Rule 12(a)(4). Rule 12(a)(4) sets at 14 days the time to serve a 

responsive pleading after notice that the court has denied a 

Rule 12 motion or postponed its disposition until trial. The 

Department of Justice suggests that the time should be set at 60 

days when a United States officer or employee is sued in an 

individual capacity for an act or omission occurring in 

connection with duties performed on behalf of the United States: 

(4) Effect of a Motion. Unless the court sets a 

different time, serving a motion under this rule 

alters these periods as follows: 

(A) if the court denies the motion or postpones 

its disposition until trial, the responsive 

pleading must be served within 14 days after 

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Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

notice of the court’s action, or within 60 

days if the defendant is a United States 

officer or employee sued in an individual

capacity for an act or omission occurring in 

connection with duties performed on the United 

States’ behalf; or * * * 

This proposal is a logical extension of the concerns that 

led to the adoption of Rule 12(a)(3) in 2000 and of Appellate 

Rule 4(a)(1)(B)(iv) in 2011. Rule 12(a)(3) sets the time to 

respond in such actions at 60 days, and Rule 4(a)(1)(B)(iv) sets 

the time to appeal at 60 days. The Department of Justice often 

provides representation for officers and employees sued in these 

individual-capacity actions. The Department needs more time than 

most litigants, in part in deciding whether to provide 

representation and in part in providing the representation. These 

needs may arise when the Rule 12 motion is made, and perhaps even 

denied or postponed, before the Department has become involved. 

The need for more than the usual 14-day period to respond is 

enhanced in the 12(a)(4) setting by at least one further concern. 

An official or employee sued in an individual capacity often may 

invoke an official-immunity defense. The collateral-order 

doctrine establishes appeal jurisdiction over denial of a motion 

to dismiss based on qualified or absolute immunity, free from the 

distinctions that complicate appeals from denials of summary 

judgment. If the Department is already representing the employee 

it needs time to decide whether a collateral-order appeal is 

sensible, including the time needed for authorization of the 

appeal by the Solicitor General. And if it has not yet 

undertaken to provide representation, the need for time is still 

greater, and the officer or employee may be uncertain as to who 

is responsible for filing a notice of appeal. 

If a case should present an unusual need for a faster 

response, the court retains authority to set a different time. 

Proposed 12(a)(4) Amendment 

Rule 12. Defenses and Objections: When and How 

Presented; Motion for Judgment on the 

Pleadings; Consolidating Motions; Waiving 

Defenses; Pretrial Hearing 

(a) Time to Serve a Responsive Pleading. 

(1) In General. Unless another time is 

specified by this rule or a federal 

statute, the time for serving a 

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Excerpt from the May 27, 2020 Report of the Advisory Committee on Civil Rules 

responsive pleading is as follows: * * * 

(4) Effect of a Motion. Unless the court 

sets a different time, serving a motion 

under this rule alters these periods as 

follows: 

(A) if the court denies the motion or 

postpones its disposition until 

trial, the responsive pleading must 

be served within 14 days after 

notice of the court’s action, or 

within 60 days if the defendant is a 

United States officer or employee 

sued in an individual capacity for 

an act or omission occurring in 

connection with duties performed on 

the United States’ behalf; or * * * 

Committee Note 

Rule 12(a)(4) is amended to provide a United States 

officer or employee sued in an individual capacity for an 

act or omission occurring in connection with duties 

performed on the United States’ behalf with 60 days to 

serve a responsive pleading after the court denies a 

motion under Rule 12 or postpones its disposition until 

trial. The United States often represents the officer or 

employee in such actions. The same reasons that support 

the 60-day time to answer in Rule 12(a)(3) apply when the 

answer is required after denial or deferral of a Rule 12 

motion. In addition, denial of the motion may support 

a collateral-order appeal when the motion raises an 

official immunity defense. Appellate Rule 4(a)(1)(B)(iv) 

sets the appeal time at 60 days in these cases, and 

includes “all instances in which the United States 

represents that person [sued in an individual capacity 

for an act or omission occurring in connection with 

duties performed on the United States’ behalf] when 

the judgment or order is entered or files the appeal for 

that person.” The additional time is needed for the 

Solicitor General to decide whether to file an appeal 

and avoids the potential for prejudice or confusion 

that might result from requiring a responsive pleading 

before an appeal decision is made. 

* * * * * 

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Preliminary Draft | August 2020 Page 228 of 280
PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF CIVIL PROCEDURE1

1 Rule 12. Defenses and Objections: When and How 

2 Presented; Motion for Judgment on the 

3 Pleadings; Consolidating Motions; Waiving 

4 Defenses; Pretrial Hearing

5 (a) Time to Serve a Responsive Pleading. 

6 (1) In General. Unless another time is specified by 

7 this rule or a federal statute, the time for serving a responsive 

8 pleading is as follows: 

9 * * * * * 

10 (4) Effect of a Motion. Unless the court sets a 

11 different time, serving a motion under this rule alters these 

12 periods as follows: 

13 (A) if the court denies the motion or postpones 

14 its disposition until trial, the responsive pleading must be 

15 served within 14 days after notice of the court’s action, or 

16 within 60 days if the defendant is a United States officer or 

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

lined through. 

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2 FEDERAL RULES OF CIVIL PROCEDURE

17 employee sued in an individual capacity for an act or 

18 omission occurring in connection with duties performed on 

19 the United States’ behalf; or 

20 * * * * * 

Committee Note

Rule 12(a)(4) is amended to provide a United States 

officer or employee sued in an individual capacity for an act 

or omission occurring in connection with duties performed 

on the United States’ behalf with 60 days to serve a 

responsive pleading after the court denies a motion under 

Rule 12 or postpones its disposition until trial. The United 

States often represents the officer or employee in such 

actions. The same reasons that support the 60-day time to 

answer in Rule 12(a)(3) apply when the answer is required 

after denial or deferral of a Rule 12 motion. In addition, 

denial of the motion may support a collateral-order appeal 

when the motion raises an official immunity defense. 

Appellate Rule 4(a)(1)(B)(iv) sets the appeal time at 60 days 

in these cases, and includes “all instances in which the 

United States represents that person [sued in an individual 

capacity for an act or omission occurring in connection with 

duties performed on the United States’ behalf] when the 

judgment or order is entered or files the appeal for that 

person.” The additional time is needed for the Solicitor 

General to decide whether to file an appeal and avoids the 

potential for prejudice or confusion that might result from 

requiring a responsive pleading before an appeal decision is 

made.

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PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF CIVIL PROCEDURE 1

SUPPLEMENTAL RULES FOR SOCIAL SECURITY 

ACTIONS UNDER 42 U.S.C. § 405(g) 

1 Rule 1. Review of Social Security Decisions Under 

2 42 U.S.C. § 405(g) 

3 (a) Applicability of these Rules. These rules govern an

4 action under 42 U.S.C. § 405(g) for review on the record of 

5 a final decision of the Commissioner of Social Security that 

6 presents only an individual claim. 

7 (b) Federal Rules of Civil Procedure. The Federal Rules

8 of Civil Procedure also apply to a proceeding under these 

9 rules, except to the extent that they are inconsistent with 

10 these rules. 

1 New material is underlined in red.

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2 FEDERAL RULES OF CIVIL PROCEDURE

11 Rule 2. Complaint 

12 (a) Commencing Action. An action for review under 

13 these rules is commenced by filing a complaint with the 

14 court. 

15 (b) Contents. 

16 (1) The complaint must state:

17 (A) that the action is brought under § 405(g), 

18 identifying the final decision to be reviewed; 

19 (B) the name, the county of residence, and the last 

20 four digits of the social security number of the person for 

21 whom benefits are claimed;

22 (C) the name and last four digits of the social security 

23 number of the person on whose wage record benefits are 

24 claimed; and

25 (D) the type of benefits claimed.

26 (2) The complaint may include a short and plain 

27 statement of the grounds for relief. 

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FEDERAL RULES OF CIVIL PROCEDURE 3 

28 Rule 3. Service

29 The court must notify the Commissioner of the 

30 commencement of the action by transmitting a Notice of 

31 Electronic Filing to the appropriate office within the Social 

32 Security Administration’s Office of General Counsel and to 

33 the United States Attorney for the district [where the action 

34 is filed]. [If the complaint was not filed electronically, the 

35 court must notify the plaintiff of the transmission.] The 

36 plaintiff need not serve a summons and complaint under 

37 Civil Rule 4. 

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4 FEDERAL RULES OF CIVIL PROCEDURE

38 Rule 4. Answer; Motions; Time

39 (a) Serving the Answer. An answer must be served on the 

40 plaintiff within 60 days after notice of the action is given 

41 under Rule 3. 

42 (b) The Answer. An answer may be limited to a certified 

43 copy of the administrative record, and to any affirmative 

44 defenses under Civil Rule 8(c). Civil Rule 8(b) does not 

45 apply. 

46 (c) Motions under Civil Rule 12. A motion under Civil 

47 Rule 12 must be made within 60 days after notice of the 

48 action is given under Rule 3. 

49 (d) Time to Answer after a Motion under Rule 4(c).

50 Unless the court sets a different time, serving a motion under 

51 Rule 4(c) alters the time to answer as provided by Civil Rule 

52 12(a)(4). 

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FEDERAL RULES OF CIVIL PROCEDURE 5 

53 Rule 5. Presenting the Action for Decision

54 The action is presented for decision by the parties’ 

55 briefs. A brief must support assertions of fact by citations to 

56 particular parts of the record.

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6 FEDERAL RULES OF CIVIL PROCEDURE

57 Rule 6. Plaintiff’s Brief

58 The plaintiff must file and serve on the Commissioner 

59 a brief for the requested relief within 30 days after the answer 

60 is filed or 30 days after the court disposes of all motions filed 

61 under Rule 4(c), whichever is later. 

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FEDERAL RULES OF CIVIL PROCEDURE 7 

62 Rule 7. Commissioner’s Brief

63 The Commissioner must file a brief and serve it on the 

64 plaintiff within 30 days after service of the plaintiff’s brief. 

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FEDERAL RULES OF CIVIL PROCEDURE 8 

65 Rule 8. Reply Brief

66 The plaintiff may file a reply brief and serve it on the 

67 Commissioner within 14 days after service of the 

68 Commissioner’s brief.

Committee Note

Actions to review a final decision of the Commissioner 

of Social Security under 42 U.S.C. § 405(g) have been 

governed by the Civil Rules. These Supplemental Rules, 

however, establish a simplified procedure that recognizes the 

essentially appellate character of actions that seek only 

review of an individual’s claims on a single administrative 

record. These rules apply only to final decisions actually 

made by the Commissioner of Social Security. They do not 

apply to actions against another agency under a statute that 

adopts § 405(g) by considering the head of the other agency 

to be the Commissioner. There is not enough experience 

with such actions to determine whether they should be 

brought into the simplified procedures contemplated by 

these rules. But a court can employ these procedures on its 

own if they seem useful, apart from the Rule 3 provision for 

service on the Commissioner. 

Some actions may plead a claim for review under 

§ 405(g) but also join more than one plaintiff, or add a 

defendant or a claim for relief beyond review on the 

administrative record. Such actions fall outside these 

Supplemental Rules and are governed by the Civil Rules 

alone. 

 

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FEDERAL RULES OF CIVIL PROCEDURE 9 

The Civil Rules continue to apply to actions for review 

under § 405(g) except to the extent that the Civil Rules are 

inconsistent with these Supplemental Rules. Supplemental 

Rules 2, 3, 4, and 5 are the core of the provisions that are 

inconsistent with, and supersede, the corresponding rules on 

pleading, service, and presenting the action for decision. 

These Supplemental Rules establish a uniform 

procedure for pleading and serving the complaint; for 

answering and making motions under Rule 12; and for 

presenting the action for decision by briefs. These 

procedures reflect the ways in which a civil action under § 

405(g) resembles an appeal or a petition for review of 

administrative action filed directly in a court of appeals.

Supplemental Rule 2 adopts the procedure of Civil 

Rule 3, which directs that a civil action be commenced by 

filing a complaint with the court. In an action that seeks only 

review on the administrative record, however, the complaint 

is similar to a notice of appeal. Simplified pleading is often 

desirable. Jurisdiction is pleaded under Rule 2(b)(1)(A) by 

identifying the action as one brought under § 405(g). The 

elements of the claim for review are adequately pleaded 

under Rule 2(b)(1)(B),(C), and (D). Failure to plead all the 

matters described in Rule 2(b)(1)(B), (C), and (D), 

moreover, should be cured by leave to amend, not dismissal. 

Rule 2(b)(2), however, permits a plaintiff who wishes to 

plead more than Rule 2(b)(1) requires to do so. 

Rule 3 provides a means for giving notice of the action 

that supersedes Civil Rule 4(i)(2). The Notice of Electronic 

Filing sent by the court suffices for service, so long as it 

provides a means of electronic access to the complaint. 

Notice to the Commissioner is sent to the appropriate 

regional office. The plaintiff need not serve a summons and 

complaint under Civil Rule 4. 

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10 FEDERAL RULES OF CIVIL PROCEDURE

Rule 4’s provisions for the answer build from this part 

of § 405(g): “As part of the Commissioner’s answer the 

Commissioner of Social Security shall file a certified copy 

of the transcript of the record including the evidence upon 

which the findings and decision complained of are made.” In 

addition to filing the record, the Commissioner must plead 

any affirmative defenses under Civil Rule 8(c). Civil Rule 

8(b) does not apply, but the Commissioner is free to answer 

any allegations that the Commissioner may wish to address 

in the pleadings. 

The time to answer or to file a motion under Civil Rule 

12 is set at 60 days after notice of the action is given under 

Rule 3. If a timely motion is made under Civil Rule 12, the 

time to answer is governed by Civil Rule 12(a)(4) unless the 

court sets a different time.

Rule 5 states the procedure for presenting for decision 

on the merits a § 405(g) review action that is governed by 

the Supplemental Rules. Like an appeal, the briefs present 

the action for decision on the merits. This procedure 

displaces summary judgment or such devices as a joint 

statement of facts as the means of review on the 

administrative record. Rule 5 also displaces local rules or 

practices that are inconsistent with the simplified procedure 

established by these Supplemental Rules for treating the 

action as one for review on the administrative record. 

All briefs are similar to appellate briefs, citing to the 

parts of the administrative record that support an assertion 

that the final decision is not supported by substantial 

evidence or is contrary to law. 

Rules 6, 7, and 8 set the times for serving and filing the 

briefs: 30 days after the answer is filed or 30 days after the 

court disposes of all motions filed under Rule 4(b) for the 

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FEDERAL RULES OF CIVIL PROCEDURE 11 

plaintiff’s brief, 30 days after service of the plaintiff’s brief 

for the Commissioner’s brief, and 14 days after service of 

the Commissioner’s brief for a reply brief. The court may 

revise these times when appropriate.

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Preliminary Draft | August 2020 Page 242 of 280
Excerpt from the May 20, 2020 Report of the Advisory Committee on Criminal Rules 

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

OF THE

JUDICIAL CONFERENCE OF THE UNITED STATES

WASHINGTON, D.C. 20544

DAVID G. CAMPBELL

CHAIR

REBECCA A. WOMELDORF

SECRETARY

CHAIRS OF ADVISORY COMMITTEES

MICHAEL A. CHAGARES

APPELLATE RULES

DENNIS R. DOW

BANKRUPTCY RULES

JOHN D. BATES

CIVIL RULES

RAYMOND M. KETHLEDGE

CRIMINAL RULES

DEBRA A. LIVINGSTON

EVIDENCE RULES

MEMORANDUM

TO: Hon. David G. Campbell, Chair 

 Committee on Rules of Practice and Procedure

FROM: Hon. Ray Kethledge, Chair 

 Advisory Committee on Criminal Rules

RE: Report of the Advisory Committee on Criminal Rules 

DATE: May 20, 2020 

Introduction

 The Advisory Committee on Criminal Rules met by videoconference on May 5, 2020. 

* * * * * 

This report focuses principally on one action item: the Advisory Committee’s 

recommendation that its draft of amendments to Rule 16, which expand the scope of expert 

discovery, be published for public comment. 

* * * * * 

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Excerpt from the May 20, 2020 Report of the Advisory Committee on Criminal Rules 

I. Action Item: Rule 16; Discovery Concerning Expert Reports and Testimony 

(for Publication)

At its May meeting, the Advisory Committee unanimously approved a draft amendment 

to Rule 16 and an accompanying committee note for transmittal to the Standing Committee. The 

Advisory Committee recommends they be published for public comment. The draft amendment 

and committee note are attached as an appendix to this report.

The Advisory Committee developed its proposal in response to three suggestions to 

amend Rule 16 to follow more closely Civil Rule 26 regarding expert-witness disclosures. See

17-CR-B (Judge Jed Rakoff); 17-CR-D (Judge Paul Grimm);18-CR-F (Carter Harrison, Esq.). In 

developing its proposal, the Committee drew upon two informational sessions: 

• Presentations from the Department of Justice at the Advisory Committee’s fall 2018 

meeting in which the Department detailed the development and implementation of new 

policies governing disclosure of forensic evidence, efforts to improve the quality of its 

forensic analysis, and practices in cases involving forensic and non-forensic expert 

evidence; and

• An April 2019 miniconference where experienced practitioners from both the prosecution 

and defense presented perspectives on the pretrial discovery of expert witnesses in 

different districts and different kinds of cases. 

The Advisory Committee’s December 2019 report to the Standing Committee included a 

draft of the amendment. The current proposal reflects revisions adopted by the Advisory 

Committee at its May 2020 meeting after further review by the Rule 16 Subcommittee and 

consideration of comments received at the Standing Committee’s meeting.1

The proposed amendment addresses two shortcomings of the current provisions on expert 

witness disclosure: (1) the lack of an enforceable deadline for disclosure; and (2) the lack of 

adequate specificity regarding what information must be disclosed.2 The amendment clarifies the 

timing and content of expert witness disclosures. It is intended to facilitate trial preparation by 

allowing the parties a fair opportunity to prepare to cross-examine expert witnesses who testify at 

trial and to secure opposing expert testimony if needed. 

 The proposal preserves the reciprocal structure of the current rule. The government’s 

obligation to disclose information about its experts is triggered only if the defendant requests that 

disclosure under (a)(1)(G). The defense is required to disclose information about its experts 

under (b)(1)(C) only if it has made that request and the government has complied. This 

1 Various technical changes were also made to the committee note, including reorganization to 

more closely parallel the text of the rule.

2 Defense practitioners reported they sometimes received expert witness summaries a week or 

even the night before trial, which significantly impaired their ability to prepare for trial. They also said 

they do not receive disclosures in sufficient detail to prepare for cross-examination. They recounted 

several examples of this problem.

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Excerpt from the May 20, 2020 Report of the Advisory Committee on Criminal Rules 

sequencing remains unchanged by the draft amendment. Once triggered, the disclosure 

obligations of the prosecution and defense under (a)(1)(G) and (b)(1)(C) are generally parallel 

under the current rule, and the expanded discovery obligations required of the prosecution and 

defense under the draft amendment generally mirror one another. 

 The draft amendment achieved unanimous support because members agreed that serious 

problems can be addressed by amending the current rule; that the proposed changes would 

address those problems; and that the amendment constitutes a fair and workable compromise 

reflecting the needs of both the prosecution and the defense. The Advisory Committee believes 

that adding these provisions would be a significant improvement to the current rule.

A. The Timing of Disclosures

The Advisory Committee concluded that the amendments should include specific and 

enforceable provisions on the timing of disclosure. Although many members initially supported 

the inclusion of a default deadline for the disclosures (e.g., 45 days before trial for the 

government’s disclosures), the Committee ultimately concluded that approach was unworkable. 

Given the enormous variation in the caseloads of different districts, as well as the circumstances 

in individual cases, a default deadline would inevitably generate a large number of requests for 

extensions of time, burdening both the parties and the courts. Members also noted that default 

deadlines might prove problematic—rather than helpful—to the defense because there are 

structural reasons that might delay its determination whether to use expert testimony. The 

Committee therefore chose to adopt a functional approach, focusing on the goal of providing 

specific and enforceable deadlines that would allow each party to prepare adequately for trial.

To ensure there are in fact enforceable deadlines in each case, subparagraphs (a)(1)(G)(ii) 

and (b)(1)(C)(ii) provide that the court “must” set a time for the government and defendant to 

make their disclosures of expert testimony to the opposing party. These disclosure times, the 

amendment mandates, must be “sufficiently before trial to provide a fair opportunity for each 

party to meet” the other side’s expert evidence. The committee note provides additional guidance 

on the appropriate considerations for the deadlines. This portion of the note reflects information 

developed at the miniconference, the experience of Committee members, and comments received 

at the Standing Committee meeting in January. For example, the note states that a party may 

need to secure its own expert to respond to expert testimony disclosed before trial by the other 

party, and that deadlines should accommodate the time that may take, including the time an 

appointed attorney may need to secure funding to hire an expert witness. The note also reminds 

counsel and the courts that deadlines for disclosure must be sensitive to the requirements of the 

Speedy Trial Act. Finally, it explains that, because caseloads vary among districts, the rule 

allows courts to tailor disclosure deadlines to local conditions or specific cases. 

At the September meeting, members debated how best to word the requirement that the 

court set a date for these disclosures. That could be done by local rules, standing orders, or orders 

in individual cases—all of which, in a sense, are orders of the court. But the Committee chose to 

emphasize the possibility of setting a default deadline by local rulemaking. Accordingly, 

proposed (a)(1)(G)(ii) provides that “[t]he court, by order or local rule, must set a time for the 

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Excerpt from the May 20, 2020 Report of the Advisory Committee on Criminal Rules 

government to make the disclosure.” Subsection (b)(1)(C)(ii) contains a parallel provision for 

setting the time for the defendant’s disclosures. 

The amendment does not specify when the court must enter the order setting the deadline, 

leaving that decision to the discretion of the judge. To respond to concerns that courts (or parties) 

might mistakenly assume that these deadlines must be set very early in the prosecution, perhaps 

before the parties and the court have a sufficient understanding of the individual case, the 

Committee added language to the note emphasizing the court’s discretion in deciding when to 

set—and if necessary alter—the deadlines for disclosure. The note states: 

Subparagraphs (a)(1)(G)(ii) and (b)(1)(C)(ii) require the court to set a time for 

disclosure in each case if that time is not already set by local rule or other order,

but leaves to the court’s discretion when it is most appropriate to announce those 

deadlines. The court also retains discretion under Rule 16(d) consistent with the 

provisions of the Speedy Trial Act to alter deadlines to ensure adequate trial 

preparation. In setting times for expert disclosures in individual cases, the court 

should consider the recommendations of the parties, who are required to “confer 

and try to agree on a timetable” for pretrial disclosures under Rule 16.1. 

This portion of the note also draws attention to the connection between the timetable for 

disclosure and the requirement under new Rule 16.1 (which went into effect December 1, 2019), 

that the parties meet to “confer and try to agree on a timetable” for pretrial disclosures no later 

than 14 days after arraignment. 

B. The Content of Disclosures

The current rule states that the parties have a duty to provide “a written summary.” The 

Committee concluded that the word “summary” was responsible, at least in part, for the very 

cursory and incomplete information sometimes provided about expert testimony. To ensure that 

parties receive adequate information about the content of expert witness testimony and potential 

impeachment, the amendment deletes from (a)(1)(G) and (b)(1)(C) the phrase “written 

summary” and substitutes an itemized list of what a party must disclose. 

Subsections (a)(1)(G)(iii) and (b)(1)(C)(iii) require that the parties provide “a complete 

statement” of the witness’s opinions, the bases and reasons for those opinions, the witness’s 

qualifications (including a list of publications within the past 10 years), and a list of other cases 

in which the witness has testified in the past four years. 

Although the language of some of these provisions is drawn from Civil Rule 26, the 

amendment is not intended to replicate practice in civil cases, which of course differs in many 

ways from criminal cases. Like the existing provisions of Rule 16, the proposed amendment 

departs from Civil Rule 26 in important respects. For example, as noted above, the government’s 

obligation to disclose expert witness information is triggered only by a defense request. And 

unlike Civil Rule 26, the rule does not create different classes of expert witnesses with different 

disclosure requirements. (Indeed, Mr. Goldsmith, the Department’s National Criminal Discovery 

Coordinator, cautioned against any attempt to bifurcate experts in criminal cases into two distinct 

categories, citing concerns about the Department’s ability to control certain government experts.) 

Preliminary Draft | August 2020 Page 246 of 280
Excerpt from the May 20, 2020 Report of the Advisory Committee on Criminal Rules 

The Department of Justice and several judges, including Judge Campbell, were 

concerned that the use of language drawn from Civil Rule 26 might suggest, erroneously, that the 

amendment is meant to incorporate civil practice concerning expert discovery. To address this 

concern, the note states (emphasis added):

To ensure that parties receive adequate information about the content of the 

witness’s testimony and potential impeachment, subparagraphs (a)(1)(G)(i) and 

(iii)—and the parallel provisions in (b)(1)(C)(i) and (iii)—delete the phrase 

“written summary” and substitute specific requirements that the parties provide “a 

complete statement” of the witness’s opinions, the basis and reasons for those 

opinions, the witness’s qualifications (including a list of publications within the 

past 10 years), and a list of other cases in which the witness has testified in the past 

four years. Although the language of some of these provisions is drawn from Civil 

Rule 26, the amendment is not intended to replicate all aspects of practice under 

the civil rule in criminal cases, which differ in many significant ways from civil 

cases. The amendment requires a complete statement of all opinions the expert will 

provide, but does not require a verbatim recitation of the testimony the expert will 

give at trial.

The committee note also addresses two recurring situations in which more flexibility 

might be needed. The first involves experts who testify very frequently (such as local police or 

state forensic experts who may testify virtually every week in state court). Another situation—as 

noted by a member of the Standing Committee at the January meeting—is when a party knows 

the opinions it will elicit at trial, but not the identity of the expert who will offer them. For 

example, any number of experts within the ATF might opine on a particular issue, but the 

government does not know which ones will be available at the time of trial. At the May meeting, 

Committee members focused on the importance of determining on a case-by-case basis whether 

the opposing party (typically the defense) could prepare for trial with timely disclosure of only 

the expert opinion (and the bases and reasons for it), without knowing the expert’s name and her 

prior testimony and publications. 

To address both situations, the note draws attention to Rule 16(d), which allows the court 

“for good cause,” to “deny, restrict, or defer discovery” on a case-by-case basis. The proposed 

note now provides: 

On occasion, an expert witness will have testified in a large number of cases, and 

developing the list of prior testimony may be unduly burdensome. Likewise, on 

occasion, with respect to an expert witness whose identity is not critical to the 

opposing party’s ability to prepare for trial, the party who wishes to call the expert 

may be able to provide a complete statement of the expert’s opinions, bases and 

reasons for them, but may not be able to provide the witness’s identity until a date 

closer to trial. In such circumstances, the party who wishes to call the expert may 

seek an order modifying discovery under Rule 16(d). 

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Excerpt from the May 20, 2020 Report of the Advisory Committee on Criminal Rules 

In addition to addressing potential concerns from prosecutors, this part of the note guides 

litigants and the courts as to when to modify discovery under Rule 16(d), emphasizing the 

importance of the opposing party’s ability to prepare for trial. 

C. Exempting Previously Disclosed Information 

 In some situations, the amended provisions might require a party to disclose information 

already disclosed to the opposing party in a report of an examination or test under (a)(1)(F) or 

(b)(1)(B), or in materials accompanying those reports. The amendment states that such 

information need not be provided again in the expert disclosure. This exemption might be 

particularly important for disclosures regarding forensic experts, whose professional standards 

might require them to repeat time-consuming procedures for each new report. 

Accordingly, subsections (iv) in both (a)(1)(G) and (b)(1)(C) state that, if a previously 

provided report of an examination or test already included information required under the 

proposed amendment, “that information may be referred to, rather than repeated, in the expertwitness disclosure.” The requirement that the information be “referred to” ensures that the 

opposing party is made aware that the prior report contained this information, particularly where 

voluminous material has been provided under (F) or (B). 

D. Preparing, Approving, and Signing Disclosures 

The proposal distinguishes between the preparation, approval, and signing of expert 

witness disclosures. Unlike Civil Rule 26(a)(2)(B), the amendment does not require the witness 

to prepare the disclosure. The Committee concluded that in some circumstances it may be 

appropriate for the prosecutor or defense counsel to draft the disclosure. Disclosures drafted by 

counsel must, however, accurately portray the witness’s testimony. Thus, with two exceptions, 

proposed (a)(1)(G)(v) and (b)(1)(C)(v) require the disclosure to be “approved and signed” by the 

expert.

The first exception to this requirement grew out of the Committee’s recognition that in 

criminal cases (as in civil cases) some experts are not under the control of the party who will 

present their testimony. Examples could include a member of a local police department, a 

treating physician, or an accountant employed by a defendant but called by the government. 

Although these persons can be subpoenaed to testify, the party who will introduce their 

testimony might not be able to obtain the witness’s signature on the pretrial disclosure. The first 

bullet in subsection (a)(1)(G)(v) and (b)(1)(C)(v) therefore includes an exception to the approveand-sign requirement when the party who will call the witness states in the disclosure “why [that 

party] could not obtain the witness’s signature through reasonable efforts.” The committee note 

explains: 

First, the rule recognizes the possibility that a party may not be able to obtain a 

witness’s approval and signature despite reasonable efforts to do so. This may 

occur, for example, when the party has not retained or specially employed the 

witness to present testimony, such as when a party calls a treating physician to 

testify. In that situation, the party is responsible for providing the required 

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Excerpt from the May 20, 2020 Report of the Advisory Committee on Criminal Rules 

information, but may be unable to procure a witness’s approval and signature 

following a request. An unsigned disclosure is acceptable so long as the party states 

why it was unable to procure the expert’s signature following reasonable efforts. 

 The second exception to the approve-and-sign requirement dovetails with the provisions 

allowing information previously provided in an expert report to be referenced rather than 

repeated in a disclosure under (a)(1)(G)(i) and (b)(1)(C)(i). The second bullet in subsection 

(a)(1)(G)(v) and (b)(1)(C)(v) provides an exception from the signature requirement when the 

party “has previously provided under [the rule] a report, signed by the witness, that contains all 

of the opinions and the bases and reasons for them required by (iii).” The committee note 

explains: 

Second, the expert need not sign the disclosure if a complete statement of all of the 

opinions, as well as the bases and reasons for those opinions, were already set forth 

in a report, signed by the witness, previously provided under subparagraph 

(a)(1)(F)—for government disclosures—or (b)(1)(B)—for defendant’s disclosures. 

In that situation, the prior signed report and accompanying documents, combined 

with the attorney’s representation of the expert’s qualifications, publications, and 

prior testimony, provide the information and signature needed to prepare to meet 

the testimony.

E. Supplementing and Correcting Disclosures

To deal with the possibility that a party might decide to have the expert testify on 

additional, different, or fewer issues than those covered in the first disclosure, subsections 

(a)(1)(G)(vi) and (b)(1)(C)(vi) require that a party promptly supplement or correct each 

disclosure to the other party in accordance with Rule 16(c). As the committee note explains, this 

provision is meant to ensure that a party will receive prompt notice of any modification, 

expansion, or contraction of the opposing party’s expert testimony, or any change in the identity 

of an expert, after the initial disclosure. 

The Committee considered but decided to make no change to address a concern, raised at 

the Standing Committee meeting, that the supplementation requirement might encourage or 

permit gamesmanship or pro forma disclosures intended to prompt the other side to reveal its 

strategy. The supplementation requirement is already in the current rule and has not generated 

these kinds of problems. But the Committee will be alert to this issue during the public-comment 

period. 

F. Limiting the Disclosure Obligation of the Defense to Expert Testimony to be 

 Presented in its “Case-in-Chief”; Clarifying Obligation Regarding 

 Government Rebuttal Witnesses

The proposal makes an additional change to the current rule to ensure that the defendant’s 

disclosure obligations remain no broader than those of the government. A close comparison of 

current (a)(1)(G) and (b)(1)(C) revealed one difference in the two provisions: subsection 

(a)(1)(G) requires the government to disclose testimony it intends to use in its “case-in-chief,” 

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Excerpt from the May 20, 2020 Report of the Advisory Committee on Criminal Rules 

whereas subsection (b)(1)(C) requires of the defendant to disclose any expert testimony it intends 

to use “as evidence at trial.” The Reporters and the Rules Committee Staff were unable to find 

any explanation for this difference in the Committee’s archives, and members were unable to 

identify any explanation for it. The Committee concluded that the defendant’s disclosure should 

be no broader than the government’s. Indeed, any rule requiring the defense to disclose more 

information than the government would likely be unconstitutional. See Wardius v. Oregon, 412 

U.S. 470 (1973). 

Subsection (b)(1)(C)(i) of the proposed amendment therefore requires the defense to 

disclose testimony it intends to use in its “case-in-chief[.]” This revision, as explained in the 

draft committee note, is not intended to require any change from current practice, which has 

treated the parties’ disclosure obligations as identical.

The Committee revisited this issue in May, in response to Judge Campbell’s comments at 

the Standing Committee meeting, in January. Judge Campbell suggested then that perhaps both 

parties should be required to disclose all the expert testimony they intend to use “at trial,” rather 

than the testimony they intend to present in their “case-in-chief.” The reporters noted, in their 

memorandum and at the May meeting, that the phrase “case-in-chief” was used throughout the 

remainder of Rule 16—specifically in the provisions governing pretrial disclosure of documents, 

objects, and reports of examinations and tests. Thus, any decision to substitute the phrase 

“evidence at trial” for “case-in-chief” might require revision of the other subsections of Rule 16. 

After considerable discussion, the Committee reaffirmed its decision to use the phrase “case-inchief” to describe the scope of the defendant’s disclosure obligation. 

The Committee also decided to propose new text to deal directly with the issue of rebuttal 

expert witnesses. Specifically, in (a)(1)(G)(i), the Committee added language requiring the 

government to disclose not only testimony it intends to use in its case-in-chief, but also 

testimony it intends to use “during its rebuttal to counter testimony that the defendant has timely 

disclosed under (b)(1)(C).”3

 The Committee concluded this change was needed to address the 

core challenge addressed by the proposal: providing adequate notice to the defendant of expert 

testimony that the government knew—before trial—that it would use at trial. Members agreed 

that it would be unfair to require the defense to disclose its experts before trial and not require 

the government to disclose before trial the experts it knows it will use to rebut that testimony. 

Committee members unanimously supported this change, so long as the obligation was 

limited to experts intended to rebut testimony the defendant had timely disclosed under 

(b)(1)(C). There was no support for requiring a defendant to disclose an expert the defendant 

would use to rebut a government’s rebuttal expert. The government had not suggested that lack 

of notice regarding such surrebuttal experts was a problem, and members agreed that under the 

current rule district judges can manage that situation. As revised, (a)(1)(G)(i) requires the 

government to disclose: 

3

 As discussed above, Rule 16(b)(1)(C), if amended as proposed, would require the defense to 

disclose by the deadline set “sufficiently before trial to provide a fair opportunity for the government to 

meet the defendant’s evidence.”

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Excerpt from the May 20, 2020 Report of the Advisory Committee on Criminal Rules 

any testimony that the government intends to use at trial under Federal Rules of 

Evidence 702, 703, or 705 during its case-in-chief, or during its rebuttal to counter 

testimony that the defendant has timely disclosed under (b)(1)(C). 

At the May meeting, a representative of the Department of Justice expressed concern that 

this language might prevent the government from introducing a rebuttal witness to respond to a 

defense expert whose testimony had not been disclosed before trial. Members carefully reviewed 

the amendment and concluded that it would not prevent the government from responding to a 

midtrial surprise defense expert. First, (a)(1)(G)(i) requires the government to disclose rebuttal 

witnesses only when it is responding to “testimony that the defendant has timely disclosed under 

(b)(1)(C)” (emphasis added). Timely disclosure is defined under (b)(1)(C)(ii) as disclosure 

“sufficiently before trial to provide a fair opportunity for the government to meet the defendant’s 

evidence.” Unexpected expert testimony from the defense would not have been “timely 

disclosed” and thus would not trigger the government’s disclosure obligation. The Reporters also 

noted that the committee note emphasizes that the disclosure deadlines should reflect “the time 

the government would need to find a witness to rebut an expert disclosure by the defense.” 

G. Constitutional Concerns

At the Standing Committee meeting, Judge Campbell also asked the Advisory Committee 

to address any constitutional issues that might be raised by the proposal, and other members 

expressed concern that requiring the defendant to provide expanded expert witness disclosures 

(or perhaps any disclosures of his defense) before trial would violate the defendant’s 

constitutional rights.

Fifth Amendment objections to Rule 16 are governed by the Supreme Court’s opinion in 

Williams v. Florida, 399 U.S. 78 (1970). Over a strong dissent by Justice Black, the Court upheld 

a Florida rule that required the defendant to provide pretrial notice that he intended to raise an 

alibi defense, and to disclose the witnesses he intended to call to make this defense. The Court 

held that the rule did not violate the privilege against compelled self-incrimination because it 

merely accelerated the choice the defendant would have to make at trial, avoiding the need for 

the court to grant a continuance.4

4

 The Court stated: 

The defendant in a criminal trial is frequently forced to testify himself and to call other 

witnesses in an effort to reduce the risk of conviction. When he presents his witnesses, he 

must reveal their identity and submit them to cross-examination which in itself may prove 

incriminating or which may furnish the State with leads to incriminating rebuttal evidence. 

That the defendant faces such a dilemma demanding a choice between complete silence 

and presenting a defense has never been thought an invasion of the privilege against 

compelled self-incrimination. The pressures generated by the State’s evidence may be 

severe but they do not vitiate the defendant’s choice to present an alibi defense and 

witnesses to prove it, even though the attempted defense ends in catastrophe for the 

defendant. However ‘testimonial’ or ‘incriminating’ the alibi defense proves to be, it 

cannot be considered ‘compelled’ within the meaning of the Fifth and Fourteenth 

Amendments.

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Excerpt from the May 20, 2020 Report of the Advisory Committee on Criminal Rules 

Similarly, Rule 16 leaves to the defendant the choice whether to present evidence or 

remain silent. But the rule requires the defendant to disclose certain evidence before trial, during 

reciprocal discovery. Under Williams, Rule 16’s provisions requiring reciprocal discovery 

withstood any Fifth Amendment challenges. The proposal’s codification of the need to set a time 

for disclosure and the minimum content required should not change that. Nor would restricting 

the scope of defense disclosure to witnesses to be presented in the defendant’s case-in-chief. 

* * * * * 

Very similar constraints operate on the defendant when the State requires pretrial notice of 

alibi and the naming of alibi witnesses. Nothing in such a rule requires the defendant to 

rely on an alibi or prevents him from abandoning the defense; these matters are left to his 

unfettered choice. That choice must be made, but the pressures that bear on his pretrial 

decision are of the same nature as those that would induce him to call alibi witnesses at the 

trial: the force of historical fact beyond both his and the State’s control and the strength of 

the State’s case built on these facts. Response to that kind of pressure by offering evidence 

or testimony is not compelled self-incrimination transgressing the Fifth and Fourteenth

Amendments.

399 U.S. at 834-85. 

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PROPOSED AMENDMENTS TO THE 

FEDERAL RULES OF CRIMINAL PROCEDURE1

1 Rule 16. Discovery and Inspection

2 (a) Government’s Disclosure.

3 (1) Information Subject to Disclosure

4 * * * * *

5 (G) Expert witnesses.

6 (i) Duty to Disclose. At the defendant’s

7 request, the government must give

8 disclose to the defendant, in writing, the

9 information required by (iii) for a written

10 summary of any testimony that the

11 government intends to use at trial under

12 Federal Rules of Evidence 702, 703, or

13 705 of the Federal Rules of Evidence

14 during its case-in-chief at trial, or during

15 its rebuttal to counter testimony that the

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

lined through.

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2 FEDERAL RULES OF CRIMINAL PROCEDURE

16 defendant has timely disclosed under 

17 (b)(1)(C). If the government requests 

18 discovery under subdivision 

19 (b)(1)(C)(ii) and the defendant complies, 

20 the government must, at the defendant’s 

21 request, give disclose to the defendant,

22 in writing, the information required by

23 (iii) for a written summary of testimony 

24 that the government intends to use under 

25 Federal Rules of Evidence 702, 703, or 

26 705 of the Federal Rules of Evidence as 

27 evidence at trial on the issue of the 

28 defendant’s mental condition. 

29 (ii) Time to Provide the Disclosure. 

30 The court, by order or local rule, must 

31 set a time for the government to make

32 the disclosure. The time must be 

Preliminary Draft | August 2020 Page 254 of 280
 FEDERAL RULES OF CRIMINAL PROCEDURE 3 

33 sufficiently before trial to provide a fair 

34 opportunity for the defendant to meet 

35 the government’s evidence. 

36 (iii) Contents of the Disclosure. The 

37 disclosure summary provided under 

38 this subparagraph must contain: 

39 ● a complete statement of all

40 describe the witness’s opinions, 

41 that the government will elicit 

42 from the witness in its case-in43 chief, or during its rebuttal to 

44 counter testimony that the 

45 defendant has timely disclosed 

46 under (b)(1)(C);

47 ● the bases and reasons for those 

48 opinions them; and 

Preliminary Draft | August 2020 Page 255 of 280
4 FEDERAL RULES OF CRIMINAL PROCEDURE

49 ● the witness’s qualifications, 

50 including a list of all publications 

51 authored in the previous 10 years; 

52 and

53 ● a list of all other cases in which, 

54 during the previous 4 years, the 

55 witness has testified as an expert at 

56 trial or by deposition.

57 (iv) Information Previously Disclosed. 

58 If the government previously provided 

59 a report under (F) that contained

60 information required by (iii), that 

61 information may be referred to, rather 

62 than repeated, in the expert-witness 

63 disclosure. 

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 FEDERAL RULES OF CRIMINAL PROCEDURE 5 

64 (v) Signing the Disclosure. The witness 

65 must approve and sign the disclosure, 

66 unless the government: 

67 ● states in the disclosure why it 

68 could not obtain the witness’s 

69 signature through reasonable 

70 efforts; or 

71 ● has previously provided under 

72 (F) a report, signed by the witness, 

73 that contains all the opinions and 

74 the bases and reasons for them 

75 required by (iii). 

76 (vi) Supplementing and Correcting the 

77 Disclosure. The government must 

78 supplement or correct the disclosure in 

79 accordance with (c).

80 * * * * * 

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6 FEDERAL RULES OF CRIMINAL PROCEDURE

81 (b) Defendant’s Disclosure. 

82 (1) Information Subject to Disclosure

83 * * * * * 

84 (C) Expert witnesses.

85 (i) Duty to Disclose. At the government’s 

86 request, Tthe defendant must, at the 

87 government’s request, disclose give to the 

88 government, in writing, the information 

89 required by (iii) for a written summary of

90 any testimony that the defendant intends to 

91 use under Federal Rules of Evidence 702, 

92 703, or 705 of the Federal Rules of 

93 Evidence as evidence during the 

94 defendant’s case-in-chief at trial, if—: 

95 (i) ● the defendant requests disclosure 

96 under subdivision (a)(1)(G) and the 

97 government complies; or 

Preliminary Draft | August 2020 Page 258 of 280
 FEDERAL RULES OF CRIMINAL PROCEDURE 7 

98 (ii) ● the defendant has given notice 

99 under Rule 12.2(b) of an intent to 

100 present expert testimony on the 

101 defendant’s mental condition. 

102 (ii) Time to Provide the Disclosure. 

103 The court, by order or local rule, must set 

104 a time for the defendant to make the 

105 disclosure. The time must be sufficiently 

106 before trial to provide a fair opportunity 

107 for the government to meet the 

108 defendant’s evidence. 

109 (iii) Contents of the Disclosure. ThisThe 

110 summary disclosure must contain: 

111 ● a complete statement of all describe 

112 the witness’s opinions, that the 

113 defendant will elicit from the witness

114 in the defendant’s case-in-chief; 

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8 FEDERAL RULES OF CRIMINAL PROCEDURE

115 ● the bases and reasons for themthose 

116 opinions; and 

117 ● the witness’s qualifications, 

118 including a list of all publications 

119 authored in the previous 10 years; and

120 ● a list of all other cases in which, 

121 during the previous 4 years, the 

122 witness has testified as an expert at 

123 trial or by deposition[.]

124 (iv) Information Previously Disclosed. 

125 If the defendant previously provided a 

126 report under (B) that contained 

127 information required by (iii), that 

128 information may be referred to, rather 

129 than repeated, in the expert-witness 

130 disclosure. 

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 FEDERAL RULES OF CRIMINAL PROCEDURE 9 

131 (v) Signing the Disclosure. The witness 

132 must approve and sign the disclosure, 

133 unless the defendant: 

134 ● states in the disclosure why the 

135 defendant could not obtain the 

136 witness’s signature through 

137 reasonable efforts; or

138 ● has previously provided under (F) a 

139 report, signed by the witness, that 

140 contains all the opinions and the bases 

141 and reasons for them required by (iii). 

142 (vi) Supplementing and Correcting the 

143 Disclosure. The defendant must 

144 supplement or correct the disclosure in 

145 accordance with (c).

146 * * * * *

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10 FEDERAL RULES OF CRIMINAL PROCEDURE

Committee Note

The amendment addresses two shortcomings of the 

prior provisions on expert witness disclosure: the lack of 

adequate specificity regarding what information must be 

disclosed, and the lack of an enforceable deadline for 

disclosure. The amendment clarifies the scope and timing of 

the parties’ obligations to disclose expert testimony they 

intend to present at trial. It is intended to facilitate trial 

preparation, allowing the parties a fair opportunity to prepare 

to cross-examine expert witnesses and secure opposing 

expert testimony if needed.

Like the existing provisions, amended subsections 

(a)(1)(G) (government disclosure) and (b)(1)(C) (defense 

disclosure) generally mirror one another. The amendment to 

(b)(1)(C) includes the limiting phrase—now found in 

(a)(1)(G) and carried forward in the amendment—restricting 

the disclosure obligation to testimony the defendant will use 

in the defendant’s “case-in-chief.” Because the history of 

Rule 16 revealed no reason for the omission of this phrase 

from (b)(1)(C), this phrase was added to make (a) and (b) 

parallel as well as reciprocal. No change from current 

practice in this respect is intended.

The amendment to (a)(1)(G) also clarifies that the 

government’s disclosure obligation includes not only the

testimony it intends to use in its case-in-chief, but also

testimony it intends to use to rebut testimony timely 

disclosed by the defense under (b)(1)(C). 

To ensure enforceable deadlines that the prior 

provisions lacked, subparagraphs (a)(1)(G)(ii) and 

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 FEDERAL RULES OF CRIMINAL PROCEDURE 11 

(b)(1)(C)(ii) provide that the court, by order or local rule, 

must set a time for the government to make its disclosure of 

expert testimony to the defendant, and for the defense to 

make its disclosure of expert testimony to the government. 

These disclosure times, the amendment mandates, must be 

sufficiently before trial to provide a fair opportunity for each 

party to meet the other side’s expert evidence. Sometimes a 

party may need to secure its own expert to respond to expert 

testimony disclosed by the other party. Deadlines should 

accommodate the time that may take, including the time an 

appointed attorney may need to secure funding to hire an 

expert witness, or the time the government would need to 

find a witness to rebut an expert disclosed by the defense. 

Deadlines for disclosure must also be sensitive to the 

requirements of the Speedy Trial Act. Because caseloads 

vary from district to district, the amendment does not itself 

set a specific time for the disclosures by the government and 

the defense for every case. Instead, it allows courts to tailor 

disclosure deadlines to local conditions or specific cases by 

providing that the time for disclosure must be set either by 

local rule or court order. 

Subparagraphs (a)(1)(G)(ii) and (b)(1)(C)(ii) require 

the court to set a time for disclosure in each case if that time 

is not already set by local rule or other order, but leave to the 

court’s discretion when it is most appropriate to announce 

those deadlines. The court also retains discretion under Rule 

16(d) consistent with the provisions of the Speedy Trial Act 

to alter deadlines to ensure adequate trial preparation. In 

setting times for expert disclosures in individual cases, the 

court should consider the recommendations of the parties, 

who are required to “confer and try to agree on a timetable” 

for pretrial disclosures under Rule 16.1. 

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12 FEDERAL RULES OF CRIMINAL PROCEDURE

To ensure that parties receive adequate information 

about the content of the witness’s testimony and potential 

impeachment, subparagraphs (a)(1)(G)(i) and (iii)—and the 

parallel provisions in (b)(1)(C)(i) and (iii)—delete the 

phrase “written summary” and substitute specific 

requirements that the parties provide “a complete statement” 

of the witness’s opinions, the bases and reasons for those 

opinions, the witness’s qualifications (including a list of 

publications within the past 10 years), and a list of other 

cases in which the witness has testified in the past four years. 

Although the language of some of these provisions is drawn 

from Civil Rule 26, the amendment is not intended to 

replicate all aspects of practice under the civil rule in 

criminal cases, which differ in many significant ways from 

civil cases. The amendment requires a complete statement of 

all opinions the expert will provide, but does not require a 

verbatim recitation of the testimony the expert will give at 

trial.

On occasion, an expert witness will have testified in a 

large number of cases, and developing the list of prior 

testimony may be unduly burdensome. Likewise, on 

occasion, with respect to an expert witness whose identity is 

not critical to the opposing party’s ability to prepare for trial, 

the party who wishes to call the expert may be able to 

provide a complete statement of the expert’s opinions, bases 

and reasons for them, but may not be able to provide the 

witness’s identity until a date closer to trial. In such 

circumstances, the party who wishes to call the expert may

seek an order modifying discovery under Rule 16(d). 

 Subparagraphs (a)(1)(G)(iv) and (b)(1)(C)(iv) also 

recognize that, in some situations, information that a party 

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 FEDERAL RULES OF CRIMINAL PROCEDURE 13 

must disclose about opinions and the bases and reasons for 

those opinions may have been provided previously in a 

report (including accompanying documents) of an 

examination or test under subparagraph (a)(1)(F) or 

(b)(1)(B). Information previously provided need not be 

repeated in the expert disclosure, if the expert disclosure 

clearly identifies the information and the prior report in 

which it was provided. 

Subparagraphs (a)(1)(G)(v) and (b)(1)(C)(v) of the 

amended rule require that the expert witness approve and 

sign the disclosure. However, the amended provisions also 

recognize two exceptions to this requirement. First, the rule 

recognizes the possibility that a party may not be able to 

obtain a witness’s approval and signature despite reasonable 

efforts to do so. This may occur, for example, when the party 

has not retained or specially employed the witness to present

testimony, such as when a party calls a treating physician to 

testify. In that situation, the party is responsible for 

providing the required information, but may be unable to 

procure a witness’s approval and signature following a 

request. An unsigned disclosure is acceptable so long as the 

party states why it was unable to procure the expert’s 

signature following reasonable efforts. Second, the expert 

need not sign the disclosure if a complete statement of all of 

the opinions, as well as the bases and reasons for those 

opinions, were already set forth in a report, signed by the 

witness, previously provided under subparagraph 

(a)(1)(F)—for government disclosures—or (b)(1)(B)—for 

defendant’s disclosures. In that situation, the prior signed 

report and accompanying documents, combined with the 

attorney’s representation of the expert’s qualifications, 

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14 FEDERAL RULES OF CRIMINAL PROCEDURE

publications, and prior testimony, provide the information 

and signature needed to prepare to meet the testimony. 

Subparagraphs (a)(1)(G)(vi) and (b)(1)(C)(vi) require 

the parties to supplement or correct each disclosure to the 

other party in accordance with Rule 16(c). This provision is 

intended to ensure that, if there is any modification of a 

party’s expert testimony or change in the identity of an 

expert after the initial disclosure, the other party will receive 

prompt notice of that correction or modification.

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PROCEDURES FOR THE JUDICIAL CONFERENCE’S

COMMITTEE ON RULES OF PRACTICE AND PROCEDURE AND ITS

ADVISORY RULES COMMITTEES

(as codified in Guide to Judicial Policy, Vol. 1 § 400)

 

§ 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.

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Procedures for Committees on Rules of Practice and Procedure Page 2 

(b) Preparing Draft Changes

The reporter assigned to each advisory committee should prepare for the committee, under the

direction of the committee or its chair, draft rule changes, committee notes explaining their

purpose, and copies or summaries of written recommendations and suggestions received by the

committee.

(c) Considering Draft Changes

The advisory committee studies the rules' operation and effect. It meets to consider proposed

new and amended rules (together with committee notes), whether changes should be made,

and whether they should be submitted to the Standing Committee with a recommendation to

approve for publication. The submission must be accompanied by a written report explaining the

advisory committee's action and its evaluation of competing considerations.

§ 440.20.40 Publication and Public Hearings

(a) Publication

Before any proposed rule change is published, the Standing Committee must approve

publication. The Secretary then arranges for printing and circulating the proposed change to the

bench, bar, and public. Publication should be as wide as possible. The proposed change must

be published in the Federal Register and on the judiciary's rulemaking website. The Secretary

must:

(1) notify members of Congress, federal judges, and the chief justice of each

state's highest court of the proposed change, with a link to the judiciary's

rulemaking website; and

(2) provide copies of the proposed change to legal-publishing firms with a 

request to timely include it in publications.

(b) Public Comment Period 

A public comment period on the proposed change must extend for at least six months after

notice is published in the Federal Register, unless a shorter period is approved under paragraph

(d) of this section.

(c) Hearings

The advisory committee must conduct public hearings on the proposed change unless

eliminating them is approved under paragraph (d) of this section or not enough witnesses ask to

testify at a particular hearing. The hearings are held at the times and places that the advisory

committee's chair determines. Notice of the times and places must be published in the Federal

Register and on the judiciary's rulemaking website. The hearings must be transcribed.

Whenever possible, a transcript should be produced by a qualified court reporter.

(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

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Procedures for Committees on Rules of Practice and Procedure Page 3 

Standing Committee may also eliminate public notice and comment for a technical or

conforming amendment if the Committee determines that they are unnecessary. When an

exception is made, the chair must advise the Judicial Conference and provide the reasons.

§ 440.20.50 Procedures After the Comment Period

(a) Summary of Comments

When the public comment period ends, the reporter must prepare a summary of the written

comments received and of the testimony presented at public hearings. If the number of

comments is very large, the reporter may summarize and aggregate similar individual

comments, identifying the source of each one.

(b) Advisory Committee Review; Republication

The advisory committee reviews the proposed change in light of any comments and testimony.

If the advisory committee makes substantial changes, the proposed rule should be republished

for an additional period of public comment unless the advisory committee determines that

republication would not be necessary to achieve adequate public comment and would not assist 

the work of the rules committees.

 (c) Submission to the Standing Committee

The advisory committee submits to the Standing Committee the proposed change and

committee note that it recommends for approval. Each submission must:

 (1) be accompanied by a separate report of the comments received;

 (2) explain the changes made after the original publication; and 

(3) include an explanation of competing considerations examined by the

advisory committee.

§ 440.20.60 Preparing Minutes and Maintaining Records

(a) Minutes of Meetings

The advisory committee's chair arranges for preparing the minutes of the committee meetings.

(b) Records

The advisory committee's records consist of:

• written suggestions received from the public;

• written comments received from the public on drafts of proposed rules; 

• the committee's responses to public suggestions and comments;

• other correspondence with the public about proposed rule changes;

• electronic recordings and transcripts of public hearings (when prepared);

• the reporter's summaries of public comments and of testimony from public 

hearings;

• agenda books and materials prepared for committee meetings;

• minutes of committee meetings;

• approved drafts of rule changes; and

Preliminary Draft | August 2020 Page 269 of 280
Procedures for Committees on Rules of Practice and Procedure Page 4 

• reports to the Standing Committee.

 (c) Public Access to Records

The records must be posted on the judiciary's rulemaking website, except for general public

correspondence about proposed rule changes and electronic recordings of hearings when

transcripts are prepared. This correspondence and archived records are maintained by the AO

and are available for public inspection. Minutes of a closed meeting may be made available to

the public but with any deletions necessary to avoid frustrating the purpose of closing the

meeting under § 440.20.30(a).

§ 440.30 Standing Committee

§ 440.30.10 Functions

The Standing Committee's functions include:

(a) coordinating the work of the advisory committees;

(b) suggesting proposals for them to study;

(c) considering proposals they recommend for publication for public comment; and

(d) for proposed rule changes that have completed that process, deciding whether to

accept or modify the proposals and transmit them with its own recommendation

to the Judicial Conference, recommit them to the advisory committee for further

study and consideration, or reject them.

§ 440.30.20 Procedures

(a) Meetings

The Standing Committee meets at the times and places that the chair designates. Committee

meetings must be open to the public, except when the Committee — in open session and with a 

majority present — determines that it is in the public interest to have all or part of the meeting

closed and states the reason. Each meeting must be preceded by notice of the time and place,

published in the Federal Register and on the judiciary's rulemaking website, sufficiently in

advance to permit interested persons to attend.

(b) Attendance by the Advisory Committee Chairs and Reporters

The advisory committees' chairs and reporters should attend the Standing Committee meetings

to present their committees' proposed rule changes and committee notes, to inform the

Standing Committee about ongoing work, and to participate in the discussions.

 (c) Action on Proposed Rule Changes or Committee Notes

The Standing Committee may accept, reject, or modify a proposed change or committee note,

or may return the proposal to the advisory committee with instructions or recommendations.

(d) Transmission to the Judicial Conference

The Standing Committee must transmit to the Judicial Conference the proposed rule changes

and committee notes that it approves, together with the advisory committee report. The

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Procedures for Committees on Rules of Practice and Procedure Page 5 

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:

• the minutes of Standing Committee and advisory committee meetings;

• agenda books and materials prepared for Standing Committee meetings;

• reports to the Judicial Conference; and

• 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 01-021) March 4, 2020

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Preliminary Draft | August 2020 Page 272 of 280
COMMITTEE ON RULES OF PRACTICE AND PROCEDURE

Chair Reporter

Honorable David G. Campbell

United States District Court

Professor Catherine T. Struve

University of Pennsylvania Law School 

Members

Honorable Jesse M. Furman

United States District Court

Daniel C. Girard, Esq.

Girard Sharp LLP

Robert J. Giuffra, Jr., Esq.

Sullivan & Cromwell LLP

Honorable Frank M. Hull

United States Court of Appeals 

Honorable William J. Kayatta, Jr.

United States Court of Appeals 

Peter D. Keisler, Esq.

Sidley Austin, LLP 

Professor William K. Kelley

Notre Dame Law School

Honorable Carolyn B. Kuhl

Superior Court of the State of California

Honorable Patricia A. Millett

United States Court of Appeals 

Honorable Gene E.K. Pratter

United States District Court

Honorable Jeffrey A. Rosen

Deputy Attorney General (ex officio) 

United States Department of Justice

Honorable Jennifer G. Zipps 

United States District Court

Kosta Stojilkovic, Esq.

Wilkinson Walsh LLP

Consultants

Professor Daniel R. Coquillette

Boston College Law School

Professor Bryan A. Garner

LawProse, Inc.

Professor R. Joseph Kimble

Thomas M. Cooley Law School 

Joseph F. Spaniol, Jr., Esq.

Secretary

Rebecca A. Womeldorf

Administrative Office of the U.S. Courts

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ADVISORY COMMITTEE ON APPELLATE RULES

Chair Reporter

Honorable Michael A. Chagares

United States Court of Appeals

Professor Edward Hartnett

Seton Hall University School of Law 

Members

Honorable Jay S. Bybee

United States Court of Appeals 

Honorable Judith L. French

Ohio Supreme Court 

Honorable Stephen J. Murphy III

United States District Court

Professor Stephen E. Sachs

Duke Law School 

Danielle Spinelli, Esq.

Wilmer Cutler Pickering Hale and Dorr LLP

Honorable Jeffrey B. Wall

Acting Solicitor General (ex officio)

United States Department of Justice

Honorable Paul J. Watford

United States Court of Appeals 

Lisa B. Wright, Esq.

Office of the Federal Public Defender 

Clerk of Court Representative

Patricia S. Dodszuweit

Clerk, United States Court of Appeals 

Preliminary Draft | August 2020 Page 274 of 280
ADVISORY COMMITTEE ON BANKRUPTCY RULES

Chair Reporter

Honorable Dennis R. Dow

United States Bankruptcy Court 

Professor S. Elizabeth Gibson

University of North Carolina at Chapel Hill 

Associate Reporter

Professor Laura B. Bartell

Wayne State University Law School

Members

Honorable Thomas L. Ambro

United States Court of Appeals 

Honorable Stuart M. Bernstein

United States Bankruptcy Court 

Honorable Bernice B. Donald

United States Court of Appeals

Honorable A. Benjamin Goldgar

United States Bankruptcy Court 

Jeffery J. Hartley, Esq.

Helmsing Leach

Honorable Melvin S. Hoffman

United States Bankruptcy Court 

Honorable David A. Hubbert

Acting Assistant Attorney General 

Tax Division (ex officio) 

United States Department of Justice

Honorable Marcia S. Krieger

United States District Court

Thomas M. Mayer, Esq.

Kramer Levin Naftalis & Frankel LLP

Debra L. Miller, Esq.

Chapter 13 Bankruptcy Trustee 

Honorable J. Paul Oetken

United States District Court

Jeremy L. Retherford, Esq.

Balch & Bingham LLP

Professor David A. Skeel

University of Pennsylvania Law School 

Honorable George H. Wu

United States District Court

Clerk of Court Representative

Kenneth S. Gardner 

Clerk, United States Bankruptcy Court 

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ADVISORY COMMITTEE ON CIVIL RULES

Chair Reporter

Honorable John D. Bates

United States District Court

Professor Edward H. Cooper

University of Michigan Law School 

Associate Reporter

Professor Richard L. Marcus

University of California 

Hastings College of the Law

Members

Honorable Jennifer C. Boal

United States District Court

Honorable Robert M. Dow, Jr.

United States District Court

Honorable Ethan P. Davis

Acting Assistant Attorney General (ex 

officio)

United States Department of Justice 

Honorable Joan N. Ericksen

United States District Court

Honorable Kent A. Jordan

United States Court of Appeals

Honorable Thomas R. Lee

Utah Supreme Court 

Honorable Sara Lioi

United States District Court

Honorable Brian Morris

United States District Court

Honorable Robin L. Rosenberg

United States District Court

Virginia A. Seitz, Esq.

Sidley Austin LLP 

Joseph M. Sellers, Esq.

Cohen Milstein Sellers & Toll PLLC

Dean A. Benjamin Spencer

William & Mary Law School

Ariana J. Tadler, Esq.

Tadler Law LLP

Helen E. Witt, Esq.

Kirkland & Ellis LLP

Clerk of Court Representative

Ms. Susan Y. Soong

Clerk, United States District Court

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ADVISORY COMMITTEE ON CRIMINAL RULES

Chair Reporter

Honorable Raymond M. Kethledge

United States Court of Appeals 

Professor Sara Sun Beale

Duke Law School

Associate Reporter

Professor Nancy J. King

Vanderbilt University Law School

Members

Honorable James C. Dever III

United States District Court

Professor Roger A. Fairfax

George Washington University Law School

Honorable Gary Feinerman

United States District Court

Honorable Michael J. Garcia

New York State Court of Appeals

Lisa Hay, Esq.

Federal Public Defender

Honorable Denise P. Hood

United States District Court

Honorable Lewis A. Kaplan

United States District Court

Honorable Bruce J. McGiverin

United States District Court

Honorable Jacqueline H. Nguyen

United States Court of Appeals 

Catherine M. Recker, Esq.

Welsh & Recker PC

Honorable Brian C. Rabbitt

Assistant Attorney General (ex officio) 

United States Department of Justice

Susan M. Robinson, Esq. 

Thomas Combs & Spann PLLC

Clerk of Court Representative

James N. Hatten

Clerk, United States District Court

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ADVISORY COMMITTEE ON EVIDENCE RULES

Chair Reporter

Honorable Debra A. Livingston

United States Court of Appeals

Professor Daniel J. Capra

Fordham University School of Law 

Members

Honorable James P. Bassett

New Hampshire Supreme Court 

Honorable Shelly Dick

United States District Court

Honorable Seth DuCharme

Acting Principal Associate Deputy 

Attorney General (ex officio)

United States Department of Justice

Traci L. Lovitt, Esq.

Jones Day

Honorable Tom Marten

United States District Court

Kathryn N. Nester, Esq.

Federal Defenders of San Diego, Inc.

Honorable Thomas D. Schroeder

United States District Court

Consultants

Professor Liesa Richter

University of Oklahoma School of Law 

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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